2016-Airport-DBE-Program LA DOTD PDF
2016-Airport-DBE-Program LA DOTD PDF
2016-Airport-DBE-Program LA DOTD PDF
(DBE) Program
For The
Hammond Northshore Regional Airport
Hammond LA
May 2016
DBELO-David Lobue
Airport Director
Hammond LA 70401
Telephone: 985-277-5667
Fax: 985-277-5669
Email: Lobue_DL@hammond.org
DBE PROGRAM
POLICY STATEMENT
It is the policy of the Airport to ensure that DBEs, as defined under 49 CFR 26, have an
equal opportunity to receive and participate in DOT-assisted Airport contracts. It is also
the Airport's policy:
David L. Lobue has been appointed DBE Liaison Officer. In this capacity, Lobue is
responsible for implementing all aspects of the DBE program. Implementation of the
DBE program is accorded the same priority as compliance with all other legal
obligations incurred by the Airport in its financial assistance agreements with DOT.
Note: this DBE program applies only to contracts directly funded by the U.S.
Department of Transportation or its administrations (e.g. the Federal Aviation
Administration) at Hammond Northshore Regional Airport, City of Hammond,
Tangipahoa, Louisiana. For City of Hammond non-Airport projects, pass-through
funding from DOT and its administrations is subject to the DBE program established by
the Regional Planning Commission for Jefferson, Orleans, Plaquemines, St. Bernard,
St. Tammany, and Tangipahoa Parishes.
The Airport has disseminated this policy statement to the Mayor of the City of
Hammond, the Hammond City Council, the Hammond Northshore Regional Airport
Authority and other departments of the City of Hammond. The Airport has also
distributed this statement to DBE and non-DBE business communities that perform
work for the Airport on DOT-assisted Airport contracts. The distribution was
accomplished with an advertising campaign in local, regional, and State-wide news
publications.
5#@1h
[Pete Panepinto, MAYOR] I Date
SUBPART A- GENERAL REQUIREMENTS
The objectives are found in the policy statement on the first page of this program.
The Airport is the recipient of Federal airport funds authorized by 49 USC 47101, et seq.
The Airport will use terms in this program that have the meaning defined in Section
26.5.
The Airport will never exclude any person from participation in, deny any person the
benefits of, or otherwise discriminate against anyone in connection with the award and
performance of any Airport contract covered by 49 CFR 26 on the basis of race, color,
sex, or national origin.
In administering its DBE program, the Airport will not, directly or through contractual or
other arrangements, use criteria or methods of administration that have the effect of
defeating or substantially impairing accomplishment of the objectives of the DBE
program with respect to individuals of a particular race, color, sex or national origin.
The Airport will transmit to FAA annually on December 1 the Uniform Report of DBE
Awards or Commitments and Payments form found in Appendix B to this part. The
Airport will also report the DBE contractor firm information either on the FAA DBE
Contractor's Form or other similar format. The Airport will begin using the revised
Uniform Report of DBE Awards or Commitments and Payments for reporting FY
2016 reports due December 1, 2016.
The Airport will create and maintain a bidders list. The purpose of the list is to provide
as accurate data as possible about the universe of DBE and non-DBE contractors and
subcontractors who seek to work on DOT-assisted Airport contracts for use in helping to
set overall goals. The bidders list will include the name, address, DBE and non-DBE
status, age, and annual gross receipts of firms-the latter indicated via bracketed
information categorized as: less than $500,000-$1 million; $1 million-$2 million; $2
million-$5 million; and $5 million and above.
The Airport will collect this information by incorporating in the bid documents a
questionnaire that asks pertinent questions regarding DBE/non-DBE status, as well as
additional information as required above of each firm and all subcontractors who quote
on the project. In order for the bid package to be complete, this questionnaire must be
completed and provided at the time of bid. Please refer to Attachment 3 for a copy of
the form entitled Bidder's Questionnaire.
The Airport has signed the following assurances, applicable to all DOT-assisted Airport
contracts and their administration:
Assurance.: 26 .13(a) - Each financial assistance agreement the Airport signs with a
DOT operating administration (or a primary recipient) will include the following
assurance:
The Airport shall not discriminate on the basis of race, color, national origin, or
sex in the award and performance of any DOT-assisted Airport contract or in the
administration of its DBE program or the requirements of 49 CFR 26. The Airport
shall take all necessary and reasonable steps under 49 CFR 26 to ensure
nondiscrimination in the award and administration of DOT-assisted Airport
contracts. The Airport's DBE program, as required by 49 CFR 26 and as
approved by DOT, is incorporated by reference in this agreement.
Implementation of this program is a legal obligation and failure to carry out its
terms shall be treated as a violation of this agreement. Upon notification to the
Airport of its failure to carry out its approved program, DOT may impose
sanctions as provided for under 49 CFR 26 and may, in appropriate cases, refer
the matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil
Remedies Act of 1986 (31 USC 3801 et seq.)
Contract Assurance: 26.13(b) - The Airport will ensure that the following clause is
included in each contract the Airport signs with a contractor and each subcontract the
prime contractor signs with a subcontractor:
The Airport is required to have a DBE program meeting the requirements of this part as
it will receive grants for airport planning or development and will award prime contracts,
cumulative total value of which exceeds $250,000 in FAA funds in a federal fiscal year.
The Airport is not eligible to receive DOT financial assistance unless DOT has approved
the Airport's DBE program and the Airport is in compliance with it and this part. The
Airport will continue to carry out our program until all funds from DOT financial
assistance have been expended. The Airport does not have to submit regular updates
of its program as long as the Airport remains in compliance. However, the Airport will
submit significant changes in the program for approval.
The Policy Statement is elaborated on the first page of this DBE program.
The Airport has designated the following individual as its DBE Liaison Officer:
David L. Lobue
DBE LO
Hammond Northshore Regional Airport
600 Judge Leon Ford Drive
Hammond, Louisiana 70401
Telephone: 985-277-5667
Fax: 985-277-5669
Email: Lobue_DL@hammond.org
The DBELO is responsible for implementing all aspects of the DBE program and
ensuring that the Airport complies with all provision of 49 CFR 26. The DBELO has
direct, independent access to the City of Hammond Mayor concerning DBE program
matters. An organizational chart displaying the DBELO's position is found in
Attachment 2 to this program.
The DBELO is responsible for developing, implementing, and monitoring the DBE
program in coordination with other appropriate officials. The DBELO has a staff of one
plus the assistance of the City Attorney and the City Grants Department (three
individuals) to assist in the administration of the program. The duties and
responsibilities of the DBELO include the following:
It is the policy of the Airport to investigate the full extent of services offered by financial
institutions owned and controlled by socially and economically disadvantaged
individuals in the community, to make reasonable efforts to use these institutions, and
to encourage prime contractors on DOT-assisted Airport contracts to make use of
these institutions. The Airport searched the U.S. Department of Treasury's Financial
Management Services website (www.fms.treas.gov) for current participants in the
Minority Bank Deposit Program in the State of Louisiana. To date, the Airport has
identified the following institution:
The Airport will ensure prompt and full payment of retainage from the prime contractor to
the subcontractor within 30 days after the subcontractor's work is satisfactorily completed.
The Airport will use the following methods to comply with this requirement:
Decline to hold retainage from prime contractors and prohibit prime contractors
from holding retainage from subcontractors after 30 days.
The Airport will consider a subcontractor's work is satisfactorily completed when all the
tasks called for in the subcontract have been accomplished and documented as
required by the Airport. When the Airport has made an incremental acceptance of a
portion of a prime contract, the work of a subcontractor covered by that acceptance is
deemed to be satisfactorily completed.
The Airport will provide appropriate means to enforce the requirements of this section.
In the event of the contractor's noncompliance with these prompt payment provisions,
the Airport may impose such sanctions and penalties as it or DOT may determine to be
appropriate, including, but not limited to:
1. Withholding of payments to the contractor under the Airport contract until the
contractor complies, and/or
2. Deduction from an Airport contract funds due or to become due the
contractor, and/or
3. Disqualification of the contractor as non-responsible, and/or
4. Cancellation, termination or suspension of the Airport contract in whole or in
part, and/or
5. Any other remedy DOT deems appropriate.
The Airport will include the following clause in each DOT-assisted Airport prime
contract:
The prime contractor agrees to pay each subcontractor under this prime
Airport contract for satisfactory performance of its contract no later than 10
days from the receipt of each payment the prime contractor receives from
the Airport. The prime contractor agrees further to return retainage
payments to each subcontractor within 30 days after the subcontractor's
work is satisfactorily completed. Any delay or postponement of payment
from the above referenced timeframe may occur only for good cause
following written approval of the Airport. This clause applies to both DBE
and non-DBE subcontractors.
Monitoring Payments to DBEs
The Airport will require prime contractors to maintain records and documents of
payments to DBEs for three years following the performance of the contract.
These records will be made available for inspection upon request by any
authorized representative of the Airport or DOT. This reporting requirement also
extends to any certified DBE subcontractor.
The Airport will perform interim audits of Airport contract payments to DBEs. The audit
will review payments to DBE subcontractors to ensure that the actual amount paid to
DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of
DBE participation.
The Airport uses the Louisiana Department of Transportation and Development's DBE
directory.
This directory lists the firm 's name, address, phone number, and date of most recent
certification, as well as the type of work the firm has been certified to perform as a DBE.
In addition, the directory lists each type of work for which a firm is eligible to be certified
by using the most specific NAICS code available to describe each type of work.
The Airport has not identified that over-concentration exists in the types of work that
DBEs perform.
The Airport will take the following monitoring and enforcement mechanisms to ensure
compliance with 49 CFR 26.
1. The Airport will bring to the attention of DOT any false, fraudulent, or dishonest
conduct in connection with the program so that they can take the steps (e.g., referral to
the Department of Justice for criminal prosecution , referral to the DOT Inspector
General, action under suspension and debarment or Program Fraud and Civil
Penalties rules) provided in 26.107.
2. The Airport will implement similar action under its legal authorities, including
responsibility determinations in future Airport contracts per local government code. In
the event of non-compliance with the DBE regulation by a participant in the Airport's
DBE Program, the Airport will first advise violators in writing that they will removed from
the approved bidders list if any non-compliance issues are not resolved within 30 days.
At the end of the 30-day period, if non-compliance issues have not been resolved to the
satisfaction of the DBELO, the violator will be removed from the approved bidders list.
The Airport will also suspend any payment to the violator for work on any existing
Airport contracts until non-compliance issues are resolved to the satisfaction of the
DBELO.
3. The Airport will implement a monitoring and enforcement mechanism to ensure that
work committed to DBEs at Airport contract award or subsequently (i.e. as the result of
modification to the contract) is actually performed by the DBEs to which the work was
committed.
4. The Airport will implement a monitoring and enforcement mechanism that will include
written certification that the Airport has reviewed contracting records and monitored
work sites for this purpose. This will be accomplished by monitoring of monthly pay
requests for payments to DB Es. The Airport will also require all DBEs to certify that
such payments were made.
The Airport has created a Small Business Element for the Airport to structure Airport
contracting requirements to facilitate competition by small business concerns-taking all
reasonable steps to eliminate obstacles to their participation including unnecessary and
unjustified bundling of Airport contract requirements that may preclude small business
participation in procurements as prime contractors or subcontractors.
The Airport does not use quotas in any way in the administration of this DBE program .
The Airport will establish an overall DBE goal covering a three-federal-fiscal-year period
if the Airport anticipates awarding DOT- funded prime Airport contracts, the cumulative
total value of which exceeds $250,000 during any one or more of the reporting fiscal
years within the three-year goal period. In accordance with Section 26.45(f), the Airport
will submit its Overall Three-year DBE Goal to FAA by August 1 as required by the
established schedule below.
The DBE goals will be established in accordance with the 2-step process as specified in
49 CFR 26.45. If the Airport does not anticipate awarding DOT-funded prime contracts,
the cumulative total value of which exceeds $250,000 during any of the years within the
three-year reporting period, the Airport will not develop an overall goal; however, this
DBE program will remain in effect and the Airport will seek to fulfill the objectives
outlined in 49 CFR 26.1.
(c) Step 1. The first step is to determine the relative availability of DBEs in the
market area -the "base figure". The Airport will use the Baton Rouge
Metropolitan Airport's 2016 goal of 9.19% as a base figure. The Airport will then
adjust the base figure percentage from this step so that it reflects as accurately
as possible the DBE participation the Airport expects in the absence of
discrimination based on past participation, a disparity study, and/or information
about barriers to entry to past competitiveness of DB Es on Airport contracts.
If the Airport use a bidders list, the Airport will do the following: Determine the number
of DB Es that have bid or quoted (successful and unsuccessful) on its DOT-assisted
Airport prime contracts or subcontracts in the past three years. Determine the number
of all businesses that have bid or quoted (successful and unsuccessful) on Airport prime
or subcontracts in the same time period. Divide the number of DBE bidders by the
number of all businesses to derive a base figure for the relative availability of DB Es in
the market. When using this approach, the Airport will establish a mechanism
(documented in its goal submission) to capture data on DBE and non-DBE prime and
subcontractors that submitted bids or quotes on DOT-assisted Airport contracts.
Any methodology the Airport chooses will be based on demonstrable evidence of local
market conditions and be designed to ultimately attain a goal that is rationally related to
the relative availability of DBEs in the market. The Airport understands that the
exclusive use of a list of prequalified contractors or plan holders or of a bidders list that
does not comply with the requirements of paragraph (c)(2) of this section is not an
acceptable alternative means of determining the availability of DBEs.
(d) Step 2. Once the Airport has calculated the base figure, the Airport will
examine all of the evidence available in its jurisdiction to determine what
adjustment, if any, is needed to the base figure to arrive at an overall goal. If the
evidence does not suggest an adjustment is necessary, then no adjustment shall
be made.
Please see Attachment 5 for a detailed description of the Airport's overall goal
calculation methodology and the results of these calculations.
26.45(g)(1) In establishing the overall goal, the Airport will provide for consultation and
publication. This includes consultation with minority, women's and general contractor
groups, community organizations, and other officials or organizations which could be
expected to have information concerning the availability of disadvantaged and non-
disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and
the Airport's efforts to establish a level playing field for the participation of DB Es. The
consultation will include a scheduled, direct, interactive exchange (e.g. a face-to-face
meeting, video conference, teleconference) with as many interested stakeholders as
possible focused on obtaining information relevant to the Airport's goal setting process,
and it will occur before the Airport is required to submit its goal methodology to the
operating administration for review pursuant to paragraph (f) of this section. The Airport
will document in its goal submission the consultation process that the Airport engaged
in. Notwithstanding paragraph (f)(4) of this section, the Airport will not implement its
proposed goal until the Airport has complied with this requirement.
In addition, the Airport will publish a notice announcing the proposed overall goal before
submission to the operating administration on August 1. The notice will be posted in the
Airport's journal of record and on the City of Hammond's official website and may be
posted in any other publications (e.g. minority-focused media, trade association
publications). If the proposed goal changes following review by the operating
administration, the revised goal will be posted on the City of Hammond's official website.
The Airport will inform the public that the proposed overall goal and its rationale are
available for inspection during normal business hours at its principal office and that the
Airport and DOT will accept comments on the goal for 30 days from the date of the
notice. Notice of the comment period will include the addresses to which comments
may be sent (including offices and websites) and where the proposed goal may be
reviewed. The public comment period will not extend the August 1 deadline.
Our Overall Three-year DBE Goal submission to DOT will include a summary of
information and comments received, if any, during this public participation process and
the Airport's responses. Attachment 5, Overall Goal Calculations and Appendices, also
lists our consultations and publications, as well as the comments received and resulting
actions taken, if any.
The Airport will begin using this overall goal on October 1 of the reporting period, unless
the Airport has received other instructions from DOT.
If permitted or required by the FAA Administrator, the Airport will express its overall goal
as a percentage of funds for a particular grant or project or group of grants and/or
projects. Like the overall goal, a project goal may be adjusted to reflect changed
circumstances with the concurrence of the appropriate operating administration. A
project goal is an overall goal and must meet all the substantive and procedural
requirements of this section pertaining to the overall goal. A project goal covers the
entire length of the project to which it applies. The project goal should include a
projection of the DBE participation anticipated to be obtained during each fiscal year
covered by the project goal. The funds for the project to which the project goal pertains
are separated from the base from which the overall goal, applicable to Airport contracts
not part of the project covered by a project goal, is calculated. If the Airport establishes
a goal on a project basis, the Airport will begin using this goal by the time of the first
solicitation for a DOT-assisted Airport contract for the project.
The Airport understands that it is not required to obtain prior operating administration
concurrence with the overall goal. However, if the operating administration's review
suggests that the overall goal has not been correctly calculated or that the method for
calculating the goal is inadequate, the operating administration may, after consulting
with the Airport, adjust the overall goal or require that the Airport do so. The adjusted
overall goal is binding. In evaluating the adequacy or soundness of the methodology
used to derive the overall goal, DOT operating administration will be guided by the goal
setting principles and best practices identified in guidance issued pursuant to § 26.9.
The Airport will maintain an approved DBE program and overall DBE goal, if applicable,
as well as administer its DBE program in good faith to be considered to be in
compliance with this part.
If the Airport awards and commitments shown on its Uniform Report of Awards or
Commitments and Payments at the end of any fiscal year are less than the overall goal
applicable to that fiscal year, the Airport will do the following in order to be regarded by
DOT as implementing the DBE program in good faith:
(1) Analyze in detail the reasons for the difference between the overall goal and
awards and commitments in that fiscal year;
(2) Establish specific steps and milestones to correct the problems the Airport
identified in its analysis to enable the Airport to meet fully its goal for the new fiscal
year;
(3) The Airport will prepare, within 90 days of the end of the fiscal year, the analysis
and corrective actions developed under paragraphs (c)(1) and (2) of this section.
The Airport will retain copy of analysis and corrective actions in records for a
minimum of three years and will make it available to FAA upon request.
(a) The Airport will meet the maximum feasible portion of its overall goal by using RN
means of facilitating race-neutral DBE participation. Race-neutral DBE participation
exists any time a DBE wins a prime Airport contract through customary competitive
procurement procedures or is awarded a subcontract on a prime Airport contract that
does not carry a DBE contract goal.
(1) Arranging solicitations, times for the presentation of bids, quantities, and
specifications, and delivery schedules in ways that facilitate participation by
DBEs and other small businesses and by making contracts more accessible to
small businesses by means such as those provided under §26.39 of this part.
(6) Providing services to help DB Es and other small businesses .improve long-
term development, increase opportunities to participate in a variety of kinds of
work, handle increasingly significant projects, and achieve eventual self-
sufficiency;
(8) Ensuring distribution of a DBE directory through print and electronic means to
the widest feasible universe of potential prime contractors; and
(9) Assisting DBEs and other small businesses to develop their capability to
utilize emerging technology and conduct business through electronic media .
The Airport will use contract goals to meet any portion of the overall goal the Airport
does not project being able to meet using RN means. Contract goals are established so
that, over the period to which the overall goal applies, they will cumulatively result in
meeting any portion of the overall goal that is not projected to be met through the use of
RN means.
The Airport will establish contract goals only on those DOT-assisted Airport contracts
that have subcontracting possibilities. The Airport need not establish a contract goal on
every such contract, and the size of contract goals will be adapted to the circumstances
of each such contract (e.g. type and location of work, availability of DBEs to perform the
particular type of work).
The Airport will express contract goals as a percentage of the total amount of a DOT-
assisted Airport contract.
The obligation of the bidder is to make good faith efforts. The bidder can demonstrate
that it has done so either by meeting the Airport contract goal or documenting good faith
efforts. Examples of good faith efforts are found in Appendix A to Part 26, included as
Attachment 6 to this program. ·
David L. Lobue, DBELO, Hammond Northshore Regional Airport, 600 Judge Leon Ford
Drive, Hammond, Louisiana (70401) is responsible for determining whether a bidder
who has not met an Airport contract goal has documented sufficient good faith efforts to
be regarded as responsive.
The Airport will ensure that all information is complete and accurate and adequately
documents the bidder's good faith efforts before the Airport commits to the performance
of the Airport contract by the bidder's.
In the Airport's solicitations for DOT-assisted Airport contracts for which a contract goal
has been established, the Airport will require the following:
Within five business days of being informed by the Airport that it is not responsive
because it has not documented sufficient good faith efforts, a bidder may request
administrative reconsideration. Bidder should make this request in writing to the
following reconsideration official:
Lacy Landrum
Director of Administration
City of Hammond
Post Office Box 2788
Hammond, Louisiana 70404
Telephone: 985-277-5653
Fax: 985-277-5607
Email: Landrum L@hammond.org
The reconsideration official will not have played any role in the original determination
that the bidder did not document sufficient good faith efforts.
As part of this reconsideration, the bidder will have the opportunity to provide written
documentation or argument concerning the issue of whether it met the goal or made
adequate good faith efforts to do so. The bidder will also have the opportunity to meet
in person with the reconsideration official to discuss the same. The Airport will send the
bidder a written decision on reconsideration explaining the basis for finding that the
bidder did or did not meet the goal or make adequate good faith efforts to do so. The
result of the reconsideration process is not administratively appealable to DOT.
Good Faith Efforts procedures in situations when there are contract goals (26.53(f)(g))
The Airport will include in each prime Airport contract a provision stating :
The contractor shall utilize the specific DBEs listed to perform the work and
supply the materials for which each is listed unless the contractor obtains the
Airport's written consent as provided in this paragraph 26.53(f); and
Unless the Airport's written consent is provided under this paragraph 26.53(f), the
contractor shall not be entitled to any payment for work or material unless it is
performed or supplied by the listed DBE.
The Airport will require the contractor that is awarded the Airport contract make
available upon request a copy of all DBE subcontracts. The subcontractor shall ensure
that all subcontracts or agreements with DBEs to supply labor or materials require that
all lower tier subcontractors adhere to this part's provisions.
The Airport will require that the prime contractor obtain prior Airport approval of any
substitute DBE and provide copies of new or amended subcontracts or documentation
of good faith efforts.
The Airport will require that a prime contractor not terminate a DBE subcontractor listed
in response to paragraph (b )(2) of this section (or an approved substitute DBE) without
the Airport's prior written consent. This includes, but is not limited to, instances in which
a prime contractor seeks to perform work originally designated for a DBE subcontractor
with its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm.
The Airport will provide such written consent only if the Airport agrees, for reasons
stated in its concurrence document, that the prime contractor has good cause to
terminate the DBE firm. For the purposes of this paragraph, good cause includes the
following circumstances:
(1) The listed DBE subcontractor fails or refuses to execute a written contract;
(2) The listed DBE subcontractor fails or refuses to perform the work of its
subcontract in a way consistent with normal industry standards; provided
however, that good cause does not exist if the failure or refusal of the DBE
subcontractor to perform its work on the subcontract results from the bad faith
or discriminatory action of the prime contractor;
(3) The listed DBE subcontractor fails or refuses to meet the prime contractor's
reasonable, nondiscriminatory bond requirements.
(4) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit
unworthiness;
(5) The listed DBE subcontractor is ineligible to work on public works projects
because of suspension and debarment proceedings pursuant to 2 CFR 180,
215 and 1,200 or applicable State law;
(6) The Airport has determined that the listed DBE subcontractor is not a
responsible contractor;
(7) The listed DBE subcontractor voluntarily withdraws from the project and
provides written notice of its withdrawal;
(8) The listed DBE is ineligible to receive DBE credit for the type of work
required;
(9) A DBE owner dies or becomes disabled with the result that the DBE is unable
to complete its work on the contract;
(10) Other documented good cause that the Airport has determined compels the
termination of the DBE subcontractor; provided, that good cause does not
exist if the prime contractor seeks to terminate a DBE it relied upon to obtain
the Airport contract so that the prime contractor can self-perform the work for
which the DBE contractor was engaged or so that the prime contractor can
substitute another DBE or non-DBE contractor after Airport contract award.
The prime contractor must give the DBE five days to respond to the prime contractor's
notice and advise the Airport and the contractor of the reasons, if any, why the DBE
objects to the proposed termination of its subcontract and why the Airport should not
approve the prime contractor's action. If required in a particular case as a matter of
public necessity (e.g . safety), the Airport may provide a response period shorter than
five days.
In addition to post-award terminations, the provisions of this section apply to pre-award
deletions of, or substitutions for, DBE firms put forward by bidders in negotiated
procurements.
The Airport will require a contractor to make good faith efforts to replace a DBE that is
terminated or has otherwise failed to complete its work on an Airport contract with
another certified DBE. These good faith efforts shall be directed at finding another DBE
to perform at least the same amount of work under the Airport contract as the DBE that
was terminated to the extent needed to meet the Airport contract goal that the Airport
established for the procurement. Good faith efforts shall be documented by the
contractor. If the Airport requests documentation from the contractor under this
provision, the contractor shall submit the documentation within seven days, which may
be extended for an additional seven days if necessary at the request of the contractor
and approval of the Airport, and the Airport shall provide a written determination to the
contractor stating whether or not good faith efforts have been demonstrated.
The Airport will include in each prime Airport contract the clause required by 26 .13(b)
stating that failure by the contractor to carry out the requirements of this part is a
material breach of contract and may result in the termination of the Airport contract or
such other remedies set forth in that section that the Airport deems appropriate if the
prime contractor fails to comply with the requirements of this section.
If the contractor fails or refuses to comply in the time specified, the Airport will issue an
order stopping all or part of payment/work until satisfactory action has been taken. If
the contractor still fails to comply, the Airport may issue a termination for default
proceeding.
The bidder will be required to submit the following information: (1) the names and
addresses of DBE firms that will participate in the contract; (2) a description of
the work that each DBE firm will perform (to count toward meeting a goal, each
DBE firm must be certified in a NAICS code applicable to the kind of work the
firm would perform on the contract); (3) the dollar amount of the participation of
each DBE firm participating; (4) Written documentation of the bidder's
commitment to use a DBE subcontractor whose participation will enable it to
meet the Airport contract goal; and (5) Written confirmation from each listed DBE
firm that it is participating in the Airport contract of the kind and amount of work
provided in the prime contractor's commitment; and (6), if the Airport contract
goal is not met, evidence of good faith efforts.
The Airport will count DBE participation toward overall and Airport contract goals as
provided in 49 CFR 26.55. The Airport will not count the participation of a DBE
subcontract toward a contractor's final compliance with its DBE obligations on an Airport
contract until the amount being counted has actually been paid to the DBE.
If the firm is not currently certified as a DBE in accordance with the standards of D of
this part at the time of the execution of the Airport contract, the Airport will not count the
firm's participation toward any DBE goals, except as provided for in 26.87(j).
SUBPART D-CERTIFICATION STANDARDS
The Airport will use the certification standards of 26(D) to determine the eligibility of
firms to participate as DBEs in DOT-assisted Airport contracts. To be certified as a
DBE, a firm must meet all certification eligibility standards.
For information about the certification process or to apply for certification, firms should
contact:
The Airport will safeguard from disclosure to third parties information that may
reasonably be regarded as confidential business information consistent with federal,
State, and local law. Please refer to the Louisiana Public Records Act, LRS 44:1 et seq,
for details regarding disclosure to third parties of information that may be regarded as
confidential business information.
Notwithstanding any provision of federal, State, or local law, the Airport will not release
any information that may reasonably be construed as confidential business information
to any third party without the written consent of the firm that submitted the information.
This includes applications for DBE certification and supporting information. However,
the Airport will transmit this information to DOT in any certification appeal proceeding
under 26.89 of this part or to any other state to which the individual's firm has applied
for certification under 26.85 of this part.
All participants in the Airport's DBE program (including, but not limited to, the Airport,
DBE firms and applicants for DBE certification, complainants and appellants, and
contractors using DBE firms to meet Airport contract goals) are required to cooperate
fully and promptly with DOT and recipient compliance reviews, certification reviews,
investigations, and other requests for information. Failure to do so shall be a ground for
appropriate action against the party involved (e.g., with respect to the Airport, a finding
of noncompliance; with respect to DBE firms, denial of certification or removal of
eligibility and/or suspension and debarment; with respect to a complainant or appellant,
dismissal of the complaint or appeal; with respect to a contractor that uses DBE firms to
meet goals, findings of non-responsibility for future contracts and/or suspension and
debarment).
The Airport, contractor, or any other participant in the program will not intimidate,
threaten, coerce, or discriminate against any individual or firm for the purpose of
interfering with any right or privilege secured by this part or because the individual or
firm has made a complaint, testified, assisted, or participated in any manner in an
investigation, proceeding, or hearing under this part. If the Airport violates this
prohibition, the Airport is in noncompliance with this part.
ATTACHMENT INDEX
Regulations:
49 CFR 26
ELECTRONIC CODE OF FEDERAL REGULATIONS
Contents
Subpart A-General
§26.41 What is the role of the statutory 10 percent goal in this program?
§26.43 Can recipients use set-asides or quotas as part of this program?
§26.45 How do recipients set overall goals?
§26.47 Can recipients be penalized for failing to meet overall goals?
§26.49 How are overall goals established for transit vehicle manufacturers?
§26.51 What means do recipients use to meet overall goals?
§26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals?
§26.55 How is DBE participation counted toward goals?
Subpart D-Certification Standards
AUTHORITY: 23 U.S.C. 304 and 324 ; 42 u.s.c_2000d, et seq. ; 49 u.s.c. 47107, 47113, 47123; Sec. 1101 (b), Pub. L. 105-178,
112 Stat. 107. 113.
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Subpart A-General
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(a) To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's
highway, transit, and airport financial assistance programs;
(b) To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
(c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law;
(d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs;
(f) To promote the use of DBEs in all types of federally-assisted contracts and procurement activities conducted by
recipients.
(g) To assist the development of firms that can compete successfully in the marketplace outside the DBE program;
and
(h) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing
opportunities for DBEs.
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(a) If you are a recipient of any of the following types of funds , this part applies to you:
(1) Federal-aid highway funds authorized under Titles I (other than Part B) and V of the lntermodal Surface
Transportation Efficiency Act of 1991 (ISTEA}, Pub. L. 102-240, 105 Stat. 1914, or Titles I, Ill, and V of the Transportation
Equity Act for the 21st Century (TEA-21 ), Pub. L. 105-178, 112 Stat. 107. Titles I, Ill, and V of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU}, Pub. L. 109-59, 119 Stat. 1144; and
Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405.
(2) Federal transit funds authorized by Titles I, Ill, V and VI of !STEA, Pub. L. 102-240 or by Federal transit laws in
Title 49, U.S. Code, or Titles I, Ill, and V of the TEA-21, Pub. L. 105-178. Titles I, Ill, and V of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub . L. 109-59, 119 Stat. 1144; and
Divisions A and B of the Moving Ahead for Progress in the 21st Century Act (MAP-21 ), Pub. L. 112-141, 126 Stat. 405.
(b) [Reserved]
(c) If you are letting a contract, and that contract is to be performed entirely outside the United States, its territories
and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract.
(d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the
contract.
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Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part
121.
(1) Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or
indirectly:
(i) One concern controls or has the power to control the other; or
(ii) A third party or parties controls or has the power to control both; or
(iii) An identity of interest between or among parties exists such that affiliation may be found.
(2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common
ownership, common management, and contractual relationships. Affiliates must be considered together in determining
whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE
program.
Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian
(including Tsimshian Indians not enrolled in the Metlaktla Indian Community) , Eskimo, or Aleut blood, or a combination of
those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native
village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native.
Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group
Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act,
as amended (43 U.S.C. 1601, et seq.).
Assets mean all the property of a person available for paying debts or for distribution, including one's respective share
of jointly held assets. This includes, but is not limited to, cash on hand and in banks, savings accounts, IRA or other
retirement accounts, accounts receivable, life insurance, stocks and bonds, real estate, and personal property.
Business, business concern or business enterprise means an entity organized for profit with a place of business
located in the United States, and which operates primarily within the United States or which makes a significant
contribution to the United States economy through payment of taxes or use of American products, materials, or labor.
Compliance means that a recipient has correctly implemented the requirements of this part.
Contingent Liability means a liability that depends on the occurrence of a future and uncertain event. This includes,
but is not limited to, guaranty for debts owed by the applicant concern, legal claims and judgments, and provisions for
federal income tax.
Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not
limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is
considered to be a contract.
Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway,
transit, or airport program.
Days mean calendar days. In computing any period of time described in this part, the day from which the period
begins to run is not counted, and when the last day of the period is a Saturday, Sunday, or Federal holiday, the period
extends to the next day that is not a Saturday , Sunday, or Federal holiday. Similarly , in circumstances where the
recipient's offices are closed for all or part of the last day, the period extends to the next day on which the agency is open .
Department or DOT means the U.S. Department of Transportation , including the Office of the Secretary, the Federal
Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA) .
(1) That is at least 51 percent owned by one or more individuals who are both socially and economically
disadvantaged or, in the case of a corporation, in wh ich 51 percent of the stock is owned by one or more such individuals;
and
(2) Whose management and daily business operations are controlled by one or more of the socially and economically
disadvantaged individuals who own it.
DOT-assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in
part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase
of land .
Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope,
intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.
Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of
business .
Immediate family member means father, mother, husband, wife, son , daughter, brother, sister, grandfather,
grandmother, father-in-law, mother-in-law, sister-in-law, brother-in-law, and domestic partner and civil unions recognized
under State law.
Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any
ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians
because of their status as Indians, or is recognized as such by the State in which the tribe , band, nation, group, or
community resides. See definition of "tribally-owned concern" in this section.
Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit business
enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is
responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution,
control , management, risks , and profits of the joint venture are commensurate with its ownership interest.
Liabilities mean financial or pecuniary obligations. This includes, but is not limited to, accounts payable, notes payable
to bank or others, installment accounts, mortgages on real estate, and unpaid taxes.
Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises
the State of Hawaii.
Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of
Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and
whose business activities will principally benefit such Native Hawaiians.
Noncompliance means that a recipient has not correctly implemented the requirements of this part.
Operating Administration or OA means any of the foll owing parts of DOT: the Federal Aviation Administration (FAA),
Federal Highway Administration (FHWA), and Federal Transit Administration (FTA) . The "Administrator" of an operating
administration includes his or her designees.
Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted . An
individual's personal net worth does not include: The individual's ownership interest in an applicant or participating DBE
firm ; or the individual's equity in his or her primary place of residence. An individual's personal net worth includes only his
or her own share of assets held jointly or as community property with the individual's spouse .
Primary industry classification means the most current North American Industry Classification System (NAICS)
designation which best describes the primary business of a firm. The NAICS is described in the North American Industry
Classification Manual-United States , which is available on the Internet at the U.S. Census Bureau Web site:
http://www.census.govl eoslwwwlnaicsl
Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to
another recipient.
Principal place of business means the business location where the individuals who manage the firm's day-to-day
operations spend most working hours. If the offices from which management is directed and where the business records
are kept are in different locations, the recipient will determine the principal place of business.
Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to
which this part applies.
Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women-
owned DBEs.
Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of
this part, race-neutral includes gender-neutrality.
Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through
another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance.
Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms.
Small Business Administration or SBA means the United States Small Business Administration .
SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a)
BD or SDB programs.
Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a
small business concern as defined pursuant to section 3 of the Small Business Act and Small Business Administration
regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual gross receipts
specified in §26.65(b) .
Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted
permanent resident) of the United States and who has been subjected to racial or ethnic prejudice or cultural bias within
American society because of his or her identity as a members of groups and without regard to his or her individual
qualities. The social disadvantage must stem from circumstances beyond the individual's control.
(1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case
basis. An individual must demonstrate that he or she has held himself or herself out, as a member of a designated group if
you require it.
(2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically
disadvantaged:
(i) "Black Americans," which includes persons having origins in any of the Black racial groups of Africa;
(ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South
American, or other Spanish or Portuguese culture or origin, regardless of race;
(iii) "Native Americans," which includes persons who are enrolled members of a federally or State recognized Indian
tribe, Alaska Natives, or Native Hawaiians;
(iv) "Asian-Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma
(Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa,
Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau}, Republic of the Northern Marianas Islands,
Samoa, Macao, Fiji, Tonga, Kirbati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;
(v) "Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan, Bangladesh,
Bhutan, the Maldives Islands, Nepal or Sri Lanka;
(vi) Women;
(vii) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA,
at such time as the SBA designation becomes effective.
(3) Being born in a particular country does not, standing alone, mean that a person is necessarily a member of one of
the groups listed in this definition.
Spouse means a married person, including a person in a domestic partnership or a civil union recognized under State
law.
Transit vehicle manufacturer means any manufacturer whose primary business purpose is to manufacture vehicles
specifically built for public mass transportation . Such vehicles include, but are not limited to : Buses, rail cars , trolleys ,
ferries, and vehicles manufactured specifically for paratransit purposes. Producers of vehicles that receive post-production
alterations or retrofitting to be used for public transportation purposes (e .g., so-called cutaway vehicles, vans customized
for service to people with disabilities) are also considered transit vehicle manufacturers. Businesses that manufacture,
mass-produce, or distribute vehicles solely for personal use and for sale "off the lot" are not considered transit vehicle
manufacturers.
Tribally-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section .
You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e. , 'You must
do XYZ' means that recipients must do XYZ) .
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096, Jan. 28, 2011 ;
79 FR 59592 , Oct. 2, 2014]
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§26.7 What discriminatory actions are forbidden?
(a) You must never exclude any person from participation in, deny any person the benefits of, or otherwise
discriminate against anyone in connection with the award and performance of any contract covered by this part on the
basis of race, color, sex, or national origin.
(b) In administering your DBE program , you must not, directly or through contractual or other arrangements, use
criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the
objectives of the program with respect to individuals of a particular race, color, sex, or national origin .
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§26.9 How does the Department issue guidance and Interpretations under this part?
(a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent
with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of
Transportation or any of its operating administrations.
(b) The Secretary ofTransportation , Office of the Secretary ofTransportation , FHWA, FTA, and FM may issue
written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid , and
express the official positions and views of the Department of Transportation or any of its operating administrations , only if
they are issued over the signature of the Secretary of Transportation or if they contain the following statement:
The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent with the
language and intent of 49 CFR part 26.
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(a) You must transmit the Uniform Report of DBE Awards or Commitments and Payments , found in Appendix B to th is
part, at the intervals stated on the form .
(b) You must continue to provide data about your DBE program to the Department as directed by DOT operating
administrations.
(1) The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non-DBE
contractors and subcontractors who seek to work on your Federally-assisted contracts for use in helping you set your
overall goals.
(2) You must obtain the following information about DBE and non-DBE contractors and subcontractors who seek to
work on your Federally-assisted contracts:
(v) The annual gross receipts of the firm . You may obtain this information by asking each firm to indicate into what
gross receipts bracket they fit (e.g., less than $500 ,000 ; $500,000-$1 million; $1-2 million ; $2-5 million ; etc.) rather than
requesting an exact figure from the firm .
(3) You may acquire the information for your bidders list in a variety of ways. For example, you can collect the data
from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically sound estimate of
the universe of DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts.
You may combine different data collection approaches (e.g., collect name and address information from all bidders, while
conducting a survey with respect to age and gross receipts information) .
(d) You must maintain records documenting a firm's compliance with the requirements of this part. At a minimum , you
must keep a complete application package for each certified firm and all affidavits of no-change, change notices, and on-
site reviews. These records must be retained in accordance with applicable record retention requirements for the
recipient's financial assistance agreement. Other certification or compliance related records must be retained for a
minimum of three (3) years unless otherwise provided by applicable record retention requirements for the recipient's
financial assistance agreement, whichever is longer.
(e) The State department of transportation in each UCP established pursuant to §26 .81 of this part must report to the
Department of Transportation's Office of Civil Rights, by January 1, 2015 , and each year thereafter, the percentage and
location in the State of certified DBE firms in the UCP Directory controlled by the following:
(1) Women ;
(2) Socially and economically disadvantaged individuals (other than women); and
(3) Individuals who are women and are otherwise socially and econom ically disadvantaged individuals.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951 , Nov. 15, 2000; 76 FR 5096 , Jan . 28 , 2011 ; 79 FR 59593, Oct. 2, 2014]
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(a) Each financial assistance agreement you sign with a DOT operating administration (or a primary recipient) must
include the following assurance: The recip ient shall not discriminate on the basis of race, color, national origin, or sex in
the award and performance of any DOT-assisted contract or in the administration of its DBE program or the requirements
49 CFR part 26. The recipient shall take all necessary and reasonable steps under 49 CFR part 26 to ensure
nondiscrimination in the award and administration of DOT-assisted contracts. The recipient's DBE program, as required by
49 CFR part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program
is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to
the recipient of its failure to carry out its approved program , the Department may impose sanctions as provided for under
49 CFR part 26 and may , in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program
Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).
(b) Each contract you sign with a contractor (and each subcontract the prime contractor signs with a subcontractor)
must include the following assurance: The contractor, sub recipient or subcontractor shall not discrim inate on the basis of
race, color, national origin , or sex in the performance of this contract. The contractor shall carry out applicable
requ irements of 49 CFR part 26 in the award and admin istration of DOT-assisted contracts . Failure by the contractor to
carry out these requirements is a material breach of this contract, which may result in the termination of this contract or
such other remedy as the recipient deems appropriate, which may include, but is not limited to:
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(a) You can apply for an exemption from any provision of this part. To apply, you must request the exemption in
writing from the Office of the Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the request only if
it documents special or exceptional circumstances, not likely to be generally applicable, and not contemplated in
connection with the rulemaking that established this part, that make your compliance with a specific provision of this part
impractical. You must agree to take any steps that the Department specifies to comply with the intent of the provision from
which an exemption is granted. The Secretary wi ll issue a written response to all exemption requests .
(b) You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any
provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program waivers are
for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part by means that may
differ from one or more of the requirements of Subpart B or C of this part. To receive a program waiver, you must follow
these procedures:
(1) You must apply through the concerned operating administration. The application must include a specific program
proposal and address how you will meet the criteria of paragraph (b)(2) of this section . Before submitting your application,
you must have had public participation in developing your proposal, including consultation with the DBE community and at
least one public hearing. Your application must include a summary of the public participation process and the information
gathered through it.
(i) There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent with the
objectives of this part using different or innovative means other than those that are provided in subpart B or C of this part;
(ii) Conditions in your jurisdiction are appropriate for implementing the proposal;
(iii) Your proposal would prevent discrimination against any individual or group in access to contracting opportunities
or other benefits of the program ; and
(iv) Your proposal is consistent with applicable law and program requirements of the concerned operating
administration's financial assistance program .
(3) The Secretary has the authority to approve your application. If the Secretary grants your application, you may
administer your DBE program as provided in your proposal, subject to the following conditions:
(i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is counted as
provided in §26.49 ;
(ii) Your level of DBE participation continues to be consistent with the objectives of this part;
(iii) There is a reasonable limitation on the duration of your modified program; and
(iv) Any other conditions the Secretary makes on the grant of the waiver.
(4) The Secretary may end a program waiver at any time and require you to comply with this part's provisions. The
Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2) and (3) of this
section continue to be met. Any such extension shall be for no longer than period originally set for the duration of the
program.
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(a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the
requirements of this part:
(1) All FHWA primary recipients receiving funds authorized by a statute to which this part applies;
(2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding
transit vehicle purchases) the cumulative total value of which exceeds $250 ,000 in FTA funds in a Federal fiscal year;
(3) FAA recipients receiving grants for airport planning or development who will award prime contracts the cumulative
total value of which exceeds $250,000 in FAA funds in a Federal fiscal year.
(b)(1) You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating
administration (OA) . Once the OA has approved your program, the approval counts for all of your DOT-assisted programs
(except that goals are reviewed by the particular operating administration that provides funding for your DOT-assisted
contracts).
(2) You do not have to submit regular updates of your DBE programs, as long as you remain in compliance. However,
you must submit significant changes in the program for approval.
(c) You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you are
in compliance with it and this part. You must continue to carry out your program until all funds from DOT financial
assistance have been expended.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 79 FR 59593, Oct. 2, 2014]
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You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states its
objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your
organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts.
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You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer
concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE
program. You must also have adequate staff to administer the program in compliance with this part.
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§26.27 What efforts must recipients make concerning DBE financial institutions?
You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by
socially and economically disadvantaged individuals in your community and make reasonable efforts to use these
institutions. You must also encourage prime contractors to use such institutions.
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(a) You must establish , as part of your DBE program, a contract clause to require prime contractors to pay
subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment you
make to the prime contractor.
(b) You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30
days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to comply with
this requirement:
(1) You may decline to hold retainage from prime contractors and prohibit prime contractors from holding retainage
from subcontractors.
(2) You may decline to hold retainage from prime contractors and require a contract clause obligating prime
contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within 30 days
after the subcontractor's work is satisfactorily completed .
(3) You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances of
portions of the prime contract, pay retainage to prime contractors based on these acceptances, and require a contract
clause obligating the prime contractor to pay all retainage owed to the subcontractor for satisfactory completion of the
accepted work within 30 days after your payment to the prime contractor.
(c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished and documented as required by the recipient. When a recipient has made an
incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is
deemed to be satisfactorily completed.
(d) Your DBE program must provide appropriate means to enforce the requirements of this section . These means
may include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program may also
provide that any delay or postponement of payment among the parties may take place only for good cause, with your prior
written approval.
(e) You may also establish , as part of your DBE program, any of the following additional mechanisms to ensure
prompt payment:
(1) A contract clause that requires prime contractors to include in their subcontracts language providing that prime
contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to resolve payment
disputes. You may specify the nature of such mechanisms.
(2) A contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors
unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed.
(3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and other
contractors are fully and promptly paid.
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(a) In the directory required under §26.81 (g) of this Part, you must list all firms eligible to participate as DB Es in your
program . In the listing for each firm, you must include its address, phone number, and the types of work the firm has been
certified to perform as a DBE .
(b) You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code
available to describe each type of work. You must make any changes to your current directory entries necessary to meet
the requirement of this paragraph (a) by August 26, 2011.
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§26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work?
(a) If you determine that DBE firms are so overconcentrated in a certain type of work as to unduly burden the
opportunity of non-DBE firms to participate in this type of work, you must devise appropriate measures to address this
overconcentration.
(b) These measures may include the use of incentives, technical assistance, business development programs,
mentor-protege programs, and other appropriate measures designed to assist DB Es in performing work outside of the
specific field in which you have determined that non-DB Es are unduly burdened . You may also consider varying your use
of contract goals, to the extent consistent with §26.51, to unsure that non-DBEs are not unfairly prevented from competing
for subcontracts.
(c) You must obtain the approval of the concerned DOT operating administration for your determination of
overconcentration and the measures you devise to address it. Once approved, the measures become part of your DBE
program.
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§26.35 What role do business development and mentor-protege programs have in the DBE program?
(a) You may or, if an operating administration directs you to , you must establish a DBE business development
program (BOP) to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE program.
You may require a DBE firm, as a condition of receiving assistance through the BOP, to agree to terminate its participation
in the DBE program after a certain time has passed or certain objectives have been reached. See Appendix C of this part
for guidance on administering BOP programs.
(b) As part of a BOP or separately, you may establish a "mentor-protege" program, in which another DBE or non-DBE
firm is the principal source of business development assistance to a DBE firm.
(1) Only firms you have certified as DB Es before they are proposed for participation in a mentor-protege program are
eligible to participate in the mentor-protege program .
(i) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than one half of its goal on
any contract let by the recipient; and
(ii) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than every other contract
performed by the protege firm .
(3) For purposes of making determinations of business size under this part, you must not treat protege firms as
affiliates of mentor firms, when both firms are participating under an approved mentor-protege program . See Appendix D
of this part for guidance concerning the operation of mentor-protege programs.
(c) Your BDPs and mentor-protege programs must be approved by the concerned operating administration before you
implement them. Once approved, they become part of your DBE program .
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§26.37 What are a recipient's responsibilities for monitoring the performance of other program participants?
(a) You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program
participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must set forth
these mechanisms in your DBE program.
(b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed to
DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually performed by the
DBEs to which the work was committed. This mechanism must include a written certification that you have reviewed
contracting records and monitored work sites in your state for this purpose. The monitoring to which this paragraph refers
may be conducted in conjunction with monitoring of contract performance for other purposes (e.g., close-out reviews for a
contract).
(c) This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to DBE
firms), including a means of comparing these attainments to commitments. In your reports of DBE participation to the
Department, you must display both commitments and attainments .
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 76 FR 5097, Jan. 28, 2011]
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(a) Your DBE program must include an element to structure contracting requirements to facilitate competition by small
business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and
unjustified bundling of contract requirements that may preclude small business participation in procurements as prime
contractors or subcontractors.
(b) This element must be submitted to the appropriate DOT operating administration for approval as a part of your
DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the following
strategies:
(1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1 million).
(2) In multi-year design-build contracts or other large contracts (e.g., for "megaprojects") requiring bidders on the
prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses,
including DBEs, can reasonably perform.
(3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting
opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the
work involved.
(4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint
ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts.
(5) To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a
reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform.
(c) You must actively implement your program elements to foster small business participation. Doing so is a
requirement of good faith implementation of your DBE program.
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§26.41 What is the role of the statutory 10 percent goal in this program?
(a) The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not
less than 10 percent of the authorized funds are to be expended with DB Es.
(b) This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in evaluating
and monitoring DBEs' opportunities to participate in DOT-assisted contracts.
(c) The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 1O
percent level, or any other particular level, or to take any special administrative steps if their goals are above or below 10
percent.
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(a) You are not permitted to use quotas for DB Es on DOT-assisted contracts subject to this part.
(b) You may not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited
and extreme circumstances, you may use set-asides when no other method could be reasonably expected to redress
egregious instances of discrimination.
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(a)(1) Except as provided in paragraph (a)(2) of this section , you must set an overall goal for DBE participation in your
DOT-assisted contracts.
(2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases)
$250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to develop overall
goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE program, it must remain in
effect and you must seek to fulfill the objectives outlined in §26.1.
(b) Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DB Es
relative to all businesses ready, willing and able to participate on your DOT-assisted contracts (hereafter, the "relative
availability of DBEs") . The goal must reflect your determination of the level of DBE participation you would expect absent
the effects of discrimination. You cannot simply rely on either the 10 percent national goal, your previous overall goal or
past DBE participation rates in your program without reference to the relative availability of DBEs in your market.
(c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of DBEs.
The following are examples of approaches that you may take toward determining a base figure. These examples are
provided as a starting point for your goal setting process . Any percentage figure derived from one of these examples
should be considered a basis from which you begin when exam ining all evidence available in your jurisdiction. These
examples are not intended as an exhaustive list. Other methods or combinations of methods to determine a base figure
may be used, subject to approval by the concerned operating administration.
(1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DB Es in your
market from your DBE directory. Using the Census Bureau's County Business Pattern (CSP) data base, determine the
number of all ready , willing and able businesses available in your market that perform work in the same NAICS codes.
(Information about the CSP data base may be obtained from the Census Bureau at their web site,
www. census.gov/epcdlcbpl view/cbpview.html.) Divide the number of DB Es by the number of all businesses to derive a
base figure for the relative availability of DBEs in your market.
(2) Use a bidders list. Determine the number of DBEs that have bid or quoted (successful and unsuccessful) on your
DOT-assisted prime contracts or subcontracts in the past three years. Determ ine the number of all businesses that have
bid or quoted (successful and unsuccessful) on prime or subcontracts in the same time period. Divide the number of DBE
bidders and quoters by the number of all businesses to derive a base figure for the relative availability of DBEs in your
market. When using this approach, you must establish a mechanism (documented in your goal submission) to directly
capture data on DBE and non-DBE prime and subcontractors that submitted bids or quotes on your DOT-assisted
contracts.
(3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity study .
(4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market has
set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal.
(5) Alternative methods. Except as otherwise provided in this paragraph, you may use other methods to determine a
base figure for your overall goal. Any methodology you choose must be based on demonstrable evidence of local market
conditions and be designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your
market. The exclusive use of a list of prequalified contractors or plan holders, or a bidders list that does not comply with
the requirements of paragraph (c)(2) of this section, is not an acceptable alternative means of determining the availability
of DBEs.
(d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your jurisdiction
to determine what adjustment, if any, is needed to the base figure to arrive at your overall goal. If the evidence does not
suggest an adjustment is necessary, then no adjustment shall be made.
(1) There are many types of evidence that must be considered when adjusting the base figure. These include:
(i) The current capacity of DBEs to perform work in your DOT-assisted contracting program, as measured by the
volume of work DB Es have performed in recent years;
(ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not already
accounted for in your base figure; and
(iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market and your
contracting program.
(2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form, grow and
compete. These include, but are not limited to:
(i) Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to participate in
your program;
(ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the extent you
can relate it to the opportunities for DBEs to perform in your program.
(3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past
discrimination (often called the "but for" factor) or the effects of an ongoing DBE program, the adjustment must be based
on demonstrable evidence that is logically and directly related to the effect for which the adjustment is sought.
(e) Once you have determined a percentage figure in accordance with paragraphs (c) and (d) of this section, you
should express your overall goal as follows:
(1) If you are an FHWA recipient, as a percentage of all Federal-aid highway funds you will expend in FHWA-assisted
contracts in the forthcoming three fiscal years.
(2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be used for
the purchase of transit vehicles) that you will expend in FT A or FAA-assisted contracts in the three forthcoming fiscal
years.
(3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your overall goal
as a percentage of funds for a particular grant or project or group of grants and/or projects, including entire projects. Like
other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence of the
appropriate operating administration.
(i) A project goal is an overall goal, and must meet all the substantive and procedural requirements of this section
pertaining to overall goals.
(ii) A project goal covers the entire length of the project to which it applies.
(iii) The project goal should include a projection of the DBE participation anticipated to be obtained during each fiscal
year covered by the project goal.
(iv) The funds for the project to which the project goal pertains are separated from the base from which your regular
overall goal, applicable to contracts not part of the project covered by a project goal, is calculated .
(f)(1)(i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating
administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA, as
applicable, and posted on that agency's Web site.
(ii) You may adjust your three-year overall goal during the three-year period to which it applies, in order to reflect
changed circumstances. You must submit such an adjustment to the concerned operating administration for review and
approval.
(iii) The operating administration may direct you to undertake a review of your goal if necessary to ensure that the
goal continues to fit your circumstances appropriately .
(iv) While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the overall goal
and the provisions of Sec. 26.47(c) apply to each year during that three-year period .
(v) You may make, for informational pu rposes, projections of your expected DBE achievements during each of the
three years covered by your overall goal. However, it is the overall goal itself, and not these informational projections, to
which the provisions of section 26.47(c) of this part apply.
(2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of this
section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA Administrator, as applicable.
(3) You must include with your overall goal submission a description of the methodology you used to establish the
goal, incuding your base figure and the evidence with which it was calculated, and the adjustments you made to the base
figure and the evidence you relied on for the adjustments . You should also include a summary listing of the relevant
available evidence in your jurisdiction and, where applicable, an explanation of why you did not use that evidence to adjust
your base figure . You must also include your projection of the portions of the overall goal you expect to meet through race-
neutral and race-consioous measures, respectively (see 26.51 (c)) .
(4) You are not required to obtain prior operating administration concurrence with your overall goal. However, if the
operating administration's review suggests that your overall goal has not been correctly calculated or that your method for
calculating goals is inadequate, the operating administration may, after consulting with you, adjust your overall goal or
require that you do so . The adjusted overall goal is binding on you . In evaluating the adequacy or soundness of the
methodology used to derive the overall goal, the operating administration will be guided by goal setting principles and best
practices identified by the Department in guidance issued pursuant to §26.9.
(5) If you need additional time to collect data or take other steps to develop an approach to setting overall goals, you
may request the approval of the concerned operating administration for an interim goal and/or goal-setting mechanism.
Such a mechanism must:
(i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the data available
to you; and
(6) Timely submission and operating administration approval of your overall goal is a condition of eligibility for DOT
financial assistance.
(7) If you fail to establish and implement goals as provided in this section , you are not in compliance with this part. If
you establish and implement goals in a way different from that provided in this part, you are not in compliance with this
part. If you fail to comply with this requirement, you are not eligible to receive DOT financial assistance.
(g)(1) In establishing an overall goal, you must provide for consultation and publication. This includes:
(i) Consultation with minority, women's and general contractor groups, community organizations, and other officials or
organizations which could be expected to have information concerning the availability of disadvantaged and non-
disadvantaged businesses, the effects of discrimination on opportunities for DB Es, and your efforts to establish a level
playing field for the participation of DBEs. The consultation must include a scheduled, direct, interactive exchange (e .g .. a
face-to-face meeting, video conference, teleconference) with as many interested stakeholders as possible focused on
obtaining information relevant to the goal setting process, and it must occur before you are required to submit your
methodology to the operating administration for review pursuant to paragraph (f) of this section. You must document in
your goal submission the consultation process you engaged in. Notwithstanding paragraph (f)(4) of this section, you may
not implement your proposed goal until you have complied with this requirement.
(ii) A published notice announcing your proposed overall goal before submission to the operating administration on
August 1st. The notice must be posted on your official Internet Web site and may be posted in any other sources (e.g.,
minority-focused media, trade association publications) . If the proposed goal changes following review by the operating
administration, the revised goal must be posted on your official Internet Web site.
(2) At your discretion, you may inform the public that the proposed overall goal and its rationale are available for
inspection during normal business hours at your principal office and for a 30-day comment period. Notice of the comment
period must include addresses to which comments may be sent. The public comment period will not extend the August 1st
deadline set in paragraph (f) of this section .
(h) Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
(64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951 , Nov. 15, 2000; 68 FR 35553, June 16, 2003 ;
75 FR 5536, Feb. 3, 201 O; 76 FR 5097, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014]
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§26.47 Can recipients be penalized for failing to meet overall goals?
(a) You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your
DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith.
(b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good faith ,
you are in noncompliance with this part.
(c) If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the
end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in order to be
regarded by the Department as implementing your DBE program in good faith:
(1) Analyze in detail the reasons for the difference between the overall goal and your awards and commitments in that
fiscal year;
(2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to enable
you to meet fully your goal for the new fiscal year;
(3)(i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or an
Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit, within 90 days of
the end of the fiscal year, the analysis and corrective actions developed under paragraphs (c)(1) and (2) of this section to
the appropriate operating administration for approval. If the operating administration approves the report, you will be
regarded as complying with the requirements of this section for the remainder of the fiscal year.
(ii) As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i) of this section, you must retain
analysis and corrective actions in your records for three years and make it available to FTA or FAA on request for their
review.
(4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis and
corrective actions including, but not limited to, modifications to your overall goal methodology, changes in your race-
conscious/race-neutral split, or the introduction of additional race-neutral or race-conscious measures.
(5) You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in §26.103
or §26.105 of this part and other applicable regulations, for failing to implement your DBE program in good faith if any of
the following things occur:
(i) You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as required
under paragraph (c)(3) of this section;
(iii) You do not fully implement the corrective actions to which you have committed or conditions that FHWA, FTA, or
FAA has imposed following review of your analysis and corrective actions.
(d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming to
the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve DBE awards
and commitments that would be necessary to allow you to meet your overall goal at the end of the fiscal year, FHWA,
FTA, or FAA, as applicable, may require you to make further good faith efforts, such as by modifying your race-
conscious/race-neutral split or introducing additional race-neutral or race-conscious measures for the remainder of the
fiscal year.
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§26.49 How are overall goals established for transit vehicle manufacturers?
(a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a
condition of being authorized to bid or propose on FT A-assisted transit vehicle procurements, certify that it has complied
with the requirements of this section. You do not include FTA assistance used in transit vehicle procurements in the base
amount from which your overall goal is calculated.
(1) Only those transit vehicle manufacturers listed on FTA's certified list of Transit Vehicle Manufacturers, or that have
submitted a goal methodology to FTA that has been approved or has not been disapproved, at the time of solicitation are
eligible to bid.
(2) A TVM's failure to implement the DBE Program in the manner as prescribed in this section and throughout 49 CFR
part 26 will be deemed as non-compliance, which will result in removal from FTA's certified TVMs list, resulting in that
manufacturer becoming ineligible to bid.
(3) FTA recipient's failure to comply with the requirements set forth in paragraph (a) of this section may result in
formal enforcement action or appropriate sanction as determined by FTA (e.g ., FTA declining to participate in the vehicle
procurement).
(4) FTA recipients are required to submit within 30 days of making an award, the name of the successful bidder, and
the total dollar value of the contract in the manner prescribed in the grant agreement.
(b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall
percentage goal.
(1) In setting your overall goal , you should be guided, to the extent applicable , by the principles underlying §26.45.
The base from which you calculate this goal is the amount of FTA financial assistance included in transit vehicle contracts
you will bid on during the fiscal year in question, less the portion(s) attributable to the manufacturing process performed
entirely by the transit vehicle manufacturer's own forces.
(i) You must consider and include in your base figure all domestic contracting opportunities made available to non-
DBE firms; and
(ii) You must exclude from this base figure funds attributable to work performed outside the United States and its
territories, possessions, and commonwealths.
(iii) In establishing an overall goal, the transit vehicle manufacturer must provide for public participation. This includes
consultation with interested parties consistent with §26.45(g) .
(2) The requirements of this part with respect to submission and approval of overall goals apply to you as they do to
recipients.
(c) Transit vehicle manufacturers awarded must comply with the reporting requirements of §26.11 of this part
includ ing the requirement to submit the Uniform Report of Awards or Commitments and Payments, in order to remain
eligible to bid on FTA assisted transit vehicle procurements.
(d) Transit vehicle manufacturers must implement all other applicable requirements of this part, except those relating
to UCPs and DBE certification procedures.
(e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section
with respect to procurements of veh icles or specialized equ ipment. If you choose to do so, then the manufacturers of this
equipment must meet the same requirements (including goal approval by FHWA or FAA) as transit vehicle manufacturers
must meet in FTA-assisted procurements.
(f) As a recipient you may, with FT A approval , establish project-specific goals for DBE participation in the procurement
of transit vehicles in lieu of complying through the procedures of this section.
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(a) You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating race-
neutral DBE participation . Race-neutral DBE participation includes any time a DBE wins a prime contract through
customary competitive procurement procedures or is awarded a subcontract on a prime contract that does not carry a
DBE contract goal.
(b) Race-neutral means include, but are not limited to, the following :
(1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways
that facilitate participation by DB Es and other small businesses and by making contracts more accessible to small
businesses, by means such as those provided under §26 .39 of this part.
(2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such
means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from
bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing) ;
(4) Carrying out information and communications programs on contracting procedures and specific contract
opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders;
ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in
languages other than English, where appropriate);
(5) Implementing a supportive services program to develop and improve immediate and long-term business
management, record keeping, and financial and accounting capability for DBEs and other small businesses;
(6) Providing services to help DBEs, and other small businesses, improve long-term development, increase
opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-
sufficiency;
(7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically
been low;
(8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of
potential prime contractors; and
(9) Assisting DB Es, and other small businesses, to develop their capability to utilize emerging technology and conduct
business through electronic media.
(c) Each time you submit your overall goal for review by the concerned operating administration, you must also submit
your projection of the portion of the goal that you expect to meet through race-neutral means and your basis for that
projection. This projection is subject to approval by the concerned operating administration, in conjunction with its review
of your overall goal.
(d) You must establish contract goals to meet any portion of your overall goal you do not project being able to meet
using race-neutral means.
(1) You may use contract goals only on those DOT-assisted contracts that have subcontracting possibilities.
(2) You are not required to set a contract goal on every DOT-assisted contract. You are not required to set each
contract goal at the same percentage level as the overall goal. The goal for a specific contract may be higher or lower than
that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work,
and the availability of DBEs for the work of the particular contract. However, over the period covered by your overall goal,
you must set contract goals so that they will cumulatively result in meeting any portion of your overall goal you do not
project being able to meet through the use of race-neutral means.
(3) Operating administration approval of each contract goal is not necessarily required However, operating
administrations may review and approve or disapprove any contract goal you establish.
(4) Your contract goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
(f) To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination, you
must adjust your use of contract goals as follows:
(1) If your approved projection under paragraph (c) of this section estimates that you can meet your entire overall goal
for a given year through race-neutral means, you must implement your program without setting contract goals during that
year, unless it becomes necessary in order meet your overall goal.
Example to paragraph (f)(1): Your overall goal for Year 1 is 12 percent. You estimate that you can obtain 12 percent or more
DBE participation through the use of race-neutral measures, without any use of contract goals. In this case, you do not set any
contract goals for the contracts that will be performed in Year 1. However, if part way through Year 1, your DBE awards or
commitments are not at a level that would permit you to achieve your overall goal for Year 1, you could begin setting race-conscious
DBE contract goals during the remainder of the year as part of your obligation to implement your program in good faith.
(2) If, during the course of any year in which you are using contract goals, you determine that you will exceed your
overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure that the use of
contract goals does not result in exceeding the overall goal. If you determine that you will fall short of your overall goal,
then you must make appropriate modifications in your use of race-neutral and/or race-conscious measures to allow you to
meet the overall goal.
Example to paragraph (f)(2): In Year II, your overall goal is 12 percent. You have estimated that you can obtain 5 percent DBE
participation through use of race-neutral measures. You therefore plan to obtain the remaining 7 percent participation through use of
DBE goals. By September, you have already obtained 11 percent DBE participation for the year. For contracts let during the
remainder of the year, you use contract goals only to the extent necessary to obtain an additional one percent DBE participation.
However, if you determine in September that your participation for the year is likely to be only 8 percent total, then you would
increase your use of race-neutral and/or race-conscious means during the remainder of the year in order to achieve your overall
goal.
(3) If the DBE participation you have obtained by race-neutral means alone meets or exceeds your overall goals for
two consecutive years, you are not required to make a projection of the amount of your goal you can meet using such
means in the next year. You do not set contract goals on any contracts in the next year. You continue using only race-
neutral means to meet your overall goals unless and until you do not meet your overall goal for a year.
Example to paragraph (f)(3): Your overall goal for Years I and Year II is 10 percent. The DBE participation you obtain through
race-neutral measures alone is 10 percent or more in each year. (For this purpose, it does not matter whether you obtained
additional DBE participation through using contract goals in these years.) In Year Ill and following years, you do not need to make a
projection under paragraph (c) of this section of the portion of your overall goal you expect to meet using race-neutral means. You
simply use race-neutral means to achieve your overall goals. However, if in Year VI your DBE participation falls short of your overall
goal, then you must make a paragraph (c) projection for Year VII and, if necessary, resume use of contract goals in that year.
(4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of contract
goals (i.e., not through the use of race-neutral means alone), you must reduce your use of contract goals proportionately
in the following year.
Example to paragraph (f)(4): In Years I and II, your overall goal is 12 percent, and you obtain 14 and 16 percent DBE
participation, respectively. You have exceeded your goals over the two-year period by an average of 25 percent. In Year Ill, your
overall goal is again 12 percent, and your paragraph (c) projection estimates that you will obtain 4 percent DBE participation through
race-neutral means and 8 percent through contract goals. You then reduce the contract goal projection by 25 percent (i.e., from 8 to
6 percent) and set contract goals accordingly during the year. If in Year Ill you obtain 11 percent participation, you do not use this
contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of exceeding overall goals.
(g) In any year in which you project meeting part of your goal through race-neutral means and the remainder through
contract goals, you must maintain data separately on DBE achievements in those contracts with and without contract
goals, respectively. You must report this data to the concerned operating administration as provided in §26.11.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014]
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§26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals?
(a) When you have established a DBE contract goal, you must award the contract only to a bidder/offerer who makes
good faith efforts to meet it. You must determine that a bidder/offerer has made good faith efforts if the bidder/offerer does
either of the following things:
(1) Documents that it has obtained enough DBE participation to meet the goal; or
(2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in obtaining
enough DBE participation to do so. If the bidder/offerer does document adequate good faith efforts, you must not deny
award of the contract on the basis that the bidder/offerer failed to meet the goal. See Appendix A of this part for guidance
in determining the adequacy of a bidder/offerer's good faith efforts.
(b) In your solicitations for DOT-assisted contracts for which a contract goal has been established, you must require
the following:
(1) Award of the contract will be conditioned on meeting the requirements of this section;
(2) All bidders or offerers will be required to submit the following information to the recipient, at the time provided in
paragraph (b)(3) of this section:
(i) The names and addresses of DBE firms that will participate in the contract;
(ii) A description of the work that each DBE will perform. To count toward meeting a goal, each DBE firm must be
certified in a NAICS code applicable to the kind of work the firm would perform on the contract;
(iii) The dollar amount of the participation of each DBE firm participating;
(iv) Written documentation of the bidder/offerer's commitment to use a DBE subcontractor whose participation it
submits to meet a contract goal; and
(v) Written confirmation from each listed DBE firm that it is participating in the contract in the kind and amount of work
provided in the prime contractor's commitment.
(vi) If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part). The documentation of
good faith efforts must include copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-
DBE subcontractor was selected over a DBE for work on the contract; and
(3)(i) At your discretion, the bidder/offerer must present the information required by paragraph (b)(2) of this section-
(A) Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract negotiation
procedures; or
(B) No later than 7 days after bid opening as a matter of responsibility. The 7 days shall be reduced to 5 days
beginning January 1, 2017.
(ii) Provided that, in a negotiated procurement, including a design-build procurement, the bidder/offeror may make a
contractually binding commitment to meet the goal at the time of bid submission or the presentation of initial proposals but
provide the information required by paragraph (b)(2) of this section before the final selection for the contract is made by
the recipient.
(c) You must make sure all information is complete and accurate and adequately documents the bidder/offeror's good
faith efforts before committing yourself to the performance of the contract by the bidder/offeror.
(d) If you determ ine that the apparent successful bidder/offerer has failed to meet the requirements of paragraph (a)
of this section, you must, before awarding the contract, provide the bidder/offerer an opportunity for administrative
reconsideration.
(1) As part of this reconsideration, the bidder/offeror must have the opportunity to provide written documentation or
argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so.
(2) Your decision on reconsideration must be made by an official who did not take part in the original determination
that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so .
(3) The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss the
issue of whether it met the goal or made adequate good faith efforts to do so.
(4) You must send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the
bidder did or did not meet the goal or make adequate good faith efforts to do so.
(5) The result of the reconsideration process is not administratively appealable to the Department of Transportation.
(e) In a "design-build" or "turnkey" contracting situation, in which the recipient lets a master contract to a contractor,
who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the project. The
master contractor then establishes contract goals, as appropriate, for the subcontracts it lets. Recipients must maintain
oversight of the master contractor's activities to ensure that they are conducted consistent with the requirements of this
part.
(f)(1)(i) You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph
(b)(2) of this section (or an approved substitute DBE firm) without your prior written consent. This includes, but is not
limited to, instances in which a prime contractor seeks to perform work originally designated for a DBE subcontractor with
its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm.
(A) That the contractor shall utilize the specific DB Es listed to perform the work and supply the materials for which
each is listed unless the contractor obtains your written consent as provided in this paragraph (f); and
(B) That, unless your consent is provided under this paragraph (f) , the contractor shall not be entitled to any payment
for work or material unless it is performed or supplied by the listed DBE.
(2) You may provide such written consent only if you agree, for reasons stated in your concurrence document, that
the prime contractor has good cause to terminate the DBE firm.
(3) For purposes of this paragraph, good cause includes the following circumstances:
(i) The listed DBE subcontractor fails or refuses to execute a written contract;
(ii) The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal
industry standards. Provided, however, that good cause does not exist if the failure or refusal of the DBE subcontractor to
perform its work on the subcontract results from the bad faith or discriminatory action of the prime contracor;
(iii) The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable, nondiscriminatory bond
requirements.
(iv) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;
(v) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment
proceedings pursuant 2 CFR Parts 180, 215 and 1,200 or applicable state law;
(vii) You have determined that the listed DBE subcontractor is not a responsible contractor;
(vi) The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice of its
withdrawal;
(vii) The listed DBE is ineligible to receive DBE credit for the type of work required;
(viii) A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its
work on the contract;
(ix) Other documented good cause that you determine compels the termination of the DBE subcontractor. Provided,
that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the contract so that
the prime contractor can self-perform the work for which the DBE contractor was engaged or so that the prime contractor
can substitute another DBE or non-DBE contractor after contract award.
(4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime contractor
must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to terminate and/or
substitute, and the reason for the request.
(5) The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you and
the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why you should not
approve the prime contractor's action. If required in a particular case as a matter of public necessity (e.g., safety), you may
provide a response period shorter than five days.
(6) In addition to post-award terminations, the provisions of this section apply to preaward deletions of or substitutions
for DBE firms put forward by offerers in negotiated procurements.
(g) When a DBE subcontractor is terminated as provided in paragraph (f) of this section, or fails to complete its work
on the contract for any reason, you must require the prime contractor to make good faith efforts to find another DBE
subcontractor to substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to
perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to
meet the contract goal you established for the procurement. The good faith efforts shall be documented by the contractor.
If the recipient requests documentation under this provision, the contractor shall submit the documentation within 7 days,
which may be extended for an additional 7 days if necessary at the request of the contractor, and the recipient shall
provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated.
(h) You must include in each prime contract the contract clause required by §26.13(b) stating that failure by the
contractor to carry out the requirements of this part is a material breach of the contract and may result in the termination of
the contract or such other remedies set forth in that section you deem appropriate if the prime contractor fails to comply
with the requirements of this section.
(i) You must apply the requirements of this section to DBE bidders/offerers for prime contracts. In determining
whether a DBE bidder/offerer for a prime contract has met a contract goal, you count the work the DBE has committed to
performing with its own forces as well as the work that it has committed to be performed by DBE subcontractors and DBE
suppliers.
U) You must require the contractor awarded the contract to make available upon request a copy of all DBE
subcontracts. The subcontractor shall ensure that all subcontracts or an agreement with DBEs to supply labor or materials
require that the subcontract and all lower tier subcontractors be performed in accordance with this part's provisions.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014)
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(a) When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward
DBE goals.
(1) Count the entire amount of that portion of a construction contract (or other contract not covered by paragraph (a)
(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the
DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and
equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate) .
(2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as
professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the
performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not
excessive as compared with fees customarily allowed for similar services.
(3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may
be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE
firm does not count toward DBE goals.
(b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract
equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward
DBE goals.
(c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful
function on that contract.
(1) A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and
is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a
commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the
contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and
paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate
the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is
commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and
other relevant factors.
(2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a
transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In
determining whether a DBE is such an extra participant, you must examine similar transactions , particularly those in which
DB Es do not participate.
(3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its
own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis
of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful
function.
(4) When a DBE is presumed not to be performing a commercially useful function as provided in paragraph (c)(3) of
this section, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a
commercially useful function given the type of work involved and normal industry practices.
(5) Your decisions on commercially useful function matters are subject to review by the concerned operating
administration, but are not administratively appealable to DOT.
(d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful
function:
(1) The DBE must be responsible for the management and supervision of the entire trucking operation for which it is
responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.
(2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the
contract.
(3) The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it
owns , insures, and operates using drivers it employs.
(4) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The
DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE
provides on the contract.
(5) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE that leases
trucks equipped with drivers from a non-DBE is entitled to credit for the total value of transportation services provided by
non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided
by DBE-owned trucks or leased trucks with DBE employee drivers. Additional participation by non-DBE owned trucks
equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement. If a
recipient chooses this approach, it must obtain written consent from the appropriate DOT operating administration.
Example to paragraph (d)(S): DBE Firm X uses two of its own trucks on a contract. It leases two trucks from DBE Firm Y and six
trucks equipped with drivers from non-DBE Firm Z. DBE credit would be awarded for the total value of transportation services
provided by Firm X and Firm Y, and may also be awarded for the total value of transportation services provided by four of the six
trucks provided by Firm Z. In all, full credit would be allowed for the participation of eight trucks. DBE credit could be awarded only
for the fees or commissions pertaining to the remaining trucks Firm X receives as a result of the lease with Firm Z.
(6) The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the DBE leases trucks from a
non-DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these
hauling services.
Example to paragraph (d)(6) : DBE Firm X uses two of its own trucks on a contract. It leases two additional trucks from non-DBE
Firm Z. Firm X uses its own employees to drive the trucks leased from Firm Z. DBE credit would be awarded for the total value of the
transportation services provided by all four trucks.
(7) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over the
truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the
DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the
name and identification number of the DBE.
(e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
(1 )(i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials
or supplies toward DBE goals.
(ii) For purposes of this paragraph (e)(1 ), a manufacturer is a firm that operates or maintains a factory or
establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract
and of the general character described by the specifications.
(2)(i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or
other establishment in which the materials, supplies, articles or equipment of the general character described by the
specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the
usual course of business.
(A) To be a regular dealer, the firm must be an established, regular business that engages, as its principal business
and under its own name, in the purchase and sale or lease of the products in question.
(B) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or
asphalt without owning, operating, or maintaining a place of business as provided in this paragraph (e)(2)(ii) if the person
both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution
equipment shall be ~y a long-term lease agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are
not regular dealers within the meaning of this paragraph (e)(2).
(3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer,
count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies,
or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals,
provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for
similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals,
however.
(4) You must determine the amount of credit awarded to a firm for the provisions of materials and supplies (e.g.,
whether a firm is acting as a regular dealer or a transaction expediter) on a contract-by-contract basis.
(f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time of
the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided for in §26.87
(i)).
(g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified
toward your overall goal.
(h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE
obligations on a contract until the amount being counted has actually been paid to the DBE.
(64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003; 79 FR 59595, Oct. 2, 2014]
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(a) In determining whether to certify a firm as eligible to participate as a DBE, you must apply the standards of this
subpart.
(b) The firm seeking certification has the burden of demonstrating to you, by a preponderance of the evidence, that it
meets the requirements of this subpart concerning group membership or individual disadvantage, business size,
ownership, and control.
(c) You must rebuttably presume that members of the designated groups identified in §26.67(a) are socially and
economically disadvantaged. This means they do not have the burden of proving to you that they are socially and
economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must submit a signed,
notarized statement that they are a member of one of the groups in §26.67(a). Applicants do have the obligation to provide
you information concerning their economic disadvantage (see §26.67).
(d) Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning
whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a preponderance of the
evidence, that they are socially and economically disadvantaged. (See Appendix E of this part.)
(e) You must make determinations concerning whether individuals and firms have met their burden of demonstrating
group membership, ownership, control, and social and economic disadvantage (where disadvantage must be
demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole.
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(a)(1) If, after reviewing the signed notarized statement of membership in a presumptively disadvantaged group (see
§26.61 (c)), you have a well founded reason to question the individual's claim of membership in that group, you must
require the individual to present additional evidence that he or she is a member of the group.
(2) You must provide the individual a written explanation of your reasons for questioning his or her group membership
and a written request for additional evidence as outlined in paragraph (b) of this section .
(3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate
burden on members of any particular designated group. Imposing a disproportionate burden on members of a particular
group could violate §26.7(b) and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21 .
(b) In making such a determination, you must consider whether the person has held himself out to be a member of the
group over a long period of time prior to application for certification and whether the person is regarded as a member of
the group by the relevant community. You may require the applicant to produce appropriate documentation of group
membership.
(1) If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not a
member of a designated disadvantaged group, the individual must demonstrate social and economic disadvantage on an
individual basis.
(2) Your decisions concerning membership in a designated group are subject to the certification appeals procedure of
§26.89.
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(a) To be an eligible DBE , a firm (including its affiliates) must be an existing small business, as defined by Small
Business Administration (SBA) standards. As a recipient, you must apply current SBA business size standard(s) found in
13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in DOT-assisted contracts, including the
primary industry classification of the applicant.
(b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an eligible DBE in any Federal fiscal
year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA regulations (see 13 CFR
121.402), over the firm's previous three fiscal years, in excess of $23.98 million.
(c) The Department adjusts the number in paragraph (b) of this section annually using the Department of Commerce
price deflators for purchases by State and local governments as the basis for this adjustment.
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§26.67 What rules determine social and economic disadvantage?
(a) Presumption of disadvantage. (1) You must rebuttably presume that citizens of the United States (or lawfully
admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific
Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and
economically disadvantaged individuals. You must require applicants to submit a signed, notarized certification that each
presumptively disadvantaged owner is, in fact, socially and economically disadvantaged.
(2)(i) You must require each individual owner of a firm applying to participate as a DBE, whose ownership and control
are relied upon for DBE certification, to certify that he or she has a personal net worth that does not exceed $1.32 million.
(ii) You must require each individual who makes this certification to support it with a signed, notarized statement of
personal net worth, with appropriate supporting documentation. To meet this requirement, you must use the DOT personal
net worth form provided in appendix G to this part without change or revision. Where necessary to accurately determine
an individual's personal net worth, you may, on a case-by-case basis, require additional financial information from the
owner of an applicant firm (e .g., information concerning the assets of the owner's spouse, where needed to clarify whether
assets have been transferred to the spouse or when the owner's spouse is involved in the operation of the company) .
Requests for additional information shall not be unduly burdensome or intrusive.
(iii) In determining an individual's net worth, you must observe the following requirements:
(B) Exclude the individual's equity in his or her primary residence (except any portion of such equity that is attributable
to excessive withdrawals from the applicant firm). The equity is the market value of the residence less any mortgages and
home equity loan balances. Recipients must ensure that home equity loan balances are included in the equity calculation
and not as a separate liability on the individual's personal net worth form. Exclusions for net worth purposes are not
exclusions for asset valuation or access to capital and credit purposes .
(D) With respect to assets held in vested pension plans, Individual Retirement Accounts, 401 (k) accounts, or other
retirement savings or investment programs in which the assets cannot be distributed to the individual at the present time
without significant adverse tax or interest consequences, include only the present value of such assets, less the tax and
interest penalties that would accrue if the asset were distributed at the present time.
(iv) Notwithstanding any provision of Federal or State law, you must not release an individual's personal net worth
statement nor any documents pertaining to it to any third party without the written consent of the submitter. Provided, that
you must transmit this information to DOT in any certification appeal proceeding under §26.89 of this part or to any other
State to which the individual's firm has applied for certification under §26.85 of this part.
(b) Rebuttal of presumption of disadvantage. (1) An individual's presumption of economic disadvantage may be
rebutted in two ways.
(i) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a)
(2) of this section shows that the individual's personal net worth exceeds $1 .32 million, the individual's presumption of
economic disadvantage is rebutted. You are not required to have a proceeding under paragraph (b)(2) of this section in
order to rebut the presumption of economic disadvantage in this case.
Example to paragraph (b)(1)(i): An individual with very high assets and significant liabilities may, in accounting terms, have a
PNW of less than $1.32 million. However, the person's assets collectively (e.g., high income level, a very expensive house, a yacht,
extensive real or personal property holdings) may lead a reasonable person to conclude that he or she is not economically
disadvantaged. The recipient may rebut the individual's presumption of economic disadvantage under these circumstances, as
provided in this section, even though the individual's PNW is less than $1.32 million.
(ii)(A) If the statement of personal net worth and supporting documentation that an individual submits under paragraph
(a)(2) of this section demonstrates that the individual is able to accumulate substantial wealth, the individual's presumption
of economic disadvantage is rebutted. In making this determination, as a certifying agency, you may consider factors that
include, but are not limited to, the following:
( 1) Whether the average adjusted gross income of the owner over the most recent three year period exceeds
$350,000;
(2) Whether the income was unusual and not likely to occur in the future;
(4) Whether the income was reinvested in the firm or used to pay taxes arising in the normal course of operations by
the firm ;
(5) Other evidence that income is not indicative of lack of economic disadvantage; and
(6) Whether the total fair market value of the owner's assets exceed $6 million.
(B) You must have a proceeding under paragraph (b)(2) of this section in order to rebut the presumption of economic
disadvantage in this case.
(2) If you have a reasonable basis to believe that an individual who is a member of one of the designated groups is
not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to determine whether the
presumption should be regarded as rebutted with respect to that individual. Your proceeding must follow the procedures of
§26.87 .
(3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the
individual is not socially and economically disadvantaged. You may require the individual to produce information relevant
to the determination of his or her disadvantage.
(4) When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her ownership
and control of the firm in question cannot be used for purposes of DBE eligibility under this subpart unless and until he or
she makes an individual showing of social and/or economic disadvantage. If the basis for rebutting the presumption is a
determination that the individual's personal net worth exceeds $1.32 million, the individual is no longer eligible for
participation in the program and cannot regain eligibility by making an individual showing of disadvantage, so long as his
or her PNW remains above that amount.
(c) Transfers within two years. (1) Except as set forth in paragraph (c)(2) of this section, recipients must attribute to an
individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member,
to a trust a beneficiary of which is an immediate family member, or to the applicant firm for less than fair market value,
within two years prior to a concern's application for participation in the DBE program or within two years of recipient's
review of the firm's annual affidavit, unless the individual claiming disadvantaged status can demonstrate that the transfer
is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of
essential support.
(2) Recipients must not attribute to an individual claiming disadvantaged status any assets transferred by that
individual to an immediate family member that are consistent with the customary recognition of special occasions, such as
birthdays , graduations, anniversaries, and retirements.
(d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who
are not presumed to be socially and economically disadvantaged (including individuals whose presumed disadvantage
has been rebutted) may apply for DBE certification . You must make a case-by-case determination of whether each
individual whose ownership and control are relied upon for DBE certification is socially and economically disadvantaged.
In such a proceeding, the applicant firm has the burden of demonstrating to you, by a preponderance of the evidence , that
the individuals who own and control it are socially and economically disadvantaged. An individual whose personal net
worth exceeds $1.32 million shall not be deemed to be economically disadvantaged. In making these determinations, use
the guidance found in Appendix E of this part. You must require that applicants provide sufficient information to permit
determinations under the guidance of appendix E of this part.
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(a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must
consider all the facts in the record viewed as a whole, including the origin of all assets and how and when they were used
in obtaining the firm . All transactions for the establishment and ownership (or transfer of ownership) must be in the normal
course of business, reflecting commercial and arms-length practices.
(b) To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged
individuals.
(1) In the case of a corporation , such individuals must own at least 51 percent of the each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding .
(2) In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and
economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership agreement.
(3) In the case of a limited liability company, at least 51 percent of each class of member interest must be owned by
socially and economically disadvantaged individuals.
(c)(1) The firm's ownership by socially and economically disadvantaged individuals, including their contribution of
capital or expertise to acquire their ownership interests, must be real, substantial , and continuing, going beyond proforma
ownership of the firm as reflected in ownership documents. Proof of contribution of capital should be submitted at the time
of the application. When the contribution of capital is through a loan, there must be documentation of the value of assets
used as collateral for the loan .
(2) Insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an
owner who is not a disadvantaged individual, mere participation in a firm's activities as an employee, or capitalization not
commensurate with the value for the firm.
(3) The disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and be
entitled to the profits and loss commensurate with their ownership interests, as demonstrated by the substance, not merely
the form , of arrangements. Any terms or practices that give a non-disadvantaged individual or firm a priority or superior
right to a firm's profits, compared to the disadvantaged owner(s), are grounds for denial.
(4) Debt instruments from financial institutions or other organizations that lend funds in the normal course of their
business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan.
Examples to paragraph (c): (i) An individual pays $100 to acquire a majority interest in a firm worth $1 million. The individual's
contribution to capital would not be viewed as substantial.
(ii) A 51% disadvantaged owner and a non-disadvantaged 49% owner contribute $100 and $10,000, respectively, to acquire a
firm grossing $1 million. This may be indicative of a proforma arrangement that does not meet the requirements of (c)(1 ).
(iii) The disadvantaged owner of a DBE applicant firm spends $250 to file articles of incorporation and obtains a $100,000 loan,
but makes only nominal or sporadic payments to repay the loan. This type of contribution is not of a continuing nature.
(d) All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as
provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are considered as held
by disadvantaged persons in determining the ownership of a firm. However, securities or assets held in trust are regarded
as held by a disadvantaged individual for purposes of determining ownership of the firm, if-
(1) The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the same
or another such individual; or
(2) The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective
control over the management, policy-making , and daily operational activities of the firm . Assets held in a revocable living
trust may be counted only in the situation where the same disadvantaged individual is the sole granter, beneficiary, and
trustee.
(e) The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their
ownership interests must be real and substantial. Examples of insufficient contributions include a promise to contribute
capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or mere participation in
a firm's activities as an employee. Debt instruments from financial institutions or other organizations that lend funds in the
normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the
loan.
(f) The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged owner's
contribution to acquire ownership:
(vi) Documented in the records of the firm. These records must clearly show the contribution of expertise and its value
to the firm .
(2) The individual whose expertise is relied upon must have a significant financial investment in the firm.
(g) You must always deem as held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual-
(1) As the result of a final property settlement or court order in a divorce or legal separation, provided that no term or
condition of the agreement or divorce decree is inconsistent with this section; or
(2) Through inheritance, or otherwise because of the death of the former owner.
(h)(1) You must presume as not being held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual as the result of a gift, or
transfer without adequate consideration, from any non-disadvantaged individual or non-DBE firm who is-
(i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm;
(iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is
seeking certification .
(2) To overcome this presumption and permit the interests or assets to be counted, the disadvantaged individual must
demonstrate to you, by clear and convincing evidence, that-
(i) The gift or transfer to the disadvantaged individual was made for reasons other than obtaining certification as a
DBE; and
(ii) The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding
the continuing participation of a non-disadvantaged individual who provided the gift or transfer.
(i) You must apply the following rules in situations in which marital assets form a basis for ownership of a firm:
(1) When marital assets (other than the assets of the business in question), held jointly or as community property by
both spouses, are used to acquire the ownership interest asserted by one spouse, you must deem the ownership interest
in the firm to have been acquired by that spouse with his or her own individual resources, provided that the other spouse
irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in
which either spouse or the firm is domiciled. You do not count a greater portion of joint or community property assets
toward ownership than state law would recognize as belonging to the socially and economically disadvantaged owner of
the applicant firm.
(2) A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or
community assets used to acquire an ownership interest in the firm must be included as part of the firm's application for
DBE certification.
U) You may consider the following factors in determining the ownership of a firm. However, you must not regard a
contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because-
(1) A socially and economically disadvantaged individual acquired his or her ownership interest as the result of a gift,
or transfer without adequate consideration, other than the types set forth in paragraph (h) of this section;
(2) There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged
individual on financing agreements, contracts for the purchase or sale of real or personal property, bank signature cards,
or other documents; or
(3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who is not
a socially and economically disadvantaged individual to a spouse who is such an individual. In this case, you must give
particularly close and careful scrutiny to the ownership and control of a firm to ensure that it is owned and controlled, in
substance as well as in form, by a socially and economically disadvantaged individual.
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(a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the
facts in the record, viewed as a whole.
(b) Only an independent business may be certified as a DBE. An independent business is one the viability of which
does not depend on its relationship with another firm or firms.
(1) In determining whether a potential DBE is an independent business, you must scrutinize relationships with non-
DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other resources.
(2) You must consider whether present or recent employer/employee relationships between the disadvantaged owner
(s) of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise the independence of
the potential DBE firm.
(3) You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive or
primary dealings with a prime contractor compromises the independence of the potential DBE firm.
(4) In considering factors related to the independence of a potential DBE firm, you must consider the consistency of
relationships between the potential DBE and non-DBE firms with normal industry practice.
(c) A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the
socially and economically disadvantaged owners. There can be no restrictions through corporate charter provisions, by-
law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to
different classes of stock, employment contracts, requirements for concurrence by non-disadvantaged partners, conditions
precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights) that prevent
the socially and economically disadvantaged owners, without the cooperation or vote of any non-disadvantaged individual,
from making any business decision of the firm. This paragraph does not preclude a spousal co-signature on documents as
provided for in §26.690)(2) .
(d) The socially and economically disadvantaged owners must possess the power to direct or cause the direction of
the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of
management, policy and operations.
(1) A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or
president).
(3) In a partnership, one or more disadvantaged owners must serve as general partners, with control over all
partnership decisions.
(e) Individuals who are not socially and economically disadvantaged or immediate family members may be involved in
a DBE firm as owners, managers, employees, stockholders, officers, and/or directors. Such individuals must not, however
possess or exercise the power to control the firm, or be disproportionately responsible for the operation of the firm.
(f) The socially and economically disadvantaged owners of the firm may delegate various areas of the management,
policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are
socially and economically disadvantaged individuals. Such delegations of authority must be revocable, and the socially
and economically disadvantaged owners must retain the power to hire and fire any person to whom such authority is
delegated. The managerial role of the socially and economically disadvantaged owners in the firm's overall affairs must be
such that the recipient can reasonably conclude that the socially and economically disadvantaged owners actually
exercise control over the firm's operations, management, and policy.
(g) The socially and economically disadvantaged owners must have an overall understanding of, and managerial and
technical competence and experience directly related to, the type of business in which the firm is engaged and the firm's
operations. The socially and economically disadvantaged owners are not required to have experience or expertise in every
critical area of the firm's operations, or to have greater experience or expertise in a given field than managers or key
employees. The socially and economically disadvantaged owners must have the ability to intelligently and critically
evaluate information presented by other participants in the firm's activities and to use this information to make independent
decisions concerning the firm's daily operations, management, and policymaking. Generally, expertise limited to office
management, administration, or bookkeeping functions unrelated to the principal business activities of the firm is
insufficient to demonstrate control.
(h) If state or local law requires the persons to have a particular license or other credential in order to own and/or
control a certain type of firm, then the socially and economically disadvantaged persons who own and control a potential
DBE firm of that type must possess the required license or credential. If state or local law does not require such a person
to have such a license or credential to own and/or control a firm, you must not deny certification solely on the ground that
the person lacks the license or credential. However, you may take into account the absence of the license or credential as
one factor in determining whether the socially and economically disadvantaged owners actually control the firm.
(i)(1) You may consider differences in remuneration between the socially and economically disadvantaged owners
and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in the
context of the duties of the persons involved, normal industry practices, the firm's policy and practice concerning
reinvestment of income, and any other explanations for the differences proffered by the firm. You may determine that a
firm is controlled by its socially and economically disadvantaged owner although that owner's remuneration is lower than
that of some other participants in the firm.
(2) In a case where a non-disadvantaged individual formerly controlled the firm, and a socially and economically
disadvantaged individual now controls it, you may consider a difference between the remuneration of the former and
current controller of the firm as a factor in determining who controls the firm, particularly when the non-disadvantaged
individual remains involved with the firm and continues to receive greater compensation than the disadvantaged individual.
U) In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in
outside employment or other business interests that conflict with the management of the firm or prevent the individual from
devoting sufficient time and attention to the affairs of the firm to control its activities. For example, absentee ownership of a
business and part-time work in a full-time firm are not viewed as constituting control. However, an individual could be
viewed as controlling a part-time business that operates only on evenings and/or weekends, if the individual controls it all
the time it is operating.
(k)(1) A socially and economically disadvantaged individual may control a firm even though one or more of the
individual's immediate family members (who themselves are not socially and economically disadvantaged individuals)
participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise provided in this
paragraph, you must make a judgment about the control the socially and economically disadvantaged owner exercises
vis-a-vis other persons involved in the business as you do in other situations, without regard to whether or not the other
persons are immediate family members.
(2) If you cannot determine that the socially and economically disadvantaged owners-as distinct from the family as a
whole-control the firm, then the socially and economically disadvantaged owners have failed to carry their burden of
proof concerning control, even though they may participate significantly in the firm's activities.
(I) Where a firm was formerly owned and/or controlled by a non-disadvantaged individual (whether or not an
immediate family member), ownership and/or control were transferred to a socially and economically disadvantaged
individual, and the nondisadvantaged individual remains involved with the firm in any capacity, there is a rebuttab/e
presumption of control by the non-disadvantaged individual unless the disadvantaged individual now owning the firm
demonstrates to you, by clear and convincing evidence, that:
(1) The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than
obtaining certification as a DBE; and
(2) The disadvantaged individual actually controls the management, policy, and operations of the firm,
notwithstanding the continuing participation of a nondisadvantaged individual who formerly owned and/or controlled the
firm .
(m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may
consider whether the firm owns equipment necessary to perform its work. However, you must not determine that a firm is
not controlled by socially and economically disadvantaged individuals solely because the firm leases, rather than owns,
such equipment, where leasing equipment is a normal industry practice and the lease does not involve a relationship with
a prime contractor or other party that compromises the independence of the firm.
(n) You must grant certification to a firm only for specific types of work in which the socially and economically
disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the firm need
demonstrate to you only that its socially and economically disadvantaged owners are able to control the firm with respect
to that type of work. You must not require that the firm be recertified or submit a new application for certification, but you
must verify the disadvantaged owner's control of the firm in the additional type of work.
(1) The types of work a firm can perform (whether on initial certification or when a new type of work is added) must be
described in terms of the most specific available NA/CS code for that type of work. If you choose, you may also, in addition
to applying the appropriate NAICS code, apply a descriptor from a classification scheme of equivalent detail and
specificity. A correct NAICS code is one that describes, as specifically as possible, the principal goods or services which
the firm would provide to DOT recipients. Multiple NAICS codes may be assigned where appropriate. Program participants
must rely on, and not depart from, the plain meaning of NAICS code descriptions in determining the scope of a firm's
certification. If your Directory does not list types of work for any firm in a manner consistent with this paragraph (a)(1 ), you
must update the Directory entry for that firm to meet the requirements of this paragraph (a)(1) by August 28, 2011.
(2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept up-to-
date and accurately reflect work which the UCP has determined the firm's owners can control. The firm bears the burden
of providing detailed company information the certifying agency needs to make an appropriate NAICS code designation.
(3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s) of work in which it is
seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification documentation,
supplement the assigned NAICS code(s) with a clear, specific, and detailed narrative description of the type of work in
which the firm is certified. A vague, general, or confusing description is not sufficient for this purpose, and recipients
should not rely on such a description in determining whether a firm's participation can be counted toward DBE goals.
(4) A certifier is not precluded from changing a certification classification or description if there is a factual basis in the
record . However, certifiers must not make after-the-fact statements about the scope of a certification, not supported by
evidence in the record of the certification action .
(o) A business operating under a franchise or license agreement may be certified if it meets the standards in this
subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affiliation
exists, you should generally not consider the restraints relating to standardized quality, advertising, accounting format, and
other provisions imposed on the franchisee or licensee by the franchise agreement or license, provided that the franchisee
or licensee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively,
even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement or
license, affiliation could arise through other means, such as common management or excessive restrictions on the sale or
transfer of the franchise interest or license.
(p) In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non-
disadvantaged partners must not have the power, without the specific written concurrence of the socially and economically
disadvantaged partner(s) , to contractually bind the partnership or subject the partnership to contract or tort liability.
(q) The socially and economically disadvantaged individuals controlling a firm may use an employee leasing
company. The use of such a company does not preclude the socially and economically disadvantaged individuals from
controlling their firm if they continue to maintain an employer-employee relationship with the leased employees. This
includes being responsible for hiring, firing, training, assigning, and otherwise controlling the on-the-job activities of the
employees, as well as ultimate responsibility for wage and ta x obligations related to the employees .
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28 , 2011 ; 79 FR 59597, Oct. 2, 2014)
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(a)(1) Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely to
counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as provided in
paragraph (a)(2) of this section, you must not consider commercially useful function issues in any way in making decisions
about whether to certify a firm as a DBE.
(2) You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct indicating its
involvement in attempts to evade or subvert the intent or requirements of the DBE program.
(b)(1) You must evaluate the eligibility of a firm on the basis of present circumstances . You must not refuse to certify a
firm based solely on historical information indicating a lack of ownership or control of the firm by socially and economically
disadvantaged individuals at some time in the past, if the firm currently meets the ownership and control standards of this
part.
(2) You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed projects or
contracts at the time of its application, has not yet realized profits from its activities, or has not demonstrated a potential for
success. If the firm meets disadvantaged, size, ownership, and control requirements of this Part, the firm is eligible for
certification.
(c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for
information relevant to the certification process. Failure or refusal to provide such information is a ground for a denial or
removal of certification .
(d) Only firms organized for profit may be eligible DB Es. Not-for-profit organizations, even though controlled by
socially and economically disadvantaged individuals, are not eligible to be certified as DBEs.
(e) An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as
provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm-even a DBE
firm-cannot be an eligible DBE.
(1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding
company, established for tax, capitalization or other purposes consistent with industry practice, and the parent or holding
company in turn owns and controls an operating subsidiary, you may certify the subsidiary if it otherwise meets all
requirements of this subpart. In this situation, the individual owners and controllers of the parent or holding company are
deemed to control the subsidiary through the parent or holding company.
(2) You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by socially
and economically disadvantaged individuals. The following examples illustrate how this cumulative ownership provision
works:
Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company, which has a wholly-
owned subsidiary. The subsidiary may be certified, if it meets all other requirements.
Example 2: Disadvantaged individuals own 100 percent of the holding company, which owns 51 percent of a subsidiary. The
subsidiary may be certified, if all other requirements are met.
Example 3: Disadvantaged individuals own 80 percent of the holding company, which in turn owns 70 percent of a subsidiary. In
this case, the cumulative ownership of the subsidiary by disadvantaged individuals is 56 percent (80 percent of the 70 percent). This
is more than 51 percent, so you may certify the subsidiary, if all other requirements are met.
Example 4: Same as Example 2 or 3, but someone other than the socially and economically disadvantaged owners of the
parent or holding company controls the subsidiary. Even though the subsidiary is owned by disadvantaged individuals, through the
holding or parent company, you cannot certify it because it fails to meet control requirements.
Example 5: Disadvantaged individuals own 60 percent of the holding company, which in turn owns 51 percent of a subsidiary. In
this case, the cumulative ownership of the subsidiary by disadvantaged individuals is about 31 percent. This is less than 51 percent,
so you cannot certify the subsidiary.
Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other companies. The
combined gross receipts of the holding companies and its subsidiaries are greater than the size standard for the subsidiary seeking
certification and/or the gross receipts cap of §26.65(b). Under the rules concerning affiliation, the subsidiary fails to meet the size
standard and cannot be certified.
(f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to
demonstrate that a firm is an independent business, owned and controlled by socially and economically disadvantaged
individuals.
(g) You must not require a DBE firm to be prequalified as a condition for certification.
(h) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Hawaiians
as individuals, may be eligible for certification. Such a firm must meet the size standards of §26.65. Such a firm must be
controlled by socially and economically disadvantaged individuals, as provided in §26. 71 .
(i) The following special rules apply to the certification of firms related to Alaska Native Corporations (AN Cs) .
(1) Notwithstanding any other provisions of this subpart, a direct or indirect subsidiary corporation, joint venture, or
partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following requirements:
(i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of the
Settlement Common Stock and by Natives and descendents of Natives represents a majority of both the total equity of the
ANC and the total voting power of the corporation for purposes of electing directors;
(ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or partnership
entity held by the ANC and by holders of its Settlement Common Stock represent a majority of both the total equity of the
entity and the total voting power of the entity for the purpose of electing directors, the general partner, or principal officers;
and
(iii) The subsidiary, joint venture, or partnership entity has been certified by the Small Business Administration under
the 8(a) or small disadvantaged business program.
(2) As a recipient to whom an ANG-related entity applies for certification, you do not use the DOT uniform application
form (see Appendix F of this part) . You must obtain from the firm documentation sufficient to demonstrate that entity meets
the requirements of paragraph (i)(1) of this section. You must also obtain sufficient information about the firm to allow you
to administer your program (e.g., information that would appear in your DBE Directory).
(3) If an ANG-related firm does not meet all the conditions of paragraph (i)(1) of this section, then it must meet the
requirements of paragraph (h} of this section in order to be certified, on the same basis as firms owned by Indian Tribes or
Native Hawaiian Organizations.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014]
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(a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP).
(1) Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement
establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary may, on the
basis of extenuating circumstances shown by the recipients in the state, extend this deadline for no more than one
additional year.
(2) The agreement must provide for the establishment of a UCP meeting all the requirements of this section. The
agreement must specify that the UCP will follow all certification procedures and standards of this part, on the same basis
as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring activities of DOT and its operating
administrations; and that the UCP shall implement DOT directives and guidance concerning certification matters. The
agreement shall also commit recipients to ensuring that the UCP has sufficient resources and expertise to carry out the
requirements of this part. The agreement shall include an implementation schedule ensuring that the UCP is fully
operational no later than 18 months following the approval of the agreement by the Secretary.
(3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients in that
state.
(4) The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state for
revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is deemed to be
accepted.
(5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall have
the opportunity to make an explanation to the Secretary why a deadline could not be met and why meeting the deadline
was beyond your control. If you fail to make such an explanation, or the explanation does not justify the failure to meet the
deadline, the Secretary shall direct you to complete the required action by a date certain. If you and the other recipients
fail to carry out this direction in a timely manner, you are collectively in noncompliance with this part.
(b) The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to
participation in the DOT DBE Program .
(1) Certification decisions by the UCP shall be binding on all DOT recipients within the state.
(2) The UCP shall provide "one-stop shopping" to applicants for certification, such that an applicant is required to
apply only once for a DBE certification that will be honored by all recipients in the state .
(3) All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs, and
recipients may use only UCPs that comply with the certification and nondiscrimination requirements of this part.
(c) All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due
date for bids or offers on a contract on which a firm seeks to participate as a DBE.
(d) A UCP is not required to process an application for certification from a firm having its principal place of business
outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of business. The
"home state" UCP shall share its information and documents concerning the firm with other UCPs that are considering the
firm's application.
(e) Subject to DOT approval as provided in this section , the recipients in two or more states may form a regional UCP.
UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline the specific
responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT recipient.
(f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements with
other recipients, on a regional or inter-jurisdictional basis, to perform certification functions required by this part. You may
also grant reciprocity to other recipient's certification decisions.
(g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those from
other states certified under the provisions of this part), the information required by §26 .31. The UCP shall make the
directory available to the public electronically, on the internet, as well as in print. The UCP shall update the electronic
version of the directory by including additions, deletions, and other changes as soon as they are made and shall revise the
print version of the Directory at least once a year.
(h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to
recipients also apply to UCPs.
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(a) You must ensure that only firms certified as eligible DB Es under this section participate as DB Es in your program .
(b) You must determine the eligibility of firms as DBEs consistent with the standards of subpart D of this part. When a
UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that recipients are
required to meet.
(c)(1) You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of
this part:
(i) Perform an on-site visit to the firm's principal place of business. You must interview the principal officers and review
their resumes and/or work histories. You may interview key personnel of the firm if necessary. You must also perform an
on-site visit to job sites if there are such sites on which the firm is working at the time of the eligibility investigation in your
jurisdiction or local area . You may rely upon the site visit report of any other recipient with respect to a firm applying for
certification;
(ii) Analyze documentation related to the legal structure, ownership, and control of the applicant firm. This includes,
but is not limited to, Articles of Incorporation/Organization; corporate by-laws or operating agreements; organizational,
annual and board/member meeting records; stock ledgers and certificates; and State-issued Certificates of Good Standing
(iii) Analyze the bonding and financial capacity of the firm; lease and loan agreements; bank account signature cards;
(iv) Determine the work history of the firm, including contracts it has received, work it has completed; and payroll
records;
(v) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its
preferred locations for performing the work, if any.
(vi) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its key
personnel possess to perform the work it seeks to do as part of the DBE program;
(vii) Obtain complete Federal income tax returns (or requests for extensions) filed by the firm, its affiliates, and the
socially and economically disadvantaged owners for the last 3 years. A complete return includes all forms, schedules, and
statements filed with the Internal Revenue Service.
(viii) Require potential DBEs to complete and submit an appropriate application form, except as otherwise provided in
§26.85 of this part.
(2) You must use the application form provided in Appendix F to this part without change or revision . However, you
may provide in your DBE program, with the written approval of the concerned operating administration, for supplementing
the form by requesting specified additional information not inconsistent with this part.
(3) You must make sure that the applicant attests to the accuracy and truthfulness of the information on the
application form. This shall be done either in the form of an affidavit sworn to by the applicant before a person who is
authorized by State law to administer oaths or in the form of an unsworn declaration executed under penalty of perjury of
the laws of the United States.
(4) You must review all information on the form prior to making a decision about the eligibility of the firm. You may
request clarification of information contained in the application at any time in the application process .
(d) When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for
certification information you have obtained about that firm (e .g., including application materials or the report of a site visit, if
you have made one to the firm), you must promptly make the information availa~le to the other recipient.
(e) [Reserved]
(f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose a
reasonable application fee for certification. Fee waivers shall be made in appropriate cases.
(g) You must safeguard from disclosure to unauthorized persons information gathered as part of the certification
process that may reasonably be regarded as proprietary or other confidential business information, consistent with
applicable Federal, state, and local law.
(h)(1) Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in
whole or in part, through the procedures of §26.87 of this part, except as provided in §26.67(b)(1) of this part.
(2) You may not require DBEs to reapply for certification or undergo a recertification process. However, you may
conduct a certification review of a certified DBE firm, including a new on-site review, if appropriate in light of changed
circumstances (e.g., of the kind requiring notice under paragraph (i) of this section or relating to suspension of certification
under §26.88), a complaint, or other information concerning the firm's eligibility. If information comes to your attention that
leads you to question the firm's eligibility, you may conduct an on-site review on an unannounced basis, at the firm's
offices and job sites.
(i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your
ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change in the
information provided in your application form .
(1) Changes in management responsibility among members of a limited liability company are covered by this
requirement.
(2) You must attach supporting documentation describing in detail the nature of such changes.
(3) The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by state
law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of the United States.
You must provide the written notification within 30 days of the occurrence of the change. If you fail to make timely
notification of such a change, you will be deemed to have failed to cooperate under §26.109(c).
U) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your certification,
an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an
unsworn declaration executed under penalty of perjury of the laws of the United States. This affidavit must affirm that there
have been no changes in the firm's circumstances affecting its ability to meet size, disadvantaged status, ownership, or
control requirements of this part or any material changes in the information provided in its application form, except for
changes about which you have notified the recipient under paragraph (i) of this section . The affidavit shall specifically
affirm that your firm continues to meet SBA business size criteria and the overall gross receipts cap of this part,
documenting this affirmation with supporting documentation of your firm's size and gross receipts (e.g., submission of
Federal tax returns). If you fail to provide this affidavit in a timely manner, you will be deemed to have failed to cooperate
under §26.109(c).
(k) If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from the
applicant firm all information required under this part. You may extend this time period once, for no more than an
additional 60 days, upon written notice to the firm , explaining fully and specifically the reasons for the extension. You may
establish a different time frame in your DBE program, upon a showing that this time frame is not feasible, and subject to
the approval of the concerned operating administration. Your failure to make a decision by the applicable deadline under
this paragraph is deemed a constructive denial of the application, on the basis of which the firm may appeal to DOT under
§26.89.
(I) As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application whether
the application is complete and suitable for evaluation and, if not, what additional information or action is required .
(m) Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application
before you have issued a decision on the application, the applicant can resubmit the application at any time. As a recipient
or UCP, you may not apply the waiting period provided under §26.86(c) of this part before allowing the applicant to
resubmit its application. However, you may place the reapplication at the "end of the line," behind other applications that
have been made since the firm's previous application was withdrawn. You may also apply the waiting period provided
under §26.86(c) of this part to a firm that has established a pattern of frequently withdrawing applications before you make
a decision.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011 ; 79 FR 59598, Oct. 2, 2014]
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§26.85 Interstate certification.
(a) This section applies with respect to any firm that is currently certified in its home state .
(b) When a firm currently certified in its home state ("State A") applies to another State ("State B") for DBE
certification, State B may, at its discretion, accept State A's certification and certify the firm, without further procedures.
(1) To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from State A.
(2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A. State B
can do so by reviewing State A's electronic directory or obtaining written confirmation from State A.
(c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph (b)
of this section, as the applicant firm you must provide the information in paragraphs (c)(1) through (4) of this section to
State B.
(1) You must provide to State Ba complete copy of the application form, all supporting documents, and any other
information you have submitted to State A or any other state related to your firm's certification. This includes affidavits of
no change (see §26.83U)) and any notices of changes (see §26.83(i)) that you have submitted to State A, as well as any
correspondence you have had with State A's UCP or any other recipient concerning your application or status as a DBE
firm.
(2) You must also provide to State B any notices or correspondence from states other than State A relating to your
status as an applicant or certified DBE in those states. For example, if you have been denied certification or decertified in
State C, or subject to a decertification action there, you must inform State B of this fact and provide all documentation
concerning this action to State B.
(3) If you have filed a certification appeal with DOT (see §26 .89), you must inform State B of the fact and provide your
letter of appeal and DOT's response to State B.
(4) You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States.
(i) This affidavit must affirm that you have submitted all the information required by 49 CFR 26 .85(c) and the
information is complete and, in the case of the information required by §26 .85(c)(1 ), is an identical copy of the information
submitted io State A.
(ii) If the on-site report from State A supporting your certification in State A is more than three years old, as of the date
of your application to State B, State B may require that your affidavit also affirm that the facts in the on-site report remain
true and correct.
(d) As State B, when you receive from an applicant firm all the information required by paragraph (c) of this section,
you must take the following actions :
(1) Within seven days contact State A and request a copy of the site visit review report for the firm (see §26 .83(c)(1)) ,
any updates to the site visit review, and any evaluation of the firm based on the site vis it. As State A, you must transmit
this information to State B within seven days of receiving the request. A pattern by State B of not making such requests in
a timely manner or by "State A" or any other State of not complying with such requests in a timely manner is
noncompliance with this Part.
(2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or should not
apply in your State. Reasons for making such a determination may include the following :
(ii) New information, not available to State A at the time of its certification, showing that the firm does not meet all
eligibility criteria;
(iii) State A's certification was factually erroneous or was inconsistent with the requirements of this part;
(iv) The State law of State B requires a result different from that of the State law of State A.
(v) The information provided by the applicant firm did not meet the requirements of paragraph (c) of this section .
(3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the
applicant firm all the information required by paragraph (c) of this section, send to the applicant firm a notice that it is
certified and place the firm on your directory of certified firms .
(4) If, as State B, you have determined that there is good cause to believe that State A's certification is erroneous or
should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant
firm all the information required by paragraph (c) of this section, send to the applicant firm a notice stating the reasons for
your determination .
(i) This notice must state with particularity the specific reasons why State B believes that the firm does not meet the
requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to State B with respect to
these reasons.
(ii) The firm may elect to respond in writing, to request an in-person meeting with State B's decision maker to discuss
State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B you must schedule the
meeting to take place within 30 days of receiving the firm's request.
(iii) The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the requirements of
this Part with respect to the particularized issues raised by State B's notice. The firm is not otherwise responsible for
further demonstrating its eligibility to State B.
(iv) The decision maker for State B must be an individual who is thoroughly familiar with the provisions of this Part
concerning certification .
(v) State B must issue a written decision within 30 days of the receipt of the written response from the firm or the
meeting with the decision maker, whichever is later.
(vi) The firm's application for certification is stayed pending the outcome of this process .
(vii) A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under s§26.89
of this part.
(e) As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you
have made a timely request for it, you may hold action required by paragraphs (d)(2) through (4) of this section in
abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the date on
which you received from an applicant firm all the information required by paragraph (c) of this section, notify the firm in
writing of the delay in the process and the reason for it.
(f)(1) As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other
State in which the firm is certified, through the procedures of paragraph (d)(4) of this section, or decertify a firm, in whole
or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOC R's) Ineligibility
Determination Online Database. You must enter the following information:
(2) As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm that is
applying to you for certification or that you have already certified is on the list.
(3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP that
made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting UCP within 7
days of receiving the request. As the UCP receiving the decision, you must then consider the information in the decision in
determining what, if any, action to take with respect to the certified DBE firm or applicant.
(g) You must implement the requirements of this section beginning January 1, 2012.
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§26.86 What rules govern recipients' denials of initial requests for certification?
(a) When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must
provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the record that
supports each reason for the denial. All documents and other information on which the denial is based must be made
available to the applicant, on request.
(b) [Reserved]
(c) When a firm is denied certification, you must establish a time period of no more than twelve months that must
elapse before the firm may reapply to the recipient for certification . You may provide, in your DBE program, subject to
approval by the concerned operating administration, a shorter waiting period for reapplication. The time period for
reapplication begins to run on the date the explanation required by paragraph (a) of this section is received by the firm . An
applicant's appeal of your decision to the Department pursuant to §26.89 does not extend this period .
(d) When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial to
the Department under §26.89.
[64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003; 79 FR 59598, Oct. 2, 2014]
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§26.87 What procedures does a recipient use to remove a DBE's eligibility?
(a) Ineligibility complaints. (1) Any person may file with you a written complaint alleging that a currently-certified firm is
ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general allegation
that a firm is ineligible or an anonymous complaint. The complaint may include any information or arguments supporting
the complainant's assertion that the firm is ineligible and should not continue to be certified. Confidentiality of
complainants' identities must be protected as provided in §26 .109(b).
(2) You must review your records concerning the firm, any material provided by the firm and the complainant, and
other available information . You may request additional information from the firm or conduct any other investigation that
you deem necessary.
(3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible, you
must provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed
determination. If you determine that such reasonable cause does not exist, you must notify the complainant and the firm in
writing of this determination and the reasons for it. All statements of reasons for findings on the issue of reasonable cause
must specifically reference the evidence in the record on which each reason is based.
(b) Recipient-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other
information that comes to your attention , you determine that there is reasonable cause to believe that a currently certified
firm is ineligible, you must provide written notice to the firm that you propose to find the firm inelig ible, setting forth the
reasons for the proposed determination. The statement of reasons for the finding of reasonable cause must specifically
reference the evidence in the record on whi ch each reason is based .
(c) DOT directive to initiate proceeding. (1) If the concerned operating adm inistration determines that information in
your certification records , or other information available to the concerned operating administration , provides reasonable
cause to believe that a firm you certified does not meet the eligibility criteria of this part, the concerned operating
administration may direct you to initiate a proceeding to remove the firm's certification.
(2) The concerned operating administration must provide you and the firm a notice setting forth the reasons for the
directive, including any relevant documentation or other information.
(3) You must immediately commence and prosecute a proceeding to remove eligibility as provided by paragraph (b)
of this section.
(d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph
(a) , (b), or (c) of this section, you must give the firm an opportunity for an informal hearing , at which the firm may respond
to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it
should remain certified .
(1) In such a proceeding , you bear the burden of proving, by a preponderance of the evidence, that the firm does not
meet the certification standards of this part.
(2) You must maintain a complete record of the hearing, by any means acceptable under state law for the retention of
a verbatim record of an administrative hearing. If there is an appeal to DOT under §26.89 , you must provide a transcript of
the hearing to DOT and , on request, to the firm . You must retain the original record of the hearing. You may charge the
firm only for the cost of copying the record .
(3) The firm may elect to present information and arguments in writing, without going to a hearing . In such a situation ,
you bear the same burden of proving, by a preponderance of the evidence, that the firm does not meet the certification
standards, as you would during a hearing.
(e) Separation of functions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made by
an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the
firm's eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in
these actions.
(1) Your method of implementing this requirement must be made part of your DBE program .
(2) The decisionmaker must be an individual who is knowledgeable about the certification requirements of your DBE
program and this part.
(3) Before a UCP is operational in its state, a small airport or small transit authority (i.e., an airport or transit authority
serving an area with less than 250,000 population) is required to meet this requirement only to the extent feasible.
(f) Grounds for decision . You may base a decision to remove a firm's eligibility only on one or more of the following
grounds:
(1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm unable to
meet the eligibility standards of this part;
(2) Information or evidence not available to you at the time the firm was certified;
(3) Information relevant to eligibility that has been concealed or misrepresented by the firm ;
(4) A change in the certification standards or requirements of the Department since you certified the firm;
(5) Your decision to certify the firm was clearly erroneous;
(6) The firm has failed to cooperate with you (see §26 .109(c));
(7) The firm has exhibited a pattern of conduct indicating its involvement in attempts to subvert the intent or
requirements of the DBE program (see §26.73(a)(2)); or
(8) The firm has been suspended or debarred for conduct related to the DBE program. The notice required by
paragraph (g) of this section must include a copy of the suspension or debarment action. A decision to remove a firm for
this reason shall not be subject to the hearing procedures in paragraph (d) of this section .
(g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the
reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The
notice must inform the firm of the consequences of your decision and of the availability of an appeal to the Department of
Transportation under §26.89. You must send copies of the notice to the complainant in an ineligibility complaint or the
concerned operating administration that had directed you to initiate the proceeding. Provided that, when sending such a
notice to a complainant other than a DOT operating administration, you must not include information reasonably construed
as confidential business information without the written consent of the firm that submitted the information.
(h) [Reserved]
(i) Status of firm during proceeding. (1) A firm remains an eligible DBE during the pendancy of your proceeding to
remove its eligibility.
(2) The firm does not become ineligible until the issuance of the notice provided for in paragraph (g) of this section.
U) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action:
(1) When a prime contractor has made a commitment to using the ineligible firm, or you have made a commitment to
using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the decertification
notice provided for in paragraph (g) of this section, the ineligible firm does not count toward the contract goal or overall
goal. You must direct the prime contractor to meet the contract goal with an eligible DBE firm or demonstrate to you that it
has made a good faith effort to do so.
(2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its ineligibility,
the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal
for the firm's work. In this case, or in a case where you have let a prime contract to the DBE that was later ruled ineligible,
the portion of the ineligible firm's performance of the contract remaining after you issued the notice of its ineligibility shall
not count toward your overall goal, but may count toward the contract goal.
(3) Exception: If the DB E's ineligibility is caused solely by its having exceeded the size standard during the
performance of the contract, you may continue to count its participation on that contract toward overall and contract goals.
(k) Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section, the
firm may appeal the removal to the Department under §26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011; 79 FR 59599, Oct. 2, 2014]
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(a) A recipient shall immediately suspend a DB E's certification without adhering to the requirements in §26.87(d) of
this part when an individual owner whose ownership and control of the firm are necessary to the firm's certification dies or
is incarcerated.
(b)(1) A recipient may immediately suspend a DBE's certification without adhering to the requirements in §26.87(d)
when there is adequate evidence to believe that there has been a material change in circumstances that may affect the
eligibility of the DBE firm to remain certified, or when the DBE fails to notify the recipient or UCP in writing of any material
change in circumstances as required by §26.83(i) of this part or fails to timely file an affidavit of no change under §26.83U) .
(2) In determining the adequacy of the evidence to issue a suspension under paragraph (b)(1) of this section, the
recipient shall consider all relevant factors, including how much information is available, the credibility of the information
and allegations given the circumstances, whether or not important allegations are corroborated, and what inferences can
reasonably be drawn as a result.
(c) The concerned operating administration may direct the recipient to take action pursuant to paragraph (a) or (b) this
section if it determines that information available to it is sufficient to warrant immediate suspension.
(d) When a firm is suspended pursuant to paragraph (a) or (b) of this section, the recipient shall immediately notify the
DBE of the suspension by certified mail, return receipt requested , to the last known address of the owner(s) of the DBE.
(e) Suspension is a temporary status of inel igibility pending an expedited show cause hearing/proceeding under
§26 .87 of this part to determine whether the DBE is elig ible to participate in the program and consequently should be
removed. The suspension takes effect when the DBE receives, or is deemed to have received, the Notice of Suspension.
(f) While suspended, the DBE may not be considered to meet a contract goal on a new contract, and any work it does
on a contract received during the suspension shall not be counted toward a recipient's overall goal. The DBE may
continue to perform under an existing contract executed before the DBE received a Notice of Suspension and may be
counted toward the contract goal during the period of suspension as long as the DBE is performing a commercially useful
function under the existing contract.
(g) Following receipt of the Notice of Suspension, if the DBE believes it is no longer eligible , it may voluntarily
withdraw from the program, in which case no further action is required. If the DBE believes that its eligibility should be
reinstated, it must provide to the recipient information demonstrating that the firm is eligible notwithstanding its changed
circumstances. Within 30 days of receiving this information, the recipient must either lift the suspension and reinstate the
firm's certification or commence a decertification action under §26 .87 of this part. If the recipient commences a
decertification proceeding, the suspension remains in effect during the proceeding.
(h) The decision to immediately suspend a DBE under paragraph (a) or (b) of this section is not appealable to the US
Department of Transportation . The failure of a recipient to either lift the suspension and reinstate the firm or commence a
decertification proceeding, as required by paragraph (g) of this section , is appealable to the U.S. Department of
Transportation under §26 .89 of this part, as a constructive decertification.
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§26.89 What is the process for certification appeals to the Department of Transportation?
(a)(1) If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA-certified
firms, you may make an administrative appeal to the Department.
(2) If you are a complainant in an ineligibility complaint to a recipient (including the concerned operating administration
in the circumstances provided in §26.87(c)), you may appeal to the Department if the recipient does not find reasonable
cause to propose removing the firm 's eligibility or, following a removal of eligibility proceeding, determines that the firm is
eligible.
(3) Send appeals to the following address : U.S. Department of Transportation, Departmental Office of Civil Rights ,
1200 New Jersey Avenue SE., Washington, DC 20590-0001 .
(b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does
not stay the effect of the recipient's decision while it is considering an appeal.
(c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's
final decision, including information and setting forth a full and specific statement as to why the decision is erroneous, what
significant fact that the recipient failed to consider, or what provisions of this Part the recipient did not properly apply. The
Department may accept an appeal filed later than 90 days after the date of the decision if the Department determines that
there was good cause for the late fil ing of the appeal or in the interest of justice .
(d) When it receives an appeal , the Department requests a copy of the recipient's complete administrative record in
the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript, within 20
days of the Department's request. The Department may extend this time period on the basis of a recipient's showing of
good cause. To facilitate the Department's review of a recipient's decision, you must ensure that such administrative
records are well organized , indexed, and paginated. Records that do not comport with these requirements are not
acceptable and will be returned to you to be corrected immediately. If an appeal is brought concerning one recipient's
certification decision concerning a firm, and that recipient relied on the decision and/or administrative record of another
recipient, this requirement applies to both recipients involved.
(e) The Department makes its decision based solely on the entire administrative record as supplemented by the
appeal. The Department does not make a de nova review of the matter and does not conduct a hearing. The Department
may also supplement the administrative record by adding relevant information made available by the DOT Office of
Inspector General; Federal, State, or local law enforcement authorities; officials of a DOT operating administration or other
appropriate DOT office; a recipient; or a firm or other private party .
(f) As a recipient, when you provide supplementary information to the Department, you shall also make this
information available to the firm and any third-party complainant involved, consistent with Federal or applicable state laws
concerning freedom of information and privacy. The Department makes available, on request by the firm and any third-
party complainant involved, any supplementary information it receives from any source.
(1) The Department affirms your decision unless it determines, based on the entire administrative record, that your
decision is unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part
concerning certification.
(2) If the Department determines, after reviewing the entire administrative record, that your decision was unsupported
by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification,
the Department reverses your decision and directs you to certify the firm or remove its eligibility, as appropriate . You must
take the action directed by the Department's decision immediately upon receiving written notice of it.
(3) The Department is not required to reverse your decision if the Department determines that a procedural error did
not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the appellant to present
its case.
(4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact on
the outcome of the case, the Department may remand the record to you with instructions seeking clarification or
augmentation of the record before making a finding. The Department may also remand a case to you for further
proceedings consistent with Department instructions concerning the proper application of the provisions of this part.
(5) The Department does not uphold your decision based on grounds not specified in your decision.
(6) The Department's decision is based on the status and circumstances of the firm as of the date of the decision
being appealed.
(7) The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility
complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision has been
involved in the proceeding (see paragraph (d) of this section) . The Department will also notify the SBA in writing when
DOT takes an action on an appeal that results in or confirms a loss of eligibility to any SBA-certified firm. The notice
includes the reasons for the Department's decision, including specific references to the evidence in the record that
supports each reason for the decision.
(8) The Department's policy is to make its decision within 180 days of receiving the complete administrative record. If
the Department does not make its decision within this period, the Department provides written notice to concerned parties,
including a statement of the reason for the delay and a date by which the appeal decision will be made.
(g) All decisions under this section are administratively final, and are not subject to petitions for reconsideration.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556, June 16, 2003; 73 FR 33329, June 12, 2008;
79 FR 59599, Oct. 2, 2014]
§26.91 What actions do recipients take following DOT certification appeal decisions?
(a) If you are the recipient from whose action an appeal under §26.89 is taken, the decision is binding. It is not binding
on other recipients.
(b) If you are a recipient to which a DOT determination under §26.89 is applicable, you must take the following action:
(1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on receipt
of the determination, without further proceedings on your part. Effective on the date of your receipt of the Department's
determination, the consequences of a removal of eligibility set forth in §26.87(i) take effect.
(2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's eligibility,
you must expeditiously commence a proceeding to determine whether the firm's eligibility should be removed, as provided
in §26.87.
(3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm, you
must certify the firm, effective on the date of your receipt of the written notice of Department's determination.
(4) If the Department determines that you erroneously determined that the presumption of social and economic
disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action as determined
by the Department.
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(a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under
§26 .103 or §26.105 or appropriate program sanctions by the concerned operating administration, such as the suspension
or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies are remedied. Program
sanctions may include, in the case of the FHWA program, actions provided for under 23 CFR 1.36; in the case of the FAA
program, actions consistent with 49 U.S.C. 47106(d), 47111 (d), and 47122; and in the case of the FTA program, any
actions permitted under 49 U.S.C. chapter 53 or applicable FTA program requirements.
(b) As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any
requirement of this part because you have been prevented from complying because a Federal court has issued a final
order in which the court found that the requirement is unconstitutional.
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§26.103 What enforcement actions apply in FHWA and FTA programs?
The provisions of this section apply to enforcement actions under FHWA and FTA programs:
(a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations
under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If you want
to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the date on which you
learned of a continuing course of conduct in violation of this part. In response to your written request, the Office of Civil
Rights may extend the time for filing in the interest of justice, specifying in writing the reason for so doing. The Office of
Civil Rights may protect the confidentiality of your identity as provided in §26.109(b). Complaints under this part are limited
to allegations of violation of the provisions of this part.
(b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this part
at any time, including reviews of paperwork and on-site reviews, as appropriate. The Office of Civil Rights may direct the
operating administration to initiate a compliance review based on complaints received.
(c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance review,
that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends you, return receipt
requested, a written notice advising you that there is reasonable cause to find you in noncompliance. The notice states the
reasons for this finding and directs you to reply within 30 days concerning whether you wish to begin conciliation .
(d} Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30, but
not more than 120, days from the date of your request. The appropriate DOT office may extend the conciliation period for
up to 30 days for good cause, consistent with applicable statutes .
(2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed and you
are regarded as being in compliance . The conciliation agreement sets forth the measures you have taken or will take to
ensure compliance. While a conciliation agreement is in effect, you remain eligible for FHWA or FTA financial assistance.
(3) The concerned operating administration shall monitor your implementation of the conciliation agreement and
ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are in
noncompliance.
(4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in paragraph
(d)(1) of this section, then enforcement proceedings begin.
(e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart.
(2) Applicable findings in enforcement proceedings are binding on all DOT offices.
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§26.105 What enforcement actions apply in FAA programs?
(a) Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance
is enforced through the procedures ofTitle 49 of the United States Code, including 49 U.S.C. 47106(d), 47111 (d}, and
47122, and regulations implementing them .
(b) The provisions of §26.103(b) and this section apply to enforcement actions in FAA programs.
(c) Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR
part 16 with the Federal Aviation Administration Office of Chief Counsel.
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§26.107 What enforcement actions apply to firms participating in the DBE program?
(a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate in
a DOT-assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations or under
circumstances indicating a serious lack of business integrity or honesty, the Department may initiate suspension or
debarment proceedings against you under 2 CFR parts 180 and 1200.
(b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts to
use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances indicating a
serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of subpart D of this part,
the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200.
(c) In a suspension or debarment proceeding brought under paragraph (a) or (b) of this section, the concerned
operating administration may consider the fact that a purported DBE has been certified by a recipient. Such certification
does not preclude the Department from determining that the purported DBE, or another firm that has used or attempted to
use it to meet DBE goals, should be suspended or debarred.
(d) The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, against
any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31 .
(e) The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other applicable
provisions of law, any person who makes a false or fraudulent statement in connection with participation of a DBE in any
DOT-assisted program or otherwise violates applicable Federal statutes.
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§26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation?
(a) Availability of records. (1) In responding to requests for information concerning any aspect of the DBE program,
the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S. C. 552 and
552a). The Department may make available to the public any information concerning the DBE program release of which is
not prohibited by Federal law.
(2) Notwithstanding any provision of Federal or state law, you must not release any information that may reasonably
be construed as confidential business information to any third party without the written consent of the firm that submitted
the information. This includes applications for DBE certification and supporting information. However, you must transmit
this information to DOT in any certification appeal proceeding under §26.89 of this part or to any other state to which the
individual's firm has applied for certification under §26.85 of this part.
(b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a) of this section, the
identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the investigation,
proceeding or hearing, or result in a denial of appropriate administrative due process to other parties, the complainant
must be advised for the purpose of waiving the privilege. Complainants are advised that, in some circumstances, failure to
waive the privilege may result in the closure of the investigation or dismissal of the proceeding or hearing. FAA follows the
procedures of 14 CFR part 16 with respect to confidentiality of information in complaints.
(c) Cooperation. All participants in the Department's DBE program (including , but not limited to, recipients, DBE firms
and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet contract goals)
are required to cooperate fully and promptly with DOT and recipient compliance reviews, certification reviews,
investigations, and other requests for information. Failure to do so shall be a ground for appropriate action against the
party involved (e.g., with respect to recipients, a finding of noncompliance; with respect to DBE firms, denial of certification
or removal of eligibility and/or suspension and debarment; with respect to a complainant or appellant, dismissal of the
complaint or appeal; with respect to a contractor which uses DBE firms to meet goals, findings of non-responsibility for
future contracts and/or suspension and debarment).
(d) Intimidation and retaliation. If you are a recipient, contractor, or any other participant in the program, you must not
intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or
privilege secured by this part or because the individual or firm has made a complaint, testified, assisted; or participated in
any manner in an investigation, proceeding, or hearing under this part. If you violate th is prohibition, you are in
noncompliance with this part.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011]
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I. When, as a recipient, you establish a contract goal on a DOT-assisted contract for procuring construction,
equipment, services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient
good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways . Fi rst, the bidder can meet
the goal , documenting commitments for participation by DBE firms sufficient for this purpose. Second , even if it doesn't
meet the goal, the bidder can document adequate good faith efforts . This means that the bidder must show that it took al l
necessary and reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity,
and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they
were not fully successful.
II. In any situation in which you have established a contract goal, Part 26 requires you to use the good faith efforts
mechanism of this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a
bidder that did not meet the goal made adequate good faith efforts . It is important for you to consider the quality, quantity,
and intensity of the different kinds of efforts that the bidder has made, based on the regulations and the guidance in this
Appendix .
The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder
were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere proforma
efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination
concerning the sufficiency of the firm's good faith efforts is a judgment call. Determinations should not be made using
quantitative formulas.
111. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a
specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate
good faith efforts showing . This rule specifically prohibits you from ignoring bona fide good faith efforts .
IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to
obtain DBE participation . It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive.
Other factors or types of efforts may be relevant in appropriate cases .
A. (1) Conducing market research to identify small business contractors and suppliers and soliciting through al l
reasonable and available means the interest of all certified DB Es that have the capability to perform the work of the
contract. This may include attendance at pre-bid and business matchmaking meetings and events, advertising and/or
written notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs
listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE
directory) and which are located in the area or surrounding areas of the project.
(2) The bidder should solicit this interest as early in the acquisition process as practicable to allow the DB Es to
respond to the solicitation and submit a timely offer for the subcontract. The bidder should determine with certainty if the
DBEs are interested by taking appropriate steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will
be achieved. This includes, where appropriate, breaking out contract work items into econom ically feasible units (for
example, smaller tasks or quantities) to facilitate DBE participation, even when the prime contractor might otherwise prefer
to perform these work items with its own forces. This may include, where possible, establishing flexible timeframes for
performance and delivery schedules in a manner that encourages and facilitates DBE participation.
C. Providing interested DB Es with adequate information about the plans, specifications , and requirements of the
contract in a timely manner to assist them in responding to a solicitation with their offer for the subcontract.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work
available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with
the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation
includes the names, addresses , and telephone numbers of DB Es that were considered; a description of the information
provided regarding the plans and specifications for the work selected for subcontracting ; and evidence as to why
additional Agreements could not be reached for DBEs to perform the work.
(2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors,
including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration.
However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient
reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or
desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the
responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs
if the price difference is excessive or unreasonable.
E. (1) Not rejecting DB Es as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations
and political or social affiliations (for example union vs. non-union status) are not legitimate causes for the rejection or non-
solicitation of bids in the contractor's efforts to meet the project goal. Another practice considered an insufficient good faith
effort is the rejection of the DBE because its quotation for the work was not the lowest received . However, nothing in this
paragraph shall be construed to require the bidder or prime contractor to accept unreasonable quotes in order to satisfy
contract goals.
(2) A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the ability
and/or desire to perform the contract work with its own forces does not relieve the contractor of the obligation to make
good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a prospective replacement DBE's
reasonable quote.
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the
recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services .
H. Effectively using the services of available minority/women community organizations; minority/women contractors'
groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a
case-by-case basis to provide assistance in the recruitment and placement of DB Es.
V. In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documented efforts. At a
minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the apparent
successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether,
with additional efforts , the apparent successful bidder could have met the goal. If the apparent successful bidder fails to
meet the goal, but meets or exceeds the average DBE participation obta ined by other bidders, you may view this, in
conjunction with other factors , as evidence of the apparent successful bidder having made good faith efforts. As provided
in §26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non-DBE subcontractor quote
submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract to review
whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation to inquire as to
whether they were contacted by the prime. Proforma mailings to DBEs requesting bids are not alone sufficient to satisfy
good faith efforts under the rule.
VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to
constitute good faith efforts.
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Appendix B to Part 26-Uniform Report of DBE Awards or Commitments and Payments Form
INSTRUCTIONS FOR COMPLETING THE UNIFORM REPORT OF DBE AWARDS/COMMITMENTS AND PAYMENTS
Recipients of Department of Transportation (DOT) funds are expected to keep accurate data regarding the
contracting opportunities available to firms paid for with DOT dollars. Failure to submit contracting data relative to the DBE
program will result in noncompliance with Part 26. All dollar values listed on this form should represent the DOT share
attributable to the Operating Administration (OA): Federal Highway Administration (FHWA), Federal Aviation
Administration (FAA) or Federal Transit Administration (FTA) to which this report will be submitted.
1. Indicate the DOT (OA) that provides your Federal financial assistance. If assistance comes from more than one
OA, use separate reporting forms for each OA. If you are an FTA recipient, indicate your Vendor Number in the space
provided.
2. If you are an FAA recipient, indicate the relevant AIP Numbers covered by this report. If you are an FTA recipient,
indicate the Grant/Project numbers covered by this report. If more than ten attach a separate sheet.
3. Specify the Federal fiscal year (i.e., October 1-September 30) in which the covered reporting period falls.
4. State the date of submission of this report.
5. Check the appropriate box that indicates the reporting period that the data provided in this report covers. For
FHWA and FT A recipients, if this report is due June 1, data should cover October 1-March 31 . If this report is due
December 1, data should cover April 1-September 30. If the report is due to the FAA, data should cover the entire year.
7. State your overall DBE goal(s) established for the Federal fiscal year of the report being submitted to and approved
by the relevant OA. Your overall goal is to be reported as well as the breakdown for specific Race Conscious and Race
Neutral projections (both of which include gender-conscious/neutral projections). The Race Conscious projection should
be based on measures that focus on and provide benefits only for DB Es. The use of contract goals is a primary example
of a race conscious measure. The Race Neutral projection should include measures that, while benefiting DBEs, are not
solely focused on DBE firms. For example, a small business outreach program, technical assistance, and prompt payment
clauses can assist a wide variety of businesses in addition to helping DBE firms.
The amounts in items 8(A)-10(1) should include all types of prime contracts awarded and all types of subcontracts
awarded or committed, including: professional or consultant services, construction, purchase of materials or supplies,
lease or purchase of equipment and any other types of services. All dollar amounts are to reflect only the Federal share of
such contracts and should be rounded to the nearest dollar.
Line 8: Prime contracts awarded this period: The items on this line should correspond to the contracts directly
between the recipient and a supply or service contractor, with no intermediaries between the two .
8(A). Provide the total dollar amount for all prime contracts assisted with DOT funds and awarded during this reporting
period. This value should include the entire Federal share of the contracts without removing any amounts associated with
resulting subcontracts.
8(B). Provide the total number of all prime contracts assisted with DOT funds and awarded during this reporting
period.
8(C). From the total dollar amount awarded in item 8(A), provide the dollar amount awarded in prime contracts to
certified DBE firms during this reporting period. This amount should not include the amounts sub contracted to other firms.
8(D). From the total number of prime contracts awarded in item 8(B), specify the number of prime contracts awarded
to certified DBE firms during this reporting period .
8(E&F). This field is closed for data entry. Except for the very rare case of DBE-set asides permitted under 49 CFR
part 26, all prime contracts awarded to DBES are regarded as race-neutral.
8(G). From the total dollar amount awarded in item 8(C), provide the dollar amount awarded to certified DBEs through
the use of Race Neutral methods. See the definition of Race Neutral in item 7 and the explanation in item 8 of project
types to include.
8(H). From the total number of prime contracts awarded in 8(D), specify the number awarded to DB Es through Race
Neutral methods.
8(1). Of all prime contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar
amount in item 8(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the nearest tenth .
Line 9: Subcontracts awarded/committed this period : Items 9(A)-9(1) are derived in the same way as items 8(A)-8(1),
except that these calculations should be based on subcontracts rather than prime contracts. Unlike prime contracts, which
may only be awarded, subcontracts may be either awarded or committed.
9(A). If filling out the form for general reporting, provide the total dollar amount of subcontracts assisted with DOT
funds awarded or committed during this period. This value should be a subset of the total dollars awarded in prime
contracts in 8(A), and therefore should never be greater than the amount awarded in prime contracts. If filling out the form
for project reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during
this period. This value should be a subset of the total dollars awarded or previously in prime contracts in 8(A). The sum of
all subcontract amounts in consecutive periods should never exceed the sum of all prime contract amounts awarded in
those periods.
9(B) . Provide the total number of all sub contracts assisted with DOT funds that were awarded or committed during
this reporting period.
9(C). From the total dollar amount of sub contracts awarded/committed this period in item 9(A), provide the total dollar
amount awarded in sub contracts to DBEs.
9(D). From the total number of sub contracts awarded or committed in item 9(B), specify the number of sub contracts
awarded or committed to DBEs.
9(E). From the total dollar amount of sub contracts awarded or committed to DB Es this period, provide the amount in
dollars to DBEs using Race Conscious measures.
9(F). From the total number of sub contracts awarded orcommitted to DBEs this period, provide the number of sub
contracts awarded or committed to DBEs using Race Conscious measures.
9(G). From the total dollar amount of sub contracts awarded/committed to DB Es this period, provide the amount in
dollars to DBEs using Race Neutral measures.
9(H). From the total number of sub contracts awarded/committed to DBEs this period, provide the number of sub
contracts awarded to DBEs using Race Neutral measures.
9(1). Of all subcontracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar
amount in item 9(C) by the dollar amount in item 9(A) to derive this percentage. Round percentage to the nearest tenth.
Line 1O: Total contracts awarded or committed this period . These fields should be used to show the total dollar value
and number of contracts awarded to DBEs and to calculate the overall percentage of dollars awarded to DBEs.
1O(C-H) . Combine the total values listed on the prime contracts line (Line 8) with the corresponding values on the
subcontracts line (Line 9).
10(1). Of all contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the total dollars
awarded to DB Es in item 1O(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the
nearest tenth.
Section B: Breakdown by Ethnicity & Gender of Contracts Awarded to DBEs This Period
11-17. Further breakdown the contracting activity with DBE involvement. The Total Dollar Amount to DBEs in 1?(C)
should equal the Total Dollar Amount to DB Es in 1O(C) . Likewise the total number of contracts to DB Es in 1?(F) should
equal the Total Number of Contracts to DB Es in 1O(D).
Line 16: The "Non-Minority" category is reserved for any firms whose owners are not members of the presumptively
disadvantaged groups already listed, but who are either "women" OR eligible for the DBE program on an individual basis.
All DBE firms must be certified by the Unified Certification Program to be counted in this report.
Line 18(A-E). Submit information on contracts that are currently in progress. All dollar amounts are to reflect only the
Federal share of such contracts, and should be rounded to the nearest dollar.
18(A). Provide the total dollar amount paid to all firms performing work on contracts.
18(B). Provide the total number of contracts where work was performed during the reporting period.
18(C). From the total number of contracts provided in 18(A) provide the total number of contracts that are currently
being performed by DBE firms for which payments have been made.
18(0). From the total dollar amount paid to all firms in 18(A), provide the total dollar value paid to DBE firms currently
performing work during this period.
18(E). Provide the total number of DBE firms that received payment during this reporting period. For example, while 3
contracts may be active during this period, one DBE firm may be providing supplies or services on all three contracts. This
field should only list the number of DBE firms performing work.
18(F). Of all payments made during this period, calculate the percentage going to DBEs. Divide the total dollar value
to DB Es in item 18(D) by the total dollars of all payments in 18(B). Round percentage to the nearest tenth.
This section should provide information only on contracts that are closed during this period . All dollar amounts are to
reflect the entire Federal share of such contracts, and should be rounded to the nearest dollar.
19(A). Provide the total number of contracts completed during this reporting period that used Race Conscious
measures. Race Conscious contracts are those with contract goals or another race conscious measure.
19(B) Provide the total dollar value of prime contracts completed this reporting period that had race conscious
measures,
19(C). From the total dollar value of prime contracts completed this period in 19(B), provide the total dollar amount of
dollars awarded or committed to DBE firms in order to meet the contract goals. This applies only to Race Conscious
contracts.
19(D). Provide the actual total DBE participation in dollars on the race conscious contracts completed this reporting
period.
19(E). Of all the contracts completed this reporting period using Race Conscious measures, calculate the percentage
of DBE participation . Divide the total dollar amount to DBEs in item 19(D) by the total dollar value provided in 19(B) to
derive this percentage. Round to the nearest tenth .
20(A)-20(E) . Items 21(A)-21(E) are derived in the same manner as items 19(A)-19(E), except these figures should be
based on contracts completed using Race Neutral measures.
21 (A)-21 (D). Calculate the totals for each column by adding the race conscious and neutral figures provided in each
row above.
21(E) . Calculate the overall percentage of dollars to DBEs on completed contracts. Divide the Total DBE participation
dollar value in 21 (D) by the Total Dollar Value of Contracts Completed in 21 (B) to derive this percentage . Round to the
nearest tenth .
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(A) Each firm that participates in a recipient's business development program (BOP) program is subject to a program
term determined by the recipient. The term should consist of two stages; a developmental stage and a transitional stage.
(B) In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria
contained in part 26.
(C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a
comprehensive business plan setting forth the participant's business targets , objectives and goals. The participant will not
be eligible for program benefits until such business plan is submitted and approved by the recipient. The approved
business plan will constitute the participant's short and long term goals and the strategy for developmental growth to the
point of economic viability in non-traditional areas of work and/or work outside the DBE program .
(1) An analysis of market potential, competitive environment and other business analyses estimating the program
participant's prospects for profitable operation during the term of program participation and after graduation from the
program.
(2) An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting any
financial, managerial, technical, or labor conditions which could impede the participant from receiving contracts other than
those in traditional areas of DBE participation.
(3) Specific targets, objectives, and goals for the business development of the participant during the next two years,
utilizing the results of the analysis conducted pursuant to paragraphs (C) and (0)(1) of this appendix;
(4) Estimates of contract awards from the DBE program and from other sources which are needed to meet the
objectives and goals for the years covered by the business plan; and
(E) Each participant should annually review its currently approved business plan with the recipient and modify the
plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently approved
plan should be considered the applicable plan for all program purposes until the recipient approves in writing a modified
plan . The recipient should establish an anniversary date for review of the participant's business plan and contract
forecasts.
(F) Each participant should annually forecast in writing its need for contract awards for the next program year and the
succeeding program year during the review of its business plan conducted under paragraph (E) of this appendix. Such
forecast should be included in the participant's business plan. The forecast should include:
(1) The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the
business plan;
(2) The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE participation;
(3) The types of contract opportunities being sought, based on the firm's primary line of business; and
(4) Such other information as may be requested by the recipient to aid in providing effective business development
assistance to the participant.
(G) Program participation is divided into two stages; (1) a developmental stage and (2) a transitional stage. The
developmental stage is designed to assist participants to overcome their social and economic disadvantage by providing
such assistance as may be necessary and appropriate to enable them to access relevant markets and strengthen their
financial and managerial skills. The transitional stage of program participation follows the developmental stage and is
designed to assist participants to overcome, insofar as practical, their social and economic disadvantage and to prepare
the participant for leaving the program.
(H) The length of service in the program term should not be a pre-set time frame for either the developmental or
transitional stages but should be figured on the number of years considered necessary in normal progression of achieving
the firm's established goals and objectives. The setting of such time could be factored on such items as, but not limited to,
the number of contracts, aggregate amount of the contract received, years in business , growth potential, etc.
(I) Beginning in the first year of the transitional stage of program participation, each participant should annually submit
for inclusion in its business plan a transition management plan outlining specific steps to promote profitable business
operations in areas other than traditional areas of DBE participation after graduation from the program. The transition
management plan should be submitted to the recipient at the same time other modifications are submitted pursuant to the
annual review under paragraph (E) of this section. The plan should set forth the same information as required under
paragraph (F) of steps the participant will take to continue its business development after the expiration of its program
term.
(J) When a participant is recognized as successfully completing the program by substantially achieving the targets,
objectives and goals set forth in its program term, and has demonstrated the ability to compete in the marketplace, its
further participation within the program may be determined by the recipient.
(K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the
following factors, among others, should be considered by the recipient:
(1) Profitability;
(3) Net worth, financial ratios, working capital, capitalization, access to credit and capital;
(5) A positive comparison of the DBE's business and financial profile with profiles of non-DBE businesses in the same
area or similar business category; and
(L) Upon determination by the recipient that the participant should be graduated from the developmental program, the
recipient should notify the participant in writing of its intent to graduate the firm in a letter of notification. The letter of
notification should set forth findings, based on the facts, for every material issue relating to the basis of the program
graduation with specific reasons for each finding. The letter of notification should also provide the participant 45 days from
the date of service of the letter to submit in writing information that would explain why the proposed basis of graduation is
not warranted.
(M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's
program term for good cause due to the failure of the firm to engage in business practices that will promote its
competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of inadequate
performance or unjustified delinquent performance. Also, the recipient can discontinue the participation of a firm that does
not actively pursue and bid on contracts, and a firm that, without justification, regularly fails to respond to solicitations in
the type of work it is qualified for and in the geographical areas where it has indicated availability under its approved
business plan. The recipient should take such action if over a 2-year period a DBE firm exhibits such a pattern.
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(A) The purpose of this program element is to further the development of DB Es, including but not limited to assisting
them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the
provision of training and assistance from other firms. To operate a mentor-protege program, a recipient must obtain the
approval of the concerned operating administration.
(B)(1) Any mentor-protege relationship shall be based on a written development plan, approved by the recipient,
which clearly sets forth the objectives of the parties and their respective roles, the duration of the arrangement and the
services and resources to be provided by the mentor to the protege. The formal mentor-protege agreement may set a fee
schedule to cover the direct and indirect cost for such services rendered by the mentor for specific training and assistance
to the protege through the life of the agreement. Services provided by the mentor may be reimbursable under the FTA,
FHWA, and FAA programs.
(2) To be eligible for reimbursement, the mentor's services provided and associated costs must be directly attributable
and properly allowable to specific individual contracts. The recipient may establish a line item for the mentor to quote the
portion of the fee schedule expected to be provided during the life of the contract. The amount claimed shall be verified by
the recipient and paid on an incremental basis representing the time the protege is working on the contract. The total
individual contract figures accumulated over the life of the agreement shall not exceed the amount stipulated in the original
mentor/protege agreement.
(C) DBEs involved in a mentor-protege agreement must be independent business entities which meet the
requirements for certification as defined in subpart D of this part. A protege firm must be certified before it begins
participation in a mentor-protege arrangement. If the recipient chooses to recognize mentor/protege agreements, it should
establish formal general program guidelines. These guidelines must be submitted to the operating administration for
approval prior to the recipient executing an individual contractor/ subcontractor mentor-protege agreement.
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The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic
disadvantage determinations (see 13 CFR 124.103(c) and 124.104).
SOCIAL DISADVANTAGE
I. Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias
within American society because of their identities as members of groups and without regard to their individual qualities.
Social disadvantage must stem from circumstances beyond their control. Evidence of individual social disadvantage must
include the following elements :
(A) At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic
origin, gender, disability, long-term residence in an environment isolated from the mainstream of American society, or
other similar causes not common to individuals who are not socially disadvantaged;
(B) Personal experiences of substantial and chronic social disadvantage in American society, not in other countries;
and
(C) Negative impact on entry into or advancement in the business world because of the disadvantage. Recipients will
consider any relevant evidence in assessing this element. In every case, however, recipients will consider education,
employment and business history, where applicable, to see if the totality of circumstances shows disadvantage in entering
into or advancing in the business world.
(1) Education. Recipients will consider such factors as denial of equal access to institutions of higher education and
vocational training, exclusion from social and professional association with students or teachers, denial of educational
honors rightfully earned, and social patterns or pressures which discouraged the individual from pursuing a professional or
business education .
(2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other aspects of
professional advancement, pay and fringe benefits, and other terms and conditions of employment; retaliatory or
discriminatory behavior by an employer or labor union; and social patterns or pressures which have channeled the
individual into non-professional or non-business fields.
(3) Business history. The recipient will consider such factors as unequal access to credit or capital, acquisition of
credit or capital under commercially unfavorable circumstances, unequal treatment in opportunities for government
contracts or other work, unequal treatment by potential customers and business associates, and exclusion from business
or professional organizations .
II. With respect to paragraph l.(A) of this appendix, the Department notes that people with disabilities have
disproportionately low incomes and high rates of unemployment. Many physical and attitudinal barriers remain to their full
participation in education, employment, and business opportunities available to the general public. The Americans with
Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with disabilities. It is plausible that
many individuals with disabilities-especially persons with severe disabilities (e.g ., significant mobility, vision, or hearing
impairments)-may be socially and economically disadvantaged.
Ill. Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed
to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by individuals
with disabilities, making a case-by-case judgment about whether such an individual meets the criteria of this appendix. As
public entities subject to Title II of the ADA, recipients must also ensure their DBE programs are accessible to individuals
with disabilities. For example, physical barriers or the lack of application and information materials in accessible formats
cannot be permitted to thwart the access of potential applicants to the certification process or other services made
available to DBEs and applicants.
ECONOMIC DISADVANTAGE
(A) General. Economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete
in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others
in the same or similar line of business who are not socially disadvantaged.
(B) Submission of narrative and financial information . (1) Each individual claiming economic disadvantage must
describe the conditions which are the basis for the claim in a narrative statement, and must submit personal financial
information.
(2) [Reserved]
(C) Factors to be considered. In considering diminished capital and credit opportunities , recipients will examine
factors relating to the personal financial condition of any individual claiming disadvantaged status, including personal
income for the past two years (including bonuses and the value of company stock given in lieu of cash), personal net
worth, and the fair market value of all assets, whether encumbered or not Recipients will also consider the financial
condition of the applicant compared to the financial profiles of small businesses in the same primary industry classification,
or, if not available, in similar lines of business, which are not owned and controlled by socially and economically
disadvantaged individuals in evaluating the individual's access to credit and capital. The financial profiles that recipients
will compare include total assets, net sales, pre-tax profit, sales/working capital ratio, and net worth
(D) Transfers within two years. (1) Except as set forth in paragraph (D)(2) of this appendix, recipients will attribute to
an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family
member, or to a trust, a beneficiary of which is an immediate family member, for less than fair market value , within two
years prior to a concern's application for participation in the DBE program, unless the individual claiming disadvantaged
status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education,
medical expenses, or some other form of essential support.
(2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that individual
to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays,
graduations, anniversaries, and retirements.
(3) In determining an individual's access to capital and credit, recipients may consider any assets that the individual
transferred within such two-year period described by paragraph (D)(1) of this appendix that are not considered in
evaluating the individual's assets and net worth (e.g., transfers to charities).
t. Back to Top
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Appendix G to Part 26-Personal Net Worth Statement
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ATTACHMENT 2
Organizational Chart
ATTACHMENT 2
Organizational Chart
City Of Hammond
310 East Charles St
Hammond LA 70404
I
David Lobue, Airport
PH (985) 277-5667
I
Beth Yokum, Airport Assistant
PH (985) 277-5668
ATTACHMENT 3
ALL DBE Certified Contractors for the Letting of 5111/2016 LA DOTD Headquarters
The following is a list of those finns currently certified by the Louisiana Department of Transportation and Deve1opment as Disadvantaged and/or Women Business Enterprises, Only these finns
are certified eligible to participate for work or services to be counted toward contract goals for the above stated projects.
It is the Prime Contractor's responsibility to insure only properly licensed contractors perfonn work in excess of$50,000. While it is not necessary to be licensed to bid Federal Aid Projects, the
license must be obtained prior to issuance of a Notice To Proceed. Questions regarding licensing should be directed to the State Licensing Board For Contractors, (225) 765-230 I.
This list is not an endorsement or guarantee of capability, dependability, or availability of any finn listed. Credit for DBE/WBE participation will only be given for use of certified finns who
perfonn a commercially useful function in accordance with 49CFR26 .
Should you have any questions concerning the infonnation contained in this list, please contact the Compliance Programs Section, (225) 379-1382 or Email: Remy Ornvcs,
Select by Agency
DOTD D Excel
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 2 of 87
Co ntrn ctor
Type
Address Oate
Mino rity
City, Stale Zi1> Certified
Phone
Ownc1· Lice nse#
F11x
Work Ty)le
JST RESOURCE SOLUTIONS, LLC MINORITY BUSINESS ENTERPRISE 7/31/2013
18 I J N DUMONT DRIVE BLACK
MARION,, IN 46952 765-618-8800
SANDERS, DARRYL 888-499-1527
C73-Broker Fees for Construction Materials jterry@I strcsourcesoiutions com
Bock 10 Toi•
Contractor
T y pe
Address 0111e
Minority
City, State Zip Certified
Phone
Owner License#
Fax
Work Type
A & A Enterprises, Inc, WHITE WOMEN BUSINESS ENTERPRISE 10/1/1988
84 23RD STREET OTHER 24023
KENNER, LA 70062 504-468-2527
Albaral, Gail 504-468-2734
B07-Core Drilling, 808-Wall Sawing, B09-Saw Cutting, Bl !-Grooving, B85-Joint Cleaning and Sealing, 727-Mobilization galbaral@aa-companies,com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 3 of 87
LAPLACE, LA 70068 BLACK
504-355-1512
Dl6-Grant Research, Writing and Administration
andrea@aandeenterprise.co1n
Abaci Research & Consulting, LLC WHITE WOMEN BUSINESS ENTERPRISE 11112013
135 CRENSHAW LANE OTHER
BASTROP, TX 78602 512-663-0493
STEWART, KIM 855-692-3529
C 15-Research Surveys, C 17-Supportive Services kim@abacirc com
ABBIGAIL A BROWN CONSUL TING, LLC WHITE WOMEN BUSINESS ENTERPRISE 12/31/2010
5956 COLLEGE DRIVE OTHER
BATON ROUGE, LA 70806 225-324-2002
BROWN, ABBIGAIL ANN
C74-Construction Management abbigail@aabconsultingllc.com
ABP LLC dba Express Employ. Profess WHITE WOMEN BUSINESS ENTERPRISE 9/1/2010
I 00 BEAUVAIS A VENUESUITE B-3 OTHER
LAFAYETTE, LA 70507 337-896-6066
Prejean, Arica 337-896-6773
C80-TEMPORARY HELP SERVICES arica prejean@expresspros.cmn
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 4 of 87
B89-Building Site Preparation, 20 I-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203- 985-223-6288
Excavation and Embankment, 727-Mobilization craigh stewart@aol.com
ADVANTAGE MANHOLE & CONCRETE SERVICES,• WHITE WOMEN BUSINESS ENTERPRISE 3/30/2010
P.O BOX 841477 OTHER
HOUSTON, TX 77284 832-428-2902
WILLIAMS, PATRICIA F. 7138490225
742-Sanitary Sewer Systems advantagcmanhole@att net
AGE Avicon General Enterprises, LLC MINORITY BUSINESS ENTERPRISE 1 l/l /20 12
PO BOX 83556 BLACK 53054
BA TON ROUGE, LA 70884 225-220-5280
LEE, CURTIS G.
B77-FLOORING, B80-Wall Covering and Painting, B84-Residential Building Construction, B86-Pressure Washing, C74-agel clee@gmail com
Construction Management, 727-Mobilization
AIR WARE TRANSPORTATION & LOGISTICS, LLC MINORITY BUSINESS ENTERPRISE 7/30/2007
P.O . BOX 2781 BLACK
NEW ORLEANS, LA 70176 504-486-7700
WILLIAMS, TERRY 8007311714
CID-Management, Cl I-Planning, Cl4-Transportation Planning tlwcpa@aol.com
AJA Management & Tech Ser, Inc MINORITY BUSINESS ENTERPRISE 3/1/2012
912 NORTH WEST STREEET BLACK
JACKSON, MS 39202 601-352-6800
JENKINS, ANDREW 601-352-6807
B35-Right-of-Way Acquisitions, C 17-Supportive Services, C2 l-Construction Inspections amjenkins@ajaservices.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 6 of 87
ALEXIS. LINCOLN 5047317017
811-Painting and Protective Coatings lincolnalexis46@yahoo com
ALL THE WAY CLEAN CAR WASH MINORITY BUSINESS ENTERPRISE 10/3 1/20 11
6374 DIANNE ST, BLACK
SHREVEPORT,, LA 71119 318-402-8608
ALLEN, DENASSO V,
B79-Automotive Detailing Services allthewaycleancarwash4@gmail com
ALLEN ACCOUNTING & CONSUL TING, LLC MINORITY BUSINESS ENTERPRISE 6/23/201 I
4480 GEN DEGAULLE DRIVE, SUITE 207 BLACK
NEW ORLEANS, LA 70114 504-231-0247
ALLEN, ARTHUR 504324671 I
CI 9-Accounting a 11enacct11 c@yahoo,com
Alpha Service And Products, Inc. WHITE WOMEN BUSINESS ENTERPRISE 711/2000
6925 HWY 175 OTHER 34068
FRIERSON, LA 71027 3 I 8-872-5611
JANET LILLEY 318-872-5616
202-Removal or Relocating Strnctures and Obstructions, 704-Guardrails, 705-Fences, 706-Concrete Walks, Dri ves And Incidental mwall@alpha-la com
Paving, 713-Temporary Signs, Barricades, Barriers and Pavement Markings, 716-Vegetative Fiber Mulch, 717-Seeding, 718-
Fertilizer and Agricutural Lime, 720-Erosion Control Systems, 727-Mobilization, 729-Traffic Signs and Devices, 735-Mailboxes
and Mailbox Support, 740-Construction Layout
AMERICA SIGN & LIGHTING, LLC WHITE WOMEN BUSINESS ENTERPRISE 2/5/2016
935 ORA VIER STREETSUITE I028 OTHER 61704
NEW ORLEANS, LA 70112 504-239-3374
CORTNEY ORAY 504-324-0603
055-Electrical Supplies cortney@signandlighting.com
ANASTASlA BRENAN COMMUNICATIONS, LLC Di* WHITE WOMEN BUSINESS ENTERPRISE 7/30/2009
857 COLDWATER CREEK CIRCLE OTHER
NICEVILLE, FL 32578 850-228-2667
WALLACE, ANASTASIA B
C47·Public Relations sbrenan@earthlink.net
ASSOCIATED COST ENGINEERS OF DELA WARE, I MINORITY BUSINESS ENTERPRISE 10/ 15/2009
801 N PINE HILLS ROAD BLACK
ORLANDO, FL 32808 407-704-7803
WADE, JAJA 407-704-7937
BC-Building Construction, BO I-Roofing, B49-Stay in Place Metal Fonns, B86-Pressure Washing, CSL-Construction Layoutjwadeaceconstructionmanagement.com
Design, C02-Mechanical Engineering, C2 I-Construction Inspections, C43-Computer Assisted Drafting, C74-Construction
Management, 202-Removal or Relocating Structures and Obstructions, 704-Guardrails, 705-Fences, 709-Steel Cattle Guars, 7 I 3-
Temporacy Signs, Barricades, Barriers and Pavement Markings, 729-Traffic Signs and Devices, 733-Concrete Roadway Barriers,
740-Construction Layout, 802-Structural Excavation and Backfill, 803-Sheet Piles, 805-Structural Concrete, 806-Reinforcement,
807-Structural Metals, 808-Steel Grid Flooring, 810-Bridge Railing and Barriers, 813-Concrete Approach Slabs
Bn~k to Toe
Contractor
Type
Address D•te
Minority
City, State Zip Certified
Phone
Owner License#
Fax
Work Type
B & B Rentals & Sales Inc MINORITY BUSINESS ENTERPRISE 7/ 1/2009
6624 Greenwood Road BLACK 52363
SHREVEPORT, LA 71119 318-631-2720
Brown, Phillip 318-631-2721
713-Temporary Signs, Barricades, Barriers and Pavement Markings, 727-Mobilization calvinbealcs@yahoo.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 11of87
Grace, Cathy P. 225-761-0620
TRK-Trucking, 201-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation andinfo@bmgrace.com
Embankment, 301-Base Course - Class I, 302-Base Course - Class II, 701-Culverts and Stenn Drains, 702-Manholes, Junction
Boxes, Catch Basins, and End Treannents, 703-Underdrain Systems, 704-Guardrails, 706-Concrete Walks, Drives And Incidental
Paving, 707-Curbs and Gutters, 713-Ternporary Signs, Barricades, Barriers and Pavement Markings, 726-Bedding Materials, 727-
Mobilization, 802-Structural Excavation and Backfill, 805-B-Structural Concrete-Precast Box Culverts and Headwalls
BACKSTROM MCCARLEY BERRY & CO, LLC MINORITY BUSINESS ENTERPRISE 12/11/2008
115 SANSOME STREET, MEZA BLACK
SAN FRANCISCO, CA 94104 4 I 5-392-5505
MCCARLEY, VINCENT 4153925276
C59-Financial Consulting vmccarley@bmcbco.com
Barnes, Ferland And Associates, Inc WHITE WOMEN BUSINESS ENTERPRISE 711/2011
1230 HILLCREST ST OTHER
ORLANDO, FL 32803 407-896-8608
Barnes, Patrick A 407-896-1822
C20·Envirorunental Impact Assessments pbames@bfaenviron1nental ,com
Barrister Global Ser. Network, Inc WHITE WOMEN BUSINESS ENTERPRISE 711 /2012
PO BOX 1979 OTHER
HAMMOND, LA 70404 985-365-0802
Bowers, Debra D. 985-310-55 l 0
C58-Telecommunications Call Center, C99-BROKER FEES FOR IT SERVICE/REPAIR jlacy@barrister com
BART'S OFFICE FURNITURE REPAIRS , INC WHITE WOMEN BUSINESS ENTERPRISE 6/30/2015
709 CARROLLTON A VENUE OTHER
METAIRIE, LA 70005 504-484-6324
THIBODEAUX, KATHLEEN 5048339598
D09-Warehouse/Storage Facility barts30@cox net
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 12 of 87
and Grout, 053-Supply of Lamps and Bulbs, 054-Supply of Light Fixtures, 055-Electrical Supplies, 064-Supply of Doors and
Windows, 070-Supplier Bolts, Nuts and Screws, 082-HEATING & AIR CONDITIONER SUPPLIES, 727-Mobilization
BLUE FLASH SEWER SERVICE, INC. WHITE WOMEN BUSINESS ENTERPRISE 8/19/20I4
648 HICKORY AVENUE OTHER
HARAHAN, LA 70123 504-888-2024
KELLY C. CAZAUX 504-738-0604
B05-Plumbing, B41-PVC Sewer and Drain Pipe, B85-Joint Cleaning and Sealing, 703-Underdrain Systems, 742-Sanitary Sewer
Systems
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 14 of 87
LITTLE FERRY, NJ 07643 201-450-0375
Rogers, Jeron
C06-Land Surveying, C09-Civil Engineering, C74-Construction Management nboute1nine@bnrengineering.com
BOINES CONST. & EQUIPMENT CO., INC. MINORITY BUSINESS ENTERPRISE 5/31/1993
2401 NORMAN STREET BLACK 24299
HARVEY, LA 70058 504-368-2735
BOINES, MICHAEL 504-368-2749
20 I-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 204- mboines@aol com
Temporary Erosion Control, 40 I-Aggregates Surface Course, 402-Traffic Maintenance Aggregates, 510-Asphaltic Concrete
Pavement Patching, Widening & Joint Repair, 701-Culverts and Stonn Drains, 702-Manholes, Junction Boxes, Catch Basins, and
End Treatments, 704-Guardrails, 705-Fences, 706-Concrete Walks, Drives And Incidental Paving, 707-Curbs and Gutters, 710-
Flowable Fill, 711-RipRap, 712-Revetments, 714-Slab Sodding, 726-Bedding Materials, 802-Structural Excavation and Backfill,
803-Shect Piles, 804-Driven Piles, 810-Bridge Railing and Barriers, 812-Treated Timber, 813-Concrctc Approach Slabs
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 15 of 87
BROTHERHOOD WAY GENERAL CONTRACTORS, LLC MINORITY WOMEN BUSINESS 2/2112014
2004 ST. ANDREW STREET ENTERPRISE 49624
NEW ORLEANS, LA 70113 BLACK
PEARL WEATHERSBY 504-287-4416
BC-Building Construclion
team@teambwc com
Bm1 Brown Painting & Floor Coaling MINORITY BUSINESS ENTERPRISE 61112014
3722 HWY 146 BLACK
CHATAM, LA 71226 3 J 8-245-5 I 75
Brown, Oswald 318-249-4498
B52-Commercial Painling, B77-FLOORJNG, B80-Wall Covering and Painting, B87-Drywall Contractor, 727-Mobilization ozbrown8 I@holmail com
Bock 1pJ<1J1
Contractor
Type
Address Da te
Minority
C ity, State Zip C ertified
Phone
Owner Licen se#
F:u
Work Type
C & A HAULING MINORITY BUSINESS ENTERPRISE 2/2812005
3043 MORNINGSIDE DRIVE BLACK
SHREVEPORT, LA 71108 318-635-6932
R.ASCO, CHARLES ALLEN
TRK-Trucking granila45@gmail.com
C & K UNITED SHEET METAL & MECH, JN MINORITY BUSINESS ENTERPRISE 113 112013
PO BOX 16095 BLACK
EVANSVILLE., IN 47716 812-423-5090
COATES, JR, MAURICE 812-423-5499
Dl3-Wall Panel Installation m_coatesjr@ckunileclcom
http ://wwwapps .dotd. la. govI engineering/lettings/ subsdbed/ dbhq 20160 511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 16 of 87
C & M CONSTRUCTION GROUP, INC MINORITY BUSINESS ENTERPRISE 4125120 I2
9 CALCASIEU COURT HISPANIC
KENNER, LA 70065 504-559-969 l
MENDIETA, CARLOS RAMON 5043054586
B09-Saw Cuning, G30-No Item, G90-No Item, 510-Asphaltic Concrete Pavement Patching, Widening & Joint Repair, 705-Fences carlos@candmcg com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 18of87
Brown, Chuck Carr 225-663-8545
CIO-Management, CI I-Planning, C20-Enviromnental Impact Assessments chuck@ccbrownandassociates,com
7/14/2015
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 19 of87
CHALLENGING CAREER PLACEMENT RESOURCES • MINORITY WOMEN BUSINESS
317 BURGUNDY STREET, SUITE 3 ENTERPRISE
NEW ORLEANS, LA 70117 BLACK
SANCHEZ, JANICE 504-722-1188
C46-Training Development, C78-BROKER FEES FOR TEMPORARY STAFFING, C80-TEMPORARY HELP SERVICES, C94-
Human Resources Consulting apsanchezjr@aol.com
CHARBONNET & ASSOCIATES, PLANNERS & CON* MINORITY BUSINESS ENTERPRISE 5/2/200 I
365 CANAL STREET, SUITE 1155 BLACK
NEW ORLEANS, LA 70130 504-561-0996
CHARBONNET, BERNARD L, 5045617850
C20-Environmental Impact Assessments kspiess@charbonnetassociates.com
Ci vii Design & Construction, Inc. WHITE WOMEN BUSINESS ENTERPRISE 3/1/2006
PO BOX 857 OTHER 03414
PORT ALLEN, LA 70767 225-765- I 802
WESTON, KARLA E. 225-765- I 803
CSL-Construction Layout Design, C03-Drafting, COS-Structural Engineering, C06-Land Surveying, C09-Civil Engineering, Cl2-kweston@cdcbr.com
Right-of-Way, C2 I-Construction Inspections, 727-Mobilization, 740-Construction Layout
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 21 of 87
CLH Builders, LLC MINORITY BUSINESS ENTERPRISE 6/112012
1041 CHARIOT DRIVE BLACK
BATON ROUGE, LA 70816 225-315-2216
HITCHENS, CHRIS 225-388-5796
BC-Building Construcrion, 877-FLOORING, B84-Residential Building Construction, B87-Drywall Contractor, 727-Mobilization clhbuildersllc@yahoo.com
CNC CONSTRUCTION & AIR CONDITIONING, LLC MINORITY BUSINESS ENTERPRISE 3/13/2013
2116 BARONNE STREET ASIAN OR PACIFIC ISLANDER
NEW ORLEANS, LA 70113 504-296-9308
NGUYEN. CURTIS 5043092090
BC-Building Construction, BIO-Asbestos Abatement, D03-Solar Energy Equipment Installation cnguyen 13@aol.com
COASTAL & HIGHWAY EROSION CONTROL WHITE WOMEN BUSINESS ENTERPRISE 7/l /2012
PO BOX 877 OTHER 54998
SIMMESPORT, LA 71369 318-941-2418
Galland, Anita 3 I 8-94 I-24 I 6
204-Temporary Erosion Control, 705-Fences, 7I4-Slab Sodding, 7 I 5-Topsoil, 716· Vegetative Fiber Mulch, 717-Seeding, 7 I 8- anitag@bellsouth net
Fertilizer and Agricutural Lime, 7I9-Landscaping, 720-Erosion Control Systems, 721-Asphalt Mulch, 727-Mobilization, 738-
Mulch Sodding, 739-Hydro-Seeding
Const Recruiters Amer Staffing, Inc. WHITE WOMEN BUSINESS ENTERPRISE 6/1/2010
14931 FOXHEATHDRIVE OTHER
SOUTHWEST RANCHES, FL 3333 I 520-270-9923
DIANE DALMAN 888-457-3336
C80-TEMPORARY HELP SERVICES diane@crastaffing com
8/31/2012
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 24of87
CURTIS WRIGHT BUILDERS MINORITY BUSINESS ENTERPRISE
2775 STANDARD OIL ROAD BLACK
SHREVEPORT,, LA 71108 318-564-5332
WRIGHT, CURTIS 318-671-8464
BC-Building Construction, BO I-Roofing, B77-FLOORING, B80-Wall Covering and Painting, B84-Residential BuildingcurtiswrighL81@gmail.com
Construction, B87-Diywall Contractor, B95-Wood Frammg
B~ck to Top
Contractor
Type
Address Da te
Minority
C ity, State Zip Certified
Phone
Owner License #
Fax
W o rk Type
D&L Landscaping WHITE WOMEN BUSINESS ENTERPRISE 2/ 1/20 13
530 SOUTH ELM OTHER 57657
HAUGHTON, LA 71037 318-949-0243
ISOM, DANA 318-949-1288
714-Slab Sodding, 715-Topsoil, 716-Vegetative Fiber Mulch, 717-Seeding, 719-Landscaping, 727-Mobilization, 738-Mulch bdisom@suddenlink net
Sodding, 739-Hydro-Seeding
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 25 of 87
Renea Ducote
B32-Maintenance Mowing, 719-Landscaping ducoter@gmaiLcom
Dana Brown & Associates, Inc WHITE WOMEN BUSINESS ENTERPRISE 11/1/201 l
601 LAUREL STREET OTHER
BATON ROUGE, LA 70802 22S-266-S I SO
Brown, Dana
COS-Landscape Architecture, Cl I-Planning dbrow11@danabrownassociates.com
DBE Plans & Goals Preparation Ser. WHITE WOMEN BUSINESS ENTERPRISE 9/1/2003
210 LAKE HOLLOW DRIVE OTHER
WEATHERFORD, TX 76087 8 I 7-S94-7283
DOUGHERTY, ANITA 8 I 7-S94· 7283
CS7-DBE Plans & Goal Preparation ahdough@hottnail com
Deborah Munihy Lagos & Associates WHITE WOMEN BUSINESS ENTERPRISE 11/1/2014
4635 ALISA CIRCLE NE OTHER
ST PETERSBURG, FL 33703 727-63 I· I SS3
LAGOS, DEBORAH
C20-Enviromnental Impact Assessments deboralunurphy.lagos@gmail.cmn
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 26of87
NEW ORLEANS, LA 70187 BLACK
GOULD, DEBRA 5042446576
C46-Training Development, C52-Broker Fees Promotional Products 5042432058
djgould@gouldassoc.co1n
DeCuir, Clark & Adams, LLP MINORITY BUSINESS ENTERPRISE 12/11 /2015
732 North Blvd BLACK
Baton Rouge, LA 70802 225-346-8716
WINSTON G. DECUIR, SR 225-336-1950
C31-Legal Services winston@decuirlaw.com
DISCOUNT REALTY LLC D/B/A WINDFEEL PROP* MINORITY BUSINESS ENTERPRISE 6/26/2013
603 SAINT JOSEPH STREET BLACK
NEW ORLEANS, LA 70130 504-821-2001
WINFIELD, REGGIE 8778636098
C56-Real Estate Evaluation and Consulting, C6 l-Real Estate Sales reggie@windfeelproperties com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 28 of 87
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 29 of 87
SEAN LAURENT AND NEIL METOYER 888-486-9320
BC-Building Construction sean@dynamicnola com
Contra ctor
Ty pe
Address Date
Minority
City, Stole Zip Certified
Phone
Owne1· License#
Fnx
Wo rkT)'llC
MINORITY WOMEN BUSINESS 8/1 l/2DID
E Z LOPEZ PAINTING & DRYWALL, LLC
ENTERPRISE
705 N PIERCE A VENUE
HISPANIC
MET AIRIE, LA 70003
504-884-2039
LOPEZ, ZAIRA
5047372462
B52-Commercial Painting, 811-Painting and Protective Coatings
adm.in@ezlpainting.com
EA. BIGGS & ASSOCIATES, INC . WHITE WOMEN BUSINESS ENTERPRISE 6/25 /2DD8
I 12D ENGINEERS RDSTE 25 OTHER
BELLE CHASSE, LA 7DD37 5D4-393-16Dl
SMITH, PAM 504-393-16D7
TRK-Trucking pam@eabiggs.biz
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 30 of 87
EEC Electric MINORITY BUSINESS ENTERPRISE 711/2011
PO BOX 10946 HISPANIC 30090
JEFFERSON, LA 70181 504-467-4005
TEJEDA,RAFAEL A. 504-443-2690
727-Mobilization, 730-Electrical Systems wtejeda@cox net
Elle Water Works Supply, LLC WHITE WOMEN BUSINESS ENTERPRISE 2/1/2013
8349 !st Avenue OTHER
Leeds, AL 35094 205-314-5783
Foote, Angela 205-373-0262
D05-Broker Fees for Mechanical Components and Assemblies, 727-Mobilization cmyrick@ellewws.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 31of87
EME CONSUL TING GROUP, LLC MINORITY WOMEN BUSINESS 5/22/2015
2015 WEST AIRLINE HIGHWAY ENTERPRISE
LA PLACE, LA 70068 BLACK
LEWIS-EUGENE. ELIZA M. 504-451-4712
C36-Markeling, C74-Conslrnction Management
eliza@elizaeugene com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 32 of 87
504-304-5 l 90
valwdunn@aol com
EXPERT MAINTENANCE & CONST SVC LLC MINORITY BUSINESS ENTERPRISE 8/3 l/20 I 0
PO BOX 741 BLACK 54488
PRAIRIEVILLE, LA 70769 225-910-1121
MOORE, JAMES 225-622-5695
B32-Maintenance Mowing, B45-Janitorial Services, B98-Street Sweeping, 201-Clearing and Grubbing, 202-Removal or Relocating.ijmoore@eatel.net
Structures and Obstructions, 203-Excavation and Embankment, 509-Cold Planing Asphalt Pavement, 701-Culverts and Stonn
Drains, 703-Underdrain Systems, 706-Concretc Walks, Drives And Incidental Paving
Buck 10 Ton
Contractor
Type
Address Da te
Minority
C ity, State Zip C erri tied
Phone
Owner License #
Fa x
Work Ty pe
F_W_ JNSURANCE SERVICES, LLC MINORITY BUSINESS ENTERPRISE 2/3/2004
1903 WYNDEMERE DRIVE BLACK
SLIDELL, LA 70461- 504-884-J 425
W ALTER, FELTON 9856439860
CJO-Management, C23-Insurance Management !Winsservices@aol.com
B62-Event Planning, CIO-Management, CI I-Planning, C15-Research Surveys, C34-Procurement Specialist, C43-Computeralicia@ flowstream-mgmt com
Assisted Drafting, C46-Training Development, C48-Community Involvement, D16-Grant Research, Writing and Administration
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LA DOTD - Certified DBE Directory Page 33 of 87
FOREST. PETER
C72-Progress Photos pforest68@gmail.com
FP RICHARD CONSTR, DBA RUE CONTRACTORS WHITE WOMEN BUSINESS ENTERPRISE 6/19/2013
4425 KAWANEE AVE OTHER
METAIRIE, LA 70006 504-259-821 l
FRANCESCA RICHARD 504-461-9780
B89-Building Site Preparation, B94-Concrete Block Installation, C74-Construction Management, 201-Clearing and Grubbing, 202-mjrichardl@aol.com
Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 701-Culvens and Stonn Drains, 702-
Manholes, Junction Boxes, Catch Basins, and End Treatments, 703-Underdrain Systems, 706-Concrete Walks, Drives And
Incidental Paving, 707-Curbs and Gutters, 711-RipRap, 712-Revetments, 726-Bedding Materials, 733-Concrete Roadway Barriers,
802-Structural Excavation and Backfill, 813-Concrete Approach Slabs
FRANCIS FINANCIAL GROUP, LLC D/B/A FFC * MINORITY BUSINESS ENTERPRISE 7/21/2008
400 POYDRAS STREET, SUITE 2400 BLACK
NEW ORLEANS, LA 70130- 504-299-2990
FRANC!S, OCTAVE J. 504-299-299!
CI I-Plann ing, C59-Financial Consulting ofrancis@ffc-capi ta I. corn
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Contractor
Ty1>c
Address Date
Minol'ity
City, Sta te Zip Certified
Phone
Owner License#
l'nx
Work Type
G & M ASSOCIATES MINORITY BUSINESS ENTERPRISE 7/17/2009
6516 EUDAILEY COVINGTON BLACK
COLLEGE GROVE, TN 37046 615-554-9408
RICE, GREG 6153683318
BC-Building Construction grunassociates99@hotmail com
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G.E.N.T.'S ENTERPRISES LLC MINORITY WOMEN BUSINESS 6/1/2008
4330 VICTORIA DRIVE ENTERPRISE 51075
BATON ROUGE, LA 70812 BLACK
Evelyn F. Braud 225-892-5122
727-Mobilization, 811-Painting and Protective Coatings 225-778-748 l
evelynbraudl@yahoo.com
8/31/2012
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
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GEAUX DATA, LLC MINORITY WOMEN BUSINESS
215 REPUBLIC AVE #9108 ENTERPRISE
LAFAYETTE,. LA 70508 HISPANIC
LOCKE, ANNA 409-363-9542
C33-Traffic Cowlling and Data Collection
geauxdata@gmail.com
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LA DOTD - Certified DBE Directory Page 36 of 87
GLOBAL MANAGEMENT ENTERPRISE MINORITY WOMEN BUSINESS 6/30/2011
3226 LAKE STREET ENTERPRISE
LAKE CHARLES, LA 7060 l HISPANIC
MATHEUS, DALIA 337-4 77-1862
C80-TEMPORARY HELP SERVICES 337-477-1863
gmellc@bellsouth net
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LA DOTD - Certified DBE Directory Page 37 of 87
SHEPARD P, GREEN. JR 504-252-9451
C26-Security Systems, C55-Security Surveillence hr@greenbeltsecurity.com
GULF SOUTH ENGINEERING & TESTING, INC. MINORITY BUSINESS ENTERPRISE 12/27/2011
2201 ABERDEEN STREET BLACK
KENNER, LA 70062 504-491-8998
GREENUP. RODNEY 5043054408
B63-Construction Material Testing, CL T-Concretc Labs and Field Testing, CO 1-Geotechnical Engineering, C2 I-Construction rgreenup@gulfsoutheng.com
Inspections
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Contractor
Ty]Je
Address Da te
Minority
C ity, State Zip C er tified
Phone
Owner License#
Fax
Work Type
H & W Demolition, Inc WHITE WOMEN BUSINESS ENTERPRISE 6/1/2010
2055 MCCALL STREET OTHER 06862
BOSSIERCITY,LA 7Illl 318-742-3922
MOORE, DIANE C. 318-742-3920
201-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 727-diane@hwdemolition com
Mobilization
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 39 of 87
C02·Mechanical Engineering, C03·Drafting, C05·Structural Engineering, C09-Civil Engineering, C to-Management, C30-Airport
Planning and Design, C74-Construction Management john@hdanda.net
HEBERT'S TRUCKING & EQUIP SER., LLC MINORITY BUSINESS ENTERPRISE 8/31/1992
5110 CARMELITE STREET NATIVE AMERICAN 40256
CROWN POINT, LA 70072 504-689-2420
HEBERT, EMILE 504-689-2228
TRK· Trucking, 003-Supply of Aggregates, 20 I-Clearing and Grubbing, 203-Excavation and Embankment, 301-Base Course - Class emileandbev@cox net
I, 302-Base Course • Class 11, 70 I-Culverts and Storm Drains, 702-Manholes, Junction Boxes, Catch Basins, and End Treatments,
706-Concrete Walks, Drives And Incidental Paving, 714-Slab Sodding, 723-Granular Materials, 726-Bedding Materials
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 40of87
Holmes Solutions MINORITY BUSINESS ENTERPRISE 5/22/2015
I 015 Richsmith Lane BLACK
Hammond, LA 70403 504-251-1934
Brian Holmes 985-318-7286
C26-Security Systems, C32-Installation of Audio and Video Equipment holmesllc@mail com
HOMEGROWN GARDENS & LAWN, L L.C. WHITE WOMEN BUSINESS ENTERPRISE 9/8/2009
#8 SOUTH PARK PLACE OTHER
NEW ORLEANS, LA 70124 504-909-9807
BALLANCO, BARBARA 5042670885
042-Supply of Bedding Materials, 719-Landscaping homegrownnola84@yahoo.com
HOOKER TOP OF THE LINE JANITORIAL SVC MINORITY BUSINESS ENTERPRISE 10120/2011
4037 S. DELLS STREET BLACK
HARVEY, LA 70058 504-287-9404
CHARLIE HOOKER 504-341-1571
B45-Janitorial Services cfhooker@bellsouth ,net
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Contrctctor
Type
Address Date
Minority
C ity, State Zip C ertified
Phone
Owner License #
Fax
Work Ty pe
I G H CONTRACTING SERVICES, LLC MINORITY BUSINESS ENTERPRISE 10122/2008
32 MAGNOLIA TRAC DRIVE BLACK
HARVEY, LA 70058 504-931-6983
THOMPSON, ERIC 5043627241
BC-Building Construction, C24-Telecommunications lenouveau@nocoxmaiLcom
INNOVATIVE SALES AND CONSULTING OF AMER• WHITE WOMEN BUSINESS ENTERPRISE 317/2012
125 N. THEARD STREET OTHER
COVINGTON, LA 70433 985-871-8981
ENGLAND, KAREN 8153617419
C45-Business Process Analysis kenglandlOO@aol com
------ - - - - - ---------- ------- -------------
MINORITY WOMEN BUSINESS 10/8/2014
INSURANCE DESIGN & PLACEMENT, INC.
ENTERPRISE
1615 POYDRAS STREET, SUITE 900
BLACK
NEW ORLEANS, LA 70112
504-408-1437
HILLARD, SEBRINA BUSH
3036079008
C23-Insurance Management
sebrinab@insurancedp net
5/5/2015
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 42of87
INTEGRATED PROJECT CONTROLS MINORITY BUSINESS ENTERPRISE
2923 23rd Street HISPANIC
South Arlington, VA 22206 703-798-8414
Maurice A Tauzard
D26-Construction Cost Consulting estimating@integratedprojectcontrols com
Interstate Sealant & Concrete, Inc. WHITE WOMEN BUSINESS ENTERPRISE 7/112009
S40 W242 I I ROCKWOOD WAY OTHER
WAUKESHA. WI 53189 262-547-6316
SMENT. CHERYL A. 262-54 7-6844
809-Saw Cutting, B46-Full Depth Patching of Jointed Concrete Pavement, B85-Joint Cleaning and Sealing, 727-Mobilization csment@interstatesealant com
!lack 10 Top
Contrnc tor
Type
Address Date
Minority
City, State Zip Certified
Phone
Owner License#
Fox
Work Type
J & 2T's Trucking MINORITY BUSINESS ENTERPRISE 12/16/2015
302 South 12th Street BLACK
Monroe, LA 7120 I 318-791-1131
Trandy L Barnes Sr 318-388-5443
TRK-Trucking j2ttrucking@hohnail com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 43of87
REID, CLYDE 2256120306
050-Concrete Pumping, 706-Concrete Walks, Drives And Incidental Paving jrconcrete@yahoo com
Jackson & Fontenot Consl Co., Inc. MINORITY BUSINESS ENTERPRISE 8/1/2003
5707 BAY OAKS DRIVE BLACK 23493
MONROE, LA 71203 318-345-1742
Jackson, Anderson 318-343-6269
BC-Building Construction, BOl-Roofing, B03-Masonry, B04-Ceramic, 201-Clearing and Grubbing, 202-Removal or Relocatingasj3@bellsouth.net
Structures and Obstructions, 203-Excavation and Embankment, 70 I-Culverts and Stonn Drains, 702-Manholes, Junction Boxes,
Catch Basins, and End Treatments, 727-Mobilization
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LA DOTD - Certified DBE Directory Page 44 of 87
Massi Knox Tull 202-526-2876
C2 I-Construction Inspections, C74-Construction Management hqadmin l@jnt com
TRK-Trucking jattruckinginc@yahoo.com
JD James, Inc Dba Nature Bridges WHITE WOMEN BUSINESS ENTERPRISE 1/112013
1586 SEVEN BRIDGES ROAD OTHER
MONTICELLO, FL 32344 850-997-8585
JAMES, APRIL 850-385-3493
Dl4-Timber Bridges & Structures, 727-Mobilization april@nanirebridges com
JOHN HEIMS TRUCK AND TRANS LLC MINORITY BUSINESS ENTERPRISE 9/30/2012
PO BOX 173 BLACK 57332
LABADIEVILLE,, LA 70372 985-665-3275
HEIMS. JOHN PAUL
B89-Building Site Preparation, TRK-Trucking, 201-Clearing and Grubbing johnheimstrucking@gmaiI.com
JRE LLC dba Ascension Roofing & Sheet Metal WHITE WOMEN BUSINESS ENTERPRISE 1/1/2010
2140 S PHILIPPE AVE OTHER 44993
GONZALES, LA 70737 225-647-3576
Evans, Rebecca 225-647-6013
BO I-Roofing, 727-Mobilization rebevans@ascensionrsm .co1n
JULIEN ENGINEERING & CONSUL TING, INC. MINORITY BUSINESS ENTERPRISE 11/25/1995
3520 GEN DEGAULLE DRSTE 1045 BLACK
NEW ORLEANS, LA 70114 504-366-3454
JULIEN, KERWIN E. SR. 504-366-8726
COS-Structural Engineering, C09-Civil Engineering, C JO-Management, C2 l-Construction Inspections, C74-Construction kerwin@julien-engineering com
Management
JUNKAROOS AND MOVEROOS FRANCHISE SYS LLC MINORITY BUSINESS ENTERPRISE 2/15/2012
1901 WESTBANK EXPWYSTE 600A BLACK
HARVEY, LA 70058 504-227-1115
BYRON LEE 866-873-6763
B67-Hazardous Waste Removal, B81-Solid Waste Disposal, B90-Roll Off Containers for Hazardous/Non-Hazardous Debris, C6 l-moveroosllc@gmail com
Real Estate Sales, C62-Hazardous Waste Removal, C80-TEMPORARY HELP SERVICES, C83-Courier Messenger Services,
TRK-Trucking, 045-Janitorial Supplies, 046-Supply of Oil & Petroleum Products
!laok10 Tup
Contractor
T y pe
Address Date
Minority
C ity, State Zip C ertified
Phone
Owner License#
Work Type F"x
K & B CONSTRUCTION & RENOVA TI ON, LLC MINORITY BUSINESS ENTERPRISE I/21/2010
1936 CLOUET STREET BLACK
NEW ORLEANS, LA 70117 504-520-0392
RHODES, JASON
BC-Building Construction, B43-Safety Equipment, B52-Commercial Painting, C73-Broker Fees for Construction Materials, C87-jarhodes22 I O@gmail com
Broker Fees for Janitorial Supplies, 043-Supply of Safety Equipment, 045-Janitorial Supplies, 049-Fumish and Install Flooring and
Ceiling Products
K & M Company Of North La, LLC WHITE WOMEN BUSINESS ENTERPRISE 7/ 1/2013
PO BOX 665 OTHER
STERLINGTON, LA 71280 318-282-5699
DREHER, KA TY
D17-Hauling of Liquid Asphalt, 002-Supply of Asphaltic Materials and Additives, 727-Mobilization katydreher@aol com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 47of87
Relocating Structures and Obstructions, 305-Subgrade Layer, 706-Concrete Walks, Drives And Incidental Paving, 707-Curbs and
Gutters, 726-Bedding Materials, 727-Mobilizarion
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 48of87
201-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 706-763-445-2501
Concrete Walks, Drives And Incidental Paving, 707-Curbs and Gutters kendrick_kendrickconstruction@yahoo.com
Bu k t1>TQ11
Contractor
Ty pe
Address Da te
Minority
City, State Zip Certified
Phone
Owner License #
Va x
Work Type
L-FORCE MANAGEMENT GROUP, INC OBA NOAH W MINORITY BUSINESS ENTERPRISE 4121120 I 2
P 0 BOX 871223 BLACK 316988
NEW ORLEANS, LA 70187-1223 504-754- I I 38
NOAH WAYNE LEWIS 504-754-1105
C23-Jnsurance Management noah@noahlewisinsurance com
LA SURETY BONDS AND INSURANCE AGENCY, L" MINORITY BUSINESS ENTERPRISE 11/17/2014
528 SOUTH BROAD STREET BLACK
NEW ORLEANS, LA 70119 504-715-2999
GLASPER, GREGORY
C23-Insurance Management, C53-Perfonnance and Payment Bonds and Insurance bondingpartnerships@gmail.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 50 of 87
Lamb-Star Engineering MINORITY BUSINESS ENTERPRISE 6/1/2014
5700 W PLANO PKWY, SUITE 1000 SUBCONTINENTAL ASIAN
COLLIN, TX 75093 214-440-3680
Lamb, John 214-440-360 l
C09-Civil Engineering, C2 l-Construclion Inspections, C74-Construction Management jolm lamb@lamb-star.com
4/18/2016
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LA DOTD - Certified DBE Directory Page 51of87
LAW OFFICE OF BERNARD CHARBONNET, JR.,• MINORITY BUSINESS ENTERPRISE
365 CANAL STREET, SUITE J 155 BLACK
NEW ORLEANS, LA 70130 5049490996
CHARBONNET, BERNARD L.
C3 l-Legal Services bcharbonnet@charbolUletassociates.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 52of 87
LEONARD, GEORGE 5042406947
B45-Janitorial Services, B48-Commercial Cleaning, B52-Commercial Painting, 811-Painting and Protective Coatings geoleonard3@yahoo.com
LESLIE SAUNDERS INSURANCE AGENCY, INC. WHITE WOMEN BUSINESS ENTERPRISE 4/ 18/2016
1535 NORTH DALE MABRY OTHER
LUTZ, FL 33549 8139498964
SAUNDERS, LESLIE
C23-lnsurance Management msepa@lsimi .com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 53 of 87
LOUISIANA ENTERGY SOLUTIONS, LLC MINORITY BUSINESS ENTERPRISE 12/1212013
7700 DOW MAN ROAD BLDG #6-A BLACK
NEW ORLEANS, LA 70126 504-931-8031
KIMBERLY J. POREE, SR.
BC-Building Construction, C07-Electrical Engineering, D03-Solar Energy Equipment Installation, 730-Electrical Systems kimporee@yahoo.com
LUCIEN T. VIVIEN, JR. AND ASSOCIATES, I* WHITE WOMEN BUSINESS ENTERPRISE 1112/2015
3001 22ND STREET OTHER
METAIRIE, LA 70002 504-218-5409
VIVIEN , KAREN 5042185412
C02-Mechanical Engineering, C07-Electrical Engineering kvivien@vivienengineers.com
Contractor
Ty pe
Address Date
Minority
C ity, State Zip C er rificd
Phone
Owner License #
Fax
Work T y pe
M & M ENTERPRISE GROUP, LLC MINORITY BUSINESS ENTERPRISE 2/ 12/2010
P 0 BOX 791467 BLACK
NEW ORLEANS, LA 70119 504-4 73-9578
SPEARS, MICHAEL 504-240-0204
BC-Building Construction, Bl I-Grooving, B45-Janilorial Services, B67-Hazardous Waste Removal, B82-Mold Remediation, C62- mikedemolition@yahoo.com
Hazardous Waste Removal, C74-Construction Management, CSO-TEMPORARY HELP SERVICES, C81-lnterior Design, TRK-
Trucking, 049-Fumish and Install Flooring and Ceiling Products, 058-Interior Design Services, 201-Clearing and Grubbing, 203-
Excavation and Embankment, 701-Culverts and Stonn Drains, 702-Manholes, Junction Boxes, Catch Basins, and End Treatments,
704-Guardraiis, 706-Concrete Walks, Drives And Incidental Paving, 707-Curbs and Gutters, 710-Flowable Fill, 7 ll-RipRap, 803-
Sheet Piles, 804-Driven Piles
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 54of87
Concrete-Precast Box Culverts and Headwalls, 805-C-Structural Concrete-Cast in Place Box Culverts, 806-Reinforcement, 810-
Bridge Railing and Barriers, 813-Concrete Approach Slabs
M & M Sales And Service, LLC WHJTE WOMEN BUSINESS ENTERPRISE 4/ 1/201 l
PO BOX 6 OTHER
TIMPSON, TX 75975 936-254-2524
936-254-3437
B30-Railroads, 727-Mobilization brendamackey@sbcglobal.net
http://wwwapps.dotd.la,gov/engineering/lettings/subsdbed/dbhq20160511,aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 55of 87
MANNING, RAYMOND 504412200 I
C04-Architectural Engineering, CI I-Planning wmanning@manningarchitects.com
Marshall & Company, Pile WHITE WOMEN BUSINESS ENTERPRISE 6/l /2012
8402 PARKBROOK LANE OTHER
KNOXVILLE, TN 37919 865-691-9720
MARSHALL, LAURA
C88-Architectural Services marshal-co@bellsouth ,net
4/l 8/20 J6
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 56 of 87
MATERIALS MANAGEMENT GROUP, INC MINORITY BUSINESS ENTERPRISE
3520 GENERAL DEGAULLE, SUITE 3010 ASIAN OR PACIFIC ISLANDER
NEW ORLEANS, LA 70114 5043680568
LO,C. PAUL 5043688403
C22-Envirorunental Engineering paull@mmgnola.com
MATRIX NEW WORLD ENGINEERING, INC. WHITE WOMEN BUSINESS ENTERPRISE 3/6/2012
4451 BLUEBONNET BOULEY ARD, STE E OTHER
BA TON ROUGE, LA 70809 973-240-1800
WARNE, JAYNE 9732401818
CO l-Geotechnical Engineering, C09-Civil Engineering, C22-Environmental Engineering jwame@matrixneworld.com
MESALAIN CONSUL TING GROUP, LLC WHITE WOMEN BUSINESS ENTERPRISE 1/13/2016
37 DRIFTWOOD BL VD OTHER
KENNER, LA 70065 504-259-4072
HOLLY MESSA 504-289-9013
B45-Janitorial Services, B48-Commercial Cleaning, B89-Building Site Preparation, CI 0-Management, C36-Marketing, C74- messaholly@gmail.com
Construction Management
31112009
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LA DOTD - Certified DBE Directory Page 58 of 87
MORGAN ELECTRIC, INC WHITE WOMEN BUSINESS ENTERPRISE 5/1512015
1200 DISTRIBUTORS ROW OTHER
HARAHAN, LA 70123 504-733-2900
DENISE N MORGAN 504-736-0137
BC-Building Construction, C07-Electrical Engineering, 730-Electrical Systems denise@morganelectric.us
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Contractor
Ty1>e
Address Da te
Minority
C ity, State Zip Cerlificd
Phone
Owner License N
F•x
Work T ype
NATION SERVICES COMPANY, INC MINORITY BUSINESS ENTERPRISE 9/30/2014
6624 GREENWOOD ROAD ASIAN OR PACIFlC ISLANDER 47422
SHREVEPORT,, LA 71119 318-635-1683
NATlON, MIKE 318-635- I 986
20 I-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 510- mikenation@bellsouth.net
Asphaltic Concrete Pavement Patching, Widening & Joint Repair, 713-Temporary Signs, Barricades, Barriers and Pavement
Markings, 73 I-Raised Pavement Markings, 732-Plastic Pavement Markings, 737-Painted Traffic Stripping
NATIONAL DEVELOPMENT ADVISORS & STRA TEG* WHITE WOMEN BUSINESS ENTERPRISE 12/11/2015
935 ORA VIER STREET, SUITE 1028 OTHER
NEW ORLEANS, LA 70112 803-379-1246
DIAL, MARLENE
C47-Public Relations marlenedialndas@gmail com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 59 of 87
FORT WORTH,, TX 76244 214-299-8772
ELMORE, DANNY 866-562-8432
C55-Security Surveillence operations@nationalsecurityus.org
NESTOR HOUGHTON, INC. D/B/A HOUGHTON EN* MINORITY BUSINESS ENTERPRISE 5/13/2003
67315 ARMEL ROAD HISPANIC
MANDEVILLE, LA 70471- 985-590-8707
HOUGHTON, NESTOR 9858678800
C07-Electrical Engineering njh7899@gmail.com
http://wwwapps.dotdJa.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 60of87
NOLA STEELE FABRICATION & ERECTION, LLC MINORITY WOMEN BUSINESS 9/4/2014
P, 0. BOX 91 ENTERPRISE
WESTWEGO, LA 70096 BLACK
KAREN L. WILLIAMS 504-264-7499
B93-Metal Fabrication, C80-TEMPORARY HELP SERVICES, 009-Supply of Reinforcing Steel, 012-Supply of Bridge Railings 504-458-8530
and Barriers, 040-Steel Fabricator, 704-Guardrails, 806-Reinforcement, 807-Structural Metals nolasteelefab@gmail.com
NORTHERN FLORIDA RECRUIT!NG & CONSUL TING MINORITY BUSINESS ENTERPRISE 3/3/2011
4280 BLEINHEIM PLACE BLACK
JACKSONVILLE, FL 32225 904-928-9254
PAYNE, WILLARD 9049971664
B62-Event Planning, C 17-Supportive Services, C46-Training Development willardjr@aol.com
NORTHS HORE GENERAL CONTRACTORS, LLC WHITE WOMEN BUSINESS ENTERPRISE 11/10/2014
22060 ST AMANO OTHER
COVINGTON, LA 70435 985-373-5732
JESSICA E. BARONI 985-400-1922
BC-Building Construction, B67-Hazardous Waste Removal, B89-Building Site Preparation, COS-Structural Engineering, C63- baroni_beth@gmail.com
Environmental Remediation, 201-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions
Back to Ton
Contractor
Ty pe
Address Da te
Minority
City, State Zip Certified
Phone
Owner License#
Fax
Work Ty11e
O.G I H. Enterprises MINORITY BUSINESS ENTERPRISE 12/19/2014
20 I 17th Street NW, Suite 300 BLACK
Atlanta, GA 30363 404-478-7852
Benny Nesbitt 866-374-1575
C64-Broker Fees - Miscellaneous b.nesbitt@ogih-enterprises.com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx 5/23/2016
LA DOTD - Certified DBE Directory Page 61 of 87
JONES, OTIS 5043054300
B45-Janitorial Services ojs@ojsjanitorial.com
ONE ON ONE COPY AND SIGN CENTER, INC, MINORITY BUSINESS ENTERPRISE 2/5/2015
4608 OWNES BLVD, BLACK
NEW ORLEANS, LA 70122 504-427-6087
WINCHESTER, TODD 504284 I I 68
C39-Commercial Printing, DI2-Printing of Promotional Items oneonone44@hohnail.com
OPTIMUM MANAGEMENT & CONSUL TING GROUP, L MINORITY WOMEN BUSINESS 6/19/2014
2439 MANHATTAN BLVDSTE 502 ENTERPRISE
HARVEY, LA 70058 BLACK
CAROL SMITH 504-912-0407
CI 0-Management, C2 I-Construction Inspections, C36-Marketing, C46-Training Development, C4 7-Public Relations, C94-Human 504-309-0644
Resources Consulting, C95-Stormwater Plans/Inspections smith.optimum@gmail com
Bnck toTsm
Contractor
T y pe
Address Date
Minority
C ity, State Zip Certified
Phone
Owner License #
Fnx
Work Type
P J NOBLE AND ASSOCIATES INC MINORITY BUSINESS ENTERPRISE 1/31/1980
PO BOX 11733 BLACK
COLUMBIA, SC 2921 l 803-256-5025
NOBLE, PATRICK J 803-256-5026
CJO-Management, Cl I-Planning, C47-Public Relations
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P, STRADA, LLC MINORITY WOMEN BUSINESS 2/4/2014
3900 CAUSEWAY BLVD, SUITE I200 ENTERPRISE
METAIRIE, LA 70002 BLACK
MANU EL, PATRICE W. 816-256-4577
C24-Telecommunications, C46-Training Development 8167530472
kim@pstrada ,com
PHOENIX GLOBAL ENG. & CONST. , INC MINORITY BUSINESS ENTERPRISE 813 t/2004
2901 INDEPENDENCE ST.SUITE 103 SUBCONTINENTAL ASIAN
META!RIE, LA 70006 504-883-9021
LO, YU-CH!AO 504-883-9023
COS-Structural Engineering, C09-Civil Engineering, CJO-Management, C21-Construction Inspections phoenixglobal@bellsouth net
S/27120 I0
PROFESSIONAL SAFETY & TRAINING SERVICES WHITE WOMEN BUSINESS ENTERPRISE 2/19/2016
38 SHERLING AVENUE OTHER
JEFFERSON, LA 70121 812-664-8814
DECKER, DENISE
C46-Training Development, C94-Human Resources Consulting prosafetytrainingservices@gmail com
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LA DOTD - Certified DBE Directory Page 65 of 87
And Incidental Paving, 707-Curbs and Gutters, 708-Right-of-Way Monuments, 709-Steel Canle Guars, 710-Flowable Fill, 711-
RipRap, 712-Revetments, 714-Slab Sodding, 726-Bcdding Materials, 727-Mobilization, 733-Concrete Roadway Barriers, 802-
Structural Excavation and Backfill, 805-A-Structural Concrete-Bridges, 805-B-Structural Concrete-Precast Box Culverts and
Headwalls, 805-C-Structural Concrete-Cast in Place Box Culverts, 806-Reinforcement, 810-Bridge Railing and Barriers, 812-
Treated Timber, 813-Concrete Approach Slabs
Contractor
Type
Address Da te
Minority
City, State Zip C ertified
Phone
Owner License #
Fax
W ork Type
QUALITY FIRST CONSTRUCTION LLC DBA QUALi MINORITY WOMEN BUSINESS 8/18/2015
2160 8TH STREET ENTERPRISE
MANDEVILLE, LA 70471 SUBCONTINENTAL ASIAN
THUY C. COUVILLION 985-624-3699
C!O-Management, D04-Tugboat Transportation, DI I-Dredging, 202-Removal or Relocating Structures and Obstructions, 204-985-624-3699
Temporary Erosion Control, 720-Erosion Control Systems qualityfirstmarine@gmail.com
8/1/2007
Bnck 10 Tpn
Contractor
Type
Address Da te
Minority
City, State Zip Certifi ed
Phone
Owner License H
Fax
Work Type
MINORITY WOMEN BUSINESS 11/13/2013
R & G BUSINESS ENTERPRISES, LLC
ENTERPRISE
4 CREAMERY BROOK ROAD
BLACK
EAST GRANBY, CT 06026
860-653-7744
POGLITSCH, CURTISS
8606530858
AO I-Airport Shuttle Bus, B61-Parking Management
tish@ctnecmunail.com
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NEW ORLEANS, LA 70126 504-244-0842
BAUGH, ANDRE 5042089585
CID-Management, Cl I-Planning, Cl7-Supportive Services, 090-Medical Supplies andrebaugh44@gmail.com
Right Of Way Acquisition Group LLC WHITE WOMEN BUSINESS ENTERPRISE 10/1/2004
1924 ALBERT STREET OTHER
ALEXANDRIA, LA 71301 318-623-0872
Brewer. Delores 318-473-2361
B35-Right-of-Way Acquisitions, CIO-Management, C28-Title Abstracts, C29-Relocation Assistance deloresbrewer@gmail.com
BOl-Roofing, B52-Commercial Painting, B80-Wall Covering and Painting, B84-Residential Building Construction, B87-Diywallbrianrobinson02@yahoo.com
Contractor, B95-Wood Framing, 706-Concrete Walks, Drives And Incidental Paving
Bock ta Tot>
Contractor
Ty pe
Address Da te
Minority
City, Stnte Zip Certifi ed
Phone
Owner License#
Fax
Work Type
S. HOLT CONSTRUCTION, LLC MINORITY BUSINESS ENTERPRISE 5/31/2010
1429 THIRD STREET BLACK 45192
ALEXANDRIA, LA 71301 225-241-9724
HOLT, SIBAL S 318-487-9265
BC-Building Construction, B84-Residential Building Construction teesib60@gmai I com
SECAM TECHNOLOGIES, INC. D/B/A ST! WHITE WOMEN BUSINESS ENTERPRISE 3/1/2006
62 ROSEDOWN DRIVE OTHER
DESTREHAN, LA 70047- 504-388-860 l
STANLEY. SUSANNE M, 9857250086
B75-Bird Deterrent/Proofing Services, CIO-Management, C21-Construction Inspections, C74-Construction Management mredstanley@gmail com
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MINORITY WOMEN BUSINESS 10/21/2015
Shaw Development
ENTERPRISE
3918 Milton Street
BLACK
Shreveport, LA 71109
888-834-8867
Sharon Crump
C35-Lighting and Lamp Design, D07-Sustainable Energy and Design
shaw_devllc@att,net
SIMMONS & SIMMONS GENERAL CONTRACTOR LLC MINORITY BUSINESS ENTERPRISE 4/9/2010
2701 ORCHID STREET BLACK
NEW ORLEANS, LA 70119 504-439-7641
MIL TON SIMMONS 504-341-2588
BC-Building Construction, Bl I-Grooving, B36-Landscape ?avers and Modular Retaing Walls, B70-SIGN MANUFACTURING, msimmons0942@yahoo.com
C39-Commercial Printing, C74-Construction Management, G l 0-No Item, TRK-Trucking, 304-Lime Treatment, 305-Subgrade
Layer, 306-Scarifying & Compacting Roadbed, 402-Traffic Maintenance Aggregates, 70 I-Culverts and Stonn Drains, 702-
Manholes, Junction Boxes, Catch Basins, and End Treatments, 703-Underdrain Systems, 704-Guardrails, 706-Concrete Walks,
Drives And Incidental Paving, 707-Curbs and Gutters, 712-Revetments, 713-Temporary Signs, Barricades, Barriers and Pavement
Markings, 723-Granular Materials, 725-Temporary Detour Roads and Bridges, 733-Concrete Roadway Barriers, 740-Construction
Layout, 803-Sheet Piles, 804-Driven Piles, 805-Structural Concrete, 806-Reinforcement, 807-Structural Metals, 810-Bridge Railing
and Barriers, 811-Painting and Protective Coatings, 813-Concrete Approach Slabs, 813-Concrete Approach Slabs
SLADE LAND USE ENVIR & TRANS PLAN MINORITY BUSINESS ENTERPRISE 7/3I/2014
1500 FIRST AVENUE NUNIT 54 BLACK
BIRMINGHAM,, AL 35203 205-413-4685
SLADE, L'TRYCE 800-618-8602
C20-Environmental Impact Assessments lslade@sladellc com
SOIL AND FOUNDA TJON ENGINEERING & CONSU* MINORITY BUSINESS ENTERPRISE 8/20/2012
2 FAIRFIELD COURT SUBCONTINENTAL ASIAN
MET AIRIE, LA 7000 I 504-324-1523
GHOSE-HAJRA, MALAY 5043241523
COl-GeotechnicaI Engineering, C05-StructuraI Engineering, C09-Civil Engineering, C20-Envirorunental Impact Assessments soilandfoundation@gmaiLcom
9/1/2010
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Solscapes, LLC WHITE WOMEN BUSINESS ENTERPRISE
PO BOX 1123 OTHER
LECOMPTE, LA 71346 318-776-0556
STEWART, !VIANA 318-776-9902
B32-Maintenance Mowing, 201-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 714-Slabiviana@solscapes.com
Sodding, 715-Topsoil, 716-Vegetative Fiber Mulch, 717-Seeding, 718-Fertilizer and Agricutural Lime, 719-Landscaping, 727-
Mobiiization, 738-Mulch Sodding
SOUTHERN CHARM JANITORIAL SERVICE, LLC WHITE WOMEN BUSINESS ENTERPRISE I 1112/2013
1917 RICHLAND AVENUE OTHER
METAIRIE, LA 7000I 504-289-7914
ALISON, CHERI
B45-Janitorial Services cheri_alison@cox.net
SPARK ELECTRIC NC HEATING & GAS, LLC MINORITY BUSINESS ENTERPRISE 7/15/2013
P.O. BOX 73596 BLACK
METAIRIE, LA 70033 504-784-2251
WILLIAMS, KEVIN 5042658032
B06-HVAC, 054-Supply of Light Fixtures, 730-Eiecttical Systems sparkelectric088 l@yahoo com
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STONE'S TRUCKING, LLC MINORITY BUSINESS ENTERPRISE 12/1/2011
8711 MORRISON ROAD BLACK
NEW ORLEANS, LA 70127 504-210-5980
BLACKSTONE, MANDELL
C77-Broker Fees for Trucking, TRK-Trucking blackstonemandell@yahoo com
SUN TROPIC LANDSCAPES & GARDEN, INC. MINORITY BUSINESS ENTERPRISE 10/ 10/2014
1502 ENGINEERS ROAD HISPANIC
BELLE CHASSE, LA 70037 504-392-3639
CASTRO, RAUL 5043409218
B32-Maintenance Mowing, B36-Landscape Pavers and Modular Retaing Walls, 7I7-Seeding, 739-Hydro-Seeding suntropiclandscape@yahoo com
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SURETEMPS, LLC MINORITY BUSINESS ENTERPRISE 9/3/2015
1631 ELYSIAN FIELDS AVE BLACK
NEW ORLEANS, LA 70117 504-522-5665
MAURICE ROBICHAUX 504-373-5788
C78-BROKER FEES FOR TEMPORARY STAFFING suretemps@ymail.com
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T ype
Address Da te
Minority
City, State Zip Certified
Phone
Owner License #
Fax
Work Type
T & B ELECTRIC, INC. MINORITY BUSINESS ENTERPRISE 5/24/2010
3800 DEERCREEK LANE BLACK
HARVEY, LA 70058 504-258· 7431
GAINES, JOHN C. 504-304-8426
BC-Building Construction, C07-Electrical Engineering, 730-Electrical Systems tb _electric@yahoo.com
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METAIRIE. LA 70009 504-278-0666
DAWSON, TIMOTHY C
GI 0-No Item, 202-Removal or Relocating Structures and Obstructions timothydawson227@yahoo com
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Treaanents, 703-Underdrain Systems, 706-Concrete Walks, Drives And Incidental Paving, 707-Curbs and Gutters, 727-
Mobilization
TCN D/B/A EXECUTONE SYSTEMS CO. OF LA,* WHITE WOMEN BUSINESS ENTERPRISE 6/15/2015
1016 HARIMAW COURT EAST OTHER
METAIRIE, LA 70001 504-838-9600
LABICHE, PATRICIA H. 5048334725
C70-Telephone Systems angelle@executonesystems com
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HALE, DENISE
CIO·Management, Cl I-Planning dhale@thehalegroupllc com
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1nichelle@trecgis com
http://wwwapps.dotd.la.gov/engineering/lettings/subsdbed/dbhq20160511.aspx . 512312016
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TOP 2 BOTTOM CLEANING SUPPLIES & SERVIC* MINORITY BUSINESS ENTERPRISE 7/18/2014
3223 METAIRIE ROAD BLACK
METAIRIE, LA 70001 504-831-3339
KELLY, LEROY 5048313397
B45-JanitoriaI Services, C87-Broker Fees for Janitorial Supplies, 045-Janitorial Supplies toptobottomservice@yahoo.com
Traweek Tree And Landscape, LLC WHITE WOMEN BUSINESS ENTERPRISE 8/1/2009
130 I BOB STREET OTHER 53051
WIGGINS, MS 39577 601-928-5555
TRAWEEK, JESSICA 601-928-5555
204-Temporary Erosion Control, 714-Slab Sodding, 715-Topsoil, 716-Vegetative Fiber Mulch, 717-Seeding, 7 I 8-Fertilizer andjessicat@traweekconstruction,com
Agricutural Lime, 719-Landscaping, 720-Erosion Control Systems, 721-Asphalt Mulch, 727-Mobilization, 738-Mulch Sodding,
739-Hydro-Seeding
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TREPAGNIER'S CONSTRUCTION CO, LLC MINORITY BUSINESS ENTERPRISE 12/13/2012
949 MINDEN STREET BLACK
KENNER, LA 70062 504-427-9308
TREPAGNIER, LAWRENCE 5044630496
706-Concrete Walks, Drives And Incidental Paving contractorlt!@yahoo.com
Twin Shores Lands. & Const Serv Inc WHITE WOMEN BUSINESS ENTERPRISE 5/12/2015
701 S. Alexander Street OTHER 32462
New Orleans, LA 70 I I 8 504-885-566 I
Susanne Drygalla 504-324-6304
B03-Masoruy, B36-Landscape Pavers and Modular Retaing Walls, B4 I-PVC Sewer and Drain Pipe, COS-Landscape Architecture, sdrygallal 959@gmail com
042-Suppiy of Bedding Materials, 047-Supply of Organically Blended Soil, 085-FLOWER AND NURSERY STOCK SUPPLIER,
204-Temporary Erosion Control, 70!-Culverts and Storm Drains, 703-Underdrain Systems, 714-Slab Sodding, 715-Topsoil, 716-
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Vegetative Fiber Mulch, 717-Seeding, 718-Fertilizer and Agricutural Lime, 719-Landscaping, 720-Erosion Control Systems, 738-
Mulch Sodding
Bnyk 19Tup
Contractor
Type
Address Da te
Minority
City, State Zip Certified
Phone
Owner License#
Fax
Work Type
UA TC & ASSOCIATES, INC MINORITY BUSINESS ENTERPRISE 11/26/2007
7911 CHEF MENTEUR BLACK
NEW ORLEANS, LA 70126 504-244-2604
LEWIS, WILLIAM 504-430-8222
BC-Building Construction, B63-Construction Material Testing, 028-Supply of Electrical Equipment, 055-Electrical Supplies uatc@msn com
UNITED STATES HEALTH & ENVIRONMENTAL LI* WHITE WOMEN BUSINESS ENTERPRISE 8/21/2014
356 CANAL STREET, SUITE 2760 OTHER
NEW ORLEANS, LA 70130 504-561-6563
DODD, TRACEY 5045616624
C63-Environmental Remediation tdodd@ushelmllc.com
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Counting and Data Collection, C43-Computer Assisted Drafting, C74-Construction Management, C96-Traffic and Transportation
Engineering, D25-Public Transportation
Contractor
Ty pe
Address Date
Minority
C ity, S ta te Zip Certified
Phon e
Owner License#
Fax
Work Type
V Technologies WHITE WOMEN BUSINESS ENTERPRISE 4/1/2013
133 ATWELL DRIVE OTHER
STATESVILLE, NC 28677 704-528-0620
OOHRER, VICKY L 704-528-0620
C26-Security Systems vicky _dohrer@yahoo com
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SHEREE VENSON NELSON 800-952-8578
CI 0-Management, C 17-Supportive Services, C47-Public Relations, C57-DBE Plans & Goal Preparation, C74-Construction 504-366-6190
Management ves20121 O@gmail com
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Contracto1·
Type
Address l>llte
Minority
City, State Zip Cerri lied
Phone
Owner License #
Fax
Work Type
MINORITY WOMEN BUSINESS 5/31/2012
W R CONTRACTORS, LLC
ENTERPRISE 56846
26501 OAKPLAZAAVE#l96
BLACK
PRAIRIEVILLE,, LA 70769
225-308-4520
WILLIAMS, CARMEN
C74-Construction Management
cannen.williruns@wr-contractors.com
WARREN BELL & AS SOCIA TES, LLC MINORITY BUSINESS ENTERPRISE 7/15/2011
1700 MIRABEAU AVE BLACK
NEW ORLEANS, LA 70122 504-283-1418
WARREN A, BELL JR. 504-235-8706
C47-Public Relations wbellassoc@gmail com
4/24/2013
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WATERLINE, LLC MINORITY BUSINESS ENTERPRISE
933 ST ATE STREET ASIAN OR PACIFIC !SLANDER
NEW ORLEANS, LA 70118 240-813-5905
SCHMITT, EUGENE
C56-Real Estate Evaluation and Consulting, C6 I-Real Estate Sales eugenesxchmitt@mac_com
WAYN E PLEASANT LAND CLR AND DVLPT MINORITY BUSINESS ENTERPRISE 12/31/2005
PO BOX 8 I NATIVE AMERICAN 49149
MARTHA VILLE, LA 71450 318-472-8586
PLEASANT, WAYNE 318-472-8058
B32-Maintenance Mowing, TRK-Trucking, 20 I-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, waynepleasant@ymail com
203-Excavation and Embankment, 30 I-Base Course - Class I, 302-Base Course - Class II, 305-Subgrade Layer, 40 I-Aggregates
Surface Course, 701-Culverts and Stonn Drains, 706-Concrete Walks, Drives And Incidental Paving, 711-RipRap, 712-Revetments,
725-Temporary Detour Roads and Bridges, 726-Bedding Materials, 727-Mobilization, 802-Structural Excavation and Backfill , 805-
Structural Concrete
WILBORN INVESTMENTS, LLC D/B/A ACE VEND• MINORITY BUSINESS ENTERPRISE 9/8/2009
5910 MILNE BLVD BLACK
NEW ORLEANS, LA 70124 504-496-1181
WILBORN, ANTHONY 5043736655
0 JS-Supply of Miscellaneous Materials anthonywilbom@yahoo.com
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WIMBLEY, LARRY 318-688-6449
201-Clearing and Grnbbing, 202-Removal or Relocating Strnctures and Obstructions, 510-Asphaltic Concrete Pavement Patching, wimbleyconst@bellsouth net
Widening & Joint Repair, 602-Portland Cement Concrete Pavement Rehabilitation, 70 I-Culverts and Stonn Drains, 702-Manholes,
Junction Boxes, Catch Basins, and End Treahnents, 706-Concrete Walks, Drives And Incidental Paving, 7!0-Flowable Fill, 813-
Concrete Approach Slabs
Bnok 10Tm1
Contractor
Type
Address Dote
Minority
City, State Zip Certified
Phone
Owner License #
Fax
Work Type
X-L CONTRACTING INC MINORITY BUSINESS ENTERPRISE 11/30/2011
20 MID RIVERS TRADE CT BLACK
ST PETERS, MO 63376 314-731-0800
NOVEL, KENNETH L 314-731-0802
20 I-Clearing and Grubbing, 202-Removal or Relocating Structures and Obstructions, 203-Excavation and Embankment, 70 !-
Culverts and Stonn Drains, 702-Manholes, Junction Boxes, Catch Basins, and End Treahnents, 703-Underdrain Systems, 706-
Concrete Walks, Drives And Incidental Paving, 707-Curbs and Gutters, 710-Flowable Fill, 726-Bedding Materials
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Contra ctor
T)·pe
Address Da te
Minority
City, St•te Zip Certified
Phone
Owner License #
Fax
Work Type
ZAXON,INC. MINORITY BUSINESS ENTERPRISE 1013112000
3132 SE LOOP 820 SUBCONTINENTAL ASIAN
FORT WORTH, TX 76140 817-551-7772
TENGRA,SAM 817-551-7752
B40-Scheduling, CI 0-Management tengrasl@zaxonusa com
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ATTACHMENT 5
Number and Type of project for this Period: One Project: Rehabilitate Runway
18/36 and 13/31 Intersection. Amount: $5, 179,480.
Market Area: After careful research of the historical bidding practices and responses to
requests for professional services, the Hammond Northshore Regional Airport has
determined that its market area is made up of the following Parishes/Counties: Caldwell,
East Baton Rouge, Jefferson, Lafayette, Plaquemines, and Tangipahoa Parishes in
Louisiana and Harrison County in Mississippi.
Method : In accordance with the cu rre nt FAA and DOT guida nce, the Airport is utilizing
a two-step process in setting its FY 2016-2018 goals. The first step examines
the re lative availability of DBE firms in the established Market Area and the second step
allows for adjustments to the relative availability based on:
Step 1: The method used to calculate the relative availability of DBEs for Step 1 in this
process is 26.45(c)(4) , which states that The Airport may use the goal of another DOT
recipient in the same, or substantially similar, market that has set an overall goal in
compliance with this rule. Accordingly, The Airport used the 9.19% goal of the Baton
Rouge Airport (BTR) in Baton Rouge, LA as our Step 1 relative availability figure. The
Baton Rouge Airport is approximately 40 miles from the Hammond Airport and expects
to draw bids from the same relative geographic area.
Step 2: This step is intended to adjust the "base figure" percentage from Step 1 so that
it reflects as accurately as possible the DBE participation the Airport would expect in
the absence of discrimination.
First, the airport searched out the availability of information from disparity studies. This
yielded no documentation of any disparity studies for the area over the course of the
last seven years. To document this fact, the Airport first performed an internet search
which yielded two databases of disparity studies - both of which are maintained by the
DOT Office of Small and Disadvantaged Business Utilization:
• Partial List of Disparity Studies conducted for State and Local Agencies and
found athttp://osdbuTheAirportb.dot.gov/business/Dbe/disparit3.xls
Finding no available pertinent data at either of these sites, the Airport contacted the
following entities and was unable to document any other documentation of disparity
studies performed for the region:
Finally, in accordance with the public participation requirements of 49 CFR 26, the
Airport published the announcement at Appendix 2, announcing a public meeting to
solicit input on goal setting efforts. This public notice was advertised in the local
newspaper (The Daily Star), posted to the City of Hammond's The website, and either
faxed or emailed to the entities listed in Appendix 3.
The meeting was relatively well attended, but no one was able to offer any suggestions
to influence the goal setting process. Please refer to Appendix 3 for a list of attendees
and a synopsis of their comments.
Since none of these sources were able to provide the Airport with any available disparity
study information and with the lack of any disparity study being performed in the region,
the Airport must then look to historical performance and DBE goal accomplishment
under previous federal grants for similar types of construction. The Airport reviewed its
historical DBE participation achievement in order to ensure the goal's reasonableness.
The below table shows all federally funded projects at the Airport from 2000 to the
present.
This is significantly higher than the median, or middle, value of all projects at 9.4%;
0.0, 3.0, 7.5, 8.3, 9.4 (median), 18.3, 25.8, 31.2, 44.
Further, if the Airport averages the median value of 9.4% with our Step 1 amount from
the BTR's DBE goal of 9.19% (our relative availability figure) The Airport end up with an
average of 9.3%, which is not only less than the national aspirational goal of 10%, but
less than the Airport's past performance indicates is reasonably attainable.
Therefore, in order to achieve a more meaningful result, the Airport took the median
value of the past nine projects: 9.4%;
and averaged this with the average of the past nine projects: 16.4%;
9.4 + 16.4 =25.8 = 12.9%,
2
thus giving a heavier weighting factor to our overall DBE success rate .
The Airport then took this new 12.9% average and averaged it with the relative
availability figure from Step 1 to get a more reasonable and accurate adjusted DBE goal
for the years 2016-2018;
The Airport will meet the maximum feasible portion of its overall goal by using RN
means of facilitating DBE participation. Whenever possible, the Airport will use some or
all of the following RN means to increase DBE participation:
Based on DBE performance history, the Airport anticipates being able to meet its entire
goal through RN means. In the event that a shortfall is projected, the Airport will
establish contract goals, as necessary. If the Airport does establish contract goals, the
Airport understands the following:
• The Airport may use contract goals only on those DOT-assisted contracts that
have subcontracting possibilities.
• The Airport is not required to set a contract goal on every DOT-assisted contract
• The Airport is not required to set each contract goal at the same percentage
level as the overall goal. The goal for a specific contract may be higher or lower
than that percentage level of the overall goal, depending on such factors as the
type of work involved, the location of the work, and the availability of DB Es for
the work of the particular contract. However, over the period covered by the
overall goal, the Airport must set contract goals so that they will cumulatively
result in meeting any portion of the overall goal the Airport does not project
being able to meet through the use of race-neutral means.
• Operating administration approval of each contract goal is not necessarily
required. However, operating administrations may review and approve or
disapprove any contract goal the Airport establishes.
• The Airport's contract goals must provide for participation by all certified DBEs
and must not be subdivided into group specific goals.
• To ensure that the Airport's DBE program continues to be narrowly tailored to
overcome the effects of discrimination, The Airport must adjust its use of
contract goals as follows:
o If the approved projection estimates that the Airport can meet its entire
overall goal for a given year through race-neutral means, The Airport
must implement its program without setting contract goals during that
year, unless it becomes necessary in order meet overall goal.
o If, during the course of any year in which the Airport is using contract
goals, the Airport determines that it will exceed its overall goal, the Airport
must reduce or eliminate the use of contract goals to the extent
necessary to ensure that the use of contract goals does not result in
exceeding the overall goal.
o If the Airport determines that it will fall short of its overall goal, then the
Airport must make appropriate modifications in its use of race-neutral
and/or race-conscious measures to allow it to meet the overall goal.
o If the DBE participation the Airport has obtained by race-neutral means
alone meets or exceeds its overall goals for two consecutive years, the
Airport is not required to make a projection of the amount of its goal the
Airport can meet using such means in the next year. The Airport does not
set contract goals on any contracts in the next year. The Airport will
continue using only race-neutral means to meet its overall goals unless
and until the Airport does not meet its overall goal for a year.
o If the Airport obtains DBE participation that exceeds its overall goal in two
consecutive years through the use of contract goals (i.e., not through the
use of race-neutral means alone), the Airport must reduce its use of
contract goals proportionately in the following year.
• In any year in which the Airport projects meeting part of its goal through race-
neutral means and the remainder through contract goals, the Airport must
maintain data separately on DBE achievements in those contracts with and
without contract goals, respectively. The Airport must report this data to the
concerned operating administration as provided in §26.11.
Public Participation
Consultation
Finally, once the Airport's DBE goals were fully calculated, the Airport published the
announcement at Appendix 4 on the City of Hammond's website and in the following
publications:
Additionally, The Airport faxed or emailed the announcement to the same list of
organizations and businesses, listed in Appendix 3, to whom The Airport had sent the
initial notice of public participation. The comment period is currently running until June
24, 2016. To date no comments have been received. Any comments received between
the submission date of this document and the comment end date will be forwarded to
the FAA Civil Rights Office and may result in an amendment to this document.
Appendix 1 to Attachment 5
Cities/Towns Included in the
Parishes/Counties of the Anticipated
Market Area
Caldwell, East Baton East Baton East Baton East Baton East Baton East Baton East Baton
LA Rouge, Rouge, Rouge, Rouge, Rouge, Rouge, Rouge,
LA LA LA LA LA LA LA
Banks Alford Briarwood East Highland Ma(Yland Plains Smiley
Springs Acres Estates Ridgewood Crossing Heights Plantation Heights
Bellevue Ai sen Bridlewood Eden Park Highland McClure Way South
Blankston Ai sen Broadmoor El Ranchito Estates Place Platation Highland
Clarks Heights Brookhollow Ellen Place Highland McHugh Acres Southern
Columbia Antioch Glen Elliot Acres Lakes Mclemore Pleasant Stevensdale
Heights Villa Brookstown Engleswood Hlghlandia Acres Hills Sunnybrook
Copenhagen Aubin Brousard Essen Hillside Meadow Port hickey Tanglewood
Corey Autumn Plaza Evangeline Holiday Park Port Hickey Terra Haute
Cotton Plant Run Brown Hermitage Acres Mengel Landing The
Grayson Baker Heights Estates Howell Landing Port Hudson Highlands
Hebert Barkley Brownsfield Evergreen Howell Mi Ilda le Pride The Myrtles
Hoium Place Burtville Hills Community Millerville Puckett The Shire
Kelly Baton Carmel Felicina Farms Monhegan Quail The Woods
Riverton Rouge Acres Foreman Huntley Montan Hollow Universlly
Seven Runs Bayou Castle Forest Place Estates Quall Ridge Shadows
Crossing Fountain Ridge Glen Iberville Morgan Rambling Village Cote
Spaulding Ba~oo d Estates Estates Terrace Place Oaks Blllage Saint
Vixen Beabois Castlewood Fox Run Indian Morgan Red Oak George
Place Cedar Mill Fred Park Place Ridgew00d Waters
Beauregard Run Frenchtown lnniswold West Riverland Edge
Town Centerra Acres Irene Nesser Riverview Welcome
Beechwood Central Gadere lstrouma North Rolling Heights
Bell Grove Central Gardere Jackson Highlands Acres Westchester
Place Estates Place Park North Round Oak WhisQering
Bellingra lh Central Gibbens Jackson Ma!Yland Sable Chase Oaks
Bellingrath Place Place Place Mortheast Scotlandville White Hills
Hillis Cimmaron Glenbrook Jones Place Shamrock White Oak
Bethany College Hills Goodwood Creek Oak Gardens Run
Coogera tive Collegetown Green Kings Cluster Shenandoah Willow
Community Cornie Acres Estates Oak Hills Estates Creek
Bilmore Co mite Green Gate Kingston Oak Hills Shenandoah Willowood
Bird Estates Greendale Estates Place North Acres
Bluebonnet Camile Hills Greenwell Kl eingeter Oak Shenandoah Winchester
Ridge Camile Hills Acres East Kliengeler Shadows Park Woodland
Boganvilla West Greenwell Terrace Place Shenadoah View
Bolwood Country Springs Lafitte Hill Oakbrook Ridge Woodlawn
Acres Estate Greenwood Lakeland Old Shenandoah Acres
Bon Dickey Acres Estates Terrace Jefferson Square Woodlawn
Bonn Country Harding Lakeside Pate Place Shenadoah Acres
Brandon Road Heights Lazy Lake Pecan Trails Woodlawn
Place Crystal Harelson Estates Cove Sherrlngton Estates
Brentwood Place Hidden Liberty Pecan Place Woods
Place Cunnard Creek Farms Creek Sieg en Edge
Brian Place Highland Lincoln Pecan Ski Stone Woodshire
Estates Deerford Communil'l Heights Ridge Village
Briar Place Deerford Magnolia Perkins Yorkdale
Briarcliff Delmont Magnojla South Zachary
Place Bend Perkins Zion
Mar:yland VIilage
Petite
Place
Pinewood
Acres
Jefferson, Lafayette, Plaquemines, Plaquemines Tangipahoa Tangipahoa Harrison
LA LA LA La LA LA MS
PUBLIC NOTICE
CITY OF HAMMOND
Hammond Northshore Regional Airport, City of Hammond, Tangipahoa, Louisiana, intends to apply for
FY16-18 Federal Airport Improvement funds . To apply for these funds, the Airport must update its
Disadvantaged Business Enterprise (DBE) Program setting reasonable goals for DBE participation . In
establishing these goals , the Airport must, according to federal requirements (i.e. 49 CFR 26.45(g)(1 )),
"provide for public participation" through "consultation with minority, women 's and general contractor
groups, community organizations, and other officials or organizations which could be expected to have
information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of
discrimination on opportunities for DBEs, and [the Airport's] efforts to establish a level playing field for the
participation of DBEs."
Accordingly, the Airport Director invites public participation from anyone who could assist the Airport
Director, the Airport, or the City in establishing a level playing field for the participation of DBE's in Airport
construction projects to a goal setting meeting, to be held from 2-3 p.m . Wednesday, May 4, 2016 at the
Hammond City Council Chambers, 312 East Charles Street in Hammond, Louisiana (70401 ).
Appendix 3 to Attachment 5
The announcement at Appendix 2 was advertised in the local newspaper, posted on the
City of Hammond's website and either emailed or faxed to the following:
• Community Organizations
o Louisiana Small Business Development Center at Southeastern Louisiana
University
o Hammond Area Economic and Industrial Development District/Hammond
Downtown Development District
o Tangipahoa Parish Economic Development Foundation
o New Orleans Regional Planning Commission
o Louisiana State Chamber of Commerce
o Hammond Chamber of Commerce
o Louisiana Association of Business and Industry
o Louisiana Economic Development Office
o Economic Development Offices of all Parishes/Counties in the Anticipated
Market Area.
o South Louisiana Economic Development Council
o Small Business Association - Louisiana District Office, New Orleans
o Louisiana Minority Business Council
o Louisiana Associated General Contractors
• General Contractors
o Integrated Pro Services, Belle Chase LA
o Phillips and Jordan, Lafayette, LA
o Byron E. Talbot Contractors, Robert, LA (Bid winner, 2010 project)
o C.E.C., Inc., Lafayette, LA
• DBE Contractors
o DANCO, Belle Chase, LA
o Spartan Construction, Biloxi, MS (Bid winner, 2013 Control Tower Project)
o Mack's Trucking, Kentwood, LA
o First Millennium, Lafayette, LA
o McElwee Bros, Independence, LA
Attendees:
David L. Lobue, Director, Hammond Northshore Regional Airport (COH DBELO)
Comments:
• Shauna Seals stated that prior to seeing our notice in the paper, she knew
nothing of the DBE process. She asked many general questions designed to
help her understand the process better. She stated her desire to help get the
word out to the minority community.
• Fred Mccarter thanked us for the opportunity, but stated that he would likely not
be bidding on this project due to his company already being overbooked for the
remainder of the year.
Sign in Sheet
1. Name ;; d5
Addr~ss /6 . ae f uA'N Ul-
PhonJ Soc/ ~ 7l/ ,X/ 75·
Emaid 5JSedsQ jJtoo. Qn.i
7.Name _________________ ~
Address _________________
Phone _________________ ~
Email
·~----------------~
8.Name~----------------~
Address~--'--------'---------~
Phone~----------------~
Email
-----------------~
9.Name
-----------------~
Address~---------------
Phone -----------------~
Email _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
10.Name
-----------------~
Address _________________
Phone
-----------------~
Email
------------------
Appendix 4 to Attachment 5
PUBLIC NOTICE
CITY OF HAMMOND
Hammond Northshore Regional Airport, City of Hammond, Tangipahoa, Louisiana, proposes a FY16-18
Disadvantaged Business Enterprise (DBE) goal of 11 % for airport construction projects. Summarized
below, this proposed goal-and the methods by which it was determined-will be available for public review
from 8:00 a.m .-5:00 p.m. Monday-Friday at the Hammond Northshore Regional Airport Terminal Building ,
600 Judge Leon Ford Drive in Hammond, Louisiana (70401 ), until June 9, 2016 . Written comments will be
accepted until June 24, 2016 and should be addressed to both of the following and reference "Hammond
Northshore Regional Airport FY16-18 DBE Goal :"
*This figure was mathematically calculated using information from the following sources: LaDOTD DBE Roster, U.S. Census Bureau
County Business Patterns, U.S. Census Bureau North American Industry Classification System (NAICS), and previous federally-
funded projects at the Airport.
ATTACHMENT 6
A. Soliciting through all reasonable and available means (e.g. attendance at pre-
bid meetings, advertising and/or written notices) the interest of all certified DBEs who
have the capability to perform the work of the contract. The bidder must solicit this
interest within sufficient time to allow the DBEs to respond to the solicitation. The bidder
must determine with certainty if the DB Es are interested by taking appropriate steps to
follow up initial solicitations.
B. Selecting portions of the work to be performed by DB Es in order to increase
the likelihood that the DBE goals will be achieved. This includes, where appropriate,
breaking out contract work items into economically feasible units to facilitate DBE
participation, even when the prime contractor might otherwise prefer to perform these
work items with its own forces.
C. Providing interested DBEs with adequate information about the plans,
specifications, and requirements of the contract in a timely manner to assist them in
responding to a solicitation.
D. (1) Negotiating in good faith with interested DB Es. It is the bidder's
responsibility to make a portion of the work available to DBE subcontractors and
suppliers and to select those portions of the work or material needs consistent with the
available DBE subcontractors and suppliers, so as to facilitate DBE participation.
Evidence of such negotiation includes the names, addresses, and telephone numbers
of DBEs that were considered; a description of the information provided regarding the
plans and specifications for the work selected for subcontracting; and evidence as to
why additional agreements could not be reached for DBEs to perform the work.
(2) A bidder using good business judgment would consider a number of factors
in negotiating with subcontractors, including DBE subcontractors, and would take a
firm's price and capabilities as well as contract goals into consideration. However, the
fact that there may be some additional costs involved in finding and using DBEs is not in
itself sufficient reason for a bidder's failure to meet the contract DBE goal, as long as
such costs are reasonable. Also, the ability or desire of a prime contractor to perform
the work of a contract with its own organization does not relieve the bidder of the
responsibility to make good faith efforts. Prime contractors are not, however, required to
accept higher quotes from DB Es if the price difference is excessive or unreasonable.
E. Not rejecting DBEs as being unqualified without sound reasons based on a
thorough investigation of their capabilities . The contractor's standing within its industry,
membership in specific groups, organizations, or associations and political or social
affiliations (for example union vs. non-union employee status) are not legitimate causes
for the rejection or non-solicitation of bids in the contractor's efforts to meet the project
goal.
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit,
or insurance as required by the recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment,
supplies, materials, or related assistance or services.
H. Effectively using the services of available minority/women community
organizations; minority/women contractors' groups; local, state, and Federal
minority/women business assistance offices; and other organizations as allowed on a
case-by-case basis to provide assistance in the recruitment and placement of DBEs.
V. In determining whether a bidder has made good faith efforts, you may take into
account the performance of other bidders in meeting the contract. For example, when
the apparent successful bidder fails to meet the contract goal, but others meet it, you
may reasonably raise the question of whether, with additional reasonable efforts, the
apparent successful bidder could have met the goal. If the apparent successful bidder
fails to meet the goal, but meets or exceeds the average DBE participation obtained by
other bidders, you may view this, in conjunction with other factors, as evidence of the
apparent successful bidder having made good faith efforts.
ATTACHMENT 7
The City of Hammond, LA has available several remedies to enforce the DBE
requirements contained in its contracts, including, but not limited to, the following :
2. Bow do I AppJr?
Fi.rS1 rin1e applican1s for DBS certi.ficatiou n111s1 complete :wd subuiic this cen:ifica1io11 a11pli-."llrion and l'efaled
material 10 1!1e cenifyi.ug a~ncy iu yolv houie stnte 1\1.ld pnr1lcipate in an ou-site iurenie:w conduct~ by tlm1
;igency. The artached do<;\mleut check.Hsi can help you locate lhe iteolS you ueed to submit ro the a~ency ·with your
completed apylication. If yo\J foil 10 $1.lbruit the Nqllired documents. yo'1r appliC11tion nlilY be dch1yed audio~
<ienied. firtm i\li'<?ady ~ertifie<l as a DBE do nol ha,·e to cou1plete this foml b111 may be a>ked by cen,ifyiug
ageudes outside of yonr·home state to provide a <iopy of youi initial ayplicatio.u fonu. supportiuti ~ocw:nent&. i'\nd
any other infomia1io.u. you submitted to-your home ~inte to ol>tn.in certification or ro ru1y other state rda1ed to yo11r
certification.
4. Who \rill cot11sirl me 11bo11t u1~· ApJllkntion nnd what nre the eligibility ~rnndards?
l11e DBE and ACDBE 'Prognun.s req1tii·e that ail U.S. Department ofrmaspomnio11 (DOT) recipients of federnl
assistance participate i:n a statewide Unified Certification Program (UCP). T11e UCP is a one-stop certification
pro~1 that eliminate$ the 11eed.for your firm to obtain certification frou1 u1ulriple certifyii1$ ~ge:ncies wirhin your
state, The UCP is responsible for certifying fum.s and >l'll'l llltaii.li.ug a datal>a~ of.certified DB Es and ACDBEs for
DOT grantees. pursuant to the elig:iliility standards foluld in 49 C.f,R. Parts 23 aud 26.
SBA-Small Busii.1ess Size Standards matched to the North •.1\merican Industry Classification System 1,'NAlC'S):
hnv:iA\o-\YW.cens11s.\!OV/eoslw\VWioaicsl and ltnp:/i~rww.$b<1 . 12;0\'lcontenllU1ble-small-bnsi11ess-size--stai1dRtcli.
1n coll«11ng i.lie il1f01111.111ioo tcque;ud by tbu foan. th• llq:i1111J11c11tQfTn1n.".J>Qfll!llOC ~mnnu) ccmpli~ ..,th the pRmhoos oft!:•
f<"Cknl F~oflnfocmation cwd Ptil'acy Acl~ (S U.$.C SS! llD4 5523). Tbc Pm11cy Act pro-.~~ ~~chaui\'c pi'otcetious fot 'OW'
pcBQQJ1! in!OCDlllciqa. 'This me!~ bow l!lf~!JOO 1~ collect«!, 11-<cd. disclosed. <10<cd-, Aod di<c.udcd. Your liU«lll&doa will no I be dls<l~ d
_10 lhitdpani~ wilbout your co=t. Tue uifcnuAuOll coll..c!ed MU be;·~ ~IC'ly to delmiW.. yow falll\ digjbllity 10 parucipaie in ihe
~·~ ~\';U!tqcd Busulti~ Ei\terpn~ Prozi;w1ude!ill(din49 CFR §26.:i ·mt! 01e Ail)XICI Cooces11oc1 OiS3d\1U1lllgC\'I Busmt~~
EmapriscPr~= u dcllw;diu49 CfJ{ ~2l.3. Yco ' mayre\·~·OOT'~compltie Prk~ Acl :>1:11enim11.t1 lh• fto<l.:nl ~aisto'pul>liJ~OO
April l l. 2000.(6S FR 19477).
Uokr49C.f. R.. p.6 . I07. da1tdf~"Y2.. l999 .-JJanuaiy2S.201 I. o.fat ~r~. lb•~ oc • r«:pieo1msmsoa1obebc-.-c: tb.;,1
.-my pcnoo or firiu ht~ \\:illfully nlld l.:no"'-uialY'Jm'~dtd illczon~ tnfDm).'lUQCl or milde fut~ .uii=~ lhc Otp.mwcnt m:iy iuniiµc
~on or dcbonncotproccccLqg• npinxl ~ pcrwoor !i.nn Wldcr 2 CFRP;iru ISO and 11()0. NCilpfoeut= Su~,,..,..ian llJld
~l lllkt cufCR'.t:ruCU.I DCISCO Wldc:.r 49 c.f-.R. Pan 31, P!OgriW ftaud-;wd Civtl ~ ;uidlbf rrur I~ lllllll'Cf to lhe Tup.vtn>(DI of
Justice for ctUnirul prOW:cullOP ~ l 8 \i.S.C. 1001 . v.'flldl prohi\>il~ folse SIA!Ollnl" Ill F«kr1d progr~~ .
INSTRUCTIONS FOR COMPLETI.t"'G THE
DISADVA.~.'fAGED
. BUSTh'ESS ENTERPRISE (DBE)
AIRPORT CONCESSIONS DISADVANTAGED BUSINESS ENTERPRISE (ACDBE}
l JJ\l FORM CERTIFICATION AP.PLICATION
NOTE1 All plll'lkipat!uil tb·m5 must be for-p1'0flt t11t1!rpLi~H. If your firm is not fo1· tirofil, thtu yo11 tlo NOT ituallty for
tbt DBE/ACDBE p~~ :iull ,sboulu not compli>re this :ipplkadou. IC~•ou requlrt :idtU1ioua.l "Sp11~~ for ori~· qut.suou In
ch'is 11ppUc1ttion1 pl~ils(' ll'ftAch addllioDlll sbeef$ or coplt-~ 11.$ uet'dtd, liildua enrt to Indicate QD eat'h athicbt>d $btttlcopy
1b~ stctlou ~od uumbtr orrbl~ qppll('nriou to whid1it1>tfel'l\.
Sectfori 1: CERTlfICATIO~ P.ffOR\lATION (2) If you know th~ appropriate NAICS Code for ~
line(!.) of \-..-01\: you id::ntiiicd in your bus.iii~s profile.
A. Basic Coutlld Inforn1111don cntc:r the ~in the spncc p_nwi~d.
(1) Entc:r tfu: eontact ~ and title of the ~n (3) State the date oo whid1 your £nn was o:Slablished as
COWpletlllg this application and the person who \\111 stated in yoiir finn's Article\ of Incoxporatioo or
save ns your firm's C01118et for this appllcntiou. cruirtc:r.
(2) Euler the kpl nanlC of your firm. BS ind.ic.atc;d in your (4) State tb.c date~ p¢tSOO became a £inu ovroa-.
fi.nn'~ An.ides of Incorporatioo, or charter. (S) Cllecl: the appropriate box. d~ribing. the tMlll\CJ 111
(3} Entc:r the primacy phone nUillbcr of your 6.nn. 1vhioh you 311,d each other O\Wc:T ncquircd own,en,hip
(4) Enter 11 ~odaey pho.tlC nun\bcr, if any. o( >"ur firm. If you cllccltcd. "O!.h~" c:xpln.in in the
(S) Eutcr your 6m1's ·.fax,uum~, if lllly. space provido:I.
(6) Entct th.o cxmlllct penoo'~ ~1 addrcs~ ( 6) Clk:cl: the appropriate box-thnt indicates whether y1;mr
(7) Eotci-)'OUI' !inn's website addrci.Scs, if nny. flflU is .. for profit .. XI you ~beck~d "No,' lbcu you
(S) Enicr lhc 5~~ addRss of the firm where ils offices do NOT qualify for tbt DBE!ACDBE prov-nm and
~ ~c&ly toeatcd ~a P.O. Box). should noi c:owplc1c thh application.. All pan.icipntlng
(9) Enter the lllllili.ug li~~~ of your finn. if it is different firms UlllSl lie. for-profit cntcrµri~. If the firni U. a for
from ~our fum'-S ~ addru-., pr<?Dt cntesprisc, prm1idc the Federal Ta.': ID cumber
as $tatc.ionyoui fum's Federal mJ'CtUDL
B. Prlor/01bcr Cei·tifkadou~ :nicl Applk:idou~ (7) Checl: the appropriate box lhat doscn"bes the type of
(10) Chi:d.: the appropri.aft' box indicating whether your lei¢ btuincss mueturc of your fum, as .indicated in
fum is currently ccrti.5ed in I.he DBEIACDBE your finu's Articles of IucoJ1>0rnUou or simila.
programs. and provide the ll.aDJC of the cc:nifyi11g ~lCl.lt, Idt0lify afl joint \lcnturc pnrtnm if
agency th.Ii• certified your film. List we dates- of au.y opplic3ble, If you checked '"Other," briefly cxplnill in
silc \isit ~ condtx:tcd by your home SC$~ Wld any other the space provickd.
Still.:$ or OCP ~tbcn. AlsO provide the ~ of (8) lodicutc in the space<> pro\idcd ltow ll.WlY employee$
statc!UCP llll;t~ that conducted the review. your finu has, ~pccifyiils the mwibcr of cruployCc!.
(I I) Indicate whctba your finn or any of !he pc:r.;oos li~1t:d w}10 work on a full-time. part·timc. and ~ b.a.si.s.
has cva ~ dcnic;d cCf\ilicstion as 11 DBE. S(a). or Mlich a li.sl of cmplo~ thcix job till~ llDd dates of
Small Dis.advantaged Busines~ (SDB) fum. o; narc employmeot, to your npplicatioo.
11.0d !ocnl MBE/WBE firm. lndieate if the firm lias (9) Specify the finn ·~ ~s receipts foe cacli of \be pasr
n'(( bi:cn do:crtlficd from one: of lhcse programs. th.rec~ as stated lb }'Qur fuufi filed Fcdanl !Ax
Indicale if the app!ieatioo WRS witl1drawu or whether rcrums. You lllllit ~ubuit complete copi~ of the
the: fum WnS dcba.=d. suspendm. or othc:rwise 11.ad it\ fum's Fcdt:ral tax~~ for each year. If thc:rc arc
bidditli privileges denied or ~tric1cd by aoy s.!a1e or any affiliatei or subsidiaries of i:hc applicant fum or
locnl agency,. or Fcdctsl entity. If-your an\Wcr is yC$, ow11Cr.S. you roust provide lhcsc firms' gr'OS$ re:ccipts
ide:Utify· the name of the agency, and explain fully the and rublllit eocupfctc copi~ of~ fum(s) Federal
~ of I.be: action. in the space _provided. .Wdiee.~ i.f ~" returns. Affiliation i~ dcfioed in 49 C.F.R §26.5
you ha\'C ever ;wpealcd lhis deciswil ro th~ and 13 C.F.R. Pan 121.
l>epBl'tlnCll aod if so.~ a c0pyofUSOOT'~ fiaa1
agcacy dCcisiou.(s). B. Rtlntfonsbips 1111d,De~U.il.rs with Otht'L' Busillesse-s
(1) Chcdc the ~pp~priatc box that indicates whctll.:r your
S~liou l: G~"\"ERAL L'\;TOR.\L\TION fum is co-located a1 DAY of its bu.sinc:\s locations. or
wbcthcr your firm ~UU'I'$ a tclcpbone n~s); a
A. Bus_lnt$S profile: post offic:e bo11- -MY office spac.:. i'I ynrd.. wan::ho1.w:.
(1) Giv<: a ccincis.c dc.c:ription of the fum •s primary other facilities. a.ay equipment. wuwcing. or any
a.1:thiti,cs. lhc:. produa(s) or services tile: company office: raff Md/or employ~ 1\itl1 lilly other bu~wess.
provides or type of ~oustruction. lf your ~wpany org;i.nizatiou or mtity (If any kind. 1f you answered
offi:Jos• IOOre thnu ooc producllserv.icc. list primary "Y~" thcu specify the n.aruc of the other fum(~) IUld
producl br sen-ice ~r (attach 3(!ditional shcc~ if fully ~'CJ'IWn lh~~ture of yourn:latioiWi.ip with the!.C
ucce1.<;iiry). lb.is ~ption ~la)' be med in our UCP other businesses by identifying the b~im$~ ~ pctSc?n
onlinc dir«tory if you ~ Q:rtified as a DBE. with wboµi you h(lvc any fornl3l, Wfonu.'11. written, or
~
~·.:
..~,~...·
..·.:. oral a~1. Provit:k, au opl:uw:iOA of any ilcuis
!Jiarcd wilh otbc:r fums in the space provided.
checl.:cd "'Yes," sintc the name of the other business
3nd this owner's function/title- held in tluit b~-... ·
(2) Chcd. ~ npp.-oprialc- box indicatii'l.g wbcthcr .any (3) (a) Ch«k the appropriate: box. that mdi~es wb~r
other fum Cl.ln"tlltiy ba5 or had an ownership inicml this owner owns or wOrb for Bil)' other ~s) th.al
lit your fiau-atprcsen1 Qr at any time in tho paS1. Tf}"Ou bas rurl relationship with your finn. If you checked
chccl.:ed )'I:\, p!..asc exp loin.
(3) Ch=ck lhc DJJEtopri8tc box that indicates whCth.:r at
"Yes.," ickmify the: = of the othc:r busines.~ the
uatun: of the business relationship, 8lld the owi:u:r's
present or at any time iii the pas1 your fum: function at the ti.rm.
(a) t:Vt::r existed under difl'Cfcnt owners.hip, a diff=t (b) if the owucr works for llll.)' other firm. non-profit
type of ~wn~·shi:p. or 11 diff~1111nmc; orgmiz;ttion, or is cu~ in any other activiiy wore
(b) exi~. as. a subsidiaiy of auy other firm; dian l 0 hows per week, please identify this aciMty.
(c) ~d ns ii l,)8lt0crship in which one or more of the (4) (11) Pro\.idc tl1c pcr;oaal net warth of Oic om1er
psrtncrs urdwere olllc'r'tirms: 11pp!yiug fur ccrtifiClllion in the .spa~ provided.
((~)· . o\lncd IUl)' pcre<;11tagc of 'illlY olhc:r fum; and Compl~c and a~h the acconipanyillg "Personal NC1
~ had any·silbsi<liaries of its·own. · Worth ~lalaucnt for OBEIACDBE Prograw.
(t) !.eri·cd as Ii sUbcontmctor \\~th another fum Elipb'iliry" with )'Ottt epplic11tion. Nolc. ~mpltjc this
roa.~ ·mo«
lhci.n :i5% of your finn' ~ rctcipts. sa::tion and Rcco.rupnn)'iug smtClllCl1L only for cacll
owner applying for DBE qualification (£.:.; for ;;ach
If you ~wc:rcd ~ !:";" 10 auy of th~ qu®ons w(3)(a-f), owner clalulin$ ro be 50Ciolly nnd 1:e~ly
you Dl.llytlc aSlc.cd to'cjplAiu' the =gcnlel\t in deuiil. disoch'Ullto.gcd).
(b) Checl.: the appropriate bo~ that i.udicate<i whet.ha any
Stttion 3: MAJORlTY OWNER IXFORMATION trost bas bccn c:rCatcd for the benefit of the
disadvantaged o\1'llcr(s). If you rui.swc:rcd "Yes." you
Identify all indivi<4Ws or ho!din~ compwc.s with 1111y UUI)' .be asked ro pni•i<k a copy of the trust
O\vnershit> inlcnst in )'QllI fuUl. provi~ th~ i.ofcnmation instrument.
rcquesll:d below (u your fam hss more than one owucr. (S) Chccl: the appropriate to indicate whether llll)' of your
provide OCllllplcted copi~ of~ ~bou for c:acll ownef): inllllcdiatc lii.mily lllal.lbc:l'S. manaicis. or clllj>loyces.
own, llWlai<:, or 1U'C asi.ociatc:d with another rorupany.
A. I~µfify fht' mnjority O'll'ilel' of th.t' firm holdin2 5.1 % llllmcdintc furuily mcll'\bo- is cUfincd in 49 'C.F .R.
or more ownt>nhii> intt1'ttt §26.5. lfyou an~wc:rcd ••yc:;j;," Jirovidc the name of
( 1} ·Enter the full llllllic of the O\lollCI'. ¢<I.Ch J>C™'ll. )'OUT rclatiO!lShip io them. the name of
(2) Eutcr bislbcr title or positiou within your furu. the ~ropany, ihc: t)1>C of b11siucss. and whether they
(3) 01'.-c: hislher.home phone number. own or~ the comPllny.
(4) Enter his/her home (stttet) address.
(5) Indicate this owner's :gcoder. S~ti.ou 4: CO!''TROL
(6) l~tify the owner's ethnic ~up m,,~p. lf you
ch«:lccd '"Otha:;' spccl.fy this ownc:r~s ethnic A. lckntlfy the : firm's Officers arid Boiil'd of
gro11p/identi1y not otherwi~ listed. DlretlOl"l
(7) Chl:cl: the appropriate box. lo indicate wbcihcr dUs pro\;~cd, slllte the ll3nlC, 1itl<, date of
(I) In th.c space
owuCf ls a U.S. citizen or 11 lawfully aduUn.:d nI'i>'1in~1t,
ctllilicity, ood ~dc:r of ~ch officer.
pc!lUllUal! ~dcu1. If this owuc:r is ncilhu a U.S. (2) In die ~ace
provided, .state the name, title, date of
citizen nor a la\vfully admitted pennanent residcut of appmmmc:at, ethnicity, and gender of eaclt in<fu.idual
the u:s.. tliai this ov.ncr is NOT eligible for >en.mg on your firm's Board of Directors:
certification as a DBE owner: (3) Cheak tbe appropri11te bait to indicate whether any ·of
(8) Ente..- the .number of years during which thi~ owner has your fu:m•s offic~ ondlor diro:tors fated above
been nn O\\'llcr of your· finn.. pc:tfom.is a JlWlagcnic.i\l or supc:rvi$O!'y functi.011 for
(9) Lndieatc lb~ petcbi1tagc of the toml owni:rslllp this any othCI" bu.Wiess.. If you llnSWCl'l:d ~y~.~ identify
person holds and the dntc s,cquiml, including {if cacl1 person by' U.ime. hisib.et tijlc; the !lalllc of tbc
1!ppropriatc), lh.c ~~of stock owned, otha' business ill which s/he is involved. and h.is.lher
(10) Indicate the oolfar wluc of this owner's illitinl fundioo pcrf'ornicd in lhAt other bu,;.in~s.
inv<:Simcnt lo ac{)WrC nn ownership interest in yoor (4) Cbccl: the spproprfalc IX>~ tlul1 i11di01t~ wbelher any
firm, brokai ddwu by ~ rail ~11:.. C(luipmcDt, of your fum'~ offica-s aud/or director.; listed 11.bo\•c
a.od/or 01b.cr invC'SlnlcDI. Describe bow you ll'1<ttl.ittd 0\\-1\ or wod: for nuy other finn(s) that bM n
your bu~c:i.s and a~ ~tatian ~ubswuiatiatt relationship with your tinn. (e.g .. owocnhip mlcrcs\
th.i~ UWCSUIJCDt. ~ham! l.'tli~ spl\CC. lmanewl inVCSlnlCUIS. equipment
l=s, personocl.shariu~. etc:.) Jfyou answered •·Yes."
B+ Addition.Al Olmtr Iniornmtion identify the nantc of the finn, the individual's name..
(1) Dcsaihe the ~inl rclatioosbip of'rhis owocr to ~h iutd I.be =turc of his;bc:r busines~ rclarionship with
other owner of yoUI' ~and ~loy~ that other .fum.
(i) lnd.iauc wl1c:thc:r thi$ O\~ucr pcrloro~ a mann,gemt11t
or sup<;:rVi$¢1')' function for aay other business. If }'oU
D
-
'.
:~ ~)
·t.~.'!. . ,..
(1) Equipmenc and Vfbklt-S wt lhc 111l11lC of aic:h person in )'llur linn who holds a
Stiltc the l:nl1kc and 010dcl and cWTCnt dollnr \"Blue of profCS$i9Ua] license or pamii, the type: of Jl(rnUt or licC11S<:.
eai:h pieee of c:G'Uipmcnt and ~tor '.\.--chide: held ~lor tl1c cq>italion dnte of the permit or liceruc. and i.!o.'>uing
used by your fµlll. - llJclicatc whctha ~ pio;:c is State or the license or pcnnit. Mrach c:opi~ of licenses.
cilhcr owucd or leMCd by yciur Ii.an or o\vncr. wh~cr license n:ucwal fonm. pc:mllts. and haul autliority fomis _
it i.s used ai. collntc:tlll,-Md wb<::rc: this it an i.s stored.
I. Ln1-irs-1 toutt-a~c~ completed br your firlll In lhl' pan
(2) Of!ke Spa«- thn••"Y.e:ITS• if au~·.
St11t¢ the s~ ~ of each" office ~c: held
andloc in¢d by youc Jinn. Indicate whether your furn List the nanlC of each O\\ncr or contractor for each contmct.
or owner owes or ~ the oflie>c space :wd the the wun.:: Md locntiou of the projects UI1dcr each contrnct,
CUITCDI dollar volu.:: of that property or its Jcasei Ilic type of work pcrformcd <ll1 each contract, and the dollai
...-alue of each c:ontract.
m S.tOl'l\ec Spsct'
State the SU'CCI addtcc;s of c&eh "Orai!e space held J. L111~e:s1 11ctln jobs on which you!' 1lnil is <'Utrtntl~·
and/er ~ by your Wm. Incfu:ntc whether yout firm "·orkins.
or owner o'ms o.r leases the s'.tora~ s~c !llld tl1c
CWTClll dollnr wlu.c of chat propcny or iu lCA>c. For ca.cli active job listed. ~.late the name of the prime
Pn.nidc a 5-igncd lease agrecrocnt fur co.ch propcny. coru:racior and die projCCl munbcr. the locario~ the~ of
\V<?rl; pafo:rrucd. tk project s~ date, the aut.ic:ipatcd
D. ~ )'Our .Di:in nly on ~ur other flrm fo1· oowplction date. and tbc dollar value of the: contrncL
IWlllJtit~llt fW1-cl101u or employee parroll?
AIRPORT CONCESSlON !ACDBE.l APPUC.-\.;'\'TS
Cgcck t.b.c ·approprillte bol( that indit11tcs whO'tlu:r your fum I<lcnllfy the: cooCCSiion l>pl!Cc. add.rcss and location :n the:
.relics oo nny od!cr .firm fot mnna~ fuootions or foi: oizpo11, the Vl!luc ~f ~property or l~c, aud fees/lease
employee pa)®ll. If you iu.iswcml "Yc...'' ~u may ~ payments paid ·10 tlic RiipoJt. Provide Information
osked to c.'tpl.aiu the Oiltu.rc of !hat rdinnce and the eitlentto cooc:cmi.og auy other oirpoi1· conc:-cs.-sion busiilc$scs the
which. !.he o!bcr Bon carries out such func1io11s. appli=t finn or any affiliate owm and/or opCri\tcs,
including name. location. type of conccss.ion. and stnrt date
E. Finnm:ial 1.Baiildai Inforinatio" of the concession cotcwn~-
Bankini InfoIIJlBtion. State the name, City and Smte of amp,wrr & SIGMTI'RE
your firm·~ b2llk. Iii the 5J'i.CC provided. idc:olify the The Affidavi1 of Cc:rtilkGtioo m,11s1 nccomp:my your
pc:rsons &hie To siiµ:1 cliccl.'.s on diis ~cc.ount Provide bank upplieatioa fot certification. CarcfuUy re;id the lll111chcd
authoriZation lllld sigtl8lUTC cm:ds nffid11vi1 in it~ cu.tirciy, fill in lhc:- required i.o.formntion for
each b!W space, lllld sign and date the affidavit in the
Bonding l.nformation. S1a1e )'Qur finu.'s botiilint: limi~s (in presence of a Notary Public, who OIU$t then notarize th.e
dollars). ~if}iog: bolb iru: .aggr~nte :wd project lirui~. .foru1. ·
A. Basic Contact Infonrultion
(3) Phone#: L_) _ _ ~ ___ (4) Other Phone#: L_) _ _ - _ _ (5) Fax.#: (__) _ _ • _ _
(10} Is yow· firm cut·_rently C<'l'tified fol' any of the follo\\ing U.S. DOT programs?
Cl DBE Q ACDBE Names of ~enifying agenciei: - - - -- - -- - - - -- - - - - - -
0 If you are cel"tit1ed iu yo,1.i" hon:ie state~ a DBEtACDBE. you do !.\QI h11\'e to complete thfa application for olJier Wlh."i> .
A,~kyour im!te-UCP about the iure:state .:etti,tication proce>:..
List th(' elates of auy site Visits conducted by your home state and aor otht'r states or UCP members:
(11) ludkate whetb.t'r thf firm or ruiy persons listed in this application have ever been:
(a) .Denied cenificatiou or decertified as a DBE, ACOBE. S(a). SDB. lv!BE/WBE finu? O. Yes CJNo
{b) Witl1cb:awu an <tpptlcatiou .for cbese programs. or debiirred or sus~nded or orllerwise llao bidding p1ivileges
den.i~ orrestricred by any state or local agency. or Federal entity? 0 Yes 0 -No
If yes, explain the nature of the actioit (lf.w11 appealed the dedston to DOT or a1101her agen"" attach a copy ofthe decislon1
(2) Applirnble NAICS Codes ror this line of work lnrJudf: _ _ __ ___ - - - - - -
(3) This·firm was establlsh€'d on __;__/__ j (4) l/We bave OWlle-d this firm sluce: __l_ _ I_ _
(5) Method of acqulsltiou (Check all that applv):
D Started new business Cl Boughr existing business Cl lllhe1ited business 0 Secured concession
Q Merger or consolidation CJ Other (e:r.ptatnJ
~---~-~~--~---------~
(9) Spedfy the 0.l'ln's gross receipts for the last 3 ·tars. {S11bmlfro111plerc copies o/thefa111 's Federal t<p: ret11msfor
each year. Jf thel'e m·e affi/'iates or· subsidiaries ofthe app/ica111 fi1111 ol' owners .m11 mu:rt submit co11,,plete copie.s ofthese
jinns' Fe.darcl rax retums).
Year ___ Gross Receipts of Applicant Finu $ _ _ __ _ Gross Recdpts of Affiliate Films$_ _ __
Year Gross Receipts of Applicant Fim1 $ Gross Receipts of Affiliate Finns$_ _ __
Year Gross Receipts.ofApplicant Firni S Gross Receipts of Affiliate Finns$_ _ __
(1) Is ·y~ur fh·m co-lo~ate-d at any or Its bustness locations or does II shan a telephonl' numbt'r, P .0. Bo:t,
oflke or storage sp~~e, );ard, warehonst', fa('ilities, ~uipment, inventory, flnanctug, offi('(' staff, and/or
rmployees·wub auy othl'r.busloess organlzatlon, or t'nt1ty? 0 Yes QNo
If Yes, explain the na111re a/your relaiionsltip H'ffh these other q11si11esscs by ide;1tifyi11g rhe b11si11ess or person with whom you
hcn-e any Jonna/,, infomml, ll7'if/en •.or oral agreement. Also derail tlie i fems shm·ed.
(2) Has~uy other fil'm had an ownership interest in your nrm at p1·esent or at any time in the past?
CJ Yes 0 No If Yes. explam_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
(Ifyo11 t111strered "Ye,y" to any of rhe questions in (2) and/or (3.J(a)-(j) •.you may be asked to providefurther details and e.tp~ain
whefher tlie an·ange111e111 co111i11ues).
A. Identify the- majorit)· owner of tht> firm holding 51 % or mQre ownership fnftrest.
(2) Does thb owner perfol'm a management or supenisory fuudion for any other business? 0 Yes 0 No
If Yes. identify: N~ofBusinc-;s: FUD!:tionrritlc:: - -- - - - - - - -
(3)(ll) Does this OWI)t'I' own or work for any other tlrm(s) that has a 1·etationshlp "ith this finn? (e.g., 01mersl1ip
interest, $hared ojfi<:e spac'1. finarlC"ial inve.rm1<?1r1S, equipment, lt1JSes, pcrso1111e/ slraril'lg. ere.) CJ Yes 0 No
Identify the name of the business. and fue nature of the relationship. and the owner's ftuiction at fue fum:
(b) Does this ow1m work for auy other firm, non-profit organlZation; or ls engagt'd tn any other acthity
more tbn:n IO hours per week? If yes. idemify this activity: - - - - - - - - -- -- - - - - -
(4)(a) What is tbt' personal net worth of this disadYantaged 1Jwner appl~ing for rntitkatlon ? s_____
(b)Has any trust bef'n,et'fated for the beut'ftt of tllis disadvantaged om1er(s)? CJ Yes Q No
(!/Yes. you may be arked 1.o provide a copy of the trnst i11stiw11ent).
(5) Do any of yourlmmeillatt family members, managers, or t'mployees own, mau~ge, or art associattd \\itb
a11Qther company? 0 Yes D No If Yes. provide their naiue. relationship. company. type ofbusiness. and
ip.dicate whether tllcy own or 1ilallage the company: (Please atrach extra sheets. if1ieetfed): - - - - - - -- -
(2) Does this Oll11l'l' pel1onn a management or supenisory fllllction for any other business? a Yes Q No
If Yes. identify: Nllllle of Business: FWli:iiou/I'itle: ~---------
(3)(a) Does this owne1· own or work for any other finn(s) that bas a relationship witb tWs firm? (e.g.. onmnhip
Cl Yes 0 No
interest, 5hored cjfice qxtce,fi1ianc.ial 1m>es1111e11t.r, ~uipment leoses, perscmnel .sharing, etc.)
Identify the name of the business. and rile nature of the relationship. and the owner's ft.mccion at the fmu:
(b) Does this o.wner work for any other firm, non~profit organization, or is engagf<l in anr otber acthity
mot~ than 10 hours pet• we~k? If yes. identify this activity: '
(4)(a) Wbat is the personal net wo11b of this disadvantaged owner applying for rertUkatlon? $_ _ _ _ _
(b)Has any trust bt't'n creatf'.d for the- benefit of tW$ disadvantage-d owner(s)? Q Yes Cl No
(If Yes. you may be asked to prOl•i<le a copy of tlui tntsl i11strtmumt).
(5) Do any of your ilmnedil}tefamlly membtl'S, managers, or employees o'l1l; manage, or ari! assochlted
with another.company? D Yes CJ No If Yes, provide their name, relationship. company, type of
busiuess. and .iudicate_whether they own or manage: (Please at/gdt extra sheets, if needed):
- - -- - - -
U_s. DOT Unifonn DBE/ACDBE Certificatio11 .A.pplkation • Pagd of 14
·'d'~
S.cdon 4: CO!\'TROL •
A. Idtotify y()ur firm ts 0.ftkt>rs and Board of Dh«•ctors (If additional space is required, attach a separate sheet): ~- ·
;
Nnme Title Dale Etln1klty
Al>l}Oiu!ed ~Udt>r
(1) OffiC'el'S or the Co~pAny (a)
(I>)
(c)
(d)
{7) Board of DJ.rec.tors (a)
(b)
(c)
(d)
(3) Do any of the pt>1'sous listed above pt11orm a maMgemt>nt or supervisory function for any other bustuess?
0 Yes 0 No If Yes, identify for each:
Person: Title:
Busine~: Fw1ctioo.:
Pet'SOn: Title:
Busino:Ss: Function:
(4) Do any of the p.t1·sons listed in Sf.'ction A above own or workJor any other firm(s) thn t has a relntlouship
with this firm? (6.g., own~liip inieresr, shared office .Jpace, fimmcial i11vesrm'tf11s, etJinpmem, If.a.res, perso111wJ .shan·1rg. eJc.)
0 Yes 0 No If Yes, idenfify·fo1· each:
FinuName: _ _ _ _ _ _ _ _ _ _ _ ~_Peri;ou; ____________________ ~
Do auy of theperso1~s listed in Bl or B2 perfonu a illanagemeiu or ~1iperviso1y fl.wction for auy other business? If Yes.
identify the person. the business. and their title/function : - - -- - -- -- - - - - - - - -- -
Do any of the persons listed above <:i;vn or work for any other fum(s) that has a relatiouship with this firm? (11.g.,
<1wnership int~re.sr. shared office space, fittall<'ittl imiesmrena, eq11ipme11t, ltase.r, per.so1U1el shmi11g; ere.) If yes. describe the nanm~
of
the busin ~ ss .relationship : _ __ __ _ _ __ _ __ _ _ __ _ __ _ _ _ _ _ __ _ _ __ _
C lnvt'ntol'y: .Indicate your finu's fuventory in the following categories (Pl~e. irttach additional sheers ifncwled):.
1. ~quipment and V('hkles
1\-take and Modd Cun·ent Owued or Leased Used as coJIAtenll? \v11ere is item stored?
Value by F:irm or Ow1:1er?
.
~· ---------------------=-------------------
4· -------------------'-----------------~
5-------------~·----------------------~-~
6.
7.
----- - - --- - - --- - --------- -------------
8. ----------~---------------------------
_ _ _ __ _ _ _ __ __ _ _ __ _ _ _ _ __ _ _ __ __ _ _ __ _ _ _ ~
9.
~-------------------------------------
2. Offlc<' Spact
Sti:'et>t Addr.ess Owned or LE'ased by Finn or Owner? Cur1-t-nt Valu.e of Property or Lease
D. Doe-s.yow• firm rely on any other rum for management functions ot· employ~ payl'Oll? 0 Yes 0 No
Niime ofSource Address of Soul'ce Name of Pel'son Orlgiunl Current Purposl' of Lonn
Gu.11rautK'lng the Amoun.t Balauce
. L<>an ·
!. _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
3. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ __
G; List all <:ontdbutlons or transfers of assrts to/from vour firm and to/from any of Us owmTs or auothrr
indh,idW\l OVl'l' the- past two years (Attach additio11alsh~ts if11eeiied): •
3 ·---~----------------------------------
B. List current lkeuses/pt'nnlts held by any owner and/or t>mployee of your 1lrm
(e.g. co11tractor, engineer, architect. etc.)(Allach additional sheets .1fneeded):
2._________________________________ __ _ _ __
...
~·------------------~-~--~----~-~-----~~
3.. _ _____________________________________
J~ List the thrtt ·largest active jobs on which your firm is currently working:
l.
.
2.
3.
Idl'D tt1\·tb (' i 0 ll 0 wtD1" i 1If.ormfttion roncrrnlnl! t ll e .ACDBE HOD icaut fl nn:
Coriresslon SRare Address I Location at Value of Pro12e1·n· or F<'es/Lease Pavments
Ail~ort ~ Pald fo tlle Air1201·t
Provide information concerning any other airport <'OD<'ession businesses the applkaut firm or any affiliatt owns
aud/or operates, including name, locatiou, f:\1u· of concessfou~ and sflll·t ch\te of concession
A J\.UTERL\L ORFALSE STATEMENT OR OMISSIO!'\' i'vL.\.DE DS' C01'1''ECTION WITH THIS AP PUCATION IS
sumc~-r CAt:SE FOR DENIAL OF CERTIFJCATIO!'\, R.EVOCAnoK OF A PRIOR APPROVAL, INITIATIO~
OF SUSl'fu~SION OR DEBARME11ff PROCEEDINGS. Al"'D MAY Su"'BJECT THE PERSON Al i'DIOR ENTITY
~G THE FALSE StATE.'\'1.ENT TO ANY A:.'i'D ALL CIVIL k'-'D CRIMINAL f.ENALTIES AVAlLABLE
. PURSUk,TTOAPPLICABLEFEDERALAi'"D STATE LAW.
C()rpornlton or LLC
= Official Articles of Incoiporation (signed by the state
official) · · ·
C Both sides of all corporate stock certificates and your
:finn's stock transfer ·ledger
:: Shareholders· Agr..ie:ment(s)
': .r;:fu1utes ofau stoekholders and board of directors meetings
This fOITTI is used by all participants in lha U.S. Deparunoo! of Tf"MSP!ll1olion's Disadvantaged Business Enterprise (DBE) Programs Eech iMJViduol
owner of a finn ~ ~o J)81tlcipale as a DBE or ACDBE, woose Ol'Jl'lership lltld eonlrci are rt!lied upon for DBE cert&a!iOn must cOlll)lete this foon.
Eocli ~ signing this form tiithortzes ·the .Unffiad Cerljfication Program (UCP) recipient Co moko inQuirias os necessary to verily Iha acrurocy of the
sratem~ts mooe. The agency you apply to ~a use lh6 infoonali-00 proi/kled !o determine wtielher ~ owner is ecooomically disadvantaged as defined in
the.DBE prograin reguJ.atiQos ·49 C . F. ~ Pans 23 Ond 26. Ret.um form to 11pproprla10 UCP certifying member, 11ot U.S. DOT.
Name Business Phone
- .-
Spouse's Full Name :
(Maril.al Status: SinQie, Milnied. Divorced. Urn on) ' ~·
..,, ... ·.
-. -.: . - ..
,., ~
·' . (Omit Cents) <
.~. ~-AS$Ei"-S , '..._, ". . ,~ ~ _(O!nit.~} -UAStLmi;:s_·: ·. .'
,·~:qr Noteliolda{(s) ·• : , .:• · ~- "'". l:IJIQ~ •·• ·.~\. '. . .P.ayme°'L . '.Frequency_' ~.Secured or~ Type of
'· · - · " . · - .,,, . ·· . ·' .-Balance
·.: ' · Balance -~~~ (~~._ete:) · · _Goltaf8ial : ·
'_,., ~ . I •'.
'' .; ( ~ .- ... .. ·c.~·
' '
U.S. DOT Personal Net Worth Statement for DBE/ACOBE Program Eligibilit)• • J>age 1 of 5
Sectt0.no3.' Brokerauo.and cuet9(Sl_ill ~un", stocks, bonds; retirement aCC-OUnts. {Full Value) (Use ettactvn&nts·if necesswy) ..
:: ... . -
·.~' : .... ..
. ·. . . . :.- ·: . ,. . - -.. ,. . ' . .,. . ' - .. .
l'leme of SOCulily f Brokerage AccoUnl I Re!lrement Mllrlcet Value Dille of
Total Value
Account Quotation!Exdlal'Q8 Quotation/Exchange
II'-":); '.·;·"·. ·. . :.. .,.- -> :· . ·-j'=: ·· ::: ~lllY R~~e ·:·
$6ctlon,'4.: R~at~ta~ 9"111ed (IO:cl_ui;ilng Primary ~nlde!'te, ln~~stin~nt ~l'OP!I. r:tfes; Pers.onat Pr?P41rty !-e~~ed ~r ~ant~ fo~ ~uslneas
·P.lirpose$,.Flll1TI e.roportles, br.•al)y qth~ !11C9fl'l8 P.rodudng PfOp~rty), {Lisf"oo.ch. parcel,~o_ly •.Ad.d addl!IQnQl:~ts if ~ecessaiy).
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U:S. DOT Personal Net Worth Statement for DBE/ACOBE Program Eligibility• Page 2 of 5
I ~~9.'.n ~: 9th!f. ~~·na1 ~ro~~ ~d -~ts :(iJ~ ~~~a&. os necasS8rY'>
, ..::, · ·-. · . . . , , TooiJ PreSenl Amount of ·· Is this Lien'or Note amount
.!. ·• Va)Ja Uabllity aSset ' arid 'Tenns of
·-Typ~for P.iWefty or Asset . (Balance} inslir'ed? Pnymar(l
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I clednre undef penalty or pe_rjury that the infOl1ll1ltion provided in this porsonol net WOrth statement and Sllppolirng 0ocumB11ls is C001plete, true olld
COITect. I c_ertily'lhal no CISSGls haye been ltiinSterred to any beoofidar)t for less lhpn.fairtTllllket vo\00 in the laSI two years. I recognize that the
infonnalion SObiriittecfin thjs:apptlcatlords for the purpose ol indu::ing certification OpPfOVal by o government .agency. I understand that a government
agency maY. by means it deems appropriate• .clelermina lhe oCOlfacy and.truth ol the- s18temants in the appUcatioo and this persoow net Worth
statement, and I liutholize such agency io contSct any entity nsroedn the application or this personal rmncial stalem'&nt, lnciOOing the na(OOS
6anklng institutions, credit agencies, cootroctors, dients, and~ certifying agencies ror lh& purpose ofvef'ifying thEl'infQITl\Btion supplied al)d
delemlining the named firm's eli,gibifity. I ackOOo'Aeclge and agree lhal any misrepressnjations in this appfto.tlion or 1n recoros pertaini'lg lQ a contmcr
or subcontract will be grOUlds for tarminaling 811'/ contract or sul>coob"nct Whic~ n:iay be awarded: denlaf orreVOCtltion of c!lrtificetion: suspension Md
dabalm&nt; end for initintinQ action under federal end/or state law c()t1cerning fnlse statement. rroud or other appllcsb!G offenses.
NOTARY CERTIFICATE:
{Insert applicable state ad<oo'Medgmenl affimtatioo, or oath}
tn CXlliecting Ille ~onrabon 11qiesled by tnlS lonTi. Uie Oej)altrMot Of Transpcrti'.llion cOO\Plfes "'1th Federal FfeedOm ol IJ\lorm.llJon aro Pnvaey Act (5 u.s.c. 552 iltld 552'1)
proinsklo$. The Pn~ Ac1 ~ OO<lllfellensll'tl prO!ecuQns for ljOUr persooa1 1nrcxmati0ti. This Includes f1QW fnlolmation is coJeaec. Use<i. ~. ~a-~. ano
~. Ywr lrlformalloll Will ri:li be dlsCIOscd 10 ttiltll parties <MthOlll yoor consent. The Wormatoo t0ilecte4 'Mii t>e useo SQlefy to llelenrune your ltr.T'o ellgttllltty to
p;ll'\idj)il(e In~ ~iwl~ ~ Enl~ (DBE) Program or Airpon ConcessiOOalre Dee Programs as ~In 49 C,F.R. F'ili1s.23 and 2& You may review
oors- ~e Pnvacy Af:' Siatement n Ille fedel;l! ~egiSlet publiShed m Apr1111; 2000 (65 FR 19477).
U.S. DOT Personal N.et Worth Statement for DBE/ACDBE Program Eligibility• Page 3 of 5
Gene1·al fustl1lctfons for Completing the
P<'rsonal Net Wo11h Statemeut
for DBE/ACDBE Program EligiblUty
Please do not u:iake adjustments to yoLtr figures purs\larit tci B1·o~rAge and CustodiAl Accounts, Stoc~ Bonds.
U.S. DOT regulatious 49 C.F.R. Parts 23 and 26. The Rrtlre1nen1 Ac-c:oums.: Report rotal value on page l. and on
agency that you apply to will use the U.1fonuatiou pro\'ided page 2._sectio11.3, eut<!t' the ua.u1e of the securiry. brokerage
011 y9ur co?ll>let¢d Perso.nal-Ner Worth (PNW) State~al to nccount. retirem:ut accoullt. et;:-.: the cost; U'lill'kc1 value of
·det.-mni.lie wheJlier you meer the e'Co1101uic dlsadvaura~ the asset the date of quotation; aild to.tal value as oft.he date
n."'<jUirewenrs of 49 C .F.Il Parts 13 aild 26. lf!hi:re are of the PNV,t statement.
discrep,ancies or~e5tions r~di.nttjour fonn; it n:l.ay be
returned to you 'IO correct aud coa1p1e1e agal.11. Assets Held in Tnist: Enter the ioral \·alue of the assets held
in trust on page 1. and provide die names ofbeueficiruies
Au illdi'vidual's pa!iOlial u~t WOl1h according 10 49 C.F.R and truStees, imd other in:fommtion in Section 6 Oil page 3.
Paits :!~ aud Z6 i.ucludes onJy h.is-0r. her O\'<n !>hare of assets
lleld separately, joinrly, or-<1SC9llllllllllity p1'0J>efl)' witli the Lonns to Shareholders nnd Other '.Re-<"eivnbles uot listed:
indi\idlllll's spo11se and e."cludes the followin~ : Enter amouu1s looned t9 you froth your firm, from any other
b\isi.ness -eutily i.11 which you hold au owners.hip interest. and
• Individual· s ownership interest in the applicant .finn; other recei-v'ables uot listed abQ\'e. CorupMe Section 6 on
• Indi\ridua:I 's equity. in his or her primary residence: page 3.
• Ti\X aud iuterest proalties that would l\CCl1\e if retireme.ut
sa~<in~ or·iuvestmeuts (e.g.: pension plaus.; lndi,iduaJ Real ES111te: TI1e total value: of i"tal estate excluding your
Retirement Acco\Ults.. 401 (k accoums. etc.) were primary residence should be liste9 on page 1. in sectl.ou 4 on
distribnted at the present rime. page- 2. please list your printu:y residence in 1:olumu L
iucludiug the address. method of acquisition, date of
hldiCllte on tlie foml. f My ite1us ru·e joiutly owned. lf th~ acquired. names of de-ed. pur~I~ price. pNSo!Ut fuir marker
p.?l'SO(ial net worth of lhe mnjonty owner(s) of the fum \'al\le_. SO\llcl! of market \111lmuio11. names of all mQrtgaie
~ceeds Sl.32 atlUion, as defined by49 C.f.R:. Pru1s 23 and holders. lll.Oi.1~ge acco\U1l mwiber 8.lld balance. equicy liue
16, tlu: finn is not eli!illle for DBE 6r ACDBE c~ficntiou-. of credit balauce. aud ruuotu.11 of payuieru. Li I tlus
If the personal net worth of the 1najority owue-r(s) exceeds infonnation for all real estate held. Please ensure that this
the Sl.32 million_cap at any time after.yo\tr firm is certified. section contaim all real estate o\\11ed, including reital
the firol is no longer e:ligi.ble for certific.ation. Should that properties. vacarion properti~. commercial properties;
oc~ur. it is yo\u- r~usibility to co1ttact your ccrtifyi~ ~onal property lea~ or rented for blisines-s purposes,
a~eocy in writi.ui to ad\·ise tl1nr your firn1 ·no longer qualifies fan11 properties aud any other tucome producing properties.
-.as a DBE or ACDBE. YoU·ll-\ust fill out all J.ii1e items ou the etc. Attach additional sheets if needed. -
:·Persollal Ncr Wo_rthSlateiueor.
Life luSUJ'aUCf: 0n page J, enter the C.1sh S~der ''81\le of
If necessary. use additional she<?ts of paper 10 report all this asset. In section 5 ou page 2, enter the name of the
infQnu.,tion .and derails. Ifyou have any q~stions about iU$utance company, the fiice value of the policy. cash
completil.l,g this for11\; please contact 011e ofU1e UCP SWTencJe-value. b-eneficiaiy names. aod loans OU tl1e policy.
certifying agencies.
Other Persounl Property ruid Ass~ts: Enter the total \'nlue
~
of perS<>nal prope,tij• asid assets you own on page 1. Personal
All assets nm.st b~ reported at tl1ell' current fail' market \11h1es property inchlde.s motor ''ehicl~, boats. tmilers, jewelry,
as of th~ date of yo\!l" statemerit~ ,4$sess0r's nsse.ssed_ mlue fi.lmiture. h.ousehold goods, coUectibles. dotllinR. .-ind
for real i';Stnte, for example, is 1101 ncceptabie. Assets held persollBUy owned \·elucles thar are leiised or r;::nred to
in atrust should be ~luded. btLSWC$SCS or other i.LtdiYidu.-tls. lu ~ection Gou p.~~e 3. li.sr
tl\e$e assets and e.utcr the pr¢ttilU \talt1e. tbe b;tlat1ce of-ar.\y
C_11.sb and CA sh Eqilimleuts: On pa!!e I< t!lller the total liabilities. wlletltel' rbe nss,er 4 iu!;tLred. and lien or ~tote
mrcuut of cash or cash equlvalt?nts in baok acco~wts. information and tet11~ of payuieuts. For accounts and notes
including cbecki11g. sa\'in~ money market, certificates of receivable, eUler tbe total ya)ue of all morues O\~·ed !O you
~sit held doi»~tic or foreign. Pi"<)\ide copies of the bruik peCSDUl\Uy, if any. Tlli should iu.clode sh.nrcl1older loans to
statement tlli! applicm1f firm. if tli_
ose e;tlst. If the asser i; in&tLred. you
lil.ll)" l>e asked to pro,;de a copy of rhe policy. You may also
Retil'ement Accounts, IRA. 401Ks, 403Bs, Pensions: On be asked to provide a c-opy of any lier~ or ll01es ou fue
page 1, euter the full value minus tax aud.intetest peualties property.
that woµ.ld apply ifasse'ts were di.stributtd as of the dn1e of
the fonu. Describe the mUnber of shares. name -0f securi.tie~. Other Busiu~s I11tere5ts Other thm1 Applirnnt Flrm; On
cos_t inarket value. da1e ofquotntioti..ru.td total value in page 1, enter the total value of your other busiues$
sectiou 3 on pase 2. iuvestnients (excluding the applicant firm). ln section 7 on
page 3. enter iuformatiou co11cero.iug the ~usiuesses you
U.S. DOT Perronal Net Worth Statement for DBE/ACDBE Program Eligibility• Page4 of 5
bold an owuership interest in. 5uch as sole proprieton>hips, luwe co•sigued 011 a relative 's loan. but you are no.t
pnrtuersltips. joiJ1i ,·eurures. corpornrio1". or limited liability respouslbte for the debt m1ti Iyo1U· rdative defaults. that is a
coTpOrations (01her 1liao the applitant futu). Do noi reduce c01\tin~e nr liabiliry. Cooril1geu1 liabilities do not count
.!lie \'alue of these eutri~ by ariy loans ·from: tlie omside firm toward your net worth until they become actual liabilities .
to the DBE/ACDBE applicant·business.
Unpni.d T11xes: Enter the total amouur of all ta.~e:s 1ht1t nn:
LfAbillllt>S c.ureutly due. but are unpaid ori p<lge 1. and ~.omplete
section 8 011 page 3. Coutiugent tax liabiliri~ or ruiticipated
Mortgages on Real Est~te: Enter the toral balance ou all rnxes for current year sho11ld 1101 be iru:ll1dOO. ~1-il>c in
IUOrtgal(es payable on re<il ~tate on page l. detail the name oflbe inclivid11al o_blig;ared. nan~s of co·
si~.::rs. the type of w1pnid ta~. 10 whom the tex i~ payable.
Loan~ on Life Insurance: Eut.rr the total value of all loans due date. amollllt. and to \\'hat property. if any. tlle rnx lien
due on life itis1u-an~e policie$ Otl page l. and complete attl'li:hes. If none, state "NOl\TE." You.must lliclude
sec tion S oil pae,e 2. doclunenlation. such as tax liens. to s\tpport the amotmts:
/'\ores & At'c:owtts P-!ly11ble to Bsulk aud Otl1<>1'S: On pa~e Trnnsfe1-s of A,sS('ls:
I. ~ection 2, .:uier de.tail& concemio~ M)' lfability. indudiuF:
name of notehol<lers. ori~I and C\lm:nt bal~nces. pa;inent Trnn:o;ftrs of AsSt'ts: If you checked the box indicating yes
te:rms. nod security/collateral info1:mMion. Tue eiUlies should Oll ))(1$.e 3 in this category. pro\'ide details on aJI asset
iuclude automob1l~ ius1allme11t accolUllS. This should not. ·tra115fers (\\~thin:! renrs of the d.i1e of this pdSOnal net
llow.n."er. iru:luele aoy mortga~e balauc~ as this inforuiation worth statement) to a sp0nse. domestic paruier, relative. or
is-captured in SC(:tion 4. Do not include loans for your e:i1tiry in which you have an O\Vnersltlp or beneficial ipter~t
b~\ness or mo11~ges fo1· your properties in this sec1iou. inclu.din~. a m~t. Iuclude a dei.cripdou of Ille asset; naUles of
You:way l>e asked lo submit copy of uo1e/seewil)· indj\,iduals on tl1e deed. 1itle, tioh~ or other i.nSlnuuem
agreement. and the most recent nccouot statement. inclicatin~ O\\uerslup ri~11s.: 11\e naiues of i11di\'iduals
receiYUi~ the assets and 1hi:ir relation 10:The 11ansf~o1·: the
Other Llilbllides: Ou pa&e l, enter tlie total \"alue due 011 all daie of tile transfer: aud the \'<t lue or cousideratioo received.
01her lfabilitie~ nor foted in the pfe\-io11S eutrie$. ln sectiou SuhiniT documentation requested 011 the fom\ related to rhe
8. pa~e 3. report the name of1he iudhidual obligated. 11a.lll<:5 transfer.
of co-signers. description of the· linbiliry, tile 11allle of'!he Affid1wi1
~ntiry owed, the date of the obligatiou. paymeut ruuolu11s and
tefWS. Note; Do nor include coritinsent liabilities in this Be sure to sign and da[e the statemem. 111e P~soual Net
seo::tioo. Contingent lic1'blliries are Jiabililies that belong to Worth Statement must be notarized
you ouly if an e''.:nt(s) shour'd occur. For example. if you
U.S. DOT Personal N.et Worth Statement for DBE/ACOBE Program Eligibility• Page S of 5
ATTACHMENT 9
The State of Louisiana has developed a Unified Certification Plan containing the
definitions, requirements, process, and forms which will be used by the Certifying
Agencies identified below. This manual is attached as Exhibit A, and becomes a
part of this Agreement.
H.cgion 2 - The Louis Armstrong New Orleans Intermtional Airport through the
New Orleans Aviation Board, Orleans Levee District through its Board of
Commissioners and the New Orleans Regional Transit Authority will certif)1 firms
lhat have their principal place of business in Region 2 as shown on the attached
map identified as Exhibit. C.
1. The LAOCP agrees to follow all certification procedures and standards of 4,9
CFR Pa_rt 26, Subpart E on the same basis as recipients. Further, it will
cooperate fully with oversight, review and monitoring activities of USDOT
and its operating administrations. All obligations of recipients with respect to
certification and non-cliscrirnina6on will be carried out by the LAUCP.
2. All direct rec1p1cnts of lJSDOT funds in Louisiana have signed this
agreement, and will accept DBE certification decisions rendered by any of
t11e aforementioned agencies.
5. A firm that does not have its principal place of business in Louisiana may
apply to be certified with any of the Certifying Agencies, as long as the firm
has obtained DBE certification from its home state UCP. Any application
received from a firm that is not certified in its home slate will be sent back to
the applicant for certification and site visit by their home state UCP.
One database will be established that will tie all four agencies together. The
LADOTD will bear the cost for the main server for the system. Each Certifying
Agency vvill be responsible for purchasing its own hardware. The LAUCP will be
responsible for the development of the software. The cost of the sofhvare will be
developed and paid for .iointly. Each Certifying Agency will update all information
on the files that it processes although LADOTD will be responsible for hosting the
information.
• Level I - Each certifying agency Vl~ll be able l.o access ils files for updates
and posting of real time information, and will be able to access all files for
slalus review.
• Level 2 - Each recipient will be (lblc to access for status review.
• Level B - Any user will be able to access the unified directory that will
have real time updates of certification status.
Program Features:
The Executive Committee shall ensure uniformity among· the Certifying Agencies
and shall make recommendations for amendments/ revisions to the LAUCP
Agreement or ;u1y associated documents or materials related to the Prognun. Other
committees may be appointed as deemed necess<ll'Y by the Executive Commiu.ce.
All parties signed herein agree to be bound by this Agreement and the attached Plan
and Process Manual. All parties agree that this document shall be valid and binding
when executed in multiple counterparts. Each counterpart, when considered
collectively with the others, shall constitute the entire agreement between the parties.
Subrecipients will be committed to follow the decisions of the LAUCP. Specific
lang11agc will be included in future sub grant ah'Tccmenls.
i-
(S 1gn ature) ' (D~e)
ATTACHMENT 10
Small Business
Development Plan
Attachment 10 - Small Business Participation Plan
The Hammond Northshore Regional Airport has developed a race and gender neutral
nondiscriminatory Small Business Enterprise program in accordance with the
requirements of 49 CFR 26. The SBE program shall be administered by the Airport's
DBE Liaison Officer. The DBELO will have direct, independent access to the Mayor of
the City of Hammond, the local government entity/agency under which the Airport falls .
The Airport has established a SBE Participation Plan to ensure that contracting and
procurement policies, procedures, and practices support equity and parity in the
economic opportunity the Airport generates through federal and non-federal spending.
The DBELO is charged with the task of making business opportunity more available to
small, minority, and women-owned businesses through race and gender neutral
programmatic activity.
The primary functions of the DEBLO, with respect to SBE participation, include
outreach, advocacy, business assistance, and compliance as detailed below.
• Outreach
• Advocacy
• Business Assistance
o Work with local banking and financial institutions to develop programs that
support small business participation at the Airport; and
o Work with local small business development agencies to develop
programs that support increased SBE participation.
• Compliance
The DBELO is also responsible for coordinating and administering all other aspects of
SBE participation in Airport contracts, both federally and non-federally funded.
The DBELO is
David L. Lobue
DBELO
Hammond Northshore Regional Airport
600 Judge Leon Ford Drive
Hammond, Louisiana 70401
985-277-5667
lobue_dl@hammond.org