Section 25IAC5-3-2. Application for certification as an MBE or a WBE

   (a) The enterprise seeking certification as an MBE or a WBE shall submit its application on the form or forms approved by the department, accompanied by all requested documentation.

  (b) An enterprise seeking certification as an MBE or a WBE has the burden of demonstrating that it meets the requirements of this rule concerning ownership and control by qualifying members.

  (c) The individual signing the application for certification shall be a qualifying member. The qualifying member or members are those whose participation is relied upon to meet the ownership and control requirements, and each shall certify as to his or her status as a qualifying member. The qualifying member signing the application for certification for not-for-profit enterprise must be the highest-ranking official working in the enterprise on a day-to-day basis.

  (d) An enterprise seeking MBE or WBE certification shall cooperate fully with the department's requests for information and documentation relevant to the certification process. Failure to cooperate fully may result in denial of MBE or WBE certification.

  (e) An enterprise seeking MBE or WBE certification has an affirmative obligation to disclose all material and relevant information affecting that enterprise's eligibility for certification. Any material misrepresentation or omission may:

(1) be grounds for denial of certification; or

(2) result in the issuance of an order to show cause why the certification should not be revoked.

  (f) All documents submitted in connection with an application for certification as an MBE or a WBE are subject to the Indiana Access to Public Records Act, IC 5-14-3. The department will maintain as confidential any:

(1) tax returns;

(2) financial information; and

(3) trade secret information;

as authorized under IC 5-14-3-4(a).

  (g) An applicant (an individual who is a qualifying member) can submit a maximum of two (2) applications per year. At any time, only one (1) application can be pending.

  (h) If an enterprise withdraws its application before completion of the review process, it may reapply at any time, but the reapplication will be:

(1) treated as a new application; and

(2) considered in the order in which it is received.

  (i) An enterprise certified as an MBE or a WBE as of the date these rules become effective shall retain its certification until it expires, unless revoked as provided in this article.

  (j) If an enterprise has an application for certification as an MBE or a WBE with the department at the date these rules become effective, the department will make its certification determination based on the rules that were in effect at the time the application was received.

  (k) The department may accept applications submitted on behalf of the applicant by another certifying body approved by the department, provided that:

(1) the applicant has requested in writing that the other certifying body submit the file and application materials, including the results of any on-site review, to the department on his, her, or its behalf; and

(2) the other certifying body submits to the department those documents in its files relating to the application.

For applications submitted under this subsection, nothing shall preclude the department from requesting from the applicant such other documentation or undertaking such additional investigations as may be necessary for it to make a determination on whether certification should be granted or denied by the department.

  (l) The department may accept certifications from another certifying body approved by the department, provided that:

(1) the certification issued by the other certifying body requires the applicant to:

(A) submit documentation; and

(B) undergo an investigation no less stringent than the requirements imposed by these rules; and

(2) the other certifying body agrees to submit to the department upon request a full and complete copy of the applicant's file resulting in the certification.

(Indiana Department of Administration; 25 IAC 5-3-2; filed May 30, 2003, 11:00 a.m.: 26 IR 3297; filed Sep 16, 2005, 8:50 a.m.: 29 IR 450; readopted filed Oct 6, 2009, 9:04 a.m.: 20091104-IR-025090572RFA; readopted filed Dec 2, 2015, 2:41 p.m.: 20151230-IR-025150342RFA)