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HomeMy WebLinkAbout147-00 RESOLUTIONRESOLUTION NO. 147-00 • • /1Ir'P..r) A RESOLUTION APPROVING THE REVISED DISADVANTAGE BUSINESS ENTERPRISE (DBE) PROGRAM TO BE IMPLEMENTED FOR ALL DOT/FAA GRANT ASSISTED CONTRACTS ENTERED INTO BY THE CITY OF FAYETTEVILLE MUNICIPAL AIRPORT AS REQUIRED BY 49 C.F.R. PART 26. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF FAYETTEVILLE, ARKANSAS' Section 1. That the City Council hereby approves the revised Disadvantage Business Enterprise (DBE) Program to be implemented for all DOT/FAA grant assisted contracts entered into by the City of Fayetteville Municipal Airport as required by 49 C.F.R. Part 26. A copy of the regulation is attached hereto marked Exhibit "A" and made a part hereof. PASSED AND APPROVED this 17th day of October , 2000. APPROVE By: / ATTEST: By:139� eather Woo ff, City CI Frcd Hanna, Mayor NAME OF FILE: CROSS REFERENCE: lea%t. /17 oo Date Contents of File Initials /0 /7 oo �.- Z . /17- DCS /1-/Y- '�1 Lela " (4# eV asi. A'�/��� /e -s -00i,'/, ° i.✓1 J% ii . . A 4 . ,4 � ,dAd'At dtor /4 /%oo .bL/✓4/. t/0773-ao hornS - 69- FAYETTEVILLE MUNICIPAL AIRPORT DISADVANTAGED BUSINESS ENTERPRISE PROGRAM Definitions of Terms The terms used in this program have the meanings defined in DOT 49 CFR 26.5. Objectives/Policy Statement (26.1,2613) EXHIBIT A The City of Fayetteville/Fayetteville Municipal Airport -Drake Field has established a Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The City of Fayetteville has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the City of Fayetteville has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the City of Fayetteville to ensure that DBEs, as defined in Part 26, have equal opportunities to receive and participate in DOT -assisted contracts. It is also our policy - 1. To ensure nondiscrimination in the award and administration of DOT -assisted contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT -assisted contracts; 3. To ensure that the DBE program is narrowly tailored in accordance with applicable law; 4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs; 5. To help remove barriers to the participation of DBEs in DOT -assisted contracts; and 6. To assist the development of firms that can compete successfully in the marketplace outside the DBE Program. The Airport's Financial Coordinator has been delegated as the DBE Liaison Officer. In that capacity, the Financial Coordinator 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 City of Fayetteville in its financial assistance agreements with the Department of Transportation. The City of Fayetteville has disseminated this policy statement to the Fayetteville City Council and all the departments of our organization. We have distributed this statement to DBE and non -DBE business communities thatperform work for us on DOT -assisted contracts by running an advertisement in a statewide newspaper. Attest: Heather Woodruff, City Clot/ CITY OF F By: Fre Hanna Mayor Date /41;4 1 LE ate /o?% X r W • 1 • APPROVED AS TO SUBSTANCE: 0 P-< kt Date U ' () Y - f�7J Alen Little, Economic Development Director Nondiscrimination. (26.7) • Thc City of Fayetteville will not exclude any person from participation in, deny ariy person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Pan 26 on the basis of race, color, sex, or national origin. In administering the DBE Program, the City of Fayetteville 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. DBE Program Updates. (26.21) We will continue to carry out this program until all funds from DOT financial assistance have been expended. We will provide DOT updates representing significant changes in the program. Quotas. (26.43) We do not use quotas in any way in the administration of this DBE program. DBE Liaison Officer (DBELO) (26.25) The following individual has been designated as the DBE Liaison Officer: Brenda Moss, Financial Coordinator, Fayetteville Municipal Airport -Drake Field, 4500 S. School Avenue, Suite F, Fayetteville, AR 72701, phone# 501- 718-7640 Ext. 5. In that capacity, Ms. Moss is responsible for implementing all aspects of the DBE program and ensuring that the Fayetteville Municipal Airport -Drake Field complies with all provisions of 49 CFR Part 26. The DBE liaison officer has direct, independent access to the City of Fayetteville's Economic Development Director concerning DBE program matters. The City of Fayetteville is the sponsor for the Fayetteville Municipal Airport- Drakc Field. All departments are available to assist or advise the DBE Liaison Officer as needed. The Airport recruits engineers for each of our AIP projects who work and assist in the compliance of the Airport's DBE program. The DBELO is responsible for developing, implementing, and monitoring the DBE program, in coordination with other appropriate officials. Duties and responsibilities include the following: I. Gathers and reports statistical data and other information as required by DOT. 2. Sets overall annual goals. 3. Ensures that bid notices and request for proposals are available to DBEs in a timely manner. 4. Identifies contracts and procurement so that DBE goals are included in solicitations (both race -neutral methods and contract specific goals) and monitors results. 5. Participates in pre-bid meetings. 6. Advises the Economic Development Director on DBE matters and achievements. 7. Participates with the project engineer to determine contractor compliance with good faith efforts. 8. Maintains the airport's updated directory on certified DBEs. 2 • • Federal Financial Assistance Agreement Assurance. (26.13) The City of Fayetteville has signed the following assurance, applicable to all DOT -assisted contracts and their administration: The City of Fayetteville 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 of 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 City of Fayetteville of its failure to carry out its approved program the Department may impose sanctions as provided for under 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.). DBE Financial institutions. (26.27) The City of Fayetteville utilizes the publication, "Report of the Bank Commissioners of Arkansas," as a source of financial institutions. This register is published yearly by the Office of State Bank Department. The DBE Liaison Officer will investigate the availability of any DBE Financial Institutions listed in this register and recruit other interested DBE financial institutions by running advertisements at least once a year in a statewide newspaper. The Fayetteville Municipal Airport will use these mediums to initiate the investigation to the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in our community and snake reasonable efforts to use these institutions. We will also encourage prime contractors to use such institutions which we have identified. To date we have identified no such institutions in our area, but will continue to search. Directory. (26.25) The Fayetteville Municipal Airport -Drake Field will maintain and make available to interested persons a directory identifying firms eligible to participate as DBEs in our program. The directory lists the firm's name, address, phone number, and the types of work the firm has been certified to perform as a DBE. The directory will be revised at least annually. The airport uses the Arkansas Highway Department's directory of certified DBEs as the airport's DBE directory. The directory will be available to contractors and the public on request and will be maintained at the Fayetteville Municipal Airport -Drake Field located at 4500 S. School Ave., Suite F, Fayetteville, AR 72701 or by calling 501-718-7640 ext. 5. Copies may also be obtained by calling the Arkansas State Highway and Transportation Department at 501-569-2259. Required Contract Clauses. (26.13, 26.29) Contract Assurance. (26.13) The Fayetteville Municipal Airport -Drake Field will ensure that the following clause is placed in every DOT - assisted contract and subcontract: The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT assisted contracts. Failure by the contractor to carry out these 3 • • 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. Prompt Payment. (26.29) The Fayetteville Municipal Airport -Drake Field will include the following clause in each DOT -assisted prime contract: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contractor receives from the City of Fayetteville. The prime contractor agrees further to return retainage payment to each subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City of Fayetteville. This clause applies to both DBE and non -DBE subcontractors. Before any written approval for delay or postponement for payment is issued, both the prime contractor and the subcontractor will be invited to discuss the disputed issues. The Airport will fully investigate our options with the City of Fayetteville's Legal Department and the Federal Aviation Administration in the most expeditious time possible before written approval for delay or postponement of payment is given. Sanctions for Noncompliance: In the event of the contractor's noncompliance with any terms of a DOT -assisted prime contract, the City of Fayetteville shall impose such Contract sanctions as it or the Federal Aviation Administration may determine to be appropriate, including, but not limited to: (A.) Withholding of payments to the Contractor under the Contract until the Contractor complies, and/or (B.) Cancellation, termination, or suspension of the Contract in whole or in part. Monitoring and Enforcement Mechanisms. (26.37) The Disadvantaged Business Enterprise (DBE) program for the Fayetteville Municipal Airport -Drake Field will be incorporated as part of the Specifications and Contract Documents on all DOT -assisted contracts. The inclusion of this program in the Specifications and Contract Documents provides the same sanctions for noncompliance to the DBE program as any other teim of any DOT -assisted contract. Submission of a bid on any federally assisted work advertised by the airport will obligate the Contractor who submitted the bid to use good faith efforts to meet the DBE goal published in the bid document. The Contractor will be required to submit the names, addresses, telephone numbers, EINs (Employer Identification Number), DBE Certification Numbers, the kind of work performed, and the amounts to be paid to all subcontractors participating as DBEs in the project at the time of contract execution. If no DBE participation is expected in the contract, the Contractor must submit proof at the time of contract execution of good faith efforts to obtain DBE participation. The Fayetteville Municipal Airport -Drake Field will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program which is evident to airport staff. DOT can at their discretion take steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT 4 • Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. We also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. Overall Goals. (26.45) Amount of goal. The City of Fayetteville's overall goal for FY2000 is the following: 5% of the Federal financial assistance we will expend in DOT -assisted contracts. Method The Fayetteville Municipal Airport -Drake Field used a weighted average method (Anachment #5 Example 2) to calculate our base figure for our DBE goal. Base Percentage: 1. The weighted factor was derived by calculating the percentage of the cost expected to be expended in each SIC code for the estimated project costs for the year 2. The second factor used in the formula for calculating our base figure was derived as follows: the numerator is the number of DBEs located in our four county area (Benton, Crawford, Madison, and Washington Counties) that can perform the kinds of work needed which were identified from the Arkansas State Highway and Transportation Department's directory for DBE. The denominator was derived using the number of individuals listed by the Census Bureau's County Business Pattern database on the Internet. This calculation produced the relative -weighted availability of DBE participation of .50 percent. Adtusted Base Goal: The airport staff made inquires at the Chamber of Commerce and the Small Business Administration as to studies or records maintained on DBEs. No records are assembled to represent this group as a minority. A data search of the Census Bureau on the Internet revealed a minority population not including women in our four county area of approximately 3.07 percent in 1990. A review of our recent let contracts for 1997 through 1999 indicate that with advertising outside of our immediate area the airport can expect a participation of DBE activities as subcontractors ata rate of at least L74 percent (1997 accomplishment = 3.16%, 1998 accomplishment= 0, 1999 accomplishment 2.06 % equals a 1.74% yearly average)(Attachment #5). The average percentage of our base goal and the average of our last three years accomplishments would indicate an achievable overall goal of 1.12% ((.005 + .0174)/2=1.12). After evaluating the above information, the City of Fayetteville/Fayetteville Municipal Airport's initial base rate goal has been adjusted to 1.12% to reflect as accurately as possible the DBE participation the airport staff considers obtainable. 5 • • Process The Fayetteville Municipal Airport/Drake Field will submit its overall goal to DOT on August 1 of each year. Before establishing the overall goal each year, the airport staff will review the Disadvantage Business Enterprise Directory for changes in the number of available DBEs in our area Staff will also review the contracts let for the previous year, contact other airports in our vicinity, and any other persons or groups who might have knowledge concerning the availability of disadvantage and non -disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the airports efforts to establish a level playing Geld for the participation of DBEs. Following this process of determining our new goal, the airport staff will publish a notice of the proposed overall goal in a statewide newspaper, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at the airport office for 30 days following the date of the notice, and informing the public that the airport and DOT will accept comments on the goals for 45 days from the date of the notice. The notice will include addresses to which comments may be sent and addresses where the proposal may be reviewed. All conmrents will be reviewed by the airport staff, and if comments warrant, changes will be made to the proposed goals. The overall goal submission to DOT will include a summary of information and comments received during this public participation process and the airport's responses. The airport will begin using the overall goal on October 1 of each year, unless other instructions have been received from DOT. Breakout of Estimated Race -Neutral and Race -Conscious Participation We estimate that, in meeting an overall goal of 1.12%, we will obtain 0% from race -neutral participation and 1.12% through race -conscious measures. Since the Fayetteville Municipal Airport has not been able to reach our overall goals with race -neutral measures, we will continue to use contract goals in meeting our overall DBE goals. All of our DOT -assisted contracts for the Airport include the requirement of good faith efforts to meet our goal for DBE participation. Because of the few DBEs in the area, we receive very little response to the bids advertised and let. We do require the engineers to include DBE language in both specifications and advertisements that they initiate. We also place ads in newspapers encouraging DBE participation in our projects, I believe that the DBE participation that we do receive usually is a result of our efforts, the engineers, and the contractors in recruiting DBEs. Contract Goals The Fayetteville Municipal Airport -Drake Field will use contract goals to meet any portion of the overall goal the airport does not project being able to meet using race -neutral 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 our overall goal that is not projected to be met though the use of race -neutral means. The airport will establish contract goals only on those DOT -assisted contracts that have subcontracting possibilities. We 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 DBE's to perform the particular type of work). We will express our contract goals as a percentage of the Federal share of a DOT -assisted contract. 6 • • • Good Faith Efforts. (26.53) Information to be submitted: The City of Fayetteville treats bidder/offerors compliance with good faith efforts requirements as a matter of responsibility. Each solicitation for which a contract goal has been established will require the bidders/offerors to submit the following information at the time of contract execution: 1. The names and addresses of DBE firms that will participate in the contract; 2. A description of the work that each DBE will perform; 3. The dollar amount of the participation of each DBE firm's participation; 4. Written and signed documentation of commitment to use a DRE subcontractor whose participation it submits to meet a contract goal; 5. Written and signed confirmation from the DBE that it is participating in the contract as provided in the prime contractor's commitment; and 6. If the contract goal is not met, evidence of good faith efforts. of good faith Demonstration efforts The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. The Airport's Financial Coordinator will be responsible for determining whether a bidder/offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsible. The DEB Liaison Officer will ensure that all information is complete and accurate and adequately documents the bidder/offeror's good faith efforts before the City of Fayetteville/Fayetteville Municipal Airport -Drake Field commits to the performance of the contract by the bidder/offeror. Administrative reconsideration Within 5 days of being informed by The City of Fayetteville that it is not responsible because it has not documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration. Bidder/offerors must make this request in writing to the following reconsideration officials: The Airport Board, 113 W. Mountain, Fayetteville AR 72701, phone number 501- 718-7640 Ext. 5. The reconsideration officials will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts. As part of this reconsideration, the bidder/offeror 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/offeror will have the opportunity to meet in person with our reconsideration officials to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. We will 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. The result of the reconsideration process is not administratively appealable to the Department of Transportation. 7 • Good Faith Efforts when a DBE is replaced on a contract. We 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 a contract with another certified DBE, to the extent needed to meet the contract goal. We will require the prime contractor to notify the DBE Liaison Officer immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. In this situation, we will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, our contracting office will issue an order stopping all or part of payment until satisfactory action has been taken. Counting DBE Participation. (26.55) We will count DBE participation toward overall and contract goals as provided in 49 CFR 2655. Certification. (26.61 - 26.91) The Fayetteville Municipal Airport will use the certification standards of Subpart D of part 26 and the certification procedures of Subpart E of part 26 to determine the eligibility of firms to participate as DBEs in DOT -assisted contracts. To be certified as a DBE a rum must meet all certification eligibility standards. We will make our certification decisions based on the facts as a whole. Process Our certification application form and documentation requirements are found in Attachment _ To this program. For information about the certification process or to apply for certification, firms should contact: Brenda Moss 4500 S. School Avenue, Suite F Fayetteville AR 72701 Phone 501-718-7646 Or Arkansas State Highway And Transportation Department P.O. Box 2261 Little Rock AR 72203-2261 Phone 501-569-2259 The Arkansas Highway Department has certified all interested individuals who have inquired at the airport about DBE certification (see attached agreement with the State attachment #4). The airport will use the Arkansas Highway and Transportation Department's DBE directory to determine the eligibility of firms to participate as DBEs in DOT -assisted projects, and the Fayetteville Municipal Airport -Drake Field will continue to honor the certification completed by other entities as long as documentation can be provided. In the event we propose to remove a DBE's certification, we will follow procedures consistent with 26.87. • • Attachment #2 to this program sets forth these procedures in detail. Unified Certification Program The Fayetteville Municipal Airport -Drake Field will participate in a Unified Certification Program as one becomes available for the State of Arkansas. The Fayetteville Municipal Airport -Drake Field will utilize the Arkansas State Highway and Transportation Department in certifying individuals which we have recruited as candidates as DBEs Certification Appeals Any firm or complainant about a certification matter should be sent to: Department of Transportation Office of Civil Rights Certification Appeals Branch 400 Th St., SW, Room 2104 Washington, DC 20590 The airport will promptly implement any DOT certification appeal decisions affecting the eligibility of DBEs for DOT -assisted contracting (e.g., certify a firm if DOT has determined that our denial of its application was erroneous). "Recertification" The Arkansas Highway and Transportation Department will handle recertification of DBEs for the airport. The Arkansas Highway and Transportation Department's policy is to fully recertify DBEs every three years. "No Change" Affidavits and Notice of Change The Arkansas Highway and Transportation Department will handle "No Change" affidavits and Notice of Change for the Fayetteville Municipal Airport -Drake Field. They require an acknowledgment (a signed form that the DBE's status has not changed) annually. Personal Net Worth The Arkansas Highway and Transportation Department will handle personal net worth statements. Their statement is compatible with the U.S. Small Business Administration (SBA) form 413 (2-94). A copy of form 413 (2-94) is used as an attachment #3 to this document. Bidders List The Fayetteville Municipal Airport -Drake Field will create a bidders' list, consisting of information about all DBE and non -DBE firms that bid or quote on DOT -assisted contracts. The purpose of this requirement is to allow use of the bidders' list approach to calculating overall goals. The bidders' list will include the name, address, and DBE/non-DBE status, and age of the firm and the annual gross receipts. The bid packet will include a form for the necessary information required on all bidders, and the bidders will be required to return the form at the time of bid opening. 9 • • • Monitoring Payments to DBEs We 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 City of Fayetteville or Department of Transportation. This reporting requirement also extends to any certified DBE subcontractor. We will keep a cumulative total of actual payments to DBE firms for work committed to them at the time of contract award. The contractor will be responsible for submitting a record of any payments made to DBEs when they submit payment requests from the recipient. We 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. Reporting to DOT We will report DBE participation to DOT by submitting annually DOT From 4630, as modified for by FAA recipients Confidentiality We will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with federal, state, and local law. The Arkansas State Freedom of Information Act A.C.A. Title 25-19-105 states that examination and copying of public records or files which, if disclosed, would give advantage to competitors and bidders shall not be deemed to be made open to the public under the provisions of the State FOIA law. However, the company must request this protection in writing with proof that such information would put them at a disadvantage. Notwithstanding any contrary provision of state or local law, we will not release personal financial information submitted in response to the personal net worth requirements to a third party (other than DOT) without the written consent of the submitter. All local laws are superseded by state and federal laws. Attachments 1. Attachment #2. 2. Attachment #3 3. Attachment #4 4 Attachment #5 APPROVED: U.S. DEPARTMENT OF TRANSPORTATION Federal Aviation Administration By: Department of Transportation 49 CFR Parts 23 and 26 rule #26.87. U.S. Small Business Administrations (SBA) form 413 (2-94). AHTD Agreement Sample Calculation for DBE base. 10 Date 4 5142 Federal,Register4Vol64?;No, .21 /,Tuesday._February,2,.,I999/Rules and Regulations deemed to have: failed to cooperate;w,r, r, • under §26.j09(c):}•.,+iii .rlir.:: tit (k) If area recipient, you must make decisions on applications, for rr certification within 90 days of receiving from the applicant firm alhinformation;L required under, this part..You extend this time.perlod once„for,no more than an additional 60 days: upon ft Written notice to the firm;:explaining pt,f1 fully and specifically the reasons for the extension. You may establish a different time frame In your DBE program. upon 1, a showing that.this time frame isnot ir• i feasible, and subject to the approval•bf:n the concerned operating administration. Your failure to make a decision by.theau applicable deadline under this ni a: r paragraph is deemed a cbnstructfve%: denial of the application: on the basis of. which the firm may appeal to DOT' --' , under § 26.89. nc t;,.,? .1);. §26.85 What rules govern recipients' , denials of Initial requests for certification?. (a) When you deny a request bya • firm, which is not currently. certified ,! with you, to be.certlfied as a DBE: you must provide the firm a written ,... explanation of thereasons for the .ur.. denial, specifically referencing the' evidence in the record that supports each reason for the denial.'All documents and other informationon which the dental 1s based must be made available to the applicant. on request. (b) When a fir is denied - • certification. you must establish a time • period of no more than twelve months that must elapse before the fir ma} "'- reapply to the'recipient for certification.' You may provide, in•your DBE program.' subject to approUal by the concerned operating administrantn.-a:shorter 141 411 waiting period'for reapplication. The ! t time period for reapplication begins io•;t' run on the dafeUieexplanation required' by paragraph•(a)-or this secifon°is4-0 received by the-ftrm:a:cc:ae:., 41"11*e• +" lo (c) When you make an administratively final denial of •'! • < <.` Ai certification concerning.a firm/the fir+• may appeal the denial tciihe'%'Ad = • t;� 'to Department under §26.89:1 tr, Jn; fu' •- r,, ,.-.. 1 § 26.87 What procedurea does.a recipient . use'to remove a_DBE'a eligibility?., ,.;1111, (a) Ineligibilily-compilainis. person may file with you a written -A-.. ;; complaint allegingahatacurrently ,.,r1 certified e is.IneligibI and,a >E1; ;n ur 'specifying the allegedaeasons why. the qr firm is ineligible, -You are not requfred;0-, to accept a general allegation that a f tot is ineligible or an anonymous. ;di complaint. The•complaint may.lnclude!s anyinformation orarguments - • supporting the complainant's assertion that the firm is ineligible and should not continue to becertified. Confidentiality of complainants' identities must be protected as provided in § 26.109(b). k! 1(2)you must review_ your records -,ill concerning the firm, any material - _... provided by the firm and.the : ,ta complainant, and other available- o, information. You mayrequest, additional information from the,firrttor„ conduct any other investigation -that you deem necessary. ;i (3) If you determine,+based on this .,n., 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 cal ineligible, setting forth the reasons for, the proposed determination. If you .,. ,;;;t 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 fir ineligible. 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 which each reason is based. ' (c) DOT directive to initiate proceeding. (1) If the concerned . operating administration determines , , that information -in your certification records or other -information available to the concerned operating - . ;. •:? administration. provides reasonable ., cause to believe thaoa fir you certified does not meet the eligibility criteria of -. . this part. the concerned operating.,,r. .; adm nistration may direct you to initiate. a proceeding to remove the fir's • certification..:. (2) The concerned operating, ,, administration must provide you and ,r 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 proceedingto remove ,, eligibility as provided by paragraph (b) of this section. (d) Hearing. When you notify a firm that there is reasonable cause to remove RS eligibility. as provided in paragraph. .(a). (b). or (c) of thisrsection, you must give the firm an opportunity for an ,t 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 concenting why it should remain • certified. . , • , - f(1)'In such a pinceeding; you bear the burderrof proving, by a preponderance of the evidence, that the firm does not meet the certification standards of this (2) You must maintain'a complete record of the hearing: by any means ' acceptable understate 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 cif copying the record. - • (3) The firm may elect to present Information and arguments in writing. without going to a hearing.'ln 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 fir's eligibility is made by an officeand 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. _•.,,. 5', (2) The decisionmaker must be an individual -who is knowledgeable about the certification requirements of your DBE program and this.part. • r, .. . (3) Before a JCP is operational in its state,, a small airport orsmall transit authority (i.e.-;an airport or transit authority serving an area with less than 250.000 population)is required to meet this requirement onlyto the extent- , feasible. ,,,•;>t •:a,Y <, ..,, (0 Grounds for decision.. You must -not base a decision to remove eligibility on a reinterpretation or changed opinion of information available to the recipient at the time of its certification of the firm.. You may base such a decision only on one or more of the following: (1) Changesinthe .firms circumstancessince the certification of the firm by the recipient that render the firm unab e to meet -the eligibility . standards of this part• ,.. • O • n J • • Federal Register/Vol. 64. No. 21/Tuesday. February 2. 1999/Rules and Regulations 5193 (2) Information or evidence not available to you at the time the firm was certified: (3) Information that was concealed or misrepresented by the firm in previous certification actions by a recipient: (4) A change in the certification standards or requirements of the Department since you certified the firm: or (5) A documented finding that your determination to certify the firm was factually erroneous. (g) Novice 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 5 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. (h) 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. (0 Effects of removal of eligibility. When you remove a firm's eligibilitt-. 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 fir 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 firms 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 goad (3) Exception: I f the DBE'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. (j) Availability of appeal. When you make an administratively final removal of a fir's eligibility under this section. the firm may appeal the removal to the Department under § 26.89. § 26.89 What Is the process for certification appeals to the Department of Transportation? (a)(I) If you are a firm which is denied certification or whose eligibility is removed by a recipient. 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: Department of Transportation. Office of Civil Rights. 400 7th Street. SW. Room 2401. Washington. DC 20590. (b) Pending the Department's decision in the matter. the recipients decision remains in effect. The Department does not stay the effect of the recipients 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 arguments concerning why the recipient's decision should be reversed. 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 filing of the appeal. (1) If you are an appellant who is a firm is hich has been denied certification. whose certification has been removed. whose owner is determined not to be a member of a designated disadvantaged group. or concerning whose owner the presumption of disadvantage has been rebutted. your letter must state the name and address of any other recipient which currently certifies the firm. which has rejected an application for certification from the firm or removed the firm's eligibility within one year prior to the date of the appeal. or before which an application for certification or a removal of eligibility is pending. Failure to provide this information may be deemed a failure to cooperate under § 26.109(c). (2) If you are an appellant other than one described in paragraph (c)(I) of this section. the Department will request. and the firm whose certification has -been questioned shall promptly provide. the information called for in paragraph (c)(I) of this section. Failure to provide this information may be deemed a failure to cooperate under § 26.109(c). (d) When It receives an appeal. the Department requests a copy of the recipients 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/on administrative record of another recipient. this requirement applies to both recipients involved. (e) The Department makes its decisio:, based solely on the entire administrative record. The Department does not make a de novo review of the matter and doe' not conduct a hearing. The Department may 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. (0 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 oil the entire administrative record. than your decision is unsupported by A07/r9%00 PED 12 `111/`V?; 49 FAX 817?247 ATTACHMENT #3 �rU.S.ttppSMALL BUSINESS ADMINISTRATION Name Residence Address City. Stale. & Zip Code Business Name of ApplicanVBonower ASSY- 9 PERSONAL FINANCIAL STATEMENT ' .; tit •.'?•r. .�tj ''��. nild S. • As of 0..% a5fedte . 19 4 it! e :rar)3a/frier,76i fJ)ebell tdekhaWy:gbl Business Phone Residence Phone Cash on hands & in Banks. Savings Accoumo IRA or Other Retirement Account Accounts & Notes Receivable s s S $ Life Insurance -Cash Surrender Value Only... b (Complete Section 8) $ Stocks and Bonds (Describe in Section 3) Real Estate (Describe in Suction 4) Automobile -Present Value Other Personal Property (Describe in Section 5) Other Assets (Describe in Section 5) Section 1.ay`_SSITe .niflBfojne Total s 5 5 I s Jo; J arr Idm)edrs Salary Net Investment Income Real Estate income $ s S Ogler income (Describe below)- $ ci OntoS :.l i cfiby, fib 004 ,1C l, int, it iv ..ds rr s � BFl�1r�„ t-, _ltaLxso1: `j, Accounts Payable Notes Payable to Banks and Others (Describe in Section 2) Installment Account (Auto) $ Mo. Payments Installment Account (Other) S. Mo. Payments s loan on Llfe Insurance Mortgages on Real Estate (Describe in Section 4) Unpaid Taxes $ S (Describe in Section 6) Other Liabilities (Describe in Section 7) Total Liabilities Net Worth :LtogitltY'gei_({t(ablljild. ''. Total As Endorser or Co -Maker Legal Claims & Judgments Provision For Federal Income Tax Other Special Debt 5 S s $ 5 5 $ $ !!yam rG 1.13#1 M'sgtd3al v.ri tlfa#p tale". wre..rriWree"upiti:!!!k(lslreooion$,e .�' S t;rgzat. ecru 00 io anp ar3' r b lt . :1412)Jd aRtctii Ma f f neeess Eau+ attaScl •yr t f l` b d f fie �N--_'- `--"rA . F •1h�1 •q(pmema B Sgrlebi) - c ,A, si ba d. , as a pan.bl Narlic aAtl Adr�ress a0n � u�niofNo(etibltio{II) } PMh"lglop 1�TS� N,dtal{I@egrgF17:Q Fonn 41312-94) Us= 5-91 Edition until stock is exhausted. Ret SOP 50-10W 50-30 1°4 m,-. - e- nrerrony mea.._ norm Fame. Inc (tumble) •l}. :lumber of Shares "13 CA J. 4CfrAING1114A:N.,-2,` --r..Ai�Name`of Secunbesw.; <—?it wao.,.r ,ui.. r wPa . -._� r.,. -i t.. Market Value OuolaBonradhange -' iDate of::".".2-1:".• tOuotatioNE)Mhange,xa Total Valuer.., Se ifon t r ._ a; v il ../ 7 ;(LLsfeact�',,Cafcetsepaiateli' of this aatementlehd sig the attachT ed) . _ - . eN I necessary. Each�attachment _ .: m...�. Property Proty B must be dent edfas• a part, 4 ' .Properly C' ;ri`,' • e, •r�+` !r xP roperty A Aifdrvess original riitentMarket•Valueayj%ti~s; Addressof6lurtgsge'Ho'Iderr Mortgage Mortgage Amount Status yPPeOfPropeily Cost :. Ac. c• ouhl.Numberss: Balance . of Payment of Mortgage• rawixG�i,.??' f•ri....fiafi 1. 11, 44 C. c. , . js— : c?.>!',?:�% . .. t::'r: - `J-',iii'} per Month%Xear r'r, ., .... :'S:,r. - Section 5. �'� - - ,,(Describe. and d any is pledged as security; state name and address of liennolder,amount of lien,.termsy of payment and if delinquent. describe delinquency) . . Section 6. UnpaidiTazes' r;, (Describe in detail; asto type, to wham payable, when due, amount, and to whabproperty, if any, a.tax lien attaches.) Section 7. -.. Other LI4,11i4s3 r (Descntie to deiailJ.... .. Seetion8.ai;:Ltfe,Insurance;Heid_k'.::.(Givefa_geam6untandcash surrender vatue.ofpoidm es-nae ofGisurar!ca?comparry)arxlbenefidaiies)='?t _t I authorize SBA/Lender to make inquiries as necessary to verify the accuracy of the statements made and to determine my creditworthiness. I certify the above and the statements contained in the attachments are true and accurate as of the stated date(s) These statements are made for the purpose of either obtaining a loan or guaranteeing a loan. 1 understand FALSE statements may result in forfeiture of benefits and possible prosecution by the U.S. Attomey General (Reference 18 U.S.C. 1001). • - Signature: Date: Social Security Number Signature: Date: Social Security Number_ ".EASE NOTE: The estimatedia,erpge burden hours tone completion of this form is 1.5 hours per responses 11 yeb have questiohs or comments concerning Int estimate Or any Other aspect of this information. please contact Chief. Administrative Branch. U.S. SmallBuslness AdminiOratonclWashington D... :C. 2941.5/and Clearance Officer, Paper Reduction Project (3245-0188), Of ice of Management anifBudget, Washing on CI C -2003- ATTACHMENT #4 :UI. 20-09 THU 03:39 AH —FWE"TEV!uLE A'.RPORT FAY ETT E V ILLE AIAPOAr 00.5ktnenT THE cm: Of EIYErrEvtit ARKANSAS July 20, 300e Ms. lane \ :ion Hunan Rasources Sc Ptblw Al>oas [Director Arkaneie Highway and Transpnraffon Department 1' O. Box 2261 Little Rock AR ;2203-2261 RE: 013E Ccrcricaun Dear Ms. Wilson: FAX NO. ` i7ic#oil$ 1 am the Disadvacragcd Business Enterprise Liainn Ofct fru- the Fayetterh'e Munirpai Airport. Pursuant io telephone convvrsScon 1 hAd ..itb Ms. K4v Crumbs - 14U, wc would like to use the state DBE certification list posted by your ofticc as our DBE list In addition to this. wc would hke zo include the following i crnith our programa and :equina your ccrfi5cation (LH they til be valic: "Recce Tetuan The Arkansas Highway and fntns,onation Depart/tor a-tli htadlc recerCficanati. b G7,_'itc . ffl avK aril ld rytx of t;lia�Je The Arkartus Highway and Tniespertnaon Depa:taem shall dandle "tJo bangs' affidavits rand "Notices of Personal Now wo7ty, • The AMkassas Highway and Dransponatiea De-putt:cut will Landka p:rsenal net wort. statements." !f you agree thsz the State will handle these for us, please sizn the signature block below and return this kt:ur to me so that 1 may include it in oUr program. 1f you Lave any question, pleaie feel Erna to contact at 50 1-718-7643. Thank you for your asststu ze. Sincerely, knaxida, 271.2, Brenda Moss Financial Coordinator 1 affran that the Arkansas Highway and Ttaasportadcn Department will handle ec<atfication, ro change afide CLs andirtyees of rhi•Pa, and personal act' worth statements ;or cecrpar+es p.asriag on status for airport related 7,20-00 W Il_wa Dai_ 1306 ;ouTH CHOOL AVSNuc, SiuT F • AIRPORT 1 ER•1INA:. BOLDING • FAYc: iEVILLE. AR 72701 PisOtq 5.91_71a.761t Eke 5 - H.Y. SLI -714- n.i 02:V 00. OZ InC t799Z-69S-10S:xej LO • • ATTACHMENT145 Average goal accomplishments for last three years (1997 throught 1999) Year DBE Goal DBE Accomplishes Average DBE Expressed as % Expressed as % Goal Accomplished 1997_ 10' 1998_ 4.22 1999 5 3.16 0_ 2.06 1.74 US Department or Transportation Federal Aviation Administration SEP 1 1 2000 • Ms. Brenda Moss Financial Coordinator Fayetteville Municipal (Drake Field) Airport 4500 S. School, Suite F Fayetteville, AR 72701 Dear Ms. Moss: • SouInwwesl Region Arkansas Louisiana New Mexico Oklahoma Teras i;,:; i•/pan I:..n<n.: This letter is in reference to the disadvantaged business enterprise (DBE) program for the Fayetteville Municipal (Drake Field) Airport. Based on our review, we have detennined that the program meets the standards in 49 CFR Part 26, Department of Transportation regulations. Please forward a complete copy of your program to our office with all revisions, corrections, and changes. Your overall DBE goal of 1.12 percent for Airport Improvement Program (AIP) projects covers the period October 1, 1999, through September 30, 2000. You are not required to submit regular updates to your program as long as you remain in compliance. However, if you do make significant changes to the program, please submit a revised program to our office for review. Since an annual review of your overall goal (FY 2001) was required on August 1, 2000, please submit an updated goal and methodology as soon as practicable if you have not already done so. This submission should include steps I and 2; breakout of race -neutral and race - conscious participation with a supporting rationale on how the breakout was derived; and evidence of public participation. All of the above steps must be taken even if you determine that the overall goal will remain the same. You are not required to obtain concurrence by our office with your updated overall goal prior to implementation. Thus, once you have submitted your overall goal, you can solicit bids or proposals for AIP contracts after September 30, 2000, which include contract goals derived from a proposed overall goal. If you have any questions or need assistance, please contact Ms. Rosetta Francis -Robinson, External Program Manager, Civil Rights Staff, at (817) 222-5009. Sincerely, /- Ruth Leverenz Regional Administrator, Southwest Region A • • • Note: A complete copy of the Federal Register 49 CRF Parts 23 and 26 dated February 2, 1999 is available in the Airport Administration Office. The document is very long and in order to save copying costs for the City Council Agenda, we have not reproduced the document for each packet. If you would like to see a copy or would like to have a separate copy, please contact Brenda Moss at 718-7643. Thank you for your help and consideration.