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52-09 RESOLUTION
RESOLUTION NO. 52-09 A RESOLUTION TO ACCEPT AND APPROVE THE UPDATED FAYE I I EVILLE EXECUTIVE AIRPORT DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM REVISION AND PARTICIPATION GOAL FOR FY2009; AND AUTHORIZING THE MAYOR TO SIGN THE REQUIRED OBJECTIVES/POLICY STATEMENT. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF FAYETTEVILLE, ARKANSAS: Section 1. That the City Council of the City of Fayetteville, Arkansas hereby accepts and approves the updated Fayetteville Executive Airport Disadvantaged Business Enterprise (DBE) Program revision and participation goal for FY2009. Section 2. That the City Council of the City of Fayetteville, Arkansas hereby authorizes the Mayor to sign the required Objectives/Policy Statement. ................... sA...ac„Vt • oNt-- 156-• • -PS _ • E FAYETTEVILLE #1, tE0 a c*C. elie7kPice.1; ti)/(1k rt. 14v/iv • • 't cid . ori,„,GTot• ...... • ini, . PASSED and APPROVED this 3rd day of March, 2009. APPROVED: By LI NELD DAN, Mayor ATTEST: By: &IA SONDRA E. SMITH, City Clerk/Treasurer aye evifie Executive Airport Disadvantaged Business Enterprise Program 40 CFR Part 26 Issued October 17, 2000 Revised October 7, 2008 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 POLICY STATEMENT Section 26.1, 26.23 Objectives/Policy Statement 01/22/09 The City of Fayetteville, Fayetteville Executive Airport, 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 an equal opportunity 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; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. The Airport Financial Coordinator has been delegated as the DBE Liaison Officer (DBELO). In that capacity, the DBELO 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 Fayetteville Executive Airport has disseminated this policy statement to the City Administration, City Council and all of the components of our organization. We have distributed this statement to DBE and non -DBE business communities that perform work for us on DOT -assisted contracts. Attest: #0r Date tcL d 0/5/0 9 Sondra Smith, City Clerk Date http://www.accessfayetteville.org/government/aviationklisadvantage_business_enterprise/dbe.cfm Page 2 of pif City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 03/06/09 SUBPART A - GENERAL REQUIREMENTS Section 26.1 Objectives The objectives are found in the policy statement on the first page of this program. Section 26.3 Applicability The City of Fayetteville is the recipient of federal airport funds authorized by 49 U.S.C. 47101, et seq. Section 26.5 Definitions The City of Fayetteville will adopt the definitions contained in Section 26.5 for this program. Section 26.7 Non-discrimination Requirements The City of Fayetteville 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 contract covered by 49 CFR part 26 on the basis of race, color, sex, or national origin. In administering its 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. Section 26.11 Record Keeping Requirements Reporting to DOT: 26.11(1» We will report DBE participation to DOT as follows: We will submit annually the Uniform Report of DBE Awards or Commitments and Payment Form, as modified for use by FM recipients. An example of the form used is included with "Attachment H", located at Appendix 6 of 49 CFR part 26, (pg 324). Bidders List: 26.11(c1 The City of Fayetteville will create and maintain 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 the bidder list approach for use in calculating overall goals. The bidder list shall include the name, address, DBE / non -DBE status, age, and annual gross receipts of firms. A copy of the Bidders List Form is included as We will collect this information in the following ways: The list of all bidders for construction will utilize US Census data and the State of Arkansas Contractors Licensing Board list to determine the number of qualified, willing and able contractors. Additionally, the City of Fayetteville compiles an e-mail bidder list through its web site: http://www.accessfayetteville.org/government/purchasing/index.cfm. The website list features automatic notification to bidders of upcoming opportunities to bid on City procurement contracts. http://www.accessfayetteville.org/govemment/aviation/disadvantage_business_enterviseJdbe.cfm Page 3 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 The list of DBE bidders will utilize the Arkansas Unified Disadvantaged Business Enterprise Directory. The directory is continuously updated and published monthly by the Arkansas Unified Certification Program. Section 26.13 Federal Financial Assistance Agreement City of Fayetteville has signed the following assurances, applicable to all DOT -assisted contracts and their administration: Assurance: 26.13(a) 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 sanction 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.). This language will appear in financial assistance agreements with sub -contractors. Contract Assurance: 26.13b We will ensure that the following clause is placed in every DOT -assisted contract and subcontract: The contractor, sub -recipient, 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 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. [Note: This language is used verbatim, as it is stated in 26.13(b)] SUBPART B - ADMINISTRATIVE REQUIREMENTS Section 26.21 DBE Program Updates Since the City of Fayetteville has received a grant of $250,000 or more for airport planning or development, we will continue to carry out this program until all funds from DOT financial assistance have been expended. We will provide to DOT updates representing significant changes in the program. Section 26.23 Policy Statement The Policy Statement is elaborated on the first page of this program. http://www.accessfayetteville.org/governmentkviation/disadvantage_business_enterprise/dbe.cfm Page 4 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Section 26.25 DBE Liaison Officer (DBELO) We have designated the following individual as our DBE Liaison Officer: James Nicholson, Airport Financial Coordinator, or his successors 4500 S. School Avenue Suite F Fayetteville AR 72701 479-718-7642 479-718-7646 fax fnicholson@ci fayetteville.ar.us 03/06/09 In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the City of Fayetteville complies with all provisions of 49 CFR Part 26. The DBELO has direct, independent access to the Mayor of the City of Fayetteville concerning DBE program matters. An organization chart displaying the DBELO's position in the organization is found in Attachment "A" to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The duties and responsibilities include the following: 1. Gathers and reports statistical data and other information as required by DOT. 2. Reviews third party contracts and purchase requisitions for compliance with this program. 3. Works with all departments to set overall annual goals. 4. Ensures that bid notices and requests for proposals are available to DBEs in a timely manner. 5. Identifies contracts and procurements so that •DBE goals are included in solicitations (both race -neutral methods and contract specific goals attainment and identifies ways to improve progress. 6. Analyzes City of Fayetteville's progress toward attainment and identifies ways to improve progress. 7. Participates in pre-bid meetings. 8. Advises the CEMgoverning body on DBE matters and achievement. 9. Provides DBEs with information and assistance in preparing bids, obtaining bonding and insurance. 10. Plans and participates in DBE training seminars. 11. Acts as liaison to the Uniform Certification Process in Arkansas. The Arkansas Unified DBE Certification Program certifies DBE's according to the criteria set by DOT. 12. Provides outreach to DBEs and community organizations to advise them of opportunities. 13. Maintains the City of Fayetteville's updated directory on certified DBEs. Section 26.27 DBE Financial Institutions It is the policy of the City of Fayetteville 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 contract to make use of these institutions. We have made the following efforts to identify and use such institutions: Consult the updated listing from the U.S. Federal Reserve of all minority-owned financial institutions in the U.S., sorted by state. To date we have identified the following such Arkansas institutions: htto/www.accessfayetteviiie.orgigovernmentiaviationidisadvantage_business_enterprisciabe.cfrn Page 5 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 College Station Community Federal Credit Union Phillips County Self-help Credit Union 03/06/09 Information on the availability of such institutions can be obtained from the DBE Liaison Officer. Section 26.29 Prompt Payment Mechanisms The City of Fayetteville 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 no later than 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: 1. Withholding of payments to the Contractor under the Contract until the Contractor complies, and/or; 2. Cancellation, termination, or suspension of the Contract in whole or in part. Section 26.31 Directory The City of Fayetteville maintains a directory identifying all firms eligible to participate as DBEs The directory lists the firm's name, address, phone number, date of the most recent certification, and the type of work the firm has been certified to perform as a DBE. The airport uses the Arkansas Unified Disadvantaged Business Enterprise Directory, published by the Arkansas Unified DBE Certification Program, as the airport's DBE directory. The directory is available to contractors and the public on request and a physical copy is maintained at the Fayetteville Executive Airport, Drake Field, located at 4500 S. School Ave., Suite F, Fayetteville, AR 72701 or by calling 479-718-7642. Copies may also be • obtained by contacting the Arkansas Unified DBE Certification Program at 501-569-2259. An example of the Directory may be found in Attachment "B" to this program document. Section 26.33 Overconcentration City of Fayetteville has not identified that overconcentration exists in the types of work that DBEs perform. Section 26.35 Business Development Programs City of Fayetteville has not established a business development program. http://www.accessfayetteville.org/govemmenttaviafion/disadvantage_business_enterviseidbe.cfm Page 6 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Section 26.37 Monitoring and Enforcement Mechanisms 03/06/09 The City of Fayetteville will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26. 1. Bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT 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. Consider similar action under our own legal authorities, including responsibility determinations in future contracts. Attachment "C" lists the regulation, provisions, and contract remedies available to us in the events of non-compliance with the DBE regulation by a participant in'our procurement activities. 3. Provide a monitoring and enforcement mechanism to verify that work committed to DBEs at contract award is actually performed by the DBEs. This will be accomplished by: a. Verify with the DBE Contractor the dollar amount of the contract. b. Verify with the DBE Contractor the work timeframe. c. On-site observation of work in progress. d. Verify with the DBE Contractor the final dollar amount of the contracted work and timeliness of the final payment. SUBPART C - GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 26.43 Set -asides or Quotas The City of Fayetteville does not use quotas in any way in the administration of this DBE program. Section 26.45 Overall Goals A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachment "D" to this program. This section of the program will be updated annually unless there are no DOT -funded projects exceeding $250,000 anticipated in the fiscal year. In accordance with Section 26.45(f) the City of Fayetteville will submit its overall goal to DOT on the date of submission as determined by the FAA. In accordance with 26.45 (g)(1), before establishing the overall goal each year, City of Fayetteville will consult with minority, women's and general contractor groups, community organizations, and other officials or organizations in order to solicit input from these entities in the preparation of the annual Overall Goal Update, and to obtain information concerning the availability of disadvantaged and non - disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the City of Fayetteville's efforts to establish a level playing field for the participation of DBEs. A current list of consulting organizations is included in "Attachment D." Concurrently with this consultation, and on or about June 1, the City of Fayetteville will publish a notice of the proposed overall goals, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at the Fayetteville Executive Airport, Drake Field, Airport Administration Office, for a period of 30 days following the date of the notice, and informing the public that the City of Fayetteville and DOT will accept comments on the goals for 45 days from the date of the notice. This timing will ensure that the public participation process is completed prior to August 1, the date of the DBE Goal update submission to the FAA. The notice will be published in local, statewide, and minority -focus media, and disseminated by mail and/or electronic communication to those entities whose constituencies or members are likely to have a httpl/www.accessfayetteville.orgigovemment/aviation/disadvantage_business_entervise/dbe.cfm Page 7 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 stake or interest The notice will include addresses to which comments may be sent and addresses (including offices and websites) where the proposal may be reviewed. The proposed overall goals document will be published to the City of Fayetteville's website for viewing or download. The website page will include or link to contact information and addresses to which comments may be sent. Our overall goal submission to DOT will include a summary of information and comments received during Ibis public participation process and our responses. We will begin using our overall goal on October 1 of each year, unless we have received other instructions from DOT. If we establish a goal on a project basis, we will begin using our goal by the time of the first solicitation for a DOT -assisted contract for the project. Section 26.51(a -c) Breakout of Estimated Race -Neutral & Race -Conscious Participation The breakout of estimated race -neutral and race -conscious participation can be found in Attachment "E" to this program. This section of the program will be updated annually when the goal calculation is updated. Section 26.51(d -g) Contract Goals The City of Fayetteville will use contract goals to meet any portion of the overall goal. City of Fayetteville does not project being able to meet the overall goal 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 through the use of race -neutral means. The City of Fayetteville 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 DBEs 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. Section 26.53 Good Faith Efforts Procedures Demonstration of good faith efforts (26.53(a) & (c)) 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. Examples of good faith efforts are found in Appendix A to Part 26. The follOwing personnel are responsible for determining whether a bidder/offeror who has not met the contract goal has documented sufficient good faith efforts to be regarded as a responsible bidder/offeror: City of Fayetteville Purchasing Division, Purchasing Agent http://www.accessfayetteville.org/governmentkviafion/disadvantage_business_enterpriseidbe.cfm Page 8 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 The City of Fayetteville will ensure that all information is complete and accurate and adequately documents the bidder/offer's good faith efforts before we commit to the performance of the contract by the bidder/offeror. Information to be submitted (26.53(b)I City of Fayetteville treats bidder/offers' 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: 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 participating; 4. Written and signed documentation of commitment to use a DBE 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 contractors commitment and 6. If the contract goal is not met, evidence of good faith efforts. Administrative reconsideration (26.53(d)) Within five (5) days of being informed by 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 should make this request in writing to the following reconsideration panel: The Airport Advisory Board, 4500 S School Avenue, Suite F, Fayetteville, AR 72701. The Airport Advisory Board is made up of non -city employee, City of Fayetteville residents who volunteer their time and expertise to the development of the Airport. A current list of Board members is included with "Attachment A." The reconsideration official(s) 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 reconeideration, 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 panel to discuss the issue of whether it met the goal or made adequate good faith efforts to do. The City of Fayetteville 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 cannot be administratively appealed to the Department of Transportation. Good Faith Efforts when a DBE is replaced on a contract (26.53(f)) City of Fayetteville requires 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. The City of Fayetteville requires 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, the City of Fayetteville requires the prime contractor to obtain prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. http://www.accessfayetteville.org/govemmentJaviation/disadvantage_business_enterprise/dbe.cfm Page 9 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 If the contractor fails or refuses to comply in the time specified, the City's contracting officer 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 contracting officer may issue a termination for default proceeding. Sample Bid Specification: The requirements of 49 CFR Part 26, Regulations of the U.S. Department of Transportation, apply to this contract. It is the policy of the City of Fayetteville to practice nondiscrimination based on race, color, sex, or national origin in the award or performance of this contract. All firms qualifying under this solicitation are encouraged to submit bids/proposals. Award of this contract will be conditioned upon satisfying the requirements of this bid specification. These requirements apply to all bidders/offerors, including those who qualify as a DBE. A DBE contract goal of percent has been established for this contract. The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part 26 (Attachment "F"), to meet the contract goal for DBE participation in the performance of this contract. The bidder/offeror 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; (3) the dollar amount of the participation of each DBE firm participating; (4) written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet the contract goal; (5) written confirmation from the DBE that it is participating in the contract as provided in the commitment made under (4); and (6) if the contract goal is not met, evidence of good faith efforts. [Note: When a contract goal is established pursuant to the City of Fayetteville's DBE program, the sample bid specification can be used to notify bidders/offerors of the requirements to make good faith efforts. The forms found at Attachment "G" can be used to collect information necessary to determine whether the bidder/offeror has satisfied these requirements. The sample specification is intended for use in both non -construction and construction contracts for which a contract goal has been established. Thus, it can be included in invitations for bid for construction, in requests for proposals for architectural/engineering and other professional services, and in other covered solicitation documents. A bid specification is required only when a contract goal is established.] Section 26.55 Counting DBE Participation The City of Fayetteville will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. We will not count the participation of a DBE subcontract toward a Contractor's final compliance with it's DBE obligations on a Contract until the amount being counted has actually been paid to the DBE. SUBPART D - CERTIFICATION STANDARDS Section 26.61 — 26.73 Certification Process The City of Fayetteville uses the certification standards of Subpart D of Part 26, as employed by the Arkansas Unified DBE Certification Program, to determine the eligibility of firms to participate as DBEs in DOT -assisted 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: http://www.accessfayetteville.org/govemment/aviation/disadvantage_business_enterpriseJdbe.cfm Page 10 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 Unified DBE Certification Program; Natasha Halbert, DBE Program Specialist, 10324 Interstate 301 PO Box 2261, Little Rock, AR 72203-2261, 501-569-2259 The certification application forms and documentation requirements are found in Attachment "H" to this program. SUBPART E - CERTIFICATION PROCEDURES Section 26.81 Unified Certification Programs City of Fayetteville is a member of the Arkansas Unified DBE Certification Program administered by the Arkansas State Highway and Transportation Department. Information concerning the Unified Certification program is available from AHTD, 10324 Interstate 301 PO Box 2261, Little Rock, AR 72203-2261, 501-569-2259 Section 26.83 Procedures for Certification Decisions Re -certifications 26.83(a) & (c) The Arkansas Unified DBE Certification Program reviews the eligibility of firms that it has certified or reviewed previously and found eligible under part 26. The Arkansas Unified DBE Certification Program's policy is to re -certify eligible firms every three years. "No Change" Affidavits and Notices of Change (26.83(0) The Arkansas Unified DBE Certification Program requires all DBEs to report, in a signed affidavit, any change in its circumstances affecting its ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26, or of any material changes in the information provided with their application for certification. The Arkansas Unified DBE Certification Program also requires all owners of all DBEs they have certified, to submit on the anniversary date of their certification, a "no change" affidavit meeting the requirements of 26.83(j). The Arkansas Unified DBE Certification Program uses a duplicate of the DBE applicant's original Affidavit of Certification for the purposes of the "No -change Affidavit" requirement. The DBE must submit a new Affidavit each year. A copy of the Affidavit used is contained in Attachment "G". The Arkansas Unified DBE Certification Program requires DBEs to submit with this affidavit, documentation of the firm's size and gross receipts. The Arkansas Unified DBE Certification Program notifies all currently certified DBE firms of these obligations annually. This notification informs DBEs that to submit the "no change" affidavit, their owners must swear or affirm that they meet all regulatory requirements of part 26, including personal net worth. Likewise, if a firm's owner knows or should know that he or she, or the firm, fails to meet a part 26 eligibility requirement (e.g. personal net worth), the obligation to submit a notice of change applies. Section 26.85 Denials of Initial Requests for Certification http://www.accessfayetteville.org/govemment/aviafion/disadvantage_business_enterviseklbe.cfm Page 11 of 14 City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 If the Arkansas Unified DBE Certification Program denies a firm's application or decertifies it, the firm may not reapply until twelve (12) months have passed. Section 26.87 Removal of a DBE's Eligibility In the event that the City of Fayetteville challenges a DBE's certification eligibility to the Arkansas Unified DBE Certification Program, and initiates a request to de -certify a DBE, such a removal action follows procedures consistent with 26.87. The procedure, as carried out by the Arkansas Unified DBE Certification Program, is set forth in detail in Attachment "H" to this program. Section 26.89 Certification Appeals Any firm or complainant may appeal the decision in a certification matter to DOT. Such appeals may be sent to: U.S. Department of Transportation Departmental Office of Civil Rights External Civil Rights Programs Division (S-33) 1200 New Jersey Ave., S.E. Washington, DC 20590 Phone: (202) 366-4754 TTY: (202) 366-9696 Fax: (202) 366-5575 The City of Fayetteville will promptly implement the DOT certification appeal decisions affecting the eligibility of DBEs for our DOT -assisted contracting (e.g., certify a firm if DOT has determined that our denial of its application was erroneous). SUBPART F - COMPLIANCE AND ENFORCEMENT Section 26.109 Information, Confidentiality, Cooperation The City of Fayetteville 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 state of Arkansas has a comprehensive Freedom of Information Act (FOIA) which exempts "Wiles which, if disclosed, would give advantage to competitors or bidders." 25-19-105 (b)(9)(a). Therefore, information related to any business entity's, planning, site location, expansion, operations, or product development/marketing will not be released without prior permission. Otherwise, all other documents related to offers, bids, and contracts are subject to the FOIA. Notwithstanding any contrary provisions of state or local law, the City of Fayetteville will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than DOT) without the written consent of the submitter. Monitoring Payments to DBEs The City of Fayetteville 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 DOT. This reporting requirement also extends to any certified DBE subcontractor. http://www.accessfayetteville.orgrnovemmentJaviafion/disadvantage_business_enterPrise/dbe.cfm Page 12 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 03/06/09 The City of Fayetteville will perform interim audits of 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. httpl/www.accessfayetteville.org/govemmentiaviation/disadvantage_business_enterprise/dbe.cfrn Page 13 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 ATTACHMENTS Attachment A Attachment B Attachment C Attachment D Attachment E Attachment F Attachment G Attachment H Attachment I 03/06/09 Organizational Chart List of Airport Advisory Board members DBE Directory (example) Monitoring and Enforcement Mechanisms Overall Goal Calculation List of consulting organizations Breakout of Estimated Race -Neutral & Race -Conscious Participation Bidders List Form Forms 1 & 2 for Demonstration of Good Faith Efforts Arkansas Unified DBE Certification Program UCP Letter of Agreement Certification Application Form Procedures for Removal of DBE's Eligibility Affidavit of Certification / Annual Affidavit Regulations: 49 CFR part 26 http://www.accessrayettevine.orgigovemmentiaviationidisaavantage_business_enterprisembe.cim Page 14 of 14 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment A Organizational Chart 1 [ Airport Director j Financial. Coordinator DBE Liaison Officer httpl/www.accessfayetteville.orgfgovemmentJaviationklisadvantage_business_enterprise/dbe.cfm 03/06/09 List of Airport Advisory Board members by position Attachment A (cont) Bob Nickle, Chairman Janice Stanesic, Vice Chair David Hollman, Secretary Otto Loewer, Member Vaughn DeCoster, Member Richard Greene, Member Tim McCarley, Member 6 City of Fayetteville DBE Program 49 CFR Part 26 Revised Obtober 2008 Attachment B DBE Directory (example} http://www.accessfayetteville.org/govemment/aviation/disadvantage_business_enterPrise/dbe.cfrn 03/06/09 el%4ArEsa OgiCr A rkansas.1:11WA@thwa.dotgov Arkonsasliie.hways.com t:ATTLESLROCK NATIONAL AIRPORT LittleRockAirportAERO Central Arkansas Transit Authority SWillianiS@catEl.anZ ARKANSAS & AIRPORT a OPERATORS AACIA ASSOCIATION linowers©DelioAirport.com ARKANSAS UNIFIED DISADVANTAGED BUSINESS ENTERPRISE DIRECTORY JULY 2, 2008 RECEIVED JUL 0 2 2008 AIRPORT Disadvantaged Business Enterprises listed herein have been certified by the ARKANSAS UNIFIED DBE CERTIFICATION PROGRAM This directory has been prepared to assist contractors in locating disadvantaged business enterprise firms. The contractor should make his/her own determination of the qualifications and license status of any firm selectedfrom this directory. ARKANSAS UNIFIED CERTIFICATION PROGRAM DISADVANTAGED/WOMEN-OWNED BUSINESS ENTERPRISE DIRECTORY This Directory of Arkansas -Certified Disadvantaged (Minority) and Women -Owned Business Enterprises is divided into three sections: 1 - BUSINESSES LISTED ALPHABETICALLY 2- BUSINESSES LISTED BY TYPE WORK 3 - DEPARTMENT ITEM CODE INDEX LEGEND DBE Disadvantaged (Minority) Business Enterprise WBE Women -Owned Business Enterprises DWBE Disadvantaged (Minority) Women Business Enterprise May participate on U. S. Department of Transportation Funded Projects (FTA, FRA, FHWA, FAA) -- Normally does not perform a discrete portion of highway contract work. However, in any instance where services are performed as a distinct element, or as part of a distinct element, of an approved contract or subcontract (e.g., Roadway/Bridge Construction Control, Furnish Field Office, Furnish Field Laboratory, etc.), the services may be credited toward DBE goals provided a Commercially Useful Function is performed. (AHTD approval of items to be credited to Department contracts is required.) NOTE: The firms listed in this directory were certified as Disadvantaged Business Enterprises (DBE) under Arkansas' Unified Certification Program at the time it was printed. Additional firms may have been certified since that date, other firms may have been decertified, or withdrawn from the program. To verify the status of a DBE firm, please call Ms. Natasha Halbert at (501) 569-2259. NOTICE OF NONDISCRIMINATION The Arkansas State Highway and Transportation (Department) complies with the Americans with Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, Title VI of the Civil Rights Act of 1964 and other federal equal opportunity laws and therefore docs not discriminate on the basis of race, sex, color, age, national origin, religion or disability, in admission or access to and treatment in Department programs and activities, as well as the Department's hiring or employment practices. Complaints of alleged discrimination and inquiries regarding the Department's nondiscrimination policies may be directed to James B. Moore, Jr., Section Head - EEO/DBE (ADA/504/Title VI Coordinator), P. 0. Box 2261, Little Rock, AR 72203, (501) 569-2298, (Voiee/ITY 711), or the following email address: iames.mooreaarkansashichways.com. This notice is available from the ADA/504/Title VI Coordinator in large print. on audiotape and in Braille. ARKANSAS UNIFIED CERTIFICATION PROGRAM LISTING OF NEW DBE FIRMS DETERMINED TO BE SOCIALLY & ECONOMICALLY DISADVANTAGED FIRMS ADDED TO THE DIRECTORY Bleb's Hauling Central Arkansas Contractors, Inc. Construction Materials Testing Services, Inc. Harbor Environmental, Inc. King Disposal, Inc. Land Improvement Company Level Best, LLC FIRMS REMOVED FROM THE DIRECTORY None DISADVANTAGED BUSINESS ENTERPRISE DIRECTORY TABLE OF CONTENTS PAGE NUMBER Section1 - Alphabetical Listing................................................................................... 7 Section 2 - Type Work 32 Accounting, Tax Preparation, Bookkeeping, & Payroll Services ................................. 33 Other Accounting Services............................................................................ 33 Administrative Management & General Management Consulting Services .................... 33 Advertising Agency Consulting Services............................................................ 34 Architectural Services................................................................................... 34 Brick, Stone, & Related Construction Material Merchant Wholesalers ......................... 35 Bridge Painting, Shop, Field & Maintenance Painting of Structural Steel ...................... 35 Building Equipment Contractors..................................................................... 35 Other Business Services............................................................................... 35 Other Business Support Services..................................................................... 35 Chemical and Allied Products......................................................................... 35 Commercial & Institutional Building Construction ................................................. 35 Commercial Photography.............................................................................. 36 Communication Equipment Repair & Maintenance Services .................................... 36 Computer Systems Design Services.................................................................. 36 Construction Management............................................................................. 37 Construction Material Merchant Wholesalers....................................................... 37 Custom Computer Programming Services.......................................................... 38 Direct Property & Casualty Insurance Carriers ..................................................... 38 Distribution Equipment —Electrical Wholesaling .................................................. 38 Document Preparation Services....................................................................... 39 Drywall & Insulation Contractors..................................................................... 39 Electrical Apparatus & Equipment, Wiring Supplies & Related Equipment Merchant Wholesalers............................................................................................ 39 Electrical Contractors................................................................................... 39 Engineering Services.................................................................................... 40 Environmental Consulting Services.................................................................. 40 Fabricated Metal Product Manufacturing............................................................ 41 Finish Carpentry Contractors.......................................................................... 41 Full Service Restaurant................................................................................. 41 General Freight Trucking, Local...................................................................... 41 General Freight Trucking, Long-Distance........................................................... 46 General Purpose Industrial Machinery & Equipment Wholesaling .............................. 46 Gift, Novelty and Souvenir Stores.................................................................... 46 Hazardous Waste Collection........................................................................... 46 Heavy & Civil Engineering Construction............................................................ 46 HeavyConstruction..................................................................................... 46 Highway, Street, & Bridge Construction............................................................. 46 InformationServices.................................................................................... 49 InspectionServices...................................................................................... 49 Insurance Agencies and Brokerages.................................................................. 49 JanitorialServices....................................................................................... 49 Landscape Architectural Services..................................................................... 50 LandscapingServices................................................................................... 50 Management Consulting Services..................................................................... 50 Management of Companies and Enterprises......................................................... 51 Marketing Consulting Services........................................................................ 51 Marketing Research and Public Opinion Polling ................................................... 51 Masonry Contractors.................................................................................... 52 Miscellaneous Durable Goods Merchant Wholesalers 52 New Multi -Family Housing Construction............................................................ 52 New Single -Family Housing Construction.......................................................... 52 Nonstore Retailers....................................................................................... 53 Nursery & Garden Centers............................................................................. 53 Offices of Certified Public Accountants............................................................. 53 Paint & Wall Covering Contractors................................................................... 53 Personal & Laundry Services.......................................................................... 54 Petrochemical Manufacturing......................................................................... 54 Plumbing, Heating, & Air -Conditioning Contractors .............................................. 54 Poured Concrete Foundation & Structure Contractors ............................................. 54 Process, Physical Distribution, and Logistics Consulting Services .............................. 58 Professional, Scientific & Technical Services...................................................... 59 Public Relations Agencies.............................................................................. 59 Ready -Mix Concrete Manufacturing.................................................................. 59 Other Activities Related to Real Estate............................................................... 59 Real Estate Agents & Brokers......................................................................... 59 Real Estate Appraisers................................................................................. 60 Remediation Services................................................................................... 60 Research & Development in Physical, Engineering & Life Sciences ........................... 60 Research & Development in Social Sciences & Humanities ...................................... 60 Residential Building Construction.................................................................... 60 Residential Remodelers................................................................................. 60 Roofing Contractors..................................................:................................. 60 Roofing Materials (Except Wood) Merchant Wholesalers ........................................ 61 Scientific & Technical Consulting Services......................................................... 61 Septic Tank and Other Related Services............................................................. 61 SidingContractors....................................................................................... 61 Site Preparation Contractors........................................................................... 61 SocialAssistance........................................................................................ 66 Solid Waste Collection................................................................................. 66 Specialized Freight Trucking.......................................................................... 66 Specialty Trade Contractors........................................................................... 67 Structural Steel & Precast Concrete Contractors...................................................73 Support Activities for Air Transportation............................................................74 Support Activities for Transportation................................................................ 74 Other Support Services................................................................................. 74 Surveying & Mapping Services....................................................................... 74 Tax Preparation Services.............................................................................. 74 Telecommunications Management Consulting......................................................75 TestingLaboratories.................................................................................... 75 Traffic Engineering Consulting Services............................................................75 Transportation Management Consulting Services .................................................. 75 Utilities................................................................................................... 75 Vehicular Lighting Equipment Manufacturing......................................................75 Water & Sewer Line & Related Structures Construction..........................................75 Wholesale Trade Agents & Brokers.................................................................. 76 Section 3 - Department Item Code Index...... . . . . . . . . •. . . . . . . . ..... . . . . . . . . . . . . . •....... . . . . . . . . . . ... 77 Section 1 Alphabetical Listing 1911 Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1556 237310 Highway, Street & Bridge Construction Pine Bluff, AR 71613 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Hosea Jackson 238910 Site Preparation Contractors Phone #: 870/536-0891 238990 All Other Specialty Trade Contractors Fax #: 870/850-7167 This firm is certified for the following Department Item Code(s): 201;202;205;206;207;208;209;210;212;213;214;215;216; 302;303;305;308;309;310;405;406;407;417;601;603;604; 605;606;607;608;609;610;611;616;621;801;802;816 *4B Technology Group, LLC WBE This firm is certified for the following NAICS Code(s): 3103 Stargate Court 541512 Computer Systems Design Services Houston, TX 77068 541690 Other Scientific and Technical Consulting Services Contact: Ms. Terry Ann Basford Phone #: 832/249-9379 This firm is certified for the following Department Item Code(s): Fax #: 832/249-9756 None *A -I Portable Toilets, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 1744 562991 Septic Tank and Related Services (Portable Toilet Renting Conway, AR 72033 and Servicing) Contact: Ms. Nicole Aldridge Phone #: 501/513-2543 This firm is certified for the following Department Item Code(s): Fax #: 501/513-2536 None *ADEVCO, Inc. DBE This firm is certified for the following NAICS Code(s): 3 Financial Centre, Suite 300 453220 Gift, Novelty and Souvenir Stores Little Rock, AR 72211 55111 Management of Companies and Enterprises Contact: Mr. Marcus C. Devine 722210 Full Service Restaurant Phone #: 501/821-4229 Fax #: 501/821-4229 This firm is certified for the following Department Item Code(s): Advanced Workzone Services, LLC DWBE This firm is certified for the following NAICS Code(s): P. O. Box 3875 238990 All Other Specialty Trade Contractors Muskogee, OK 74402 Contact: Ms. Alma Pickle This firm is certified for the following Department Item Code(s): Phone #: 918/682-9393 601; 603; 604; 637; 718; 719; 720; 721; 722; 723; 724; 725; 726; Fax It: 918/682-9394 727; 728; 729; 730; 731; 732 Airfield, Etc., Inc. WBE This firm is certified for the following NAICS Code(s): 2400 Bobbitt Road 237310 Highway, Street, and Bridge Construction Williston, TN 38076 237990 Other Heavy and Civil Engineering Construction Contact: Ms. Stephanie Poole 238210 Electrical Contractors Phone #: 901/363-9210 238990 All Other Specialty Trade Contractors Fax #: 901/795-5519 561990 All Other Support Services This firm is certified for the following Department Item 210; 215; 605; 606; 607; 609; 610; 613; 631; 632; 633; 701; 702; 703; 704; 705; 706; 707; 708; 709; 710; 711; 714; 715;716; 717; 724 Code(s): 640; 641; 712; 713; ALJ Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 1278 238110 Poured Concrete Foundation & Structure Contractors West Memphis, AR 72303 238910 Site Preparation Contractors Contact: Mr. Alfred Robinson 238990 All Other Specialty Trade Contractors Phone #: 870/732-9809 484110 General Freight Trucking Fax #: 870/732-9809 This firm is certified for the following Department Item Code(s): 201;202;207;208;210;213;214;215;216;302;303;305;601; 606; 609; 610; 619; 620; 621; 622; 623; 624; 625; 626; 628; 632; 801: 816 HAUL ONLY - 209; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 802 Anders Trucking, Inc. WBE This firm is certified for the following NAICS Code(s): 1510 Lowery Drive 484110 General Freight Trucking El Dorado, AR 71730 Contact: Ms. Diane Anders This firm is certified for the following Department Item Code(s): Phone #: 870/862-9629 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/862-9466 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 *Arkansas Flag & Banner, Inc. WBE This firm is certified for the following NAICS Code(s): 800 West Ninth Street 332999 All Other Miscellaneous Fabricated Metal Product Little Rock, AR 72201 Manufacturing Contact: Ms. Kerry McCoy Phone #: 501/375-7633 This firm is certified for the following Department Item Code(s): Fax #: 501/375-7638 None Arkansas Sign & Barricade, Inc. WBE This firm is certified for the following NAICS Code(s): 9814 Davmar Drive 238990 All Other Specialty Trade Contractors Mabelvale, AR 72103 Contact: Ms. Kim Salinas This firm is certified for the following Department Item Code(s): Phone #: 501/455-9100 601; 603; 604; 637; 726; 729; 731 Fax #: 501/455-9101 *Arrow Magnolia International, LP DWBE This firm is certified for the following NAICS Code(s): P.O. Box 59089 325110 Petrochemical Manufacturing Dallas, TX 75229 424690 Other Chemical and Allied Products Merchant Contact: Ms. Tanya Shaw Wholesalers Phone #: 972/247-7111 Fax #: 972/484-2896 This firm is certified for the following Department Item Code(s): None Atwood Fence Company, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 565 238990 All Other Specialty Trade Contractors Kosciusko, MS 39090 Contact: Ms. Kay Atwood This firm is certified for the following Department Item Code(s): Phone #: 662/289-6338 208;60!;617;618;619;637;639 Fax #: 662/289-7463 SIGNING ONLY - 604 *Aviation Alliance, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 799 488100 Support Activities for Air Transportation Colleyville, TX 76034-0799 541330 Engineering Services Contact: Ms. Shirley Roberts Phone #: 817/498-0388 This firm is certified for the following Department Item Code(s): Fax #:817/281-1867 None *B & B Diversified Materials WBE This firm is certified for the following NAICS Code(s): P. O. Box 2080 423390 Other Construction Material Merchant Wholesalers - Sunriver, OR 97707 Supplier of Railroad & Construction Materials Contact: Ms. Beverly Christensen Phone #: 541/598-7950 Fax #: 541/598-7960 This firm is certified for the following Department Item Code(s): None Beverly's Construction WBE This firm is certified for the following NAICS Code(s): P.O. Box 2691 237310 Highway, Street, & Bridge Construction Batesville, AR 72503 238110 Poured Concrete Foundation & Structure Contractors Contact: Ms. Beverly Hill Phone it: 870/251-3129 Fax #: 870/251-2626 This firm is certified for the following Department Item Code(s): 205;206; 504; 505;601;603;605;609; 610; 613;614;631;632; 633;636;640;734;801;802;803;804;805;806;807;808;809; 810; 81 1; 812; 815; 816; 817; 818; 821; 822 Beverly's Hauling, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 347 238910 Site Preparation Contractors Black Rock, AR 72415 484110 General Freight Trucking Contact: Ms. Beverly McGhehey Phone #: 870/878-6284 This firm is certified for the following Department Item Code(s): Fax #: 870/878-6080 201;202;205;206;213;214;601 HAUL ONLY - 207; 209; 210; 215; 301; 302; 303; 305; 308; 402;405;406;407;411;412;414;415;417;501;628;629;630; 801; 802; 816 B & L Trucking DWBE This firm is certified for the following NAICS Code(s): P. O. Box 9514 484110 General Freight Trucking, Local Pine Bluff, AR 71611 484121 General Freight Trucking, Long -Distance Contact: Ms. Nellie Burnett Phone #: 870/879-2346 This firm is certified for the following Department Item Code(s): Fax #: 870/879-9482 HAUL ONLY -210; 801 Bleb's Hauling DBE This firm is certified for the following NAICS Code(s): 1404 Allis Street 238910 Site Preparation Contractors Little Rock, AR 72204 484110 General Freight Trucking, Local Contact: Mr. Wayne Blevens 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 501/952-2934 Fax #: 501/280-9596 This firm is certified for the following Department Item Code(s): HAUL ONLY — 203; 205; 209; 303; 305; 307; 308; 309; 310; 406;407;409;412;501;505;801 A. L. Blood Hauling, Inc. DBE This firm is certified for the following NAICS Code(s): 7907 Doyle Springs Road 238910 Site Preparation Contractors Little Rock, AR 72209-5319 484110 General Freight Trucking Contact: Mr. Arthur Blood Phone #: 501/562.4734 This firm is certified for the following Department Item Code(s): Fax #: 501/569-9568 HAUL ONLY - 202; 205; 207; 209; 210; 215; 302; 303; 305; 308;402;405;406;407;411;412;414;415;417;501;606;609; 621; 630; 801; 802; 816 *Bray Sheet Metal Company WBE This firm is certified for the following NAICS Code(s): 1508 Scott Street 238160 Roofing Contractors Little Rock, AR 72202 238220 Plumbing, Heating & Air -Conditioning Contractors — Contact: Ms. Mary Simmons Duct Work Only Phone #: 501/375-8229 Fax #: 501/375-3935 This firm is certified for the following Department Item Code(s): None *Briggs Field Services, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 11310 531210 Offices of Real Estate Agents & Brokers Houston, TX 77068 Contact: Mr. Kerry Briggs This firm is certified for the following Department Item Code(s): Phone #: 281/583-9400 None Fax #: 281/583-9488 Janet Lee Brown Sod & Mulch, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 908 238990 All Other Specialty Trade Contractors Perryville, AR 72126 Contact: Ms. Janet Lee Brown This firm is certified for the following Department Item Code(s): Phone #: 501/432-5358 208; 601; 604; 619; 620; 621;622; 623; 624; 625; 626; 628; 637 Fax #: 501/432-5509 9 Bub's Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 512 S.E. P Street 238910 Site Preparation Contractors Bryant, AR 72202 484110 General Freight Trucking Contact: Mr. Odell Sneed 484220 Specialized Freight (except Used Goods) Trucking, Local Phone#:501/766-7999 Fax #: 501/847-5113 This firm is certified for the following Department Item Code(s): HAUL ONLY — 201; 202; 205; 207; 209; 210; 215; 302; 303; 305;307;308;309;310;401;402;403;405;406;407;409;410; 411;412;414;415;416;417;501;503;606;609;622;630;801; BW Construction Company, Inc. WBE This firm is certified for the following NAICS Code(s): 10100 Highway 71 North 238990 All Other Specialty Trade Contractors Mountainburg, AR 72946 Contact: Ms: Beverly Welch This firm is certified for the following Department Item Code(s): Phone #: 479/369-4372 601; 804 Fax #: 479/369-4372 Cadit Company, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 784 238120 Structural Steel & Precast Concrete Contractors Roanoke, TX 76262 238320 Bridge Painting Contact: Ms. Kathryn Carlisle 423390 Other Construction Material Merchant Wholesalers — Phone #: 817/430-4409 Supplier of Structural Steel Fax #: 817/430-0409 This firm is certified for the following Department Item Code(s): 638:806:807 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1207 237310 Highway, Street, & Bridge Construction Poplar Bluff, MO 63902 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Randy Callahan 238120 Structural Steel & Precast Concrete Contractors Phone #: 573/686-1888 238910 Site Preparation Contractors Fax #: 573/686-3553 238990 All Other Specialty Trade Contractors This firm is certified for the following Department Item Code(s): 201;202;203;205;206;207;208;209;210;212;213;214;215; 216;301;302;303;305;306;307;308;309;310;501;502;503; 504;505;506;507;509;510;511;512;601;602;603;604;605; 606;607;608;609;610;611;612;613;614;615;616;617;618; 619;620;621;622;623;624;625;626;628;629;630;631;632; 633;634;635;636;637;638;639;640;641;642;801;802;803; 804;805;806;807;808;809;810;811;812;813;815;816;817; 818; 820; 821; 822 Camden Concrete Company, Inc. WBE This firm is certified for the following NAICS Code(s): 2104 Maul Road 238910 Site Preparation Contractors Camden, AR 71701 327320 Ready -Mix Concrete Manufacturing Contact: Ms. Wanda Pickett 484110 General Freight Trucking Phone #: 870/836-5276 Fax #: 870/836-6210 This firm is certified for the following Department Item Code(s): 202;210;213;214;215;216;302;303;305;309;310;501;503; 504;505;506;507;511;601;605;606;609;610;614;615;631; 632; 633; 634; 640; 641; 801; 802; 822 HAUL ONLY - 207; 209; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 629; 630; 816 10 *Campaigns and Communications Plus, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 6025 541611 Administrative Management and General Management Sherwood, AR 72120 Consulting Services Contact: Ms. Linda Napper 541613 Marketing Consulting Services Phone #: 501/833-8580 541618 Other Management Consulting Services Fax #: 501/833-8484 This firm is certified for the following Department Item Code(s): None *Capital International Communications, LLC DBE This firm is certified for the following NAICS Code(s): 8762 St. Charles Rock Road 423610 Distribution Equipment —Electrical Wholesaling St. Louis, MO 63114 423830 General Purpose Industrial Machinery & Equipment Contact: Dr. Don Cook, Sr. Wholesaling Phone #: 314/707-7717 541618 Telecommunications Management Consulting Fax #: 636/227-2114 This firm is certified for the following Department Item Code(s): None *Caradine & Company DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541310 Architectural Services Little Rock, AR 72206-1530 541611 Administrative Management & General Management Contact: Mr. Wali Caradine Consulting Services (Field of Construction) Phone #: 501/374-4060 Fax #: 501/372-2261 This firm is certified for the following Department Item Code(s): C & C Trucking Service of AR., LLC DWBE This firm is certified for the following NAICS Code(s): 1475 Toltec Mound Lake Road 484220 Specialized Freight (except Used Goods) Trucking, Local England, AR 72046 Contact: Ms. Chrispy Canady This firm is certified for the following Department item Code(s): Phone #: 501/961-1221 HAUL ONLY - 207; 209; 212; 214; 301; 302; 303; 305; 307; Fax #: 501/961-1220 308; 309; 310; 409; 628 Central Arkansas Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 503 East 6", #202 238120 Structural Steel and Precast Concrete Contractors Little Rock, AR 72202 238910 Site Preparation Contractors Contact: Mr. Mark Jackson 238990 All Other Specialty Trade Contractors Phone #: 501/681-5840 541611 Administrative Management and General Management Fax #: 501/374-1251 Consulting Services (Field of Construction) This firm is certified for the following Department Item Code(s): 201; 202; 206; 210; 212; 214; 303; 305; 601; 605; 606; 609; 625; 628; 632; 801; 802; 804; 816 *Chaves & Associates DBE This firm is certified for the following NAICS Code(s): One Hallidie Plaza, Suite 220 541611 Administrative Management and General Management San Francisco, CA 94102 Consulting Services Contact: Ms. Arlene Chaves 541410 Document Preparation Services Phone #: 510/206-3590 Fax #: 415/693-9030 This firm is certified for the following Department Item Code(s): None C & M Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 247 237110 Water & Sewer Line & Related Structures Construction Doniphan, MO 63935 238110 Poured Concrete Foundation & Structure Contractors Contact: Ms. Melinda Vaughn 238990 All Other Specialty Trade Contractors Phone #: 573/996-3113 Fax #: 573/996-3883 This firm is certified for the following Department Item Code(s): 201; 202; 210; 214; 303; 305; 505; 601; 606; 620; 621; 622; 623; 624;625;626;628;632;633;634 11 Colom Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 414 237310 Highway, Street, & Bridge Construction Ripley, MS 38663 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Rod Colom 238210 Structural Steel & Precast Concrete Contractors Phone #: 662/837-3474 238910 Site Preparation Contractors Fax #: 662/837-3494 238990 All Other Specialty Trade Contractors This firm is certified for the following Department Item Code(s): 201;202;205;206;208;210;212;213;214;215;216;302;303; 305; 306; 501; 502; 503; 504; 505; 507; 510; 511; 512; 601;602; 603; 604; 605; 606; 607; 609; 610; 611; 612; 613; 614; 615; 616; 617;618;619;620;621;622;623;624;625;626;628;629;631; 632;633;634;635;636;637;640;641;711;716;801;802;803; 804; 807; 810; 811; 812; 816; 817; 818; 820; 821; 822 "The Computer Hut, LLC WBE 541511 Custom Computer Programming Services P.O. Box 21608 541512 Computer Systems Design Services Little Rock, AR 72221 Contact: Ms. Angie Bates This firm is certified for the following Department Item Code(s): Phone #: 501/907-7700 None Fax #: 501/907-7702 "Connico, Inc. WBE This firm is certified for the following NAICS Code(s): 2594 N. Mount Juliet Road 541611 Administrative Management and General Management Mount Juliet, TN 37122 Consulting Services Contact: Ms. Connie Gowder Phone #: 615/758-7474 This firm is certified for the following Department Item Code(s): Fax #: 615/758-7477 None "Construction Admin., Inc. DBE This firm is certified for the following NAICS Code(s): 1529 North East 9'" Street 237310 Construction Management Oklahoma City, OK 73117 541350 Inspection Services Contact: Mr. Rudy Gray Phone #: 405/361-3018 This firm is certified for the following Department Item Code(s): Fax #: 405/427-7401 None Construction Materials Testing Services, Inc. WBE This firm is certified for the following NAICS Code(s): 246 Hempstead 211 541380 Testing Laboratories Emmet, AR 71835 Contact: Ms. Jessica Davis This firm is certified for the following Department Item Code(s): Phone #: 870/777-6767 210; 212; 301; 302; 303; 305; 306; 307; 308; 309; 310; 404; 405; Fax #: 870/246-7396 406;407;409;410;411;416;417; 501; 605; 632;633;634; 801; 802 Contractor's Specialty Service Company WBE This firm is certified for the following NAICS Code(s): P. O. Box 13740 238990 All Other Specialty Trade Contractors Maumelle, AR 72113 Contact: Ms. Patricia Genty This firm is certified for the following Department Item Code(s): Phone #: 501/851-8001 601; 603; 604; 718; 719; 720; 721;722 Fax #: 501/851-6497 Couch Excavating Company WBE This firm is certified for the following NAICS Code(s): FR 2165 Route 3, Box 3481 238910 Site Preparation Contractors Cassville, MO 65625 Contact: Ms. Lana Couch This firm is certified for the following Department Item Code(s): Phone #: 417/847-3501 201; 202; 210; 212 Fax #: 417/847-2064 Covington Trucking Company DWBE This firm is certified for the following NAICS Code(s): P.O. Box 788 484110 General Freight Trucking Hugo, OK 74743-0788 Contact: Ms. Randa Covington This firm is certified for the following Department Item Code(s): Phone #: 580/326-9555 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 580/326-6218 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Gary A. Crain, Inc. WBE This firm is certified for the following NAICS Code(s): Route 2, Box 250 237310 Highway, Street, & Bridge Construction Prague, OK 74864 238110 Poured Concrete Foundation & Structure Contractors Contact: Ms. Kimberly Hyden 238320 Paint & Wall Covering Contractors Phone #: 405/567-4058 238990 All Other Specialty Trade Contractors Fax #: 405/567-4684 This firm is certified for the following Department Item Code(s): "Custom Hauling P & M, LLC DBE This firm is certified for the following NAICS Code(s): 11016 King Arthurs Drive 484220 Specialized Freight (except Used Goods) Trucking, Local - Little Rock, AR 72209 Automobile Transportation Contact: Mr. Gerald Gallien 484230 Specialized Freight (except Used Goods) Trucking, Long - Phone #: 501/952-0168 Distance -Automobile Transportation Fax #: 501/562-8833 This form is certified for the following Department Item Code(s): None Damron Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 645 Damron Loop 423390 Other Construction Material Merchant Wholesalers — Counce, TN 38326 Supplier of Liquid Asphalt Contact: Mr. Lee Damron Phone #: 731/689-3877 This firm is certified for the following Department Item Code(s): Fax #: 731/689-6072 SUPPLY ONLY - 405; 406; 407 Davis Petroleum Services, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 24864 425120 Wholesale Trade Agents & Brokers (Petroleum Products Little Rock, AR 72221-4864 Broker) Contact: Mr. Tyronne Davis 562910 Remediation Services Phone #: 503/663-0003 Fax #: 501/663-4269 This firm is certified for the following Department Item Code(s): *DBE Plans & Goals Preparation Services WBE This firm is certified for the following NAICS Code(s): 210 Lake Hollow Drive 541611 Administrative Management & General Management Weatherford, TX 76087 Consulting Services Contact: Ms. Anita Dougherty Phone #: 817/594-7283 This firm is certified for the following Department Item Code(s): Fax #: 817/594-7283 None Delph & Son Hauling DBE This firm is certified for the following NAICS Code(s): 5915 Trenton Lane 238910 Site Preparation Contractors Little Rock, AR 72209 238990 All Other Specialty Trade Contractors Contact: Mr. Randy Delph 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 501/908-6573 Fax #: 501/570-7635 This firm is certified for the following Department Item Code(s): 201;202;203;205;210;213;302;303;622;628;801 IIAV1JV1\L1_GVI YV/, YIJ, JIG Design Concepts DBE This firm is certified for the following NAICS Code(s): 1011 West 15th Street 236220 Commercial & Institutional Building Construction Little Rock, AR 72202 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Lendel Aikens Phone #: 501/398-0030 This firm is certified for the following Department Item Code(s): Fax #: NONE 505; 601; 633; 641 Diamondback Steel Company, Inc. DBE This firm is certified for the following NAICS Code(s): 419 South Cherokee 423390 Other Construction Material Merchant Wholesalers — Muskogee, OK 74403 Supplier of Wire Mesh and Manufacturer of Reinforcing Steel Contact: Mr. Keith Wright (Black Bar) & Steel Piling Phone #: 918/686-6340 Fax #: 918/686-6341 This firm is certified for the following Department Item Code(s): 502; 601; 804; 805 13 Direct Traffic Control, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 602 238990 All Other Specialty Trade Contractors Muskogee, OK 74402-0602 Contact: Ms. Cindy Glover This firm is certified for the following Department Item Code(s): Phone #: 918/682-1900 601; 603; 604; 637; 718; 719; 720; 721; 722; 723; 724; 725; 726; Fax #: 918/682-9993 727; 728; 729; 730; 731; 732 *Donahue Accounting Consultants, PLLC DWBE This firm is certified for the following NAICS Code(s): 1200 Barrow Road, Suite 201 541200 Accounting, Tax Preparation, Bookkeeping, & Payroll Little Rock, AR 72205 Services Contact: Ms. Angela Donahue Phone #: 501/219-9195 This firm is certified for the following Department Item Code(s): Fax #: 501/223-9330 None Doyne Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 5820 221000 Utilities North Little Rock, AR 72119 234990 Heavy Construction Contact: Mr. Dexter Doyne 236115 New Single -Family Housing Construction Phone #: 501/376-8900 236116 New Multi -Family Housing Construction Fax #: 501/376-7419 236220 Commercial & Institutional Building Construction 237310 Highway, Street, & Bridge Construction This firm is certified for the following Department Item Code(s): 201;202;207;208;209;210;212;214;216;302;303;305;306; 601; 602; 603; 604; 605; 606; 607; 608; 609; 610; 611; 612; 613; 614;615;616;618;619;620;621;622;623;624;625;626;628; 629; 630; 631; 632; 633; 634; 637; 638; 639; 640; 641; 642; 801; 802; 803; 804; 813; 815; 816 *Elite Appraisals, Inc. DBE This firm is certified for the following NAICS Code(s): 1200 John Barrow Road, Suite 317 531320 Offices of Real Estate Appraisers Little Rock, AR 72205 Contact: Mr. Phillip Thompson This firm is certified for the following Department Item Code(s): Phone#: 501/221-1622 None Fax #:501-221-1624 Erosion Control Specialist, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 697 238990 All Other Specialty Trade Contractors Mayflower, AR 72106 Contact: Mr. Eddie Colquitt This firm is certified for the following Department Item Code(s): Phone #: 501/679-2022 620;621;623;624;626 Fax #: 501/328-5388 ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72202 238910 Site Preparation Contractors Contact: Mr. Mizan Rahman 238990 All Other Specialty Trade Contractors Phone #: 501/375-1786 541330 Engineering Services Fax #: 501/375-1277 541370 Surveying & Mapping Services This firm is certified for the following Department Item Code(s): 201;202;206;207;209;302;303;305;504;505;507;509;511; 601; 603; 604; 605; 606; 607; 609; 610; 611; 612; 613; 614; 615; 620; 622; 624; 626; 631; 632; 633; 634; 635; 636; 637; 640; 641; 718; 719; 720; 721; 722; 723; 724; 725; 726; 727; 728; 729; 730; 731; 732; 734; 801 ROADWAY ONLY - 802 Fenceco, Inc. DBE This firm is certified for the following NAICS Code(s): 9815 Digby Drive 238990 All Other Specialty Trade Contractors Gentry, AR 72734 Contact: Mr. Tom Tenbrook This firm is certified for the following Department Item Code(s): Phone #: 479/444-8550 619 Fax #:479/267-4084 14 *First Light Resources, LLC WBE This firm is certified for the following NAICS Code(s): 189 Rivergate Drive 423990 Other Miscellaneous Durable Goods Merchant Franklin, TN 37064 Wholesalers (Airport Lighting Supplier) Contact: Ms. Dawn Hickey Phone #: 615/479-1114 This firm is certified for the following Department Item Code(s): Fax #: 615/791-6621 None •Fleming Network Services, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 1.78 238210 Electrical Contractors Bryant, AR 72089 811213 Communication Equipment Repair & Maintenance Contact: Ms. C. Ann Fleming Services Phone #: 501/847-9500 Fax #: 501/653-2274 This firm is certified for the following Department Item Code(s): None Frontier Steel Company, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 10208 423390 Other Construction Material Merchant Wholesalers Russellville, AR 72812 Contact: Ms. Patricia Henry This firm is certified for the following Department Item Code(s): Phone #: 479/968-2103 SUPPLY ONLY - 502; 606; 607; 608; 609; 610; 611; 612; 613; Fax #: 479/967-6208 617; 618; 633; 634; 637; 638; 641; 642; 709; 723; 729; 804; 806; 807; 811 *Gardner's Janitorial Services, Inc. DBE This firm is certified for the following NAICS Code(s): 2612 Shady Grove 561720 Janitorial Services Pine Bluff, AR 71603 Contact: Mr. Eddie Gardner This firm is certified for the following Department Item Code(s): Phone #: 870/850-6863 None Fax #: NONE *D. W. Gates Engineering 616 S. Main, Suite 112 DBE This firm is certified for the following NAICS Code(s): 541330 Engineering Services Tulsa, OK 74119 Contact: Mr. Derek Gates This firm is certified for the following Department Item Code(s): Phone #: 918/583-6905 None Fax #:918/583-4226 Gerdan Slipforming, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 715 238110 Poured Concrete Foundation & Structure Contractors Cape Girardeau, MO 63702-0715 Contact: Ms. Mary Driskell This firm is certified for the following Department Item Code(s): Phone #: 573/339-0675 505;601;631;632;634 Fax #: 573/339-0678 PARAPET WALLS ONLY - 802 Giles Construction Company DBE This firm is certified for the following NAICS Code(s): P.O. Box 192892 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72219 Contact: Mr. Archille Giles, Jr. This firm is certified for the following Department Item Code(s): Phone #: 501/247-3477 504; 505; 605; 606; 607; 609; 610; 614; 640; 641 Fax #: 501/407-0226 Growing Seasons, Inc. WBE This firm is certified for the following NAICS Code(s): 3206 New Boston Road 561730 Landscaping Services Texarkana, TX 75501 Contact: Ms. Carol Wright This firm is certified for the following Department Item Code(s): Phone #: 903/832-7988 620; 621; 622; 623; 624; 626; 628 Fax #: 903/832-8953 15 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 237310 Highway, Street, & Bridge Construction Pocahontas, AR 72455 237990 Other Heavy & Civil Engineering Construction Contact: Ms. Lois Hale 238110 Poured Concrete Foundation & Structure Contractors Phone #: 870/892-9068 238910 Site Preparation Contractors Fax #: 870/892-1868 238990 All Other Specialty Trade Contractors This firm is certified for the following Department Item Code(s): 201;202;205;207;209;210;212;214;302;303;306;309;407; 504;505;507;601;602;603;605;606;607;609;610;611;613; 614; 615; 619;620;621;623;624;625;631; 632;633;634;635; 636; 638; 640; 641; 726; 729; 731; 734; 801; 802; 803; 804; 805; 806; 807; 808; 809; 812; 815; 816; 821 'Harbor Environmental, Inc. WBE This firm is certified for the following NAICS Code(s): 3799 Shock Loop 541620 Environmental Consulting Services Conway, AR 72034 Contact: Ms. Trena Adair This firm is certified for the following Department Item Code(s): Phone #: 501/312-7588 None Fax #: 501/312-7588 Joe Harris, Jr. Trucking DBE This firm is certified for the following NAICS Code(s): P.O. Box 781 238910 Site Preparation Contractors Osceola, AR 72370 238990 All Other Specialty Trade Contractors Contact: Mr. Joe Harris, Jr. 484110 General Freight Trucking Phone #: 870/563-6798 Fax #: 870/563-1292 This firm is certified for the following Department Item Code(s): 201;202;205;210;213;214;215;216;302;303;305;601;606; 801 HAUL ONLY - 207; 209; 308; 402; 405; 406; 407; 411; 412; 414;415;417;501;629;630;802;816 Harris Construction Management DBE This firm is certified for the following NAICS Code(s): P.O. Box 165274 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72216 238910 Site Preparation Contractors Contact: Mr. Larry Harris 238990 All Other Specialty Trade Contractors Phone #:501/945-7715 Fax #: 501 /945-7715 This firm is certified for the following Department Item Code(s): 201;202;206;207;209;309;310;402;405;406;407;411;414; 415;416;417;418;501;502;505;507;601;603;604;605;609; 610; 615; 620; 621;622; 623; 624; 625; 626; 628; 631;632; 633; 634; 635; 637; 640; 641; 801; 802; 804 Harris Hauling DBE This firm is certified for the following NAICS Code(s): 16721 Dyer Road 238910 Site Preparation Contractors Little Rock, AR 72223 484110 General Freight Trucking, Local Contact: Mr. Antonio Harris 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 501/868-1178 Fax #: 501/868-8006 This firm is certified for the following Department Item Code(s): HAUL ONLY — 207; 209; 210; 215; 302; 303; 305; 308; 402; 405;406;407;411;412;414;415;417;501;609;629;630;801; 802; 816 •Hastings Insurance Agency, Inc. WBE This firm is certified for the following NAICS Code(s): 436 Broadway 524210 Insurance Agencies and Brokerages Hot Springs, AR 71901 Contact: Ms. Linda Worthy This firm is certified for the following Department Item Code(s): Phone #: 501/624-7271 None Fax #: 501/623-2617 16 Horton Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 3401 West 70t1' Street 237310 Highway, Street, & Bridge Construction Shreveport, LA 71108 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Johnny Horton, Sr. 238990 All Other Specialty Trade Contractors Phone #: 318/686-8641 Fax #: 318/686-8682 This firm is certified for the following Department Item Code(s): 208; 601; 617; 619; 634 I -Kan Construction Company WBE This firm is certified for the following NAICS Code(s): 750 Pine Valley Trail 238990 All Other Specialty Trade Contractors Waldron, AR 72958 Contact: Ms. Elizabeth Wells This firm is certified for the following Department Item Code(s): Phone #: 479/637-5620 208;603;604;619;620;621;622;623;624;625;626;628;637 Fax #: NONE International Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 6570-126 Avenue North 238990 All Other Specialty Trade Contractors Largo, FL 33773-1834 Contact: Mr. Walter Cenal This firm is certified for the following Department Item Code(s): Phone #: 727/531-3574 507; 509; 512; 601; 718 Fax #: 727/535-1333 Interstate Landscaping & Erosion Control, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 17961 238110 Poured Concrete Foundation & Structure Contractors North Little Rock, AR 72117 238910 Site Preparation Contractors Contact: Ms. Shirley Wilcox 238990 All Other Specialty Trade Contractors Phone #: 501/945-1487 484110 General Freight Trucking Fax #: 501/945-2958 This firm is certified for the following Department Item Code(s): 201;202;208;210;213;214;215;216;302;303;305;502;505; 511; 601; 605; 606; 609; 610; 614; 619; 620; 621; 622; 623; 624; 625; 626; 628; 632; 633; 801; 804 HAUL ONLY - 207; 209; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 802; 816 •A. L. Jackson & Company, P.A. 1221 Brickell Avenue, Suite 900 DBE This firm is certified for the following NAICS Code(s): 541211 Offices of Certified Public Accountants Miami, FL 33131-3227 541213 Tax Preparation Services Contact: Mr. Anthony Jackson 541219 Other Accounting Services Phone #: 305/623-3032 541618 Other Management Consulting Services Fax #: 305/624-1055 541690 Scientific and Technical Consulting This firm is certified for the following Department Item Code(s): None JALN Bushhogging, Landscaping & Trucking DBE This firm is certified for the following NAICS Code(s): 1524 Pearl Street 238110 Poured Concrete Foundation & Structure Contractors Texarkana, AR 71854 238990 All Other Specialty Trade Contractors Contact: Mr. J. O. Dixon, Jr. Phone #: 870/774-2014 This firm is certified for the following Department Item Code(s): Fax #: NONE 201;601; 610; 617; 619; 620; 621; 622; 623; 624; 632; 633; 637; 639; 641 •Jandmar International, LLC WBE This firm is certified for the following NAICS Code(s): 510 Whispering Pine Road 423900 Miscellaneous Durable Goods Merchant Wholesalers Little Rock, AR 72210-5423 454000 Nonstore Retailers (Security Mailbox — The MaiLocker) Contact: Ms. Judy Marendt Phone #: 501/821-1181 This firm is certified for the following Department Item Code(s): Fax #: NONE None MA *Jerome, Inc. DBE P.O. Box 164062 This firm is certified for the following NAICS Code(s): 221000 Utilities •- Telecommunications Little Rock, AR 72206 Contact: Mr. Isadore Caldwell This firm is certified for the following Department Item Code(s): Phone #: 501/376-3394 None Fax #:501/375-7579 J & J Concrete DBE This firm is certified for the following NAICS Code(s): P. O. Box 156 238110 Poured Concrete Foundation & Structure Contractors Gilmore, AR 72339 Contact: Mr. James Combs This firm is certified for the following Department Item Code(s): Phone #: 870/882-6938 206;505;601;605;615;632;633;634 Fax #: NONE JLA Enterprises, Inc. dba JLA Construction WBE This firm is certified for the following NAICS Code(s): 3341 South Farm Road 107 238110 Poured Concrete Foundation & Structure Contractors Brookline, MO 65619 238910 Site Preparation Contractors Contact: Ms. Jennifer Arndt 238990 All Other Specialty Trade Contractors Phone #:417/887-7348 Fax #: 417/887-7216 This firm is certified for the following Department Item Code(s): 201;202;205;208;210;212;213;214;215;216;302;303;305; 501;502;504;505;506;507;601;605;606;607;608;609;610; 611; 614; 615; 619; 620; 621; 622; 623; 624; 625; 626; 628; 631; 632;633;634;637;640;641;801;802;804 PRECAST CONCRETE BARRIER ONLY - 604 Jones Hauling, Inc. DBE This firm is certified for the following NAICS Code(s): 5145 Galleria Cove 484110 General Freight Trucking Conway, AR 72034 Contact: Mr. Samuel Jones This firm is certified for the following Department Item Code(s): Phone #: 501/952-2458 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: NONE 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 *Jones Landscaping & Lawn Service, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 192496 561730 Landscaping Services Little Rock, AR 72219 Contact: Mr. Brian Jones This firm is certified for the following Department Item Code(s): Phone #: 501/888-8789 None Fax #:501/421-6171 J's Construction Company WBE This firm is certified for the following NAICS Code(s): 208 Millpond Road 237310 Highway, Street, & Bridge Construction Conway, AR 72034 238910 Site Preparation Contractors Contact: Ms. Valerie Satterfield 423390 Other Construction Material Merchant Wholesaler — Phone #: 501/450-9405 Supplier of Shale Fax #: 501/450-7688 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): 202;210;213;214;215;216;302;303;305;401;402;405;406; 407;411;414;415;416;417;418;601;606;611;801 HAUL ONLY - 207; 209; 308; 412; 501; 629; 630; 802; 816 J & W Trucking & Hauling Service DBE This firm is certified for the following NAICS Code(s): 7533 South Glenn Drive 484110 General Freight Trucking Sherwood, AR 72120 Contact: Mr. Curtis Jones This firm is certified for the following Department Item Code(s): Phone #: 501/835-1502 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/835-1502 405;406;407;411;412;414;415;417; 501;629;630; 801;802; IE *J Kelly Referral & Information Service, Inc. DWBE This firm is certified for the following NAICS Code(s): 219 West 7'" Street 541910 Marketing Research and Public Opinion Polling Little Rock, AR 72201 519190 All Other Information Services Contact: Ms. Mary Parham Phone#: 501/374-5000 This firm is certified for the following Department Item Code(s): Fax#: 501/374-5007 None *KB Environmental Sciences, Inc. WBE This firm is certified for the following NAICS Code(s): 9500 Koger Boulevard, Suite 211 541618 Other Business Services St. Petersburg, FL 33702 541620 Environmental Consulting Services Contact: Ms. L. Carrot Bryant 562112 Hazardous Waste Collection Phone #: 727/578-5152 Fax #: 727/578-5210 This firm is certified for the following Department Item Code(s): None Kenreg Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 641 238910 Site Preparation Contractors Stuttgart, AR 72160 423390 Other Construction Material Merchant Wholesaler — Contact: Mr. Kenneth Avery Supplier of Fill Dirt Phone #: 870/673-1104 484110 General Freight Trucking Fax #: 870/672-9496 This firm is certified for the following Department Item Code(s): 201;202;205;206;207;209;210;212;214;215;601 HAUL ONLY - 302; 303; 305; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 723 236220 Commercial & Institutional Building Construction Little Rock, AR 72203 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Ralph Vines, II 238160 Roofing Contractors Phone #: 501/374-5570 238170 Siding Contractors Fax #: 501/372-2261 238320 Paint & Wall Covering Contractors 238910 Site Preparation Contractors 238990 All Other Specialty Trade Contractors This firm is certified for the following Department Item Code(s): 201;202;205;215;601;603;604;605;611;620;621;622;623; 624; 625; 626; 628; 632 *KFH Group, Inc. WBE This firm is certified for the following NAICS Code(s): 4920 Elm Street, South 350 541330 Traffic Engineering Consulting Services Montgomery, MD 20814 541611 Administrative Management and General Management Contact: Ms. Sue Knapp Consulting Services Phone #: 301/951-8660 541614 Process, Physical Distribution, and Logistics Consulting Fax #: 301/951-0026 Services This firm is certified for the following Department Item Code(s): None *King Disposal, Inc. DBE This firm is certified for the following NAICS Code(s): 120 Bridges Road 562111 Solid Waste Collection Palestine, AR 72372 Contact: Mr. Joe King This firm is certified for the following Department Item Code(s): Phone #: 870/581-2883 None Fax #: 870/581-2869 K & K Trucking WBE This firm is certified for the following NAICS Code(s): 5426 Highway 212 West 484110 General Freight Trucking Star City, AR 71667 Contact: Ms. Monica King This firm is certified for the following Department Item Code(s): Phone #: 870/628-3911 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 870/628-4911 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 19 Lambert Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 46391 237110 Water & Sewer Line & Related Structures Construction Little Rock, AR 72214 237310 Highway, Street, & Bridge Construction Contact: Mr. Gary Lambert 238110 Poured Concrete Foundation & Structure Contractors Phone #: 501/888-6150 238910 Site Preparation Contractors Fax #: 501/888-6154 238990 All Other Specialty Trade Contractors 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): 201;202;205;206;210;212;213;214;215;216;302;303;305; 309;310;502;503;504;505;506;507;511;512;601;603;605; 606;607;608;609;610;611;614;615;621;624;625;628;631; 632; 633; 634; 635; 636; 637; 640; 641; 728; 731; 801; 802; 803; 804;805;806;807;808;809;810;811;812;817;818;820;821; 822 HAUL ONLY - 207; 209; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 816 Land Improvement Company DBE This firm is certified for the following NAICS Code(s): 1202 Main Street, #201 238910 Site Preparation Contractors Little Rock, AR 72202 Contact: Mr. Orson Weems This firm is certified for the following Department Item Code(s): Phone #: 501/838-5461 201;202;203;205;207;210;212;214; 801 Fax #: 801/927-3970 'The Land Recycling Company, Inc. WBE This firm is certified for the following NAICS Code(s): 400 West Capitol Avenue, Suite 1700 541620 Environmental Consulting Services Little Rock, AR 72201 Contact: Ms. Jean Koeninger This firm is certified for the following Department Item Code(s): Phone #: 501/375-2236 None *Landscape Architecture, Inc. WBE 2300 Cottondale Lane, Suite 202 Little Rock, AR 72202 Contact: Ms. Cinde Drilling Phone #: 501/374-5610 Fax #: 501/664-1480 This firm is certified for the following NAICS Code(s): 541320 Landscape Architectural Services This firm is certified for the following Department Item Code(s): None Lasker Brothers', Inc. DBE This firm is certified for the following NAICS Code(s): #4 Lasker Lane 237310 Highway, Street, and Bridge Construction Conway, AR 72032 238110 Poured Concrete Foundation and Structure Contractors Contact: Mr. Clarence Lasker 238120 Structural Steel and Precast Concrete Contractors Phone #:501/470-1147 238990 All Other Specialty Trade Contractors Fax #:501/470-3095 This firm is certified for the following Department Item Code(s): 501; 502; 503; 504; 505; 506; 507; 511; 605; 614; 632; 633; 634; 641 LBL Construction Company DWBE This firm is certified for the following NAICS Code(s): 5421 Drexel Avenue 238110 Poured Concrete Foundation and Structure Contractors Little Rock, AR 72209 Contact: Ms. Lessie Leniear This firm is certified for the following Department Item Code(s): Phone #: 501/568-5574 505; 633 Fax #: 501/568-5574 Level Best, LLC DBE This firm is certified for the following NAICS Code(s): 3644 Highway 160 East 237310 Highway, Street, and Bridge Construction Hermitage, AR 71647 Contact: Mr. William Jordan This firm is certified for the following Department Item Code(s): Phone #: 870/703-3003 410; 501; 510 Fax #:870/463-8753 20 L -J Company, Inc. 255 Ashley 100 Road Hamburg, AR 71646 Contact: Ms. Lummye Courson Phone #: 870/853-4747 Fax #: 870/853-9073 *Mary A. Lynch 5719 Overridge Drive Arlington, TX 76017-1139 Contact: Ms. Mary Lynch Phone #: 817/478-3308 Fax #: NONE 6368 Cook Road Guilford, IN 47022 Contact: Ms. Julie Mattlin Phone #: 812/487-2547 Fax #: 812/487-2547 This firm is certified for the following NAICS Code(s): 238110 Poured Concrete Foundation & Structure Contractors 238990 All Other Specialty Trade Contractors 425120 Wholesale Trade Agents & Brokers 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): 208;505;601;605;607;609;610;611;614;619;620;621;622; 623; 624; 625; 626; 628; 632; 633; 634; 637; 641 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 WBE This firm is certified for the following NAICS Code(s): 488999 All Other Support Activities for Transportation 541611 Administrative Management & General Management Consulting Services This firm is certified for the following Department Item Code(s): WBE This firm is certified for the following NAICS Code(s): 541611 Administrative Management and General Management Consulting Services This firm is certified for the following Department Item Code(s): None Mac's General Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 3162 Parnell Road 238110 Poured Concrete Foundation & Structure Contractors El Dorado, AR 71730 238910 Site Preparation Contractors Contact: Ms. Anita McDonald 238990 All Other Specialty Trade Contractors Phone #: 870/863-0838 Fax #: 870/863-4448 This firm is certified for the following Department Item Code(s): 201;202;205;206;207;210;212;213;214;215;216;301;302; 303;305;307;308;606;607;609;610;611;619;620;621;622; 625;626;628;634;640;801;816 Marshall Construction, Inc. WBE This firm is certified for the following NAICS Code(s): 10245 Locust Mountain Road 238120 Structural Steel & Precast Concrete Contractors Mountainburg, AR 72946 Contact: Ms. Janet Marshall This firm is certified for the following Department Item Code(s): Phone #: 479/369-2268 502; 601; 631; 802; 804; 806; 807; 808 Fax #: 479/369-2268 'Martinez Corporation DBE This firm is certified for the following NAICS Code(s): 8011 34'" Avenue South, Suite C47 541370 Surveying and Mapping (except Geophysical) Services Bloomington, MN 55425 541499 All Other Business support Services Contact: Mr. Anthony Martinez 541512 Computer Systems Design Services Phone #: 888/290-1127 541922 Commercial Photography Fax #: 952/698-0234 This firm is certified for the following Department Item Code(s): None The Maybee Family Corporation WBE This firm is certified for the following NAICS Code(s): P. O. Box 34 238990 All Other Specialty Trade Contractors Alpena, AR 72611 Contact: Ms. Barbara Maybee This firm is certified for the following Department Item Code(s): Phone#:870/437-5229 202; 208; 601; 619; 620; 621; 622; 623; 624; 625; 626; 628 21 McCormick Asphalt Paving & Excavating, Inc. DWBE This firm is certified for the following NAICS Code(s): 1925 South Roseville Street 237310 Highway, Street, & Bridge Construction Ozark, AR 72949 484110 General Freight Trucking Contact: Ms. Martha Moore Phone #: 479/468-2514 This firm is certified for the following Department Item Code(s): Fax #:479/468-2096 209;213;215;216;303;305;307;401;402;403;405;406;407; 411; 412; 414; 415; 416; 417; 418; 510; 512; 601; 615; 620; 622; 625;628;637 HAUL ONLY - 207; 210; 302; 308; 501;629; 630; 801; 802; 816 McRyan Hauling, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 1669 484110 General Freight Trucking Roanoke, TX 76262-1669 Contact: Ms. Judy Stinnett This firm is certified for the following Department Item Code(s): Phone #: 817/430-3213 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:817/636-2209 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Midwest Hauling & Contracting, Inc. WBE This firm is certified for the following NAICS Code(s): 2286 Rose Lane 237310 Highway, Street, and Bridge Construction Franklin, MO 63069 238910 Site Preparation Contractors Contact: Ms. Christine Johnson 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 636/271-6363 Fax #: 636/271-5006 This firm is certified for the following Department Item Code(s): 201;202;210;212;214;801 Millie Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 622 484110 General Freight Trucking Morrilton, AR 72110 Contact: Mr. Kenneth Criswell This firm is certified for the following Department Item Code(s): Phone #: 501/977-5448 HAUL ONLY - 205; 207; 209; 210; 302; 303; 305; 402; 801; 805 Fax #: 501/354-1140 E.W. Moon, Inc. DBE This firm is certified for the following NAICS Code(s): 11311 Venice Boulevard 541611 Administrative Management and General Management Los Angeles, CA 90066 Consulting Services Contact: Mr. Elvin Moon Phone #: 310/915-1018 This firm is certified for the following Department Item Code(s): Fax #: 310/915-1038 None M & T Paving & Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 329 237310 Highway, Street, & Bridge Construction Forrest City, AR 72336-0329 238910 Site Preparation Contractors Contact: Mr. Robert Jones Phone #: 870/633-6651 This firm is certified for the following Department Item Code(s): Fax #:870/633-0377 201;202;206;207;209;210;212;213;214;215;216;302;303; 305;401;402;403;405;406;407;411; 414;415;416;417;418; 601; 602; 603; 606; 607; 615; 635; 801 *The NBM Associates DWBE This firm is certified for the following NAICS Code(s): 6867 Gallop Drive 541611 Administrative Management & General Management Cordova, TN 38018 Consulting Services (Strategic Planning Consulting Services) Contact: Ms. Yi Liu 541690 Other Scientific & Technical Consulting Services Phone #: 901/383-6391 (Economic Impact Analysis) Fax #: 901/386-2214 541720 Research & Development in the Social Sciences & Humanities (Demographic Analysis) 541900 Other Professional, Scientific & Technical Services (Transportation Planning, Feasibility & Needs Assessment & Cost -Benefit Analysis) This firm is certified for the following Department Item Code(s): None 22 Odum Services DBE This firm is certified for the following NAICS Code(s): 6555 Harris Lake Road 238990 All Other Specialty Trade Contractors Marshall, TX 75672 Contact: Mr. Gregory Odum This firm is certified for the following Department Item Code(s): Phone #: 903/938-8059 202; 208;601;603; 604;617;618; 619;639;728; 731;732; 734 Fax #: 903/938-8830 *Omega Electric, Inc. DWBE This firm is certified for the following NAICS Code(s): 4323 West 17`" Street 238210 Electrical Contractors Little Rock, AR 72204 Contact: Ms. Minnie Thompson This firm is certified for the following Department Item Code(s): Phone #: 501/541-1798 None Fax #: 501/374-7873 O.W. Construction DBE This firm is certified for the following NAICS Code(s): 1310 Lincoln Street 238110 Poured Concrete Foundation and Structure Contractors Texarkana, AR 71854 238990 All Other Specialty Trade Contractors Contact: Mr. Ollie White, Jr. Phone #: 903/547-9193 This firm is certified for the following Department Item Code(s): Fax #: NONE 504; 505; 507; 605; 633 Pam's Trucking WBE This firm is certified for the following NAICS Code(s): 4539 Highway 157 484110 General Freight Trucking Judsonia, AR 72081 Contact: Ms. Pam Weathers This firm is certified for the following Department Item Code(s): Phone #: 501/728-4241 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/728-4241 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 Patrick Fence Company WBE This firm is certified for the following NAICS Code(s): 1897 Highway 31 North 238990 All Other Specialty Trade Contractors Beebe, AR 72012 Contact: Ms. Patricia Doody This firm is certified for the following Department Item Code(s): Phone#:501/882-7291 201;202;208;601;618;619;620;621;622;623;624;625;626; Fax #: 501/882-8500 628; 637 Payne Steel Erectors, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 247 237310 Highway, Street, & Bridge Construction Kenton, TN 38233 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Geoffrey Payne 238120 Structural Steel & Precast Concrete Contractors Phone #: 901/749-7991 Fax #: 901/749-7992 This firm is certified for the following Department Item Code(s): 501;502;503;504;505;506;507;509;510;511;512;601;605; 606;607;608;609;610;611;613;614;615;629;631;632;633; 634; 638; 640; 641; 642; 802; 803; 804; 806; 807; 808; 809; 810; 821;822 Telecommunications International, LLC WBE This firm is certified for the following NAICS Code(s): [*Peachtree 11465 Johns Creek Parkway, Suite 350 423610 Electrical Apparatus & Equipment, Wiring Supplies & Duluth, GA 30097 Related Equipment Merchant Wholesalers Contact: Ms. Sandra Kay Stewart Phone #: 770/242-1970 This firm is certified for the following Department Item Code(s): Fax #: 770/242-0818 None Henry E. Peacock and Associates, LLC DBE This firm is certified for the following NAICS Code(s): P. O. Box 224 237110 Water and Sewer Line and Related Structures Forrest City, AR 72336 Construction Contact: Mr. Henry Peacock 238220 Plumbing, Heating, and Air -Conditioning Contractors Phone #: 870/633-0437 238910 Site Preparation Contractors Fax #: 870/633-0437 238990 All Other Specialty Trade Contractors This firm is certified for the following Department Item Code(s): 201;202;210;215;605;606;607;609;610;611;612;613;614; 616; 631; 632; 633; 634; 640 23 W. J. Penton Construction Company, Inc. DWBE This firm is certified for the following NAICS Code(s): P.O. Box 1520 484110 General Freight Trucking Minden, LA 71058-1520 Contact: Ms. Ar-Lillian Penton This firm is certified for the following Department Item Code(s): Phone #: 318/377-3359 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:318/377-3361 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 *Personal Touch Cleaning DWBE This firm is certified for the following NAICS Code(s): 1110 Brantley Avenue 561720 Janitorial Services North Little Rock, AR 72117 Contact: Ms. Barbara Shelton This firm is certified for the following Department Item Code(s): Phone #: 501/945-4645 None Fax #: NONE Plain Dealing Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 72693 423390 Other Construction Material Merchant Wholesalers - Bossier City, LA 71172 Supplier of Liquid Asphalt Contact: Mr. Lessie Harris Phone #: 318/746-1554 This firm is certified for the following Department Item Code(s): Fax #: 318/746-1555 SUPPLY ONLY - 405; 406; 407 *The Plant Connection WBE This firm is certified for the following NAICS Code(s): 624 East 12th Street 444220 Nursery & Garden Centers North Little Rock, AR 72046 Contact: Ms. Debbie Porter This firm is certified for the following Department Item Code(s): Phone #: 501/375-4028 None Fax #: 501/376-6972 *Platinum Drywall, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 13128 238310 Drywall & Insulation Contractors Maumelle, AR 72113 Contact: Mr. Anthony Brooks This firm is certified for the following Department Item Code(s): Phone #: 501/803-9255 None Fax #: 501/803-9107 *Professional Cleaning Associates DWBE This firm is certified for the following NAICS Code(s): P.O. Box 234 561720 Janitorial Services Conway, AR 72033 Contact: Ms. Gwendolyn Wright This firm is certified for the following Department Item Code(s): Phone #: 501/450-9947 None Fax #: 501/450-9957 *Professional Conveyor South, LLC WBE This firm is certified for the following NAICS Code(s): P.O. Box 15611 238290 Other Building Equipment Contractors (Conveyor & Fernandina Beach, FL 32035 Baggage Handling Installation & Maintenance) Contact: Ms. Tracy Wieland Phone #: 904/261-5396 This firm is certified for the following Department Item Code(s): Fax #: 904/261-6496 None *Pure Cleaning Services, Inc. DWBE This firm is certified for the following NAICS Code(s): 9 Sharma Lane 238320 Paint & Wall Covering Contractors — Sheetrock Repair & Maumelle, AR 72112 Painting Contact: Ms. Debris Googe 561720 Janitorial Services Phone #: 501/803-0090 812000 Personal & Laundry Services Fax #: 501/803-0922 This firm is certified for the following Department Item Code(s): None 24 *Vesta Rea & Associates, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 73643 541613 Marketing Consulting Services Houston, TX 77372-3643 541614 Transportation Management Consulting Services Contact: Ms. Vesta Rea -Gaubert 541710 Research & Development in the Physical, Engineering & Phone #: 281/376-4202 Life Sciences Fax #: 281/376-1533 541810 Advertising Agency Consulting Services 541820 Public Relations Agencies This firm is certified for the following Department Item Code(s): Red River Hydro -Seeding, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 3045 238110 Poured Concrete Foundation & Structure Contractors Texarkana, AR 75504-3045 238990 All Other Specialty Trade Contractors Contact: Ms. Patricia Daniel 484110 General Freight Trucking Phone #: 870/772-2028 Fax #: 870/773-2654 This firm is certified for the following Department Item Code(s): 201; 202; 206; 207; 208; 502; 504; 505; 507; 509; 512; 601; 602; 603; 604; 605; 606; 607; 608; 609; 610; 611; 613; 614; 615; 619; 620; 621; 622; 623; 624; 625; 626; 628; 631; 632; 633; 634; 637; 640; 641; 642; 803; 804; 813; 815; 816; 818; 821 HAUL ONLY - 209; 210; 215; 302; 303; 305; 308; 402; 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802 R. F. B. Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 565 East 520'" Avenue 238110 Poured Concrete Foundation & Structure Contractors Pittsburg, KS 66762-6829 238990 All Other Specialty Trade Contractors Contact: Mr. Richard Beachner Phone #: 620/232-2900 This firm is certified for the following Department Item Code(s): Fax #: 620/232-2998 208; 505; 601; 607; 611; 619; 620; 621; 622; 623; 624; 625; 626; 628; 633; 801 Riley Paving Company DBE This firm is certified for the following NAICS Code(s): P.O. Box 521 237310 Highway, Street, & Bridge Construction Hamburg, AR 71646 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Claude Riley, Jr. Phone #: 870/853-8779 This firm is certified for the following Department Item Code(s): Fax #:870/853-8676 216;301;303;402;405;406;407;411;412;414;415;416;417; 418; 501; 601; 634 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 237310 Highway, Street, & Bridge Construction North Little Rock, AR 72118 238110 Poured Concrete Foundation and Structure Contractors Contact: Ms. Becky Biggs 238910 Site Preparation Contractors Phone #: 501/851-1116 238990 All Other Specialty Trade Contractors Fax #:501/851-1115 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): HAUL ONLY —201; 202; 205; 207; 209; 210; 212; 214; 215; 302;303;305;307;308;402;405;406;407;411;412;414;415; 417; 501; 601; 615; 629; 630; 801; 802; 816 Robert Construction WBE This firm is certified for the following NAICS Code(s): 3705 Blueridge Circle 238910 Site Preparation Contractors Jonesboro, AR 72401 238990 All Other Specialty Trade Contractors Contact: Ms. Toni Robert 423390 Other Construction Material Merchant Wholesalers — Phone #: 870/972-8694 Supplier of Compacted Embankment & Aggregate Base Course Fax #:870/972-8694 This firm is certified for the following Department Item Code(s): 201;202;213;214;215;216;302;305;601;604;606;631;801 SUPPLY ONLY - 210; 303 25 Robin Dee Enterprises, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 360 484110 General Freight Trucking Centralia, IL 62801 Contact: Ms. Robin Ward This firm is certified for the following Department Item Code(s): Phone #: 618/532-3745 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:618/532-3775 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Romero Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 148 237110 Water & Sewer Line & Related Structures Construction Mount Ida, AR 71957 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Patrick Romero 238910 Site Preparation Contractors Phone #: 870/326-4970 238990 All Other Specialty Trade Contractors Fax #: 870/3264967 This firm is certified for the following Department Item Code(s): 201;202;207;210;213;214;215;216;302;303;305;504;505; 601;606;610;611;632;634;801 Rowlett Trucking DBE This firm is certified for the following NAICS Code(s): 134 Luevert's Place 484110 General Freight Trucking Monticello, AR 71655 Contact: Mr. Malvin Rowlett This firm is certified for the following Department Item Code(s): Phone #: 870/367-7419 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: NONE 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 *R & R Commercial Cleaning Services DWBE This firm is certified for the following NAICS Code(s): 4907 Fernwood Drive 561720 Janitorial Services Texarkana, AR 71854 Contact: Ms. Lela Crittenden This firm is certified for the following Department Item Code(s): Phone #: 903/701-4248 None Fax #: NONE *Rumel & Associates Consultants, Inc. 2020 West 3`" Street, Suite 518-520 DWBE This firm is certified for the following NAICS Code(s): 519000 Other Information Services (Contractor's Construction Little Rock, AR 72205 Plans Room) Contact: Ms. Rumel Rayford 524126 Direct Property & Casualty Insurance Carriers (Surety Phone #: 501/372-7433 Bonding Assistance) Fax #: 501/372-7434 541610 Management Consulting Services (Office Organizational Management & Business Plan Writing) 624000 Social Assistance (Communication/Outreach Services) This firm is certified for the following Department Item Code(s): None SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 236115 New Single -Family Housing Construction Little Rock, AR 72206 236116 New Multi -Family Housing Construction Contact: Mr. Michael Smith 238110 Poured Concrete Foundation & Structure Contractors Phone #: 501/301-7627 238140 Masonry Contractors Fax #: 501/301-7627 238310 Drywall & Insulation Contractors 238320 Paint & Wall Covering Contractors 238910 Site Preparation Contractors 238990 All Other Specialty Trade Contractors 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): 201;202;210;213;214;215; 216; 302; 303; 305; 505; 60 I; 605; 606;607;614;615;620;621;622;623;624;625;626;628;632; 633; 634; 637; 641; 801 HAUL ONLY - 207; 209; 308; 402; 405; 406; 407; 411; 412; 414;415;417;501;629;630;802;816 PB Seneca, Inc. DBE This firm is certified for the following NAICS Code(s): 420 Lakewood Circle 238110 Poured Concrete Foundation & Structure Contractors Van Buren, AR 72956 238120 Structural Steel & Precast Concrete Contractors Contact: Mr. David Whited 238910 Site Preparation Contractors Phone #: 479/474-6055 238990 All Other Specialty Trade Contractors Fax #: 479/474-6055 This firm is certified for the following Department Item Code(s): 202;205;206;210;213;214;215;216;302;303;305;501;504; 505; 601; 603; 605; 606; 607; 608; 609; 610; 611; 613; 614; 615; 625;631;632;633;637;640;641;801;802;804;807;808;812; 815;816 PRECAST CONCRETE BARRIER ONLY - 604 *Simplex Construction Supplies, Inc. WBE This firm is certified for the following NAICS Code(s): 9020 West Drive NE 35W Service Road 423320 Brick, Stone, & Related Construction Material Merchant Blaine, MN 55449 Wholesalers Contact: Ms. Sarah Bazey 423330 Roofing Materials (Except Wood) Merchant Wholesalers Phone #: 763/398-0040 423390 Other Construction Material Merchant Wholesalers Fax #: 763/398-0039 This firm is certified for the following Department Item Code(s): None *Special Touch Landscaping Lawn Services DBE This firm is certified for the following NAICS Code(s): #9 Sunnydale Drive 561730 Landscaping Services Little Rock, AR 72209 Contact: Mr. Lawrence Willis This firm is certified for the following Department Item Code(s): Phone #: 501/565-1968 None Fax #:501/565-1969 Stain Construction Company, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 96 484110 General Freight Trucking Ida, AR 72546 Contact: Ms. Greta Stain This firm is certified for the following Department Item Code(s): Phone #: 501/250-0594 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/250-0594 405;406;407;411;412;414;415;4!7;501;629;630;801;802; 816 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 237310 Highway, Street, & Bridge Construction Little Rock, AR 72206 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. Don Stephens 238910 Site Preparation Contractors Phone #: 501/261-1118 238990 All Other Specialty Trade Contractors Fax #:501/261-7093 484110 General Freight Trucking This firm is certified for the following Department Item Code(s): 201; 202; 205; 207; 209; 210; 212; 213; 214; 215; 216; 302; 303; 305;401;402;403;404;405;406;407;409;411;414;415;416; 417;418;505;601;603;605;606;607;609;610;611;614;622; 624;628;632;633;634;640;641;801 HAUL ONLY - 308; 412; 501; 629; 630; 802; 816 *Street Smarts, Inc. WBE This firm is certified for the following NAICS Code(s): 3090 Premiere Parkway, Suite 200 541330 Engineering Services Duluth, GA 30097 Contact: Ms. Marsha Anderson Bomar This firm is certified for the following Department Item Code(s): Phone #: 770/813-0882 None Fax #: 770/813-0688 27 *Dwight Stroud & Associates, LLC DBE This firm is certified for the following NAICS Code(s): 3521 Tatum Street 541610 Management Consulting Services (Office Organizational Little Rock, AR 72204 Management and Business Plan Writing) Contact: Mr. Dwight Stroud 541611 Administrative Management and General Management Phone 11:501/312-4179 Consulting Service Fax #: 501/312-4179 541613 Marketing Consulting Services 541618 Other Management Consulting Services This firm is certified for the following Department Item Code(s): None Superior Traffic Control -Memphis, Inc. WBE This firm is certified for the following NAICS Code(s): 9303 Cordova Park Road 238990 All Other Specialty Trade Contractors Cordova, TN 38018 Contact: Ms. Rebecca Wood This firm is certified for the following Department Item Code(s): Phone #: 901/737-9958 603; 604; 720; 723; 726; 727; 728; 729; 730; 731; 732; 733 Fax #:901/737-9984 Tackett Trucking, LLC DBE This firm is certified for the following NAICS Code(s): 1408 W. Deer Run Road 238910 Site preparation Contractors Fort Gibson, OK 74434 238990 All Other Specialty Trade Contractors Contact: Mr. Darwin Tackett 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 918/351-5407 Fax #: 918/478-3782 This firm is certified for the following Department Item Code(s): HAUL ONLY - 207; 209; 302; 303; 307; 308; 405; 406; 407; 409;411;412;415;416;417 *TAN Construction, Inc. DWBE This firm is certified for the following NAICS Code(s): P. O. Box 1186 236110 Residential Building Construction Jonesboro, AR 72403 236118 Residential Remodelers Contact: Ms. Tannica Gamble Phone #: 870/761-0084 This firm is certified for the following Department Item Code(s): Fax #: 870/933-2026 None *TapanAm Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 201 West 135'" Street, Suite 100 541330 Engineering Services Kansas City, MO 64145 Contact: Mr. Tapan Banerjee This firm is certified for the following Department Item Code(s): Phone #: 816/941-6100 None Fax #: 816/941-6102 Tarrasco Steel Company DBE This firm is certified for the following NAICS Code(s): 1941 Highway 82 West 238120 Structural Steel & Precast Concrete Contractors Greenville, MS 38701 Contact: Mr. Jose Gonzalez This firm is certified for the following Department Item Code(s): Phone #: 662/344-1711 601;804 Fax #: 662/344-1742 *Third Rock Consultants, LLC WBE This firm is certified for the following NAICS Code(s): 2514 Regency Road, Suite 104 541620 Environmental Consulting Services Lexington, KY 40503 561410 Document Preparation Services Contact: Ms. Molly Foree Phone #: 859/977-2000 This firm is certified for the following Department Item Code(s): Fax #: 859/977-2001 None Frank Thompson Transport, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 1876 423390 Other Construction Material Merchant Wholesalers - El Dorado, AR 71731 Supplier of Liquid Asphalt Contact: Ms. Nancy Woodward Phone #: 870/862-5426 This firm is certified for the following Department Item Code(s): Fax #: 870/862-6213 SUPPLY ONLY - 405; 406; 407 28 Three J. H. & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 15594 236220 Commercial & Institutional Building Construction Little Rock, AR 72231 238110 Poured Concrete Foundation & Structure Contractors Contact: Mr. James Hall, III 238910 Site Preparation Contractors Phone #: 501/372-1113 238990 All Other Specialty Trade Contractors Fax #:501/372-0788 This firm is certified for the following Department Item Code(s): 201;208;619;620;621;622;623;624;628;631;632;633;634; 638;641; 801; 802 *Toles & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 2851 Lamb Place, Suite 2 541330 Engineering Services Memphis, TN 38118 Contact: Mr. James Toles This firm is certified for the following Department Item Code(s): Phone #: 901/794-9815 None Fax #: 901/794-9817 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 3705 236115 New Single -Family Housing Construction Little Rock, AR 72203 236116 New Multi -Family Housing Construction Contact: Mr. Cyril Morris 236220 Commercial & Institutional Building Construction Phone #: 501/375-0000 238110 Poured Concrete Foundation & Structure Contractors Fax #: 501/372-2925 238310 Drywall & Insulation Contractors 238320 Paint & Wall Covering Contractors 238910 Site Preparation Contractors 238990 All Other Specialty Trade Contractors 488999 All Other Support Activities for Transportation This firm is certified for the following Department Item Code(s): 201;202;210;213;214;215;216;302;303;305;601;606;633; 634; 801 � SILT FENCE ONLY - 621 *TransSolutions, LLC WBE This firm is certified for the following NAICS Code(s): P.O. Box 155486 541320 Landscape Architectural Services Fort Worth, TX 76155 541330 Engineering Services Contact: Ms. Belinda Hargrove 541611 Administrative Management and General Management Phone #: 817/359-2958 Consulting Services Fax #: 817/359-2959 541614 Process, Physical Distribution, and Logistics Consulting Services This firm is certified for the following Department Item Code(s): None *Twillie Realty, Inc. DWBE This firm is certified for the following NAICS Code(s): 1415 South University 236220 Commercial & Institutional Building Construction Little Rock, AR 72204 531210 Office of Real Estate Agents & Brokers Contact: Ms. Jacquelyn Twillie 541620 Environmental Consulting Services Phone #: 501/296-9000 Fax #: 501/296-9022 This firm is certified for the following Department Item Code(s): *UCG Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 10 S. Rvierside Plaza, Suite 1800 541611 Administrative Management and General Management Chicago, IL 60606 Consulting Services Contact: Ms. Yovette Drake 541612 Computer Systems Design Services Phone #: 312/474-7757 541614 Process, Physical Distribution, and Logistics Consulting Fax #: 312/474-6099 Services This firm is certified for the following Department Item Code(s): None 29 *Valley Illuminators WBE This firm is certified for the following NAICS Code(s): P.O. Box 3001 336321 Vehicular Lighting Equipment Manufacturing Federal Way, WA 98063-3001 Contact: Ms. Polly Valley This firm is certified for the following Department Item Code(s): Phone #: 253/833-3016 None Fax #:253/735-5414 W. Trucking DBE This firm is certified for the following NAICS Code(s): P.O. Box 529 484110 General Freight Trucking Grady, AR 71644 Contact: Mr. John Wilber This firm is certified for the following Department Item Code(s): Phone #: 870/479-3435 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/479-3270 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 *Watkins Janitorial Service DBE This firm is certified for the following NAICS Code(s): 3904 Royal Forest Drive 561720 Janitorial Services Pine Bluff, AR 71603 Contact: Mr. Larry Watkins This firm is certified for the following Department Item Code(s): Phone #: 870/534-3095 None Fax #: NONE Watson Trucking DBE This firm is certified for the following NAICS Code(s): 215 Watson Avenue 238910 Site Preparation Contractors Osceola, AR 72370 484110 General Freight Trucking, Local Contact: Mr. James Watson 484220 Specialized Freight (except Used Goods) Trucking, Local Phone #: 870/622-0229 Fax #: NONE This firm is certified for the following Department Item Code(s): 202;203;205;209 HAUL ONLY - 210; 301; 414; 416; 615; 639; 801; 806; 817 *White Oak Nursery DWBE This firm is certified for the following NAICS Code(s): 10025 Counts Massie Road 444220 Nursery & Garden Centers — Interior Plantscaping, Maumelle, AR 72113 Maintenance & Gardens Contact: Ms. Reyna Balch Phone #: 501/753-4117 or 501/681-8790 This firm is certified for the following Department Item Code(s): Fax #: 501/753-4117 None *Woods Group Architects DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541310 Architectural Services Little Rock, AR 72206-1530 541611 Administrative Management & General Management Contact: Mr. Ron Bene' Woods Consulting Services (Field of Construction) Phone #: 501/372-2230 Fax #: 501/372-2261 This firm is certified for the following Department Item Code(s): None Wrigley Construction Company WBE This firm is certified for the following NAICS Code(s): 11253 Highway 13 North 238350 Finish Carpentry Contractors Des Arc, AR 72040 238910 Site Preparation Contractors Contact: Ms. Julia Wrigley 238990 All Other Specialty Trade Contractors Phone #: 501/278-0988 484110 General Freight Transportation Fax #: 870/854-5661 This firm is certified for the following Department Item Code(s): 201;202;205;206;208;601;617;618;619;620;621;622;623; 624; 625; 626; 628; 637; 639; 817 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 30 *YoungHopkins Holdings Company, LLC dba First Arkansas This firm is certified for the following NAICS Code(s): Title WBE 531390 Other Activities Related to Real Estate (Residential & 5201 Jerry Drive Commercial Real Estate Closings) Little Rock, AR 72223 Contact: Ms. Shelley Bolling This firm is certified for the following Department Item Code(s): Phone #: 501/907-9400 None Fax #: 501/907-9404 till Accounting, Tax Preparation, Bookkeeping, & Payroll Services *Donahue Accounting Consultants, PLLC DWBE This firm is certified for the following NAICS Code(s): 1200 Barrow Road, Suite 201 541200 Accounting, Tax Preparation, Bookkeeping, & Payroll Little Rock, AR 72205 Services Contact: Ms. Angela Donahue Phone #: 501/219-9195 This firm is certified for the following Department Item Code(s): Fax #: 501/223-9330 None Other Accounting Services *A. L. Jackson & Company, P.A. DBE This firm is certified for the following NAICS Code(s): 1221 Brickell Avenue, Suite 900 541219 Other Accounting Services Miami, FL 33131-3227 Contact: Mr. Anthony Jackson This firm is certified for the following Department Item Code(s): Phone #: 305/623-3032 None Fax #: 305/624-1055 Administrative Management & General Management Consulting Services *Campaigns and Communications Plus, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 6025 541611 Administrative Management and General Management Sherwood, AR 72120 Consulting Services Contact: Ms. Linda Napper Phone #: 501/833-8580 This firm is certified for the following Department Item Code(s): Fax #: 501/833-8484 None *Caradine & Company DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541611 Administrative Management & General Management Little Rock, AR 72206-1530 Consulting Services (Field of Construction) Contact: Mr. Wali Caradine Phone #: 501/374-4060 This firm is certified for the following Department Item Code(s): Fax #: 501/372-2261 None Central Arkansas Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 503 East 6", #202 541611 Administrative Management and General Management Little Rock, AR 72202 Consulting Services (Field of Construction) Contact: Mr. Mark Jackson Phone #: 501/681-5840 This firm is certified for the following Department Item Code(s): Fax #: 501/374-1251 None *Chaves & Associates DBE This firm is certified for the following NAICS Code(s): One Hallidie Plaza, Suite 220 541611 Administrative Management and General Management San Francisco, CA 94102 Consulting Services Contact: Ms. Arlene Chaves Phone #: 510/206-3590 This firm is certified for the following Department Item Code(s): Fax #: 415/693-9030 None *Connico, Inc. WBE This firm is certified for the following NAICS Code(s): 2594 N. Mount Juliet Road 541611 Administrative Management & General Management Mount Juliet, TN 37122 Consulting Services (Field of Construction) Contact: Ms. Connie Gowder Phone #: 615/758-7474 This firm is certified for the following Department Item Code(s): Fax #: 615/758-7477 None *DBE Plans & Goals Preparation Services WBE This firm is certified for the following NAICS Code(s): 210 Lake Hollow Drive 541611 Administrative Management & General Management Weatherford, TX 76087 Consulting Services Contact: Ms. Anita Dougherty Phone #: 817/594-7283 This firm is certified for the following Department Item Code(s): Fax if: 817/594-7283 None *KFH Group, Inc. WBE This firm is certified for the following NAICS Code(s): 4920 Elm Street, South 350 541611 Administrative Management & General Management Montgomery, MD 20814 Consulting Services (Field of Construction) Contact: Ms. Sue Knapp Phone #: 301/951-8660 This firm is certified for the following Department Item Code(s): Fax #: 301/951-0026 None 33 *Mary A. Lynch WBE This firm is certified for the following NAICS Code(s): 5719 Overridge Drive 541611 Administrative Management & General Management Arlington, TX 76017-1139 Consulting Services Contact: Ms. Mary Lynch Phone #: 817/478-3308 This firm is certified for the following Department Item Code(s): Fax #: NONE None *MAC Consulting, LLC WBE This firm is certified for the following NAICS Code(s): 6368 Cook Road 541611 Administrative Management and General Management Guilford, IN 47022 Consulting Services Contact: Ms. Julie Mattlin Phone #: 812/487-2547 This firm is certified for the following Department Item Code(s): Fax #: 812/487-2547 None E.W. Moon, Inc. DBE This firm is certified for the following NAICS Code(s): 11311 Venice Boulevard 541611 Administrative Management & General Management Los Angeles, CA 90066 Consulting Services (Field of Construction) Contact: Mr. Elvin Moon Phone #:310/915-1018 This firm is certified for the following Department Item Code(s): Fax #:310/915-1038 None *The NBM Associates DWBE This firm is certified for the following NAICS Code(s): 6867 Gallop Drive 541611 Administrative Management & General Management Cordova, TN 38018 Consulting Services (Strategic Planning Consulting Services) Contact: Ms. Yi Liu Phone #: 901/383-6391 This firm is certified for the following Department Item Code(s): Fax #: 901/386-2214 None *TransSolutions, LLC WBE P.O. Box 155486 This firm is certified for the following NAICS Code(s): 541611 Administrative Management & General Management Fort Worth, TX 76155 Consulting Services (Field of Construction) Contact: Ms. Belinda Hargrove Phone #: 817/359-2958 This firm is certified for the following Department Item Code(s): Fax #: 817/359-2959 None *UCG Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 10 S. Rvierside Plaza, Suite 1800 541611 Administrative Management and General Management Chicago, IL 60606 Consulting Services Contact: Ms. Yovette Drake Phone #: 312/474-7757 This firm is certified for the following Department Item Code(s): Fax #: 312/474-6099 None *Woods Group Architects DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541611 Administrative Management & General Management Little Rock, AR 72206-1530 Consulting Services (Field of Construction) Contact: Mr. Ron Bene' Woods Phone #: 501/372-2230 This firm is certified for the following Department Item Code(s): Fax #: 501/372-2261 None Advertising Agency Consulting Services *Vesta Rea & Associates, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 73643 541810 Advertising Agency Consulting Services Houston, TX 77372-3643 Contact: Ms. Vesta Rea -Gaubert This firm is certified for the following Department Item Code(s): Phone #: 281/376-4202 None Fax #: 281/376-1533 Architectural Services *Caradine & Company DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541310 Architectural Services Little Rock, AR 72206-1530 Contact: Mr. Wall Caradine This firm is certified for the following Department Item Code(s): Phone #: 501/374-4060 None Fax #: 501/372-2261 34 *Woods Group Architects DBE This firm is certified for the following NAICS Code(s): 2200 South Main Street 541310 Architectural Services Little Rock, AR 72206-1530 Contact: Mr. Ron Bene' Woods This firm is certified for the following Department Item Code(s): Phone #: 501/372-2230 None Fax #: 501/372-2261 Brick, Stone, & Related Construction Material Merchant Wholesalers *Simplex Construction Supplies, Inc. WBE This firm is certified for the following NAICS Code(s): 9020 West Drive NE 35W Service Road 423320 Brick, Stone, & Related Construction Material Merchant Blaine, MN 55449 Wholesalers Contact: Ms. Sarah Bazey Phone #: 763/398-0040 This firm is certified for the following Department Item Code(s): Fax #: 763/398-0039 None Bridge Painting, Shop, Field & Maintenance Painting of Structural Steel Cad it Company, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 784 238320 Bridge Painting Roanoke, TX 76262 Contact: Ms. Kathryn Carlisle This firm is certified for the following Department Item Code(s): Phone #: 817/430-4409 638 Fax #: 817/430-0409 Building Equipment Contractors *Professional Conveyor South, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 15611 238290 Other Building Equipment Contractors (Conveyor & Fernandina Beach, FL 32035 Baggage Handling Installation & Maintenance) Contact: Ms. Tracy Wieland Phone #: 904/261-5396 This firm is certified for the following Department Item Code(s): Fax #: 904/261-6496 None Other Business Services This firm is certified for the following NAICS Code(s): *KB Environmental Sciences, Inc. WBE 9500 Koger Boulevard, Suite 211 541618 Other Business Services St. Petersburg, FL 33702 Contact: Ms. L. Carrol Bryant This firm is certified for the following Department Item Code(s): Phone #: 727/578-5152 None Fax #: 727/578-5210 Other Business Support Services *Martinez Corporation 8011 34th Avenue South, Suite C47 Bloomington, MN 55425 Contact: Mr. Anthony Martinez Phone #: 888/290-1127 Fax #: 952/698-0234 This firm is certified for the following NAICS Code(s): 541499 All Other Business support Services This firm is certified for the following Department Item Code(s): None Chemical and Allied Products This firm is certified for the following NAICS Code(s): *Arrow Magnolia International, LP DWBE P. O. Box 59089 424690 Other Chemical and Allied Products Merchant Dallas, TX 75229 Wholesalers Contact: Ms. Tanya Shaw Phone #: 972/247-7111 This firm is certified for the following Department Item Code(s): Fax #: 972/484-2896 None Design Concepts 1011 West 15`" Street Little Rock, AR 72202 Contact: Mr. Lendel Aikens Phone #: 501/398-0030 Fax #: NONE Commercial & Institutional Building Construction This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None 35 Doyne Construction Compa P.O. Box 5820 North Little Rock, AR 72119 Contact: Mr. Dexter Doyne Phone #: 501/376-8900 Fax #: 501/376-7419 Kesser International, Inc. P. O. Box 723 Little Rock, AR 72203 Contact: Mr. Ralph Vines, II Phone #: 501/374-5570 Fax #: 501/372-2261 Three J. H. & Associates, I P.O. Box 15594 Little Rock, AR 72231 Contact: Mr. James Hall, III Phone #: 501/372-1113 Fax #: 501/372-0788 Toltec International, Inc. P. O. Box 3705 Little Rock, AR 72203 Contact: Mr. Cyril Morris Phone #: 501/375-0000 *Twillie Realty, Inc. 1415 South University Little Rock, AR 72204 Contact: Ms. Jacquelyn Twillie Phone #: 501/296-9000 Fax #: 501/296-9022 Inc. DBE I This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None DBE This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None DBE This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None This firm is certified for the following NAICS Code(s): 236220 Commercial & Institutional Building Construction This firm is certified for the following Department Item Code(s): None Commercial Photography *Martinez Corporation DBE 8011 34'" Avenue South, Suite C47 This firm is certified for the following NAICS Code(s): 541922 Commercial Photography Bloomington, MN 55425 Contact: Mr. Anthony Martinez This firm is certified for the following Department Item Code(s): Phone #: 888/290-1127 None Fax #: 952/698-0234 Communication Equipment Repair & Maintenance Services *Fleming Network Services, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 178 811213 Communication Equipment Repair & Maintenance Bryant, AR 72089 Services Contact: Ms. C. Ann Fleming Phone #: 501/847-9500 This firm is certified for the following Department Item Code(s): Fax #: 501/653-2274 None Computer Systems Design Services *4B Technology Group, LLC WBE This firm is certified for the following NAICS Code(s): 3103 Stargate Court 541512 Computer Systems Design Services Houston, TX 77068 Contact: Ms. Terry Ann Basford This firm is certified for the following Department Item Code(s): Phone #: 832/249-9379 None Fax #: 832/249-9756 *The Computer Hut, LLC WBE 541512 Computer Systems Design Services P.O. Box 21608 Little Rock, AR 72221 This firm is certified for the following Department Item Code(s): Contact: Ms. Angie Bates None Phone #: 501/907-7700 Fax #: 501/907-7702 "Martinez Corporation DBE This firm is certified for the following NAICS Code(s): 8011 34'" Avenue South, Suite C47 541512 Computer Systems Design Services Bloomington, MN 55425 Contact: Mr. Anthony Martinez This firm is certified for the following Department Item Code(s): Phone #: 888/290-1127 None Fax #: 952/698-0234 *UCG Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 10 S. Rvierside Plaza, Suite 1800 541612 Computer Systems Design Services Chicago, IL 60606 Contact: Ms. Yovette Drake This firm is certified for the following Department Item Code(s): Phone #: 312/474-7757 None Fax #: 312/474-6099 *Construction Admin., Inc. DBE This firm is certified for the following NAICS Code(s): 1529 North East 9'" Street 237310 Construction Management Oklahoma City, OK 73117 Contact: Mr. Rudy Gray This firm is certified for the following Department Item Code(s): Phone #: 405/361-3018 None Fax #: 405/427-7401 Construction Material Merchant Wholesalers *B & B Diversified Materials WBE This firm is certified for the following NAICS Code(s): P. O. Box 2080 423390 Other Construction Material Merchant Wholesalers - Sunriver, OR 97707 Supplier of Railroad & Construction Materials Contact: Ms. Beverly Christensen Phone #: 541/598-7950 This firm is certified for the following Department Item Code(s): Fax #: 541/598-7960 None Cadit Company, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 784 423390 Other Construction Material Merchant Wholesalers — Roanoke, TX 76262 Supplier of Structural Steel Contact: Ms. Kathryn Carlisle Phone #: 817/430-4409 This firm is certified for the following Department Item Code(s): Fax #: 817/430-0409 806; 807 Damron Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 645 Damron Loop 423390 Other Construction Material Merchant Wholesalers — Counce, TN 38326 Supplier of Liquid Asphalt Contact: Mr. Lee Damron Phone #: 731/689-3877 This firm is certified for the following Department Item Code(s): Fax #: 731/689-6072 SUPPLY ONLY - 405; 406; 407 Diamondback Steel Company, Inc. DBE This firm is certified for the following NAICS Code(s): 419 South Cherokee 423390 Other Construction Material Merchant Wholesalers — Muskogee, OK 74403 Supplier of Wire Mesh and Manufacturer of Reinforcing Steel Contact: Mr. Keith Wright (Black Bar) & Steel Piling Phone #: 918/686-6340 Fax #: 918/686-6341 This firm is certified for the following Department Item Code(s): 502; 601; 804; 805 Frontier Steel Company, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 10208 423390 Other Construction Material Merchant Wholesalers Russellville, AR 72812 Contact: Ms. Patricia Henry This firm is certified for the following Department Item Code(s): Phone #: 479/968-2103 SUPPLY ONLY - 502; 606; 607; 608; 609; 610; 611; 612; 613; Fax #: 479/967-6208 617; 618; 633; 634; 637; 638; 641; 642; 709; 723; 729; 804; 806; 807; 811 J's Construction Company WBE This firm is certified for the following NAICS Code(s): 208 Millpond Road 423390 Other Construction Material Merchant Wholesaler — Conway, AR 72034 Supplier of Shale Contact: Ms. Valerie Satterfield Phone #: 501/450-9405 This firm is certified for the following Department Item Code(s): Fax #: 501/450-7688 None 37 Inc. P.O. Box 641 Stuttgart, AR 72160 Contact: Mr. Kenneth Avery Phone #: 870/673-1104 Fax #: 870/672-9496 Plain Dealing Trucking, Inc. P. O. Box 72693 Bossier City, LA 71172 Contact: Mr. Lessie Hartis Phone #: 318/746-1554 Fax #: 318/746-1555 Robert Construction 3705 Blueridge Circle Jonesboro, AR 72401 Contact: Ms. Toni Robert I Phone #: 870/972-8694 *Simplex Construction Supplies, Inc. 9020 West Drive NE 35W Service Road Blaine, MN 55449 Contact: Ms. Sarah Bazey Phone #: 763/398-0040 Fax #: 763/398-0039 Frank Thompson Transport, Inc. P. O. Box 1876 El Dorado, AR 71731 Contact: Ms. Nancy Woodward Phone #: 870/862-5426 Fax #: 870/862-6213 Custom *The Computer Hut, P.O. Box 21608 Little Rock, AR 72221 Contact: Ms. Angie Bates Phone #: 501/907-7700 Fax #: 501/907-7702 Direct *Rumel & Associates Consultants, Inc. 2020 West 3d Street, Suite 518-520 Little Rock, AR 72205 Contact: Ms. Rumel Rayford Phone #: 501/372-7433 Fax #: 501/372-7434 *Capital International Communications, LLC 8762 St. Charles Rock Road St. Louis, MO 63114 Contact: Dr. Don Cook, Sr. Phone #: 314/707-7717 Fax #: 636/227-2114 This firm is certified for the following NAICS Code(s): 423390 Other Construction Material Merchant Wholesaler — Supplier of Fill Dirt This firm is certified for the following Department Item Code(s): None DBE This firm is certified for the following NAICS Code(s): 423390 Other Construction Material Merchant Wholesalers - Supplier of Liquid Asphalt This firm is certified for the following Department Item Code(s): SUPPLY ONLY - 405; 406; 407 This firm is certified for the following NAICS Code(s): 423390 Other Construction Material Merchant Wholesalers — Supplier of Compacted Embankment & Aggregate Base Course This firm is certified for the following Department Item Code(s): SUPPLY ONLY -210; 303 This firm is certified for the following NAICS Code(s): 423390 Other Construction Material Merchant Wholesalers This firm is certified for the following Department Item Code(s): None This firm is certified for the following NAICS Code(s): 423390 Other Construction Material Merchant Wholesalers — Supplier of Liquid Asphalt This firm is certified for the following Department Item Code(s): SUPPLY ONLY - 405; 406; 407 541511 Custom Computer Programming Services This firm is certified for the following Department Item Code(s): None This firm is certified for the following NAICS Code(s): 524126 Direct Property & Casualty Insurance Carriers (Surety Bonding Assistance) This firm is certified for the following Department Item Code(s): None nil - GIOGLI lbaI ♦T Yw�owuu DBE This firm is certified for the following NAICS Code(s): 423610 Distribution Equipment — Electrical Wholesaling This firm is certified for the following Department Item Code(s): None RE Document Preparation Services *Chaves & Associates DBE This firm is certified for the following NAICS Code(s): One Hallidie Plaza, Suite 220 541410 Document Preparation Services San Francisco, CA 94102 Contact: Ms. Arlene Chaves This firm is certified for the following Department Item Code(s): Phone #: 510/206-3590 None Fax #: 415/693-9030 *Third Rock Consultants, LLC WBE This firm is certified for the following NAICS Code(s): 2514 Regency Road, Suite 104 561410 Document Preparation Services Lexington, KY 40503 Contact: Ms. Molly Foree This firm is certified for the following Department Item Code(s): Phone #: 859/977-2000 None Fax #: 859/977-2001 Drywall & Insulation Contractors Platinum Drywall, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 13128 238310 Drywall & Insulation Contractors Maumelle, AR 72113 Contact: Mr. Anthony Brooks This firm is certified for the following Department Item Code(s): Phone #: 501/803-9255 None Fax #: 501/803-9107 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 238310 Drywall & Insulation Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 None Fax #:501/301-7627 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 3705 238310 Drywall & Insulation Contractors Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 None Fax #: 501/372-2925 Electrical Apparatus & Equipment, Wiring Supplies & Related Equipment Merchant Wholesalers *Peachtree Telecommunications International, LLC WBE This firm is certified for the following NAICS Code(s): 11465 Johns Creek Parkway, Suite 350 423610 Electrical Apparatus & Equipment, Wiring Supplies & Duluth, GA 30097 Related Equipment Merchant Wholesalers Contact: Ms. Sandra Kay Stewart Phone #: 770/242-1970 This firm is certified for the following Department Item Code(s): Fax #: 770/242-0818 None Electrical Contractors Airfield, Etc., Inc. 2400 Bobbin Road Williston, TN 38076 Contact: Ms. Stephanie Poole Phone #:901/363-9210 Fax #: 901/795-5519 Inc. P.O. Box 178 Bryant, AR 72089 Contact: Ms. C. Ann Fleming Phone #: 501/847-9500 Fax #: 501/653-2274 *Omega Electric, Inc. 4323 West 17ih Street Little Rock, AR 72204 Contact: Ms. Minnie Thompson Phone #: 501/541-1798 Fax #: 501/374-7873 WBE This firm is certified for the following NAICS Code(s): 238210 Electrical Contractors This firm is certified for the following Department Item Code(s): None WBE This firm is certified for the following NAICS 238210 Electrical Contractors IP]+J: Al This firm is certified for the following Department Item Code(s): None 238210 Electrical Contractors This firm is certified for the following Department Item Code(s): None 39 Engineering Services *Aviation Alliance, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 799 541330 Engineering Services Colleyville, TX 76034-0799 Contact: Ms. Shirley Roberts This firm is certified for the following Department Item Code(s): Phone #: 817/498-0388 None Fax #:817/281-1867 ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 541330 Engineering Services Little Rock, AR 72202 Contact: Mr. Mizan Rahman This firm is certified for the following Department Item Code(s): Phone #: 501/375-1786 None Fax #:501/375-1277 *D. W. Gates Engineering DBE This firm is certified for the following NAICS Code(s): 616 S. Main, Suite 112 541330 Engineering Services Tulsa, OK 74119 Contact: Mr. Derek Gates This firm is certified for the following Department Item Code(s): Phone#: 918/583-6905 None Fax#:918/583-4226 *TapanAm Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 201 West 135th Street, Suite 100 541330 Engineering Services Kansas City, MO 64145 Contact: Mr. Tapan Banerjee This firm is certified for the following Department Item Code(s): Phone #: 816/941-6100 None Fax #:816/941-6102 *Toles & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): 2851 Lamb Place, Suite 2 541330 Engineering Services Memphis, TN 38118 Contact: Mr. James Toles This firm is certified for the following Department Item Code(s): Phone #: 901/794-9815 None Fax #: 901/794-9817 *TransSolutions, LLC WBE This firm is certified for the following NAICS Code(s): P.O. Box 155486 541611 Administrative Management & General Management Fort Worth, TX 76155 Consulting Services (Field of Construction) Contact: Ms. Belinda Hargrove Phone #: 817/359-2958 This firm is certified for the following Department Item Code(s): Fax #: 817/359-2959 None *Street Smarts, Inc. WBE This firm is certified for the following NAICS Code(s): 3090 Premiere Parkway, Suite 200 541330 Engineering Services Duluth, GA 30097 Contact: Ms. Marsha Anderson Bomar This firm is certified for the following Department Item Code(s): Phone #: 770/813-0882 None Fax #: 770/813-0688 Environmental Consulting Services Inc. 3799 Shock Loop Conway, AR 72034 Contact: Ms. Trena Adair Phone #: 501/312-7588 Fax #: 501/312-7588 *KB Environmental Sciences, Inc. 9500 Koger Boulevard, Suite 211 St. Petersburg, FL 33702 Contact: Ms. L. Carrot Bryant Phone #: 727/578-5152 Fax #: 727/578-5210 WBE This firm is certified for the following NAICS Code(s): 541620 Environmental Consulting Services This firm is certified for the following Department Item Code(s): None This firm is certified for the following NAI( 541620 Environmental Consulting Services This firm is certified for the following Department Item Code(s): None CI)) *The Land Recycling Company, Inc. 400 West Capitol Avenue, Suite 1700 Little Rock, AR 72201 Contact: Ms. Jean Koeninger Phone #: 501/375-2236 Fax #: 501/372-3482 *Third Rock Consultants, LLC 2514 Regency Road, Suite 104 Lexington, KY 40503 Contact: Ms. Molly Force Phone #: 859/977-2000 *Twillie Realty, Inc. 1415 South University Little Rock, AR 72204 Contact: Ms. Jacquelyn Twillie Phone #: 501/296-9000 Fax #: 501/296-9022 WBE This firm is certified for the following NAB 541620 Environmental Consulting Services This firm is certified for the following Department Item Code(s): None WBE This firm is certified for the following NAICS Code(s): 541620 Environmental Consulting Services This firm is certified for the following Department Item Code(s): None DWBE This firm is certified for the following NAICS Code(s): 541620 Environmental Consulting Services This firm is certified for the following Department Item Code(s): None Fabricated Metal Product Manufacturing *Arkansas Flag & Banner, Inc. WBE This firm is certified for the following NAICS Code(s): 800 West Ninth Street 332999 All Other Miscellaneous Fabricated Metal Product Little Rock, AR 72201 Manufacturing Contact: Ms. Kerry McCoy Phone #: 501/375-7633 This firm is certified for the following Department Item Code(s): Fax #: 501/375-7638 None Finish Carpentry Contractors Wrigley Construction Company WBE This firm is certified for the following NAICS Code(s): 11253 Highway 13 North 238350 Finish Carpentry Contractors Des Arc, AR 72040 Contact: Ms. Julia Wrigley This firm is certified for the following Department Item Code(s): Phone #: 501/278-0988 None Fax #: 870/854-5661 Full Service Restaurant *ADEVCO, Inc. DBE 3 Financial Centre, Suite 300 This firm is certified for the following NAICS Code(s): 722210 Full Service Restaurant Little Rock, AR 72211 Contact: Mr. Marcus C. Devine This firm is certified for the following Department Item Code(s): Phone #: 501/821-4229 None Fax #:501/821-4229 General Freight Trucking, Local ALJ Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1278 484110 General Freight Trucking West Memphis, AR 72303 Contact: Mr. Alfred Robinson This firm is certified for the following Department Item Code(s): Phone #: 870/732-9809 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 870/732-9809 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 Anders Trucking, Inc. WBE This firm is certified for the following NAICS Code(s): 1510 Lowery Drive 484110 General Freight Trucking El Dorado, AR 71730 Contact: Ms. Diane Anders This firm is certified for the following Department Item Code(s): Phone #: 870/862-9629 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/862-9466 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 41 Beverly's Hauling, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 347 484110 General Freight Trucking Black Rock, AR 72415 Contact: Ms. Beverly McGhehey This firm is certified for the following Department Item Code(s): Phone #: 870/878-6284 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 870/878-6080 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 This firm is certified for the following NAICS Code(s): B & L Trucking DWBE P. O. Box 9514 484110 General Freight Trucking Pine Bluff, AR 71611 Contact: Ms. Nellie Burnett This firm is certified for the following Department Item Code(s): Phone #: 870/879-2346 HAUL ONLY - 210; 801 Fax #: 870/879-9482 Bleb's Hauling DBE This firm is certified for the following NAICS Code(s): 1404 Allis Street 484110 General Freight Trucking, Local Little Rock, AR 72204 Contact: Mr. Wayne Blevens This firm is certified for the following Department Item Code(s): Phone #: 501/952-2934 HAUL ONLY -501; 505 Fax #: 501/280-9596 A. L. Blood Hauling, Inc. DBE This firm is certified for the following NAICS Code(s): 7907 Doyle Springs Road 484110 General Freight Trucking Little Rock, AR 72209 Contact: Mr. Arthur Blood This firm is certified for the following Department Item Code(s): Phone #: 501/562-4734 HAUL ONLY - 202; 205; 207; 209; 210; 215; 302; 303; 305; Fax #: NONE 308;402;405;406;407;411;412;414;415;417;501;606;609; 621; 630; 801; 802; 816 Bub's Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 512 S.E. P' Street 484110 General Freight Trucking Bryant, AR 72202 Contact: Mr. Odell Sneed This firm is certified for the following Department Item Code(s): Phone#: 501/766-7999 HAUL ONLY -201; 202; 205; 207; 209; 210; 215; 302; 303; Fax #: 501/847-5113 305;307;308;309;310;401;402;403;405;406;407;409;410; 411; 412; 414; 415; 416; 417; 501; 503; 606; 609; 622; 630; 801; 802; 816 ncrete Company, Inc. WBE This firm is certified for the following NAICS Code(s): oad 484110 General Freight Trucking 71701 . Wanda Pickett L#:870/836-6210 This firm is certified for the following Department Item Code(s): /836-5276 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; 36-6210 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Covington Trucking Company DWBE This firm is certified for the following NAICS Code(s): P.O. Box 788 484110 General Freight Trucking Hugo, OK 74743-0788 Contact: Ms. Randa Covington This firm is certified for the following Department Item Code(s): Phone #: 580/326-9555 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:580/326-6218 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Harris Hauling DBE This firm is certified for the following NAICS Code(s): 16721 Dyer Road 484110 General Freight Trucking, Local Little Rock, AR 72223 Contact: Mr. Antonio Harris This firm is certified for the following Department Item Code(s): Phone #: 501/868-1178 HAUL ONLY -501; 609; 802 Fax #: 501/868-8006 42 Joe Harris, Jr. Trucking DBE This firm is certified for the following NAICS Code(s): P. O. Box 781 484110 General Freight Trucking Osceola, AR 72370 Contact: Mr. Joe Harris, Jr. This firm is certified for the following Department Item Code(s): Phone #: 870/563-6798 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/563-1292 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Interstate Landscaping & Erosion Control, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 17961 484110 General Freight Trucking North Little Rock, AR 72117 Contact: Ms. Shirley Wilcox This firm is certified for the following Department Item Code(s): Phone #: 501/945-1487 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/945-2958 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 Jones Hauling, Inc. DBE This firm is certified for the following NAICS Code(s): 5145 Galleria Cove 484110 General Freight Trucking Conway, AR 72034 Contact: Mr. Samuel Jones This firm is certified for the following Department Item Code(s): Phone #: 501/952-2458 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: NONE 405; 406; 407; 411; 412; 414; 415; 417; 501; 629; 630; 801; 802; 816 J's Construction Company WBE This firm is certified for the following NAICS Code(s): 208 Millpond Road 484110 General Freight Trucking Conway, AR 72034 Contact: Ms. Valerie Satterfield This firm is certified for the following Department Item Code(s): Phone #: 501/450-9405 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/450-7688 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 J & W Trucking & Hauling Service DBE This firm is certified for the following NAICS Code(s): 7533 South Glenn Drive 484110 General Freight Trucking Sherwood, AR 72120 Contact: Mr. Curtis Jones This firm is certified for the following Department Item Code(s): Phone #: 501/835-1502 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:501/835-1502 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Kenreg Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 641 484110 General Freight Trucking Stuttgart, AR 72160 Contact: Mr. Kenneth Avery This firm is certified for the following Department Item Code(s): Phone #: 870/673-1104 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 870/672-9496 405;406;407;411;412;414;415;417;501;629;630; 801;802; 816 K & K Trucking WBE This firm is certified for the following NAICS Code(s): 5426 Highway 212 West 484110 General Freight Trucking Star City, AR 71667 Contact: Ms. Monica King This firm is certified for the following Department Item Code(s): Phone #: 870/628-3911 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 870/628-4911 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Lambert Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 46391 484110 General Freight Trucking Little Rock, AR 72214 Contact: Mr. Gary Lambert This firm is certified for the following Department Item Code(s): Phone #: 501/888-6150 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/888-6154 405;406; 407;411;412;414;415;417; 501; 629;630; 801; 802; 3] L -J Company, Inc. WBE This firm is certified for the following NAICS Code(s): 255 Ashley 100 Road 484110 General Freight Trucking Hamburg, AR 71646 Contact: Ms. Lummye Courson This firm is certified for the following Department Item Code(s): Phone #: 870/8534747 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/853-9073 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 McCormick Asphalt Paving & Excavating, Inc. DWBE This firm is certified for the following NAICS Code(s): 1925 South Roseville Street 484110 General Freight Trucking Ozark, AR 72949 Contact: Ms. Martha Moore This firm is certified for the following Department Item Code(s): Phone #: 479/468-2514 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:479/468-2096 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 McRyan Hauling, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 1669 484110 General Freight Trucking Roanoke, TX 76262-1669 Contact: Ms. Judy Stinnett This firm is certified for the following Department Item Code(s): Phone #: 817/430-3213 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 817/636-2209 405;406;407;411;412;414;415;417;501;629;630; 801;802; 816 Millie Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 622 484110 General Freight Trucking Morrilton, AR 72110 Contact: Mr. Kenneth Criswell This firm is certified for the following Department Item Code(s): Phone #: 501/977-5448 HAUL ONLY — 205; 207; 209; 210; 302; 303; 305; 402; 801; Fax #: 501/354-1140 805 Pam's Trucking WBE This firm is certified for the following NAICS Code(s): 4539 Highway 157 484110 General Freight Trucking Judsonia, AR 72081 Contact: Ms. Pam Weathers This firm is certified for the following Department Item Code(s): Phone #: 501/728-4241 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:501/728-4241 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 W. J. Penton Construction Company, Inc. DWBE This firm is certified for the following NAICS Code(s): P. O. Box 1520 484110 General Freight Trucking Minden, LA 71058-1520 Contact: Ms. Ar-Lillian Penton This firm is certified for the following Department Item Code(s): Phone #: 318/377-3359 HAUL ONLY - 207; 209; 2 10; 215; 302; 303; 305; 308; 402; Fax #:318/377-3361 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Red River Hydro -Seeding, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 3045 484110 General Freight Trucking Texarkana, AR 75504-3045 Contact: Ms. Patricia Daniel Phone #: 870/772-2028 This firm is certified for the following Department Item Code(s): HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/773-2654 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 484110 General Freight Trucking North Little Rock, AR 72118 Contact: Ms. Becky Biggs Phone #: 501/851-1116 This firm is certified for the following Department Item Code(s): HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:501/851-1115 405;406;407;411;412;414;415;417;501;629;630801802; 816 Robin Dee Enterprises, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 360 484110 General Freight Trucking Centralia, IL 62801 Contact: Ms. Robin Ward This firm is certified for the following Department Item Code(s): Phone #: 618/532-3745 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:618/532-3775 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Rowlett Trucking DBE This firm is certified for the following NAICS Code(s): 134 Luevert's Place 484110 General Freight Trucking Monticello, AR 71655 Contact: Mr. Malvin Rowlett This firm is certified for the following Department Item Code(s): Phone #: 870/367-7419 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: NONE 405;406;407;411;412;414;415;417; 501;629; 630; 801;802; 816 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 484110 General Freight Trucking Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:501/301-7627 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Stain Construction Company, LLC WBE This firm is certified for the following NAICS Code(s): P.O. Box 96 484110 General Freight Trucking Ida, AR 72546 Contact: Ms. Greta Stain This firm is certified for the following Department Item Code(s): Phone #: 501/250-0594 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #: 501/250-0594 405;406;407;411;412;414;415;417; 501;629; 630;801;802; 816 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 484110 General Freight Trucking Little Rock, AR 72206 Contact: Mr. Don Stephens This firm is certified for the following Department Item Code(s): Phone #: 501/261-1118 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:501/261-7093 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 W. Trucking DBE This firm is certified for the following NAICS Code(s): P.O. Box 529 484110 General Freight Trucking Grady, AR 71644 Contact: Mr. John Wilber This firm is certified for the following Department Item Code(s): Phone #: 870/479-3435 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/479-3270 405;406;407;411;412;414;415;417;501;629;630;801;802; 816 Watson Trucking DBE This firm is certified for the following NAICS Code(s): 215 Watson Avenue 484110 General Freight Trucking, Local Osceola, AR 72370 Contact: Mr. James Watson This firm is certified for the following Department Item Code(s): Phone #: 870/622-0229 HAUL ONLY - 210; 301; 414; 416; 615; 639; 801; 806; 817 Fax #: NONE Wrigley Construction Company WBE This firm is certified for the following NAICS Code(s): 11253 Highway 13 North 484110 General Freight Transportation Des Arc, AR 72040 Contact: Ms. Julia Wrigley This firm is certified for the following Department Item Code(s): Phone #: 501/278-0988 HAUL ONLY - 207; 209; 210; 215; 302; 303; 305; 308; 402; Fax #:870/854-5661 405;406;407;411;412;414;415;417;501;629;630;801;802; IL 45 General Freight Trucking, Long -Distance B & L Trucking DWBE This firm is certified for the following NAICS Code(s): P. O. Box 9514 484121 General Freight Trucking Pine Bluff, AR 71611 Contact: Ms. Nellie Burnett This firm is certified for the following Department Item Code(s): Phone #: 870/879-2346 HAUL ONLY - 210; 801 Fax #: 870/879-9482 General Purpose Industrial Machinery & Equipment Wholesaling *Capital International Communications, LLC DBE This firm is certified for the following NAICS Code(s): 8762 St. Charles Rock Road 423830 General Purpose Industrial Machinery & Equipment St. Louis, MO 63114 Wholesaling Contact: Dr. Don Cook, Sr. Phone #: 314/707-7717 This firm is certified for the following Department Item Code(s): Fax #: 636/227-2114 None Gift, Novelty and Souvenir Stores *ADEVCO, Inc. 3 Financial Centre, Suite 300 DBE This firm is certified for the following NAICS Code(s): 453220 Gift, Novelty and Souvenir Stores Little Rock, AR 72211 Contact: Mr. Marcus C. Devine This firm is certified for the following Department Item Code(s): Phone #: 501/821-4229 None Fax #: 501/821-4229 Hazardous Waste Collection *KB Environmental Sciences, Inc. WBE This firm is certified for the following NAICS Code(s): 9500 Koger Boulevard, Suite 211 562112 Hazardous Waste Collection St. Petersburg, FL 33702 Contact: Ms. L. Carol Bryant This firm is certified for the following Department Item Code(s): Phone #: 727/578-5152 None Fax #: 727/578-5210 Heavy & Civil Engineering Construction Airfield, Etc., Inc. WBE This firm is certified for the following NAICS Code(s): 2400 Bobbin Road 237990 Other Heavy and Civil Engineering Construction Williston, TN 38076 Contact: Ms. Stephanie Poole Phone #: 901/363-9210 This firm is certified for the following Department Item 613; 633; 640; 641 Code(s): Fax #: 901/795-5519 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 237990 Other Heavy & Civil Engineering Construction Pocahontas, AR 72455 Contact: Ms. Lois Hale Phone #: 870/892-9068 This firm is certified for the following Department Item None Code(s): Fax #: 870/892-1868 Heavy Construction Doyne Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 5820 234990 Heavy Construction North Little Rock, AR 72119 Contact: Mr. Dexter Doyne This firm is certified for the following Department Item Code(s): Phone #: 501/376-8900 None Fax #: 501/376-7419 Highway, Street, & Bride Construction 1911 Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 1556 237310 Highway, Street & Bridge Construction Pine Bluff, AR 71613 Contact: Mr. Hosea Jackson This firm is certified for the following Department Item Code(s): Phone #: 870/536-0891 405; 406; 407; 417; 601 Fax #: 870/850-7167 Airfield, Etc., Inc. WBE This firm is certified for the following NAICS Code(s): 2400 Bobbitt Road 237310 Highway, Street, and Bridge Construction Williston, TN 38076 Contact: Ms. Stephanie Poole This firm is certified for the following Department Item Code(s): Phone #: 901/363-9210 210; 215; 605; 606; 607; 609; 610; 631;632; 724 Fax #: 901/795-5519 Beverly's Construction WBE This firm is certified for the following NAICS Code(s): P. O. Box 2691 237310 Highway, Street, & Bridge Construction Batesville, AR 72503 Contact: Ms. Beverly Hill This firm is certified for the following Department Item Code(s): Phone #: 870/251-3129 205; 504; 601; 801; 802; 803; 804; 805; 806; 807; 808; 809; 810; Fax #: 870/251-2626 811; 812; 815; 816; 817; 818; 821; 822 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 1207 237310 Highway, Street, & Bridge Construction Poplar Bluff, MO 63902 Contact: Mr. Randy Callahan This firm is certified for the following Department Item Code(s): Phone #: 573/686-1888 501; 502; 503; 504; 505; 506; 507; 509; 510; 511; 512; 601 Fax #: 573/686-3553 Colom Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 414 237310 Highway, Street, & Bridge Construction Ripley, MS 38663 Contact: Mr. Rod Colom This firm is certified for the following Department Item Code(s): Phone #: 662/837-3474 501;502; 503; 504; 505; 507; 510; 511; 512; 601; 801; 802; 803; Fax #: 662/837-3494 804; 807; 810; 811; 812; 816; 817; 818; 820; 821; 822 Gary A. Crain, Inc. WBE This firm is certified for the following NAICS Code(s): Route 2, Box 250 237310 Highway, Street, & Bridge Construction Prague, OK 74864 Contact: Ms. Kimberly Hyden This firm is certified for the following Department Item Code(s): Phone #: 405/567-4058 601; 803; 815 Fax #: 405/567-4684 Doyne Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 5820 237310 Highway, Street, & Bridge Construction North Little Rock, AR 72119 Contact: Mr. Dexter Doyne This firm is certified for the following Department Item Code(s): Phone #: 501/376-8900 302; 303; 305; 306; 801; 802; 803; 804; 813; 815; 816 Fax #: 501/376-7419 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 237310 Highway, Street, & Bridge Construction Pocahontas, AR 72455 Contact: Ms. Lois Hale This firm is certified for the following Department Item Code(s): Phone #: 870/892-9068 309; 407; 504; 505; 507; 601; 801; 802; 803; 805; 807; 808; 809; Fax #: 870/892-1868 812; 816 Horton Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 3401 West 70`h Street 237310 Highway, Street, & Bridge Construction Shreveport, LA 71108 Contact: Mr. Johnny Horton, Sr. This firm is certified for the following Department Item Code(s): Phone #: 318/686-8641 601 Fax #: 318/686-8682 J's Construction Company WBE This firm is certified for the following NAICS Code(s): 208 Millpond Road 237310 Highway, Street, & Bridge Construction Conway, AR 72034 Contact: Ms. Valerie Satterfield This firm is certified for the following Department Item Code(s): Phone #: 501/450-9405 401;402;405;406;407;411;414;415;416;417;418;601 Fax #: 501/450-7688 47 Lambert Construction Company, Inc. DBE This firm is certified for the following NA1CS Code(s): P. O. Box 46391 237310 Highway, Street, & Bridge Construction Little Rock, AR 72214 Contact: Mr. Gary Lambert This firm is certified for the following Department Item Code(s): Phone #: 501/888-6150 502; 503; 504; 505; 506; 507; 511; 512; 601; 801; 803; 804; 805; Fax #: 501/888-6154 806;807;808;809;810;811;812;817;818;820;821;822 Lasker Brothers', Inc. DBE This firm is certified for the following NAICS Code(s): #4 Lasker Lane 237310 Highway, Street, and Bridge Construction Conway, AR 72032 Contact: Mr. Clarence Lasker This firm is certified for the following Department Item Code(s): Phone #:5011470-1 147 504;511;605;614;632;634 Fax #:501/470-3095 Level Best, LLC DBE This firm is certified for the following NAICS Code(s): 3644 Highway 160 East 237310 Highway, Street, and Bridge Construction Hermitage, AR 71647 Contact: Mr. William Jordan This firm is certified for the following Department Item Code(s): Phone #: 870/703-3003 410; 501; 510 McCormick Asphalt Paving & Excavating, Inc. DWBE This firm is certified for the following NAICS Code(s): 1925 South Roseville Street 237310 Highway, Street, & Bridge Construction Ozark, AR 72949 Contact: Ms. Martha Moore This firm is certified for the following Department Item Code(s): Phone#:479/468-2514 401;402;403;405;406;407;411;412;414;415;416;417;418; Fax #: 479/468-2096 510; 512; 601 Midwest Hauling & Contracting, Inc. WBE This firm is certified for the following NAICS Code(s): 2286 Rose Lane 237310 Highway, Street, & Bridge Construction Franklin, MO 63069 Contact: Ms. Christine Johnson This firm is certified for the following Department Item Code(s): Phone #: 636/271-6363 201; 202; 212; 214 Fax #: 636/271-5006 M & T Paving & Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 329 237310 Highway, Street, & Bridge Construction Forrest City, AR 72336-0329 Contact: Mr. Robert Jones This firm is certified for the following Department Item Code(s): Phone #: 870/633-6651 401;402;403;405;406;407;411;414;415;416;417;418;601; Fax #: 870/633-0377 603: 801 Payne Steel Erectors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 247 237310 Highway, Street, & Bridge Construction Kenton, TN 38233 Contact: Mr. Geoffrey Payne This firm is certified for the following Department Item Code(s): Phone #: 901/749-7991 501;502; 503; 504; 505; 506; 507; 509; 510;511; 512; 601; 802; Fax #: 901/749-7992 803; 804; 806; 807; 808; 809; 810; 821; 822 Riley Paving Company DBE This firm is certified for the following NAICS Code(s): P.O. Box 521 237310 Highway, Street, & Bridge Construction Hamburg, AR 71646 Contact: Mr. Claude Riley, Jr. This firm is certified for the following Department Item Code(s): Phone #:870/853-8779 402;405;406;407;411;412;414;415;416;417;418;501;601 Fax #: 870/853-8676 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 237310 Highway, Street, & Bridge Construction North Little Rock, AR 72118 Contact: Ms. Becky Biggs This firm is certified for the following Department Item Code(s): Phone #: 501/851-1116 HAUL ONLY -201; 202;205;207;209;210;212;214;215; Fax #:501/851-1115 302;303;305;307;308;402;405;406;407;411;412;414;415; 417;501;601;801;802;816 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 237310 Highway, Street, & Bridge Construction Little Rock, AR 72206 Contact: Mr. Don Stephens This firm is certified for the following Department Item Code(s): Phone #:501/261-1118 401;402;403;404;405;406;407;409;411;414;415;416417; Fax #: 501/261-7093 418; 505; 601; 801 Information Services *Rumel & Associates Consultants, Inc. 2020 West 3`d Street, Suite 518-520 DWBE This firm is certified for the following NAICS Code(s): 519000 Other Information Services (Contractor's Construction Little Rock, AR 72205 Plans Room) Contact: Ms. Rumel Rayford Phone #: 501/372-7433 This firm is certified for the following Department Item Code(s): Fax #: 501/372-7434 None *J Kelly Referral & Information Service, Inc. 219 West 7th Street DWBE This firm is certified for the 541910 Marketing Research following NAICS Code(s): and Public Opinion Polling Little Rock, AR 72201 Contact: Ms. Mary Parham This firm is certified for the following Department Item Code(s): Phone #: 501/374-5000 None Fax #: 501/374-5007 Services 1529 North East 9`" Street Oklahoma City, OK 73117 Contact: Mr. Rudy Gray Phone #: 405/361-3018 following NAICS Code(s): 541350 Inspection Services This firm is certified for the following Department Item Code(s): None Insurance Agencies and Brokerages *Hastings Insurance Agency, Inc. WBE This firm is certified for the following NAICS Code(s): 436 Broadway 524210 Insurance Agencies and Brokerages Hot Springs, AR 71901 Contact: Ms. Linda Worthy This firm is certified for the following Department Item Code(s): Phone #: 501/624-7271 None Fax #: 501/623-2617 2612 Shady Grove Pine Bluff, AR 71603 Contact: Mr. Eddie Gardner Phone #: 870/850-6863 *Personal Touch Cleaning 1110 Brantley Avenue North Little Rock, AR 72117 Contact: Ms. Barbara Shelton Phone #: 501/945-4645 Fax #: NONE P. O. Box 234 Conway, AR 72033 Contact: Ms. Gwendolyn Wright Phone #: 501/450-9947 Fax #:501/450-9957 Janitorial Services Inc. DBE This firm is certified forth 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None DWBE This firm is certified for the following NAICS Code(s): 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None 49 9 Shanna Lane Maumelle, AR 72112 Contact: Ms. Debris Googe Phone #: 501/803-0090 Fax #: 501/803-0922 *R & R Commercial Cleani 4907 Femwood Drive Texarkana, AR 71854 Contact: Ms. Lela Crittenden Phone #: 903/701-4248 *Watkins Janitorial Service 3904 Royal Forest Drive Pine Bluff, AR 71603 Contact: Mr. Larry Watkins Phone #: 870/534-3095 Fax #: NONE DWBE This firm is certified for the following NAICS Code(s): 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None Services DWBE This firm is certified for the following NAICS Code(s): 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None DBE This firm is certified for the 561720 Janitorial Services This firm is certified for the following Department Item Code(s): None Landscape Architectural Services *Landscape Architecture, Inc. WBE This firm is certified for the following NAICS Code(s): 2300 Cottondale Lane, Suite 202 541320 Landscape Architectural Services Little Rock, AR 72202 Contact: Ms. Cinde Drilling This firm is certified for the following Department Item Code(s): Phone #: 501/374-5610 None Fax #: 501/664-1480 *TransSolutions, LLC P.O. Box 155486 WBE This firm is certified for the following NAICS Code(s): 541320 Landscape Architectural Services Fort Worth, TX 76155 Contact: Ms. Belinda Hargrove This firm is certified for the following Department Item Code(s): Phone #: 817/359-2958 None Fax #: 817/359-2959 LandscaDinn Services Growing Seasons, Inc. WBE This firm is certified for the following NAICS Code(s): 3206 New Boston Road 561730 Landscaping Services Texarkana, TX 75501 Contact: Ms. Carol Wright This firm is certified for the following Department Item Code(s): Phone #: 903/832-7988 620; 621; 622; 623; 624; 626; 628 Fax #: 903/832-8953 *Jones Landscaping & Lawn Service, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 192496 561730 Landscaping Services Little Rock, AR 72219 Contact: Mr. Brian Jones This firm is certified for the following Department Item Code(s): Phone #: 501/888-8789 None Fax #: 501/421-6171 *Special Touch Landscaping Lawn Services DBE This firm is certified for the following NAICS Code(s): #9 Sunnydale Drive 561730 Landscaping Services Little Rock, AR 72209 Contact: Mr. Lawrence Willis This firm is certified for the following Department Item Code(s): Phone #: 501/565-1968 None Fax #: 501/565-1969 Management Consulting Services *Campaigns and Communications Plus, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 6025 541618 Other Management Consulting Services Sherwood, AR 72120 Contact: Ms. Linda Napper This firm is certified for the following Department Item Code(s): Phone #: 501/833-8580 None Fax #: 501/833-8484 11) *A. L. Jackson & Company, P.A. DBE This firm is certified for the following NAICS Code(s): 1221 Brickell Avenue, Suite 900 541618 Other Management Consulting Services Miami, FL 33131-3227 Contact: Mr. Anthony Jackson This firm is certified for the following Department Item Code(s): Phone #: 305/623-3032 None Fax #: 305/624-1055 *Rumel & Associates Consultants, Inc. DWBE This firm is certified for the following NAICS Code(s): 2020 West 3Street, Suite 518-520 541610 Management Consulting Services (Office Organizational Little Rock, AR 72205 Management & Business Plan Writing) Contact: Ms. Rumel Rayford Phone #: 501/372-7433 This firm is certified for the following Department Item Code(s): Fax #: 501/372-7434 None *Dwight Stroud & Associates, LLC DBE This firm is certified for the following NAICS Code(s): 3521 Tatum Street 541610 Management Consulting Services (Office Organizational Little Rock, AR 72204 Management and Business Plan Writing) Contact: Mr. Dwight Stroud 541618 Other Management Consulting Services Phone #: 501/312-4179 Fax #: 501/312-4179 This firm is certified for the following Department Item Code(s): None Management of Companies and Enterprises *ADEVCO, Inc. DBE This firm is certified for the following NAICS Code(s): 3 Financial Centre, Suite 300 55111 Management of Companies and Enterprises Little Rock, AR 72211 Contact: Mr. Marcus C. Devine This firm is certified for the following Department Item Code(s): Phone #: 501/821-4229 None Fax #: 501/821-4229 Marketing Consulting Services *Campaigns and Communications Plus, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 6025 541613 Marketing Consulting Services Sherwood, AR 72120 Contact: Ms. Linda Napper This firm is certified for the following Department Item Code(s): Phone #: 501/833-8580 None Fax #: 501/833-8484 *Vesta Rea & Associates, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 73643 541613 Marketing Consulting Services Houston, TX 77372-3643 Contact: Ms. Vesta Rea -Gaubert This firm is certified for the following Department Item Code(s): Phone #: 281/376-4202 None Fax #: 281/376-1533 *Dwight Stroud & Associates, LLC DBE This firm is certified for the following NAICS Code(s): 3521 Tatum Street 541613 Marketing Consulting Services Little Rock, AR 72204 Contact: Mr. Dwight Stroud This firm is certified for the following Department Item Code(s): Phone #: 501/312-4179 None Fax #: 501/312-4179 Marketing Research and Public Opinion Polling *J Kelly Referral & Information Service, Inc. DWBE This firm is certified for the following NAICS Code(s): 219 West 7t° Street 541910 Marketing Research and Public Opinion Polling Little Rock, AR 72201 Contact: Ms. Mary Parham This firm is certified for the following Department Item Code(s): Phone #: 501/374-5000 None Fax #: 501/374-5007 51 Masonry Contractors This firm is certified for the following NAICS Code(s): SBS Construction, Inc. DBE 2601 Confederate Boulevard 238140 Masonry Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 None Fax #: 501/301-7627 Miscellaneous Durable Goods Merchant Wholesalers *First Light Resources, LLC WBE This firm is certified for the following NAICS Code(s): 189 Rivergate Drive 423990 Other Miscellaneous Durable Goods Merchant Franklin, TN 37064 Wholesalers (Airport Lighting Supplier) Contact: Ms. Dawn Hickey Phone #: 615/479-1114 This firm is certified for the following Department Item Code(s): Fax #: 615/791-6621 None *Jandmar International, LLC WBE This firm is certified for the following NAICS Code(s): 510 Whispering Pine Road 423900 Miscellaneous Durable Goods Merchant Wholesalers Little Rock, AR 72210-5423 Contact: Ms. Judy Marendt This firm is certified for the following Department Item Code(s): Phone #: 501/821-1 181 None Fax #: NONE New Multi -Family Housing Construction Doyne Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 5820 236116 New Multi -Family Housing Construction North Little Rock, AR 72119 Contact: Mr. Dexter Doyne This firm is certified for the following Department Item Code(s): Phone #: 501/376-8900 None Fax if: 501/376-7419 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 236116 New Multi -Family Housing Construction Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone#:501/301-7627 None Fax #: 501/301-7627 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 3705 236116 New Multi -Family Housing Construction Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 None Fax #: 501/372-2925 New Single -Family Housing Construction Doyne Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 5820 236115 New Single -Family Housing Construction North Little Rock, AR 72119 Contact: Mr. Dexter Doyne This firm is certified for the following Department Item Code(s): Phone #: 501/376-8900 None Fax #: 501/376-7419 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 236115 New Single -Family Housing Construction Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 None Fax #: 501/301-7627 Toltec International, Inc. P. O. Box 3705 Little Rock, AR 72203 Contact: Mr. Cyril Morris Phone #: 501/375-0000 This firm is certified for the following NAICS Cot 236115 New Single -Family Housing Construction This firm is certified for the following Department Item Code(s): None Nonstore Retailers *Jandmar International, LLC WBE 510 Whispering Pine Road This firm is certified for the following NAICS Code(s): 454000 Nonstore Retailers (Security Mailbox —The MaiLocker) Little Rock, AR 72210-5423 Contact: Ms. Judy Marendt This firm is certified for the following Department Item Code(s): Phone #: 501/821-1181 None Fax #: NONE Nursery & Garden Centers *The Plant Connection WBE 624 East 12'" Street This firm is certified for the following NAICS Code(s): 444220 Nursery & Garden Centers North Little Rock, AR 72046 Contact: Ms. Debbie Porter This firm is certified for the following Department Item Code(s): Phone #: 501/375-4028 None Fax #: 501/376-6972 *White Oak Nursery DWBE This firm is certified for the following NAICS Code(s): 10025 Counts Massie Road 444220 Nursery & Garden Centers — Interior Plantscaping, Maumelle, AR 72113 Maintenance & Gardens Contact: Ms. Reyna Balch Phone #: 501/753-4117 or 501/681-8790 This firm is certified for the following Department Item Code(s): Fax #: 501/753-4117 None Offices of Certified Public Accountants *A. L. Jackson & Company, P.A. DBE This firm is certified for the following NAICS Code(s): 1221 Brickell Avenue, Suite 900 541211 Offices of Certified Public Accountants Miami, FL 33131-3227 Contact: Mr. Anthony Jackson This firm is certified for the following Department Item Code(s): Phone #: 305/623-3032 None Fax #: 305/624-1055 Paint & Wall Covering Contractors Gary A. Crain, Inc. WBE This firm is certified for the following NAICS Code(s): Route 2, Box 250 238320 Paint & Wall Covering Contractors Prague, OK 74864 Contact: Ms. Kimberly Hyden This firm is certified for the following Department Item Code(s): Phone #: 405/567-4058 None Fax #: 405/567-4684 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 723 238320 Paint & Wall Covering Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, II This firm is certified for the following Department Item Code(s): Phone #: 501/374-5570 None Fax #: 501/372-2261 *Pure Cleaning Services, Inc. DWBE This firm is certified for the following NAICS Code(s): 9 Shanna Lane 238320 Paint & Wall Covering Contractors — Sheetrock Repair & Maumelle, AR 72112 Painting Contact: Mr. Debris Googe Phone #: 501/803-0090 This firm is certified for the following Department Item Code(s): Fax #: 501/803-0922 None 53 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 238320 Paint & Wall Covering Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 None Fax #: 501/301-7627 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 3705 238320 Paint & Wall Covering Contractors Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 None Fax #:501/372-2925 Personal & Laundry Services *Pure Cleaning Services, Inc. DWBE This firm is certified for the following NAICS Code(s): 9 Sharma Lane 812000 Personal & Laundry Services Maumelle, AR 72112 Contact: Mr. Debris Googe This firm is certified for the following Department Item Code(s): Phone #: 501/803-0090 None Fax #: 501/803-0922 Petrochemical Manufacturing *Arrow Magnolia International, LP DWBE This firm is certified for the following NAICS Code(s): P. O. Box 59089 325110 Petrochemical Manufacturing Dallas, TX 75229 Contact: Ms. Tanya Shaw This firm is certified for the following Department Item Code(s): Phone #: 972/247-7111 None Fax #:972/484-2896 Plumbing, Heating, & Air -Conditioning Contractors *Bray Sheet Metal Company WBE This firm is certified for the following NAICS Code(s): 1508 Scott Street 238220 Plumbing, Heating & Air -Conditioning Contractors — Little Rock, AR 72202 Duct Work Only Contact: Ms. Mary Simmons Phone #: 501/375-8229 This firm is certified for the following Department Item Code(s): Fax #: 501/375-3935 None Henry E. Peacock and Associates, LLC DBE This firm is certified for the following NAICS Code(s): P. O. Box 224 238220 Plumbing, Heating, and Air -Conditioning Contractors Forrest City, AR 72336 Contact: Mr. Henry Peacock This firm is certified for the following Department Item Code(s): Phone #: 870/633-0437 None Fax #: 870/633-0437 Poured Concrete Foundation & Structure Contractors 1911 Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1556 238110 Poured Concrete Foundation & Structure Contractors Pine Bluff, AR 71613 Contact: Mr. Hosea Jackson This firm is certified for the following Department Item Code(s): Phone #: 870/536-0891 601; 605; 607; 802 Fax #: 870/850-7167 AU Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 1278 238110 Poured Concrete Foundation & Structure Contractors West Memphis, AR 72303 Contact: Mr. Alfred Robinson This firm is certified for the following Department Item Code(s): Phone #: 870/732-9809 601; 606; 609; 610; 632 FAf Beverly's Construction WBE This firm is certified for the following NAICS Code(s): P. O. Box 2691 238110 Poured Concrete Foundation & Structure Contractors Batesville, AR 72503 Contact: Ms. Beverly Hill This firm is certified for the following Department Item Code(s): Phone#:870/251-3129 601;603;605;609;610;631;632;633 Fax #:870/251-2626 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1207 238110 Poured Concrete Foundation & Structure Contractors Poplar Bluff, MO 63902 Contact: Mr. Randy Callahan This firm is certified for the following Department Item Code(s): Phone #: 573/686-1888 601; 602; 603; 604; 605; 606; 607; 608; 609; 610; 611; 612; 613; Fax #: 573/686-3553 614; 615; 616; 631; 632; 633 C & M Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 247 238110 Poured Concrete Foundation & Structure Contractors Doniphan, MO 63935 Contact: Ms. Melinda Vaughn This firm is certified for the following Department Item Code(s): Phone #: 573/996-3113 601; 606; 632; 633; 634 Fax #: 573/996-3883 Colour Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 414 238110 Poured Concrete Foundation & Structure Contractors Ripley, MS 38663 Contact: Mr. Rod Colom This firm is certified for the following Department Item Code(s): Phone #: 662/837-3474 601;602; 603; 604; 605; 606; 607; 609; 610; 611; 612; 613; 614; Fax #: 662/837-3494 615; 631;632; 633; 634; 635; 636; 637; 640; 641; 711; 716 Gary A. Crain, Inc. WBE This firm is certified for the following NAICS Code(s): Route 2, Box 250 238110 Poured Concrete Foundation & Structure Contractors Prague, OK 74864 Contact: Ms. Kimberly Hyden This firm is certified for the following Department Item Code(s): Phone #: 405/567-4058 601; 632 Fax #: 405/567-4684 Design Concepts DBE This firm is certified for the following NAICS Code(s): 1011 West l5 Street 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72202 Contact: Mr. Lendel Aikens This firm is certified for the following Department Item Code(s): Phone #: 501/398-0030 601;633 Fax #: NONE ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72202 Contact: Mr. Mizan Rahman This firm is certified for the following Department Item Code(s): Phone #: 501/375-1786 Fax #: 501/375-1277 601;605; 606; 607; 609; 610;611;631;632; 633; 634 Gerdan Slipforming, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 715 238110 Poured Concrete Foundation & Structure Contractors Cape Girardeau, MO 63702-0715 Contact: Ms. Mary Driskell This firm is certified for the following Department Item Code(s): Phone #: 573/339-0675 505; 601; 631; 632; 634 Fax #: 573/339-0678 PARAPET WALLS - 802 Giles Construction Company DBE This firm is certified for the following NAICS Code(s): P.O. Box 192892 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72219 Contact: Mr. Archille Giles, Jr. This firm is certified for the following Department Item Code(s): Phone #: 501/247-3477 504; 505; 605; 606; 607; 609; 610; 614; 640; 641 Fax #: 501/407-0226 55 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 238110 Poured Concrete Foundation & Structure Contractors Pocahontas, AR 72455 Contact: Ms. Lois Hale This firm is certified for the following Department Item Code(s): Phone #: 870/892-9068 601; 605; 606; 607; 609; 610; 633; 634 Fax #: 870/892-1868 Harris Construction Management DBE This firm is certified for the following NAICS Code(s): P.O. Box 165274 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72216 Contact: Mr. Larry Harris This firm is certified for the following Department Item Code(s): Phone #: 501/945-7715 601;605; 609; 610; 631;632; 633; 634 Fax #:501/945-7715 Horton Construction Company, Inc. 3401 West 70th Street DBE This firm is certified for the following NAICS Code(s): 238110 Poured Concrete Foundation & Structure Contractors Shreveport, LA 71108 Contact: Mr. Johnny Horton, Sr. This firm is certified for the following Department Item Code(s): Phone #: 318/686-8641 601; 634 Fax #:318/686-8682 Interstate Landscaping & Erosion Control, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 17961 238110 Poured Concrete Foundation & Structure Contractors North Little Rock, AR 72117 Contact: Ms. Shirley Wilcox This firm is certified for the following Department Item Code(s): Phone #: 501/945-1487 Fax #: 501/945-2958 502; 505;511;601; 801; 804 JALN Bushhogging, Landscaping & Trucking DBE This firm is certified for the following NAICS Code(s): 1524 Pearl Street 238110 Poured Concrete Foundation & Structure Contractors Texarkana, AR 71854 Contact: Mr. J. O. Dixon, Jr. This firm is certified for the following Department Item Code(s): Phone #: 870/774-2014 201;601; 610; 617;619; 620; 621;622; 623; 624; 632; 633; 637; Fax #: NONE 639; 641 J & J Concrete DBE This firm is certified for the following NAICS Code(s): P.O. Box 156 238110 Poured Concrete Foundation & Structure Contractors Gilmore, AR 72339 Contact: Mr. James Combs This firm is certified for the following Department Item Code(s): Phone #: 870/882-6938 206; 505; 601; 605; 615; 632; 633; 634 Fax #: NONE JLA Enterprises, Inc. dba JLA Construction WBE This firm is certified for the following NAICS Code(s): 3341 South Farm Road 107 238110 Poured Concrete Foundation & Structure Contractors Brookline, MO 65619 Contact: Ms. Jennifer Arndt This firm is certified for the following Department Item Code(s): Phone #: 417/887-7348 501;502;504;505;506;507;601;801;802;804 Fax #: 417/887-7216 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 723 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, 11 This firm is certified for the following Department Item Code(s): Phone #: 501/374-5570 601; 605; 611;632 Fax #: 501/372-2261 Lambert Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 46391 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72214 Contact: Mr. Gary Lambert Phone#:501/888-6150 This firm is certified for the following Department Item Code(s): 601;605;606;607;609;610;611;631;632;633;634;802 Fax #: 501/888-6154 PRECAST CONCRETE BARRIER - 604 56 Lasker Brothers', Inc. DBE This firm is certified for the following NAICS Code(s): #4 Lasker Lane 238110 Poured Concrete Foundation and Structure Contractors Conway, AR 72032 Contact: Mr. Clarence Lasker This firm is certified for the following Department Item Code(s): Phone #:501/470-1147 633; 641 Fax #:501/470-3095 LBL Construction Company DWBE This firm is certified for the following NAICS Code(s): 5421 Drexel Avenue 238110 Poured Concrete Foundation and Structure Contractors Little Rock, AR 72209 Contact: Ms. Lessie Leniear This firm is certified for the following Department Item Code(s): Phone #: 501/568-5574 505; 633 Fax #: 501/568-5574 L -J Company, Inc. WBE This firm is certified for the following NAICS Code(s): 255 Ashley 100 Road 238110 Poured Concrete Foundation & Structure Contractors Hamburg, AR 71646 Contact: Ms. Lummye Courson This firm is certified for the following Department Item Code(s): Phone #: 870/853-4747 601; 605; 607; 609; 610; 611; 632; 633; 634 Mac's General Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 3162 Parnell Road 238110 Poured Concrete Foundation & Structure Contractors El Dorado, AR 71730 Contact: Ms. Anita McDonald This firm is certified for the following Department Item Code(s): Phone #: 870/863-0838 606; 607; 609; 610; 611; 634; 640 Fax #: 870/863-4448 O.W. Construction DBE This firm is certified for the following NAICS Code(s): 1310 Lincoln Street 238110 Poured Concrete Foundation and Structure Contractors Texarkana, AR 71854 Contact: Mr. Ollie White, Jr. This firm is certified for the following Department Item Code(s): Phone #: 903/547-9193 504;505;507;605;633 Payne Steel Erectors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 247 238110 Poured Concrete Foundation & Structure Contractors Kenton, TN 38233 Contact: Mr. Geoffrey Payne This firm is certified for the following Department Item Code(s): Phone #: 901/749-7991 601; 605; 606; 607; 609; 610; 611; 631;632; 633; 634 Fax #: 901/749-7992 Red River Hydro -Seeding, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 3045 238110 Poured Concrete Foundation & Structure Contractors Texarkana, AR 75504-3045 Contact: Ms. Patricia Daniel This firm is certified for the following Department Item Code(s): Phone #: 870/772-2028 601; 605; 606; 607; 609; 610; 611; 631; 632; 633; 634 Fax #:870/773-2654 R. F. B. Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 565 East 520'" Avenue 238110 Poured Concrete Foundation & Structure Contractors Pittsburg, KS 66762-6829 Contact: Mr. Richard Beachner This firm is certified for the following Department Item Code(s): Phone #:620/232-2900 601;607;611;633 Fax #: 620/232-2998 Riley Paving Company DBE This firm is certified for the following NAICS Code(s): P.O. Box 521 238110 Poured Concrete Foundation & Structure Contractors Hamburg, AR 71646 Contact: Mr. Claude Riley, Jr. This firm is certified for the following Department Item Code(s): Phone #: 870/853-8779 601; 634 Fax #: 870/853-8676 57 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 238110 Poured Concrete Foundation and Structure Contractors North Little Rock, AR 72118 Contact: Ms. Becky Biggs This firm is certified for the following Department Item Code(s): Phone #: 501/851-1116 HAUL ONLY — 601; 615; 629; 630; 802 Fax #: 501/851-1115 onstruction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 148 238110 Poured Concrete Foundation & Structure Contractors , AR 71957 FPhne r. Patrick Romero This firm is certified for the following Department Item Code(s): 70/326-4970 601;606;610;611;632;634 Fax #: 870/326-4967 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 601; 605; 606; 607; 632; 633; 634 Fax #: 501/301-7627 Seneca, Inc. DBE This firm is certified for the following NAICS Code(s): 420 Lakewood Circle 238110 Poured Concrete Foundation & Structure Contractors Van Buren, AR 72956 Contact: Mr. David Whited This firm is certified for the following Department Item Code(s): Phone #: 479/474-6055 Fax #: 479/474-6055 601; 605; 606; 607; 609; 610; 611; 631; 632; 633 PRECAST CONCRETE BARRIER - 604 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72206 Contact: Mr. Don Stephens This firm is certified for the following Department Item Code(s): Phone #: 501/261-1118 Fax #: 501/261-7093 601; 605; 606; 607; 609; 610; 611; 632; 633; 634 Three J. H. & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 15594 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72231 Contact: Mr. James Hall, III This firm is certified for the following Department Item Code(s): Phone #: 501/372-1113 601;619;620; 621; 622; 623;624;628; 631;632;633;634;638; Fax #: 501/372-0788 641; 802 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 3705 238110 Poured Concrete Foundation & Structure Contractors Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 601; 606; 633; 634 Fax #: 501/372-2925 Process, Physical Distribution, and Logistics Consulting Services *KFH Group, Inc. WBE This firm is certified for the following NAICS Code(s): 4920 Elm Street, South 350 541614 Process, Physical Distribution, and Logistics Consulting Montgomery, MD 20814 Services Contact: Ms. Sue Knapp Phone #: 301/951-8660 This firm is certified for the following Department Item Code(s): Fax #: 301/951-0026 None *Dwight Stroud & Associates, LLC DBE This firm is certified for the following NAICS Code(s): 3521 Tatum Street 541611 Administrative Management and General Management Little Rock, AR 72204 Consulting Service Contact: Mr. Dwight Stroud Phone #: 501/312-4179 This firm is certified for the following Department Item Code(s): Fax #: 501/312-4179 None Fi3 *TransSolutions, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 155486 541611 Administrative Management & General Management Fort Worth, TX 76155 Consulting Services (Field of Construction) Contact: Ms. Belinda Hargrove Phone #: 817/359-2958 This firm is certified for the following Department Item Code(s): Fax #: 817/359-2959 None *UCG Associates, Inc. DBE 541614 Process, Physical Distribution, and Logistics Consulting 10 S. Rvierside Plaza, Suite 1800 Services Chicago, IL 60606 Contact: Ms. Yovette Drake This firm is certified for the following Department Item Code(s): Phone #: 312/474-7757 None Fax #: 312/474-6099 Professional, Scientific & Technical Services *The NBM Associates DWBE This firm is certified for the following NAICS Code(s): 6867 Gallop Drive 541900 Other Professional, Scientific & Technical Services Cordova, TN 38018 (Transportation Planning, Feasibility & Needs Assessment & Contact: Ms. Yi Liu Cost -Benefit Analysis) Phone #: 901/383-6391 Fax #: 901/386-2214 This firm is certified for the following Department Item Code(s): None Public Relations Agencies *Vesta Rea & Associates, LLC WBE This firm is certified for the following NAICS Code(s): P. O. Box 73643 541820 Public Relations Agencies Houston, TX 77372-3643 Contact: Ms. Vesta Rea -Gaubert This firm is certified for the following Department Item Code(s): Phone #: 281/376-4202 None Fax #: 281/376-1533 Ready -Mix Concrete Manufacturing Camden Concrete Company, Inc. WBE This firm is certified for the following NAICS Code(s): 2104 Maul Road 327320 Ready -Mix Concrete Manufacturing Camden, AR 71701 Contact: Ms. Wanda Pickett This firm is certified for the following Department Item Code(s): Phone #: 870/836-5276 None Fax #: 870/836-6210 Other Activities Related to Real Estate *YoungHopkins Holdings Company, LLC dba First Arkansas This firm is certified for the following NAICS Code(s): Title WBE 531390 Other Activities Related to Real Estate (Residential & 5201 Jerry Drive Commercial Real Estate Closings) Little Rock, AR 72223 Contact: Ms. Shelley Bolling This firm is certified for the following Department Item Code(s): Phone #: 501/907-9400 None Fax #: 501/907-9404 Real Estate Agents & Brokers *Briggs Field Services, Inc. P. O. Box 11310 Houston, TX 77068 Contact: Mr. Kerry Briggs Phone #: 281/583-9400 This firm is certified for the following NAICS Cc 531210 Offices of Real Estate Agents & Brokers This firm is certified for the following Department Item Code(s): None *Twillie Realty, Inc. DWBE This firm is certified for the following NAICS Code(s): 1415 South University 531210 Office of Real Estate Agents & Brokers Little Rock, AR 72204 Contact: Ms. Jacquelyn Twillie This firm is certified for the following Department Item Code(s): Phone II: 501/296-9000 None Fax #: 501/296-9022 Real Estate Annraisers *Elite Appraisals, Inc. DBE This firm is certified for the following NAICS Code(s): 1200 John Barrow Road, Suite 317 531320 Offices of Real Estate Appraisers Little Rock, AR 72205 Contact: Mr. Phillip Thompson This firm is certified for the following Department Item Code(s): Phone#: 501/221-1622 None Fax #:501-221-1624 Remediation Services Davis Petroleum Services, Inc. DBE This firm is certified for the following NAICS Code(s): P.O-Box 24864 562910 Remediation Services Little Rock, AR 72221-4864 Contact: Mr. Tyronne Davis This firm is certified for the following Department Item Code(s): Phone #: 501/663-0003 None Fax #: 501/663-4269 Research & Development in the Physical, Engineering & Life Sciences *Vesta Rea & Associates, LLC WBE This firm is certified for the following NAICS Code(s): P.O. Box 73643 541710 Research & Development in the Physical, Engineering & Houston, TX 77372-3643 Life Sciences Contact: Ms. Vesta Rea -Gaubert Phone #: 281/376-4202 This firm is certified for the following Department Item Code(s): Fax #: 281/376-1533 None Research & Development in Social Sciences & Humanities *The NBM Associates 6867 Gallop Drive Cordova, TN 38018 Contact: Ms. Yi Liu Phone #: 901/383-6391 Fax #: 901/386-2214 DWBE This firm is certified for the following NAICS Code(s): 541720 Research & Development in the Social Sciences & Humanities (Demographic Analysis) This firm is certified for the following Department Item Code(s): None Residential Building Construction *TAN Construction, Inc. DWBE This firm is certified for the following NAICS Code(s): P.O. Box 1186 236110 Residential Building Construction Jonesboro, AR 72403 Contact: Ms. Tannica Gamble This firm is certified for the following Department Item Code(s): Phone #: 870/761-0084 None Fax #: 870/933-2026 Residential Remodelers *TAN Construction, Inc. DWBE This firm is certified for the following NAICS Code(s): P. O. Box 1186 236118 Residential Remodelers Jonesboro, AR 72403 Contact: Ms. Tannica Gamble This firm is certified for the following Department Item Code(s): Phone #: 870/761-0084 None Fax #: 870/933-2026 Roofing Contractors *Bray Sheet Metal Company WBE This firm is certified for the following NAICS Code(s): 1508 Scott Street 238160 Roofing Contractors Little Rock, AR 72202 Contact: Ms. Mary Simmons This firm is certified for the following Department Item Code(s): Phone #: 501/375-8229 None Fax #: 501/375-3935 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 723 238160 Roofing Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, II This firm is certified for the following Department Item Code(s): Phone #: 501/374-5570 None Fax #:501/372-2261 60 Materials (Except Wood) Merchant Wholesalers `Simplex Construction Supplies, Inc. WBE This firm is certified for the following NAICS Code(s): 9020 West Drive NE 35W Service Road 423330 Roofing Materials (Except Wood) Merchant Wholesalers Blaine, MN 55449 Contact: Ms. Sarah Bazey This firm is certified for the following Department Item Code(s): Phone #: 763/398-0040 None Scientific & Technical Consulting Services •4B Technology Group, LLC WBE This firm is certified for the following NAICS Code(s): 3103 Stargate Court 541690 Other Scientific and Technical Consulting Services Houston, TX 77068 Contact: Ms. Terry Ann Basford This firm is certified for the following Department Item Code(s): Phone #: 832/249-9379 None Fax #: 832/249-9756 *A. L. Jackson & Company, P.A. DBE This firm is certified for the following NAICS Code(s): 1221 Brickell Avenue, Suite 900 541690 Scientific and Technical Consulting Miami, FL 33131-3227 Contact: Mr. Anthony Jackson This firm is certified for the following Department Item Code(s): Phone #: 305/623-3032 None Fax #: 305/624-1055 *The NBM Associates DWBE This firm is certified for the following NAICS Code(s): 6867 Gallop Drive 541690 Other Scientific & Technical Consulting Services Cordova, TN 38018 (Economic Impact Analysis) Contact: Ms. Yi Liu Phone #: 901/383-6391 This firm is certified for the following Department Item Code(s): Fax #: 901/386-2214 None Septic Tank and Related Services *A-1 Portable Toilets, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 1744 562991 Septic Tank and Related Services (Protable Toilet Renting Conway, AR 72033 and Servicing) Contact: Ms. Nicole Aldridge Phone #: 501/513-2543 This firm is certified for the following Department Item Code(s): Fax #: 501/513-2536 None Siding Contractors Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 723 238170 Siding Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, II This firm is certified for the following Department Item Code(s): Phone #: 501/374-5570 None Fax #: 501/372-2261 Site Preparation Contractors 1911 Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1556 238910 Site Preparation Contractors Pine Bluff, AR 71613 Contact: Mr. Hosea Jackson This firm is certified for the following Department Item Code(s): Phone #: 870/536-0891 201;202;205;206;207; 208;209;210;212;213;214;215;216; Fax #: 870/850-7167 302; 303; 305; 308; 309; 310 ALJ Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1278 238910 Site Preparation Contractors West Memphis, AR 72303 Contact: Mr. Alfred Robinson This firm is certified for the following Department Item Code(s): Phone #: 870/732-9809 201;202;207;208; 210;213;214;215;216; 601 Fax #: 870/732-9809 61 Beverly's Hauling, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 347 238910 Site Preparation Contractors Black Rock, AR 72415 Contact: Ms. Beverly McGhehey This firm is certified for the following Department Item Code(s): Phone #: 870/878-6284 201; 202; 205; 206; 213; 214; 601 Fax #: 870/878-6080 Bleb's Hauling DBE This firm is certified for the following NAICS Code(s): 1404 Allis Street 238910 Site Preparation Contractors Little Rock, AR 72204 Contact: Mr. Wayne Blevens This firm is certified for the following Department Item Code(s): Phone #: 501/952-2934 HAUL ONLY - 203; 205; 209; 801 Fax #: 501/280-9596 A. L. Blood Hauling, Inc. DBE This firm is certified for the following NAICS Code(s): 7907 Doyle Springs Road 238910 Site Preparation Contractors Little Rock, AR 72209 Contact: Mr. Arthur Blood This firm is certified for the following Department Item Code(s): Phone #: 501/562-4734 HAUL ONLY -202; 205; 207; 209; 210; 215; 302; 303; 305; Fax #: NONE 308 Bub's Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 512 S.E. 1"Street 238910 Site Preparation Contractors Bryant, AR 72202 Contact: Mr. Odell Sneed This firm is certified for the following Department Item Code(s): Phone#: 501/766-7999 HAUL ONLY -201; 202; 205; 207; 209; 210; 215; 622; 801 Fax #: 501/847-5113 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1207 238910 Site Preparation Contractors Poplar Bluff, MO 63902 Contact: Mr. Randy Callahan This firm is certified for the following Department Item Code(s): Phone #: 573/686-1888 201;202;203;205;206;207;208;209;210;212;213;214;215; Fax #: 573/686-3553 216;301;302;303;305;306;307;308;309;310;601 Camden Concrete Company, Inc. WBE This firm is certified for the following NAICS Code(s): 2104 Maul Road 238910 Site Preparation Contractors Camden, AR 71701 Contact: Ms. Wanda Pickett This firm is certified for the following Department Item Code(s): Phone #: 870/836-5276 202; 210; 213; 214; 215; 216; 601 Fax #: 870/836-6210 Central Arkansas Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 503 East 61°, #202 238910 Site Preparation Contractors Little Rock, AR 72202 Contact: Mr. Mark Jackson This firm is certified for the following Department Item Code(s): Phone #: 501/681-5840 201;202; 206; 210;212; 214; 303; 305; 601; 801 Fax #: 501/374-1251 Colour Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 414 238910 Site Preparation Contractors Ripley, MS 38663 Contact: Mr. Rod Colom This firm is certified for the following Department item Code(s): Phone #: 662/837-3474 201;202;205;206;208;210;212;213;214;215;216; 302;303; Fax #:662/837-3494 305;306 Couch Excavating Company WBE This firm is certified for the following NAICS Code(s): FR 2165 Route 3, Box 3481 238910 Site Preparation Contractors Cassville, MO 65625 Contact: Ms. Lana Couch This firm is certified for the following Department Item Code(s): Phone #: 417/847-3501 201; 202; 210; 212 Fax #: 417/847-2064 62 Delph & Son Hauling DBE This firm is certified for the following NAICS Code(s): 5915 Trenton Lane 238910 Site Preparation Contractors Little Rock, AR 72209 Contact: Mr. Randy Delph This firm is certified for the following Department Item Code(s): Phone#:501/908-6573 201;202;203;205;210;213;302;303;801 Fax #: 501/570-7635 ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 238910 Site Preparation Contractors Little Rock, AR 72202 Contact: Mr. Mizan Rahman This firm is certified for the following Department Item Code(s): Phone #: 501/375-1786 201;202;206;207;209;601 Fax #: 501/375-1277 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 238910 Site Preparation Contractors Pocahontas, AR 72455 Contact: Ms. Lois Hale This firm is certified for the following Department Item Code(s): Phone #: 870/892-9068 201; 202; 205; 207; 209; 210;212; 214; 601 Fax #: 870/892-1868 Joe Harris, Jr. Trucking DBE This firm is certified for the following NAICS Code(s): P. O. Box 781 238910 Site Preparation Contractors Osceola, AR 72370 Contact: Mr. Joe Harris, Jr. This firm is certified for the following Department Item Code(s): Phone #:870/563-6798 201;202;205;210;213;214;215;216;601 Fax #: 870/563-1292 Harris Construction Management DBE This firm is certified for the following NAICS Code(s): P. O. Box 165274 238910 Site Preparation Contractors Little Rock, AR 72216 Contact: Mr. Larry Harris This firm is certified for the following Department Item Code(s): Phone #: 501/945-7715 201; 202; 206; 207; 209; 601 Fax #: 501/945-7715 Harris Hauling DBE This firm is certified for the following NAICS Code(s): 16721 Dyer Road 238910 Site Preparation Contractors Little Rock, AR 72223 Contact: Mr. Antonio Harris This firm is certified for the following Department Item Code(s): Phone #: 501/868-1178 HAUL ONLY - 207; 209; 210; 215; 801 Fax #: 501/868-8006 Interstate Landscaping & Erosion Control, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 17961 238910 Site Preparation Contractors North Little Rock, AR 72117 Contact: Ms. Shirley Wilcox This firm is certified for the following Department Item Code(s): Phone #: 501/945-1487 201;202; 208; 210;213; 214; 215; 216; 601 Fax #: 501/945-2958 JLA Enterprises, Inc. dba JLA Construction WBE This firm is certified for the following NAICS Code(s): 3341 South Farm Road 107 238910 Site Preparation Contractors Brookline, MO 65619 Contact: Ms. Jennifer Arndt This firm is certified for the following Department Item Code(s): Phone #: 417/887-7348 201;202;205;208;210;212;213;214;215;216;601 Fax #: 417/887-7216 J's Construction Company WBE This firm is certified for the following NAICS Code(s): 208 Millpond Road 238910 Site Preparation Contractors Conway, AR 72034 Contact: Ms. Valerie Satterfield This firm is certified for the following Department Item Code(s): Phone #: 501/450-9405 202;210;213;214;215;216;601 Fax #: 501/450-7688 63 Kenreg Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 641 238910 Site Preparation Contractors Stuttgart, AR 72160 Contact: Mr. Kenneth Avery This firm is certified for the following Department Item Code(s): Phone #: 870/673-1104 201;202;205;206;207;209;210;212; 214; 215; 601 Fax #: 870/672-9496 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 723 238910 Site Preparation Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, II This firm is certified for the following Department Item Code(s): Phone #:501/374.5570 201;202;205;215;601 Fax #:501/372-2261 Lambert Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 46391 238910 Site Preparation Contractors Little Rock, AR 72214 Contact: Mr. Gary Lambert This firm is certified for the following Department Item Code(s): Phone #: 501/888-6150 201;202;205;206;210;212;213;2!4;215;216;601 Fax #: 501/888-6154 Land Improvement Company DBE This firm is certified for the following NAICS Code(s): 1202 Main Street, #201 238910 Site Preparation Contractors Little Rock, AR 72202 Contact: Mr. Orson Weems This firm is certified for the following Department Item Code(s): Phone #:501/838-5461 201;202;203;205;207;210;212;214;801 Fax #: 801/927-3970 Mac's General Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 3162 Pannell Road 238910 Site Preparation Contractors El Dorado, AR 71730 Contact: Ms. Anita McDonald This firm is certified for the following Department Item Code(s): Phone #: 870/863-0838 201;202;205;206;207;210;212;213; 214; 215; 216; 301; 302; Fax #: 870/863-4448 303;305;307;308;801 Midwest Hauling & Contracting, Inc. WBE This firm is certified for the following NAICS Code(s): 2286 Rose Lane 238910 Site Preparation Contractors Franklin, MO 63069 Contact: Ms. Christine Johnson This firm is certified for the following Department Item Code(s): Phone #: 636/271-6363 201; 210; 212; 214; 801 Fax #: 636/271-5006 M & T Paving & Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 329 238910 Site Preparation Contractors Forrest City, AR 72336-0329 Contact: Mr. Robert Jones This firm is certified for the following Department Item Code(s): Phone #:870/633-6651 201;202;206;207;209;210;212;213;214;215;216;601 Fax #: 870/633-0377 Henry E. Peacock and Associates, LLC DBE This firm is certified for the following NAICS Code(s): P. O. Box 224 238910 Site Preparation Contractors Forrest City, AR 72336 Contact: Mr. Henry Peacock This firm is certified for the following Department Item Code(s): Phone #: 870/633-0437 201; 202; 210; 215 Fax #:870/633-0437 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 238910 Site Preparation Contractors North Little Rock, AR 72118 Contact: Ms. Becky Biggs This firm is certified for the following Department Item Code(s): Phone #: 501/851-1116 HAUL ONLY - 207; 209; 210; 212; 214; 215; 302; 303; 305; Fax #:501/851-1115 307;308;601;801 Robert Construction WBE This firm is certified for the following NAICS Code(s): 3705 Blueridge Circle 238910 Site Preparation Contractors Jonesboro, AR 72401 Contact: Ms. Toni Robert This firm is certified for the following Department Item Code(s): Phone#:870/972-8694 201;202;210;213;214;215;216;601 Fax #: 870/972-8694 Romero Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 148 238910 Site Preparation Contractors Mount Ida, AR 71957 Contact: Mr. Patrick Romero This firm is certified for the following Department Item Code(s): Phone#:870/326-4970 201;202;207;210;213;214;215;216;601 Fax #: 870/326-4967 SBS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 238910 Site Preparation Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 201;202;210;213;214;215;216;601 Fax #: 501/301-7627 Seneca, Inc. DBE This firm is certified for the following NAICS Code(s): 420 Lakewood Circle 238910 Site Preparation Contractors Van Buren, AR 72956 Contact: Mr. David Whited This firm is certified for the following Department Item Code(s): Phone#:479/474-6055 202;205;206;210;213;214;215;216;601 Fax #: 479/474-6055 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 238910 Site Preparation Contractors Little Rock, AR 72206 Contact: Mr. Don Stephens This firm is certified for the following Department Item Code(s): Phone #: 501/261-1118 201;202;205;207;209;210;212;213;214;215;216;601 Fax: 501/261-7093 Tackett Trucking, LLC DBE This firm is certified for the following NAICS Code(s): 1408 W. Deer Run Road 238910 Site preparation Contractors Fort Gibson, OK 74434 Contact: Mr. Darwin Tackett This firm is certified for the following Department Item Code(s): Phone #: 918/351-5407 HAUL ONLY - 207; 209 Fax #: 918/478-3782 Three J. H. & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 15594 238910 Site Preparation Contractors Little Rock, AR 72231 Contact: Mr. James Hall, III This firm is certified for the following Department Item Code(s): Phone #: 501/372-1113 201;208;601 Fax #: 501/372-0788 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 3705 238910 Site Preparation Contractors Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 201;202;210;213;214;215;216;601 Fax #: 501/372-2925 Watson Trucking DBE This firm is certified for the following NAICS Code(s): 215 Watson Avenue 238910 Site Preparation Contractors Osceola, AR 72370 Contact: Mr. James Watson This firm is certified for the following Department Item Code(s): Phone #: 870/622-0229 202;203;205;209 Fax #: NONE 65 11253 Highway 13 North Des Arc, AR 72040 Contact: Ms. Julia Wrigley Phone #: 501/278-0988 Fax #: 870/854-5661 WBE This firm is certified for the following NAICS Code(s): 238910 Site Preparation Contractors This firm is certified for the following Department Item Code(s): 201;202;205;206;208;601 Social Assistance *Rumel & Associates Consultants, Inc. DWBE This firm is certified for the following NAICS Code(s): 2020 West 3" Street, Suite 518-520 624000 Social Assistance (Communication/Outreach Services) Little Rock, AR 72205 Contact: Ms. Rumel Rayford This firm is certified for the following Department Item Code(s): Phone #: 501/372-7433 None Fax #: 501/372-7434 Solid Waste Collection *King Disposal, Inc. DBE This firm is certified for the following NAICS Code(s): 120 Bridges Road 562111 Solid Waste Collection Palestine, AR 72372 Contact: Mr. Joe King Phone #: 870/581-2883 This firm is certified for the following Department Item Code(s): None Fax #: 870/581-2869 Specialized Freight Truckin Bleb's Hauling 1404 Allis Street DBE This firm is certified for the following NAICS Code(s): 484220 Specialized Freight (except Used Goods) Trucking, Local Little Rock, AR 72204 Contact: Mr. Wayne Blevens Phone #: 501/952-2934 This firm is certified for the following Department Item Code(s): HAUL ONLY -303; 305; 307; 308; 309; 310; 406; 407; 409; 412 Fax #: 501/280-9596 Bub's Trucking, Inc. DBE This firm is certified for the following NAICS Code(s): 512 S.E. 1st Street 484220 Specialized Freight (except Used Goods) Trucking, Local Bryant, AR 72202 Contact: Mr. Odell Sneed Phone#: 501/766-7999 Fax #: 501/847-5113 This firm is certified for the following Department Item Code(s): HAUL ONLY - 201; 202; 205; 207; 209; 210; 215; 302; 303; 305; 307; 308; 309; 310; 401; 402; 403; 405; 406; 407; 409; 410; 411; 412; 414; 415; 416; 417; 501; 503; 606; 609; 622; 630; 801; 802; 816 C & C Trucking Service of AR., LLC 1475 Toltec Mound Lake Road DWBE This firm is certified for the following NAICS Code(s): 484220 Specialized Freight (except Used Goods) Trucking, Local England, AR 72046 Contact: Ms. Chrispy Canady Phone #: 501/961-1221 Fax #: 501/961-1220 This firm is certified for the following Department Item Code(s): HAUL ONLY - 207; 209; 212; 214; 301; 302; 303; 305; 307; 308; 309; 310; 409; 628 *Custom Hauling P & M, LLC 11016 King Arthurs Drive Little Rock, AR 72209 DBE This firm is certified for the following NAICS Code(s): 484220 Specialized Freight (except Used Goods) Trucking, Local - Automobile Transportation Contact: Mr. Gerald Gallien Phone #: 501/952-0168 Fax #: 501/562-8833 484230 Specialized Freight (except Used Goods) Trucking, Long - Distance -Automobile Transportation This form is certified for the following Department Item Code(s): None Delph & Son Hauling 5915 Trenton Lane DBE 484220 Specialized Freight (except Used Goods) Trucking, Local Little Rock, AR 72209 Contact: Mr. Randy Delph This firm is certified for the following Department Item Code(s): HAUL ONLY —207; 407; 415; 512 Phone #: 501/908-6573 Fax #: 501/570-7635 CT Harris Hauling DBE This firm is certified for the following NAICS Code(s): 16721 Dyer Road 484110 General Freight Trucking, Local Little Rock, AR 72223 Contact: Mr. Antonio Harris This firm is certified for the following Department Item Code(s): Phone #: 501/868-1178 HAUL ONLY —302; 303; 305; 308; 402; 405; 406; 407; 411; Fax #: 501/868-8006 412; 414; 415; 417; 629; 630; 816 Midwest Hauling & Contracting, Inc. WBE This firm is certified for the following NAICS Code(s): 2286 Rose Lane 484220 Specialized Freight (except Used Goods) Trucking, Local Franklin, MO 63069 Contact: Ms. Christine Johnson This firm is certified for the following Department Item Code(s): Phone #: 636/271-6363 201; 202; 210; 212; 214; 801 Fax #: 636/271-5006 Tackett Trucking, LLC DBE This firm is certified for the following NAICS Code(s): 1408 W. Deer Run Road 484220 Specialized Freight (except Used Goods) Trucking, Local Fort Gibson, OK 74434 Contact: Mr. Darwin Tackett This firm is certified for the following Department Item Code(s): Phone #: 918/351-5407 HAUL ONLY - 302; 303; 307; 308; 405; 406; 407; 409; 411; Fax #: 918/478-3782 412; 415; 416; 417 Watson Trucking DBE This firm is certified for the following NAICS Code(s): 215 Watson Avenue 484220 Specialized Freight (except Used Goods) Trucking, Local Osceola, AR 72370 Contact: Mr. James Watson This firm is certified for the following Department Item Code(s): Phone #: 870/622-0229 t HAUL ONLY - 210; 301;414;416;615;639; 801; 806; 817 Fax #: NONE Specialty Trade Contractors 1911 Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1556 238990 All Other Specialty Trade Contractors Pine Bluff, AR 71613 Contact: Mr. Hosea Jackson This firm is certified for the following Department Item Code(s): Phone #: 870/536-0891 Fax #: 870/850-7167 601; 603; 604; 605; 606; 607; 608; 609; 610; 611; 616; 621 Advanced Workzone Services, LLC DWBE This firm is certified for the following NAICS Code(s): P. O. Box 3875 238990 All Other Specialty Trade Contractors Muskogee, OK 74402 Contact: Ms. Alma Pickle This firm is certified for the following Department Item Code(s): Phone #: 918/682-9393 601; 603; 604; 637; 718; 719; 720; 721; 722; 723; 724; 725; 726; Fax #: 918/682-9394 727; 728; 729; 730; 731; 732 Airfield, Etc., Inc. W13E This firm is certified for the following NAICS Code(s): 2400 Bobbitt Road 238990 All Other Specialty Trade Contractors Williston, TN 38076 Contact: Ms. Stephanie Poole This firm is certified for the following Department Item Code(s): Phone #: 901/363-9210 701; 702;703;704;705;706;707; 708;709; 710; 711; 712;713; Fax #: 901/795-5519 714;715;716;717 ALJ Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1278 238990 All Other Specialty Trade Contractors West Memphis, AR 72303 Contact: Mr. Alfred Robinson This firm is certified for the following Department Item Code(s): Phone #: 870/732-9809 201;601;619;620;621;622;623;624;625;626;628 Fax #: 870/732-9809 Sign & Barricade, Inc. WBE This firm is certified for the following NAICS Code(s): avmar Drive 238990 All Other Specialty Trade Contractors FAksas vale, AR 72103 t: Ms. Kim Salinas This firm is certified for the following Department Item Code(s): #:501/455-9100 601;603;604;637;726;729;731 Fax #:501/455-9101 67 Atwood Fence Company, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 565 238990 All Other Specialty Trade Contractors Kosciusko, MS 39090 Contact: Ms. Kay Atwood This firm is certified for the following Department Item Code(s): Phone #: 662/289-6338 601; 617; 618; 619; 637; 639 Fax #: 662/289-7463 SIGNING ONLY - 604 Janet Lee Brown Sod & Mulch, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 908 238990 All Other Specialty Trade Contractors Perryville, AR 72126 Contact: Ms. Janet Lee Brown This firm is certified for the following Department Item Code(s): Phone #: 501/432-5358 601; 604; 619; 620; 621; 622; 623; 624; 625; 626; 628; 637 Fax #: 501/432-5509 BW Construction Company, Inc. WBE This firm is certified for the following NAICS Code(s): 10100 Highway 71 North 238990 All Other Specialty Trade Contractors Mountainburg, AR 72946 Contact: Ms. Beverly Welch This firm is certified for the following Department Item Code(s): Phone #: 479/369-4372 601; 804 Fax #: 479/369-4372 STAY -IN -PLACE FORMS ONLY - 802 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 1207 238990 All Other Specialty Trade Contractors Poplar Bluff, MO 63902 Contact: Mr. Randy Callahan This firm is certified for the following Department Item Code(s): Phone #: 573/686-1888 601; 617; 618; 619; 620;621; 622; 623; 624; 625; 626; 628; 629; Fax #: 573/686-3553 630; 635; 636; 637; 638; 639; 640; 641; 642 Central Arkansas Contractors, Inc. 503 East 6`s, #202 Little Rock, AR 72202 DBE This firm is certified for the following NAICS Code(s): 238990 All Other Specialty Trade Contractors Contact: Mr. Mark Jackson This firm is certified for the following Department Item Code(s): Phone #: 501/681-5840 605; 606; 609; 625; 628; 632 Fax #: 501/374-1251 C & M Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 247 238990 All Other Specialty Trade Contractors Doniphan, MO 63935 Contact: Ms. Melinda Vaughn This firm is certified for the following Department Item Code(s): Phone #: 573/996-3113 201;601; 620; 621; 622; 623; 624; 625; 626; 628 Fax #: 573/996-3883 Colom Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 414 238990 All Other Specialty Trade Contractors Ripley, MS 38663 Contact: Mr. Rod Colom Phone #: 662/837-3474 This firm is certified for the following Department Item Code(s): 616; 617; 618; 619; 620; 621; 622; 623; 624; 625; 626; 628; 629 Fax #: 662/837-3494 Contractor's Specialty Service Company WBE This firm is certified for the following NAICS Code(s): P. O. Box 13740 238990 All Other Specialty Trade Contractors Maumelle, AR 72113 Contact: Ms. Patricia Genty This firm is certified for the following Department Item Code(s): Phone #: 501/851-8001 60!;603; 604; 718; 719; 720; 721;722 Fax #: 501/851-6497 Gary A. Crain, Inc. WBE This firm is certified for the following NAICS Code(s): Route 2, Box 250 238990 All Other Specialty Trade Contractors Prague, OK 74864 Contact: Ms. Kimberly Hyden Phone #: 405/567-4058 This firm is certified for the following Department Item Code(s): 601 Fax #: 405/567-4684 Delph & Son Hauling 5915 Trenton Lane DBE This firm is certified for the following NAICS Code(s): 238990 All Other Specialty Trade Contractors Little Rock, AR 72209 Contact: Mr. Randy Delph This firm is certified for the following Department Item Code(s): Phone #: 501/908-6573 622; 628 Fax #: 501/570-7635 Direct Traffic Control, Inc. P. O. Box 602 WBE This firm is certified for the following NAILS Code(s): 238990 All Other Specialty Trade Contractors Muskogee, OK 74402-0602 Contact: Ms. Cindy Glover This firm is certified for the following Department Item Code(s): Phone #: 918/682-1900 601; 603; 604; 637; 718; 719; 720; 721; 722; 723; 724; 725; 726; Fax #: 918/682-9993 727. 728; 729; 730; 731; 732 Erosion Control Specialist, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 697 238990 All Other Specialty Trade Contractors Mayflower, AR 72106 Contact: Mr. Eddie Colquitt This firm is certified for the following Department Item Code(s): Phone #: 501/679-2022 620; 621; 623; 624; 626 Fax #: 501/328-5388 ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 238990 All Other Specialty Trade Contractors Little Rock, AR 72202 Contact: Mr. Mizan Rahman This firm is certified for the following Department Item Code(s): Phone #: 501/375-1786 201;601; 603; 604; 612; 613; 614; 615; 620; 622; 624; 626; 631; Fax #: 501/375-1277 632;633;634;635;636;637;640;641; 718;719; 720; 721;722; 723; 724; 725; 726; 727; 728; 729; 730; 731; 732; 734 This firm is certified for the following NAICS Code(s): Fenceco, Inc. DBE 9815 Digby Drive 238990 All Other Specialty Trade Contractors Gentry, AR 72734 Contact: Mr. Tom Tenbrook This firm is certified for the following Department Item Code(s): Phone #: 479/444-8550 619 Fax #: 479/267-4084 D & L Hale, LLC WBE This firm is certified for the following NAICS Code(s): 257 Summer Road 238990 All Other Specialty Trade Contractors Pocahontas, AR 72455 Contact: Ms. Lois Hale This firm is certified for the following Department Item Code(s): Phone #: 870/892-9068 601; 602; 603; 611; 613; 614; 615; 619; 620; 621; 623; 624; 625; Fax #: 870/892-1868 631; 632; 635; 636; 638; 640; 641; 726; 729; 731; 734; 804; 806; 815; 821 Joe Harris, Jr. Trucking DBE This firm is certified for the following NAICS Code(s): P.O. Box 781 238990 All Other Specialty Trade Contractors Osceola, AR 72370 Contact: Mr. Joe Harris, Jr. This firm is certified for the following Department Item Code(s): Phone #: 870/563-6798 201;601 Fax #: 870/563-1292 Harris Construction Management DBE This firm is certified for the following NAICS Code(s): P. O. Box 165274 238990 All Other Specialty Trade Contractors Little Rock, AR 72216 Contact: Mr. Larry Harris This firm is certified for the following Department Item Code(s): Phone #: 501/945-7715 201;601;603; 604; 615; 620; 62l;622; 623; 624; 625; 626; 628; Fax #: 501/945-7715 635; 637; 640; 641 Horton Construction Company, Inc. 3401 West 70' Street DBE This firm is certified for the following NAICS Code(s): 238990 All Other Specialty Trade Contractors Shreveport, LA 71108 Contact: Mr. Johnny Horton, Sr. This firm is certified for the following Department Item Code(s): Phone #: 318/686-8641 601; 617; 619 Fax #: 318/686-8682 3% I -Kan Construction Company WBE This firm is certified for the following NAICS Code(s): 750 Pine Valley Trail Waldron, AR 72958 238990 All Other Specialty Trade Contractors Contact: Ms. Elizabeth Wells This firm is certified for the following Department Item Code(s): Phone #: 479/637-5620 208; 603; 604; 619; 620; 621; 622; 623; 624; 625; 626; 628; 637 Fax #: NONE International Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 6570-126 Avenue North 238990 All Other Specialty Trade Contractors Largo, FL 33773-1834 Contact: Mr. Walter Cenal This firm is certified for the following Department Item Code(s): Phone #: 727/531-3574 507;509;512;601;718 Fax #: 727/535-1333 Interstate Landscaping & Erosion Control, Inc. WBE This fine is certified for the following NAICS Code(s): P.O. Box 17961 238990 All Other Specialty Trade Contractors North Little Rock, AR 72117 Contact: Ms. Shirley Wilcox This firm is certified for the following Department Item Code(s): Phone#:501/945-1487 201;601;605;606;609;610;614;619;620;621;622;623;624; Fax #: 501/945-2958 625; 626; 628; 632; 633 JALN Bushhogging, Landscaping & Trucking DBE This firm is certified for the following NAICS Code(s): 1524 Pearl Street 238990 All Other Specialty Trade Contractors Texarkana, AR 71854 Contact: Mr. J. O. Dixon, Jr. This firm is certified for the following Department Item Code(s): Phone #: 870/774-2014 201;601;610;617;619;620;621; 622;623;624;632;633;637; Fax #: NONE 639; 641 JLA Enterprises, Inc. dba JLA Construction WBE This firm is certified for the following NAICS Code(s): 3341 South Farm Road 107 238990 All Other Specialty Trade Contractors Brookline, MO 65619 Contact: Ms. Jennifer Arndt This firm is certified for the following Department Item Code(s): Phone #: 417/887-7348 201;601;605; 606; 607; 608; 609; 610; 611; 614; 615; 619; 620; Fax #: 417/887-7216 621; 622; 623; 624; 625; 626; 628; 631; 632; 633; 634; 637; 640; 641 PRECAST CONCRETE BARRIER - 604 Kesser International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 723 238990 All Other Specialty Trade Contractors Little Rock, AR 72203 Contact: Mr. Ralph Vines, II Phone #: 501/374-5570 This firm is certified for the following Department Item Code(s): 201;601;603; 604; 620; 621; 622; 623; 624; 625; 626; 628 Fax #: 501/372-2261 Lambert Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 46391 238990 All Other Specialty Trade Contractors Little Rock, AR 72214 Contact: Mr. Gary Lambert This firm is certified for the following Department Item Code(s): Phone #: 501/888-6150 201; 601; 603; 608; 614; 615; 621; 624; 625; 628; 635; 636; 637; Fax #: 501/888-6154 640; 641; 728; 731 Lasker Brothers', Inc. #4 Lasker Lane DBE This firm is certified for the following NAICS Code(s): 238990 All Other Specialty Trade Contractors Conway, AR 72032 Contact: Mr. Clarence Lasker Phone #:501/470-1147 This firm is certified for the following Department Item Code(s): 501; 505; 506; 507 Fax #:501/470-3095 IrJ Company, Inc. 255 Ashley 100 Road WBE This firm is certified for the following NAICS Code(s): 238990 All Other Specialty Trade Contractors Hamburg, AR 71646 Contact: Ms. Lummye Courson Phone #: 870/853-4747 This firm is certified for the following Department Item Code(s): 601; 614; 619; 620; 621; 622; 623; 624; 625; 626; 628; 637; 641 Fax #: 870/853-9073 70 Mac's General Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 3162 Parnell Road 238990 All Other Specialty Trade Contractors El Dorado, AR 71730 Contact: Ms. Anita McDonald This firm is certified for the following Department Item Code(s): Phone #: 870/863-0838 619; 620; 621;622; 625; 626; 628; 816 Fax #: 870/863-4448 The Maybee Family Corporation WBE This firm is certified for the following NAICS Code(s): P. O. Box 34 238990 All Other Specialty Trade Contractors Alpena, AR 72611 Contact: Ms. Barbara Maybee This firm is certified for the following Department Item Code(s): Phone #: 870/437-5229 202; 208; 601; 619; 620; 621; 622; 623; 624; 625; 626; 628 Odum Services DBE This firm is certified for the following NAICS Code(s): 6555 Harris Lake Road 238990 All Other Specialty Trade Contractors Marshall, TX 75672 Contact: Mr. Gregory Odum This firm is certified for the following Department Item Code(s): Phone #: 903/938-8059 202; 208; 601; 603; 604; 617; 618; 619; 639; 728; 731; 732; 734 Fax #: 903/938-8830 O.W. Construction DBE This firm is certified for the following NAICS Code(s): 1310 Lincoln Street 238990 All Other Specialty Trade Contractors Texarkana, AR 71854 Contact: Mr. Ollie White, Jr. This firm is certified for the following Department Item Code(s): Phone #: 903/547-9193 504;505;507;605;633 Patrick Fence Company WBE This firm is certified for the following NAICS Code(s): 1897 Highway 31 North 238990 All Other Specialty Trade Contractors Beebe, AR 72012 Contact: Ms. Patricia Doody This firm is certified for the following Department Item Code(s): Phone #: 501/882-7291 201;601;618;619;620;621;622;623; 624; 625; 626;628;637 Fax #: 501/882-8500 Henry E. Peacock and Associates, LLC DBE This firm is certified for the following NAICS Code(s): P. O. Box 224 238990 All Other Specialty Trade Contractors Forrest City, AR 72336 Contact: Mr. Henry Peacock This firm is certified for the following Department Item Code(s): Phone #: 870/633-0437 201;202;210; 215; 605; 606; 607; 609; 610; 611; 612; 613; 614; Fax #: 870/633-0437 616; 631; 632; 633; 634; 640 Red River Hydro -Seeding, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 3045 238990 All Other Specialty Trade Contractors Texarkana, AR 75504-3045 Contact: Ms. Patricia Daniel This firm is certified for the following Department Item Code(s): Phone #: 870/772-2028 201;601;602; 603; 604; 608; 613; 614; 615; 619; 620; 621;622; Fax #: 870/773-2654 623; 624; 625; 626; 628; 637; 640; 641; 642 R. F. B. Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): 565 East 520'" Avenue 238990 All Other Specialty Trade Contractors Pittsburg, KS 66762-6829 Contact: Mr. Richard Beachner This firm is certified for the following Department Item Code(s): Phone #: 620/232-2900 601; 607; 619; 620; 621; 622; 623; 624; 625; 626; 628 Fax #: 620/232-2998 RLB Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): 5611 Sunset Trail 238990 All Other Specialty Trade Contractors North Little Rock, AR 72118 Contact: Ms. Becky Biggs This firm is certified for the following Department Item Code(s): Phone #: 501/851-1116 HAUL ONLY - 201; 202; 205; 601; 615; 629; 630 Fax #: 501/851-1115 71 Robert Construction WBE This firm is certified for the following NAICS Code(s): 3705 Blueridge Circle 238990 All Other Specialty Trade Contractors Jonesboro, AR 72401 Contact: Ms. Toni Robert This firm is certified for the following Department Item Code(s): Phone #: 870/972-8694 201; 601; 604; 631 Fax #: 870/972-8694 Romero Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 148 238990 All Other Specialty Trade Contractors Mount Ida, AR 71957 Contact: Mr. Patrick Romero This firm is certified for the following Department Item Code(s): Phone #: 870/326-4970 201;601 Fax #: 870/326-4967 SOS Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 2601 Confederate Boulevard 238990 All Other Specialty Trade Contractors Little Rock, AR 72206 Contact: Mr. Michael Smith This firm is certified for the following Department Item Code(s): Phone #: 501/301-7627 201;601; 614; 615; 620; 621;622; 623; 624; 625; 626; 628; 637; Fax #: 501/301-7627 641 Seneca, Inc. DBE This firm is certified for the following NAICS Code(s): 420 Lakewood Circle 238990 All Other Specialty Trade Contractors Van Buren, AR 72956 Contact: Mr. David Whited This firm is certified for the following Department Item Code(s): Phone #: 479/474-6055 601; 603; 608; 613; 614; 615; 625; 637; 640; 641 Fax #: 479/474-6055 Don Stephens Trucking & Construction, Inc. DBE This firm is certified for the following NAICS Code(s): 9526 Brittany Point 238990 All Other Specialty Trade Contractors Little Rock, AR 72206 Contact: Mr. Don Stephens This firm is certified for the following Department Item Code(s): Phone #: 501/261-1118 201;601;603; 614; 622; 624; 628; 640; 641 Fax #: 501/261-7093 Superior Traffic Control -Memphis, Inc. WBE This firm is certified for the following NAICS Code(s): 9303 Cordova Park Road 238990 All Other Specialty Trade Contractors Cordova, TN 38018 Contact: Ms. Rebecca Wood This firm is certified for the following Department Item Code(s): Phone #: 901/737-9958 603; 604; 720; 723; 726; 727; 728; 729; 730; 731; 732; 733 Fax #: 901/737-9984 Tackett Trucking, LLC DBE This firm is certified for the following NAICS Code(s): 1408 W. Deer Run Road 238990 All Other Specialty Trade Contractors Fort Gibson, OK 74434 Contact: Mr. Darwin Tackett This firm is certified for the following Department Item Code(s): Phone #: 918/351-5407 HAUL ONLY - 302; 303; 307; 308; 405; 406; 407; 409; 411; Fax #: 918/478-3782 412;415;416;417 Three J. H. & Associates, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 15594 238990 All Other Specialty Trade Contractors Little Rock, AR 72231 Contact: Mr. James Hall, III This firm is certified for the following Department Item Code(s): Phone #: 501/372-1113 201;601; 619;620;621;622;623;624;628;638 Fax #: 501/372-0788 Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 3705 238990 All Other Specialty Trade Contractors Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 201;601 Fax #: 501/372-2925 SILT FENCE ONLY - 621 72 Wrigley Construction Company WBE This firm is certified for the following NAICS Code(s): 11253 Highway 13 North 238990 All Other Specialty Trade Contractors Des Arc, AR 72040 Contact: Ms. Julia Wrigley This firm is certified for the following Department Item Code(s): Phone #: 501/278-0988 601; 617; 618; 619; 620; 621; 622; 623; 624; 625; 626; 628; 637; Fax #: 870/854-5661 639 Structural Steel & Precast Concrete Contractors Cadit Company, Inc. WBE This firm is certified for the following NAICS Code(s): P.O. Box 784 238120 Structural Steel & Precast Concrete Contractors Roanoke, TX 76262 Contact: Ms. Kathryn Carlisle This firm is certified for the following Department Item Code(s): Phone #: 817/430-4409 806; 807 Randy S. Callahan Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P.O. Box 1207 238120 Structural Steel & Precast Concrete Contractors Poplar Bluff, MO 63902 Contact: Mr. Randy Callahan This firm is certified for the following Department Item Code(s): Phone #: 573/686-1888 601; 801; 802; 803; 804; 805; 806; 807; 808; 809; 810; 811; 812; Fax #: 573/686-3553 813; 815; 816; 817; 818; 820; 821; 822 Central Arkansas Contractors, Inc. DBE This firm is certified for the following NAICS Code(s): 503 East 6's, #202 238120 Structural Steel and Precast Concrete Contractors Little Rock, AR 72202 Contact: Mr. Mark Jackson This firm is certified for the following Department Item Code(s): Phone #: 501/681-5840 802; 804; 816 Fax #: 501/374-1251 Colom Construction Company, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 414 238120 Structural Steel & Precast Concrete Contractors Ripley, MS 38663 Contact: Mr. Rod Colom This firm is certified for the following Department Item Code(s): Phone #: 662/837-3474 601; 801; 802; 803; 804; 807; 810; 811; 812; 816; 817; 818; 820; Fax #: 662/837-3494 821; 822 Lasker Brothers', Inc. DBE This firm is certified for the following NAICS Code(s): #4 Lasker Lane 238120 Structural Steel and Precast Concrete Contractors Conway, AR 72032 Contact: Mr. Clarence Lasker This firm is certified for the following Department Item Code(s): Phone #:501/470-1147 502; 503 Fax #:501/470-3095 Marshall Construction, Inc. WBE This firm is certified for the following NAICS Code(s): 10245 Locust Mountain Road 238120 Structural Steel & Precast Concrete Contractors Mountainburg, AR 72946 Contact: Ms. Janet Marshall This firm is certified for the following Department Item Code(s): Phone #: 479/369-2268 601; 802; 804; 806; 807; 808 Fax #: 479/369-2268 Payne Steel Erectors, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 247 238120 Structural Steel & Precast Concrete Contractors Kenton, TN 38233 Contact: Mr. Geoffrey Payne This firm is certified for the following Department Item Code(s): Phone #: 901/749-7991 601; 802; 803; 804; 806; 807; 808; 809; 810; 821; 822 Fax #: 901/749-7992 Seneca, Inc. DBE This firm is certified for the following NAICS Code(s): 420 Lakewood Circle 238120 Structural Steel & Precast Concrete Contractors Van Buren, AR 72956 Contact: Mr. David Whited This firm is certified for the following Department Item Code(s): Phone #: 479/474-6055 601; 801; 802; 804; 807; 808; 812; 815; 816 Fax #: 479/474-6055 73 This firm is certified for the following NAICS Code(s): Tarrasco Steel Company DBE 1941 Highway 82 West 238120 Structural Steel & Precast Concrete Contractors Greenville, MS 38701 Contact: Mr. Jose Gonzalez This firm is certified for the following Department Item Code(s): Phone #: 662/344-1711 601; 804 Fax #: 662/344-1742 Support Activities for Air Transportation *Aviation Alliance, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 799 488100 Support Activities for Air Transportation Colleyville, TX 76034-0799 Contact: Ms. Shirley Roberts This firm is certified for the following Department Item Code(s): Phone #: 817/498-0388 None Fax #: 817/281-1867 Support Activities for Transportation *Mary A. Lynch WBE This firm is certified for the following NAICS Code(s): 5719 Overridge Drive 488999 All Other Support Activities for Transportation Arlington, TX 76017-1139 Contact: Ms. Mary Lynch This firm is certified for the following Department Item Code(s): Phone #: 817/478-3308 None Fax #: NONE Toltec International, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 3705 488999 All Other Support Activities for Transportation Little Rock, AR 72203 Contact: Mr. Cyril Morris This firm is certified for the following Department Item Code(s): Phone #: 501/375-0000 None Fax #: 501/372-2925 Other Support Services Airfield, Etc., Inc. WBE This firm is certified for the following NAICS Code(s): 2400 Bobbitt Road 561990 All Other Support Services Williston, TN 38076 Contact: Ms. Stephanie Poole This firm is certified for the following Department Item Code(s): Phone #: 901/363-9210 None Fax #: 901/795-5519 Surveying & Mapping Services ETC Engineers & Architects, Inc. DBE This firm is certified for the following NAICS Code(s): 1510 South Broadway 541370 Surveying & Mapping Services Little Rock, AR 72202 Contact: Mr. Mizan Rahman This firm is certified for the following Department Item Code(s): Phone #: 501/375-1786 None Fax #: 501/375-1277 *Martinez Corporation DBE This firm is certified for the following NAICS Code(s): 8011 34'" Avenue South, Suite C47 541370 Surveying and Mapping (except Geophysical) Services Bloomington, MN 55425 Contact: Mr. Anthony Martinez This firm is certified for the following Department Item Code(s): Phone #: 888/290-1127 None Fax #: 952/698-0234 Tax Preparation Services 'A. L. Jackson & Company, P.A. DBE This firm is certified for the following NAICS Code(s): 1221 Brickell Avenue, Suite 900 541213 Tax Preparation Services Miami, FL 33131-3227 Contact: Mr. Anthony Jackson This firm is certified for the following Department Item Code(s): Phone #: 305/623-3032 None Fax #: 305/624-1055 74 Telecommunications Management Consulting *Capital International Communications, LLC DBE This firm is certified for the following NAICS Code(s): 8762 St. Charles Rock Road 541618 Telecommunications Management Consulting St. Louis, MO 63114 Contact: Dr. Don Cook, Sr. This firm is certified for the following Department Item Code(s): Phone #: 314/707-7717 None Fax #:636/227-2114 Testing Laboratories Construction Materials Testing Services, Inc. WBE This firm is certified for the following NAICS Code(s): 246 Hempstead 211 541380 Testing Laboratories Emmet, AR 71835 Contact: Ms. Jessica Davis This firm is certified for the following Department Item Code(s): Phone #: 870/777-6767 210;212; 301; 302;303;305;306;307; 308;309;310;44J4;405; Fax #: 870/246-7396 406;407;409;410;411;416;417; 501; 605;632;633;634; 801; 802 Traffic Engineering Consulting Services *KFH Group, Inc. WBE This firm is certified for the following NAICS Code(s): 4920 Elm Street, South 350 541330 Traffic Engineering Consulting Services Montgomery, MD 20814 Contact: Ms. Sue Knapp This firm is certified for the following Department Item Code(s): Phone #: 301/951-8660 None Fax #:301/951-0026 Transportation Management Consulting Services This firm is certified for the following NAICS Code(s): *Vesta Rea & Associates, LLC WBE P.O. Box 73643 541614 Transportation Management Consulting Services Houston, TX 77372-3643 Contact: Ms. Vesta Rea -Gaubert This firm is certified for the following Department Item Code(s): Phone #: 281/376.4202 None Fax #: 281/376-1533 Utilities Doyne Construction Company, Inc. P. O. Box 5820 North Little Rock, AR 72119 Contact: Mr. Dexter Doyne Phone #: 501/376-8900 Fax #: 501/376-7419 *Jerome, Inc. P.O. Box 164062 Little Rock, AR 72206 Contact: Mr. Isadore Caldwell Phone #: 501/376-3394 or 501/584-5596 Fax #:501/375-7579 Vehicular DBE IThis firm is cert 221000 Utilities This firm is certified for the following Department Item Code(s): None DBE IThis firm is certified for the following NAICS 221000 Utilities - Telecommunications This firm is certified for the following Department Item Code(s): None *Valley Illuminators WBE This firm is certified for the following NAICS Code(s): P. O. Box 3001 336321 Vehicular Lighting Equipment Manufacturing Federal Way, WA 98063-3001 Contact: Ms. Polly Valley This firm is certified for the following Department Item Code(s): Phone#:253/833-3016 None Fax #:253/735-5414 Water & Sewer Line & Related Structures Construction C & M Contractors, Inc. WBE This firm is certified for the following NAICS Code(s): P. O. Box 247 237110 Water & Sewer Line & Related Structures Construction Doniphan, MO 63935 Contact: Ms. Melinda Vaughn This firm is certified for the following Department Item Code(s): Phone #:573/996-3113 None Fax #: 573/996-3883 75 Lambert Construction Company, Inc. P.O. Box 46391 Little Rock, AR 72214 Contact: Mr. Gary Lambert Phone #: 501/888-6150 Fax #: 501/888-6154 Romero Construction Company, Inc. P.O. Box 148 Mount Ida, AR 71957 Contact: Mr. Patrick Romero Phone #: 870/326-4970 Henry E. Peacock and Associates, LLC P.O. Box 224 Forrest City, AR 72336 Contact: Mr. Henry Peacock Phone #: 870/633-0437 Fax #: 870/633-0437 DBE This firm is certified for the following NAICS Code(s): 237110 Water & Sewer Line & Related Structures Construction This firm is certified for the following Department Item Code(s): None 237110 Water & Sewer Line & Related Structures Construction This firm is certified for the following Department Item Code(s): None DBE (This firm is certified for the following NAICS Code(s): 237110 Water and Sewer Line and Related Structures Construction This firm is certified for the following Department Item Code(s): Wholesale Trade Agents & Brokers Davis Petroleum Services, Inc. DBE This firm is certified for the following NAICS Code(s): P. O. Box 24864 425120 Wholesale Trade Agents & Brokers (Petroleum Products Little Rock, AR 72221-4864 Broker) Contact: Mr. Tyronne Davis Phone #: 501/663-0003 This firm is certified for the following Department Item Code(s): Fax #: 501/6634269 203 BROKER ONLY -401; 402; 403; 405; 406; 407 L -J Company, Inc. WBE This firm is certified for the following NAICS Code(s): 255 Ashley 100 Road 425120 Wholesale Trade Agents & Brokers Hamburg, AR 71646 Contact: Ms. Lummye Courson This firm is certified for the following Department Item Code(s): Phone #: 870/8534747 None Fax #:870/853-9073 flu Section 3 Department Item Code Index ITEM ITEMS CODE DIVISION 200 - SITE PREPARATION AND EARTHWORK 201 Clearing and Grubbing 202 Removal and Disposal of Structures 203 Removal and Disposal of Underground Storage Tank Systems 205 Removal and Disposal of Existing Bridge Structures 206 Flowable Select Material 207 Stone Backfill 208 Fence Moved and Reconstructed 209 Removing and Replacing Base Course and Asphalt Surfacing 210 Excavation and Embankment 212 Subgrade 213 Shaping Roadway Section 214 Subgrade Preparation 215 Trenching and Shoulder Preparation 216 Scarifying and Recompacting Shoulders DIVISION 300 - BASES AND GRANULAR SURFACES 301 Lime Treated Subgrade 302 Selected Material 303 Aggregate Base Course 305 Reconstructed Base Course 306 Quality Control and Acceptance 307 Cement Treated Base Course 308 Cement Stabilized Crushed Stone Base Course 309 Portland Cement Concrete Base 310 Open Graded Portland Cement Concrete Base Course DIVISION 400 - ASPHALT PAVEMENTS 401 Prime and Tack Coats and Emulsified Asphalt in Base Course 402 Asphalt Surface Treatment 403 Materials and Equipment for Prime, Tack, and Asphalt Surface Treatments 404 Design and Quality Control of Asphalt Mixtures 405 Asphalt Concrete Hot Mix Stabilized Base Course 406 Asphalt Concrete Hot Mix Binder Course 407 Asphalt Concrete Hot Mix Surface Course 409 Materials and Equipment for Asphalt Concrete Plant Mix Courses 410 Construction Requirements and Acceptance of Asphalt Concrete Plant Mix Courses 411 Asphalt Concrete Cold Plant Mix 412 Cold Milling Asphalt Pavement 618 DIVISION 400 - ASPHALT PAVEMENTS 414 Asphalt Concrete Patching for Maintenance of Traffic 415 Asphalt Concrete Hot Mix Patching of Asphalt Roadway 416 Recycled Asphalt Pavement 417 Open Graded Asphalt Base Course 418 Slurry Seal DIVISION 500 - RIGID PAVEMENT 501 Portland Cement Concrete Pavement 502 Reinforcing Steel for Pavement 503 Continuously Reinforced Concrete Pavement 504 Approach Slabs and Gutters 505 Portland Cement Concrete Driveway 506 Portland Cement Concrete Corrugations 507 Portland Cement Concrete Pavement Patching 509 Joint Rehabilitation 510 Grinding Portland Cement Concrete Pavement 511 Portland Cement Concrete Shoulder (Add -On) 512 Cleaning and Filling Joints in Existing Concrete Pavement DIVISION 600 - INCIDENTAL CONSTRUCTION 601 Mobilization 602 Furnishing Field Offices and Laboratories 603 Maintenance of Traffic and Temporary Structures 604 Traffic Control Devices in Construction Zones 605 Concrete Ditch Paving 606 Pipe Culverts 607 Precast Reinforced Concrete Box Culverts 608 Structural Plate Pipe and Arches 609 Drop Inlets and Junction Boxes 610 Manholes, Drop Inlets, and Junction Boxes Adjusted to Grade 611 Pipe Underdrains, Outlet Protectors, and Covers 612 Pipe Siphons 613 Steel Grate Assembly 614 Concrete Spillway 615 Pavement Repair Over Culverts 616 Automatic Floodgates 617 Guardrail 618 Guard Cable 619 Fences 620 Seeding 621 Temporary Erosion Control Items and Devices 622 Sod Mulch 623 Second Seeding Application 79 DIVISION 600 - INCIDENTAL CONSTRUCTION 624 Solid Sodding 625 Geotextile Fabric 626 Erosion Control Matting 628 Topsoil Furnished and Placed 629 Gabions 630 Rock Buttress 631 Concrete Barrier Wall 632 Concrete Island 633 Concrete Walks, Steps and Hand Railing 634 Curbing 635 Roadway Construction Control 636 Bridge Construction Control 637 Mailboxes 638 Painting of Miscellaneous Steel 639 Guardrail Moved and Reconstructed 640 Modifying Drop Inlets and Junction Boxes 641 Wheelchair Ramps 642 Rumble Strips DIVISION 700 - TRAFFIC CONTROL FACILITIES 701 Actuated Controller 702 Pre -timed Controller 703 Flashing Beacon Controller 704 Loop Detector 705 Loop Wiring in Duct 706 Traffic Signal Head 707 Pedestrian Signal Head 708 Traffic Signal Cable 709 Galvanized Steel Conduit 710 Non-metallic Conduit 711 Concrete Pull Box 712 Span Wire Support Pole with Foundation 713 Span Wire Assembly 714 Traffic Signal Mast Arm and Pole with Foundation 715 Traffic Signal Pedestal Pole with Foundation 716 Treated Wood Pole 717 Traffic Signal Equipment Performance Test 718 Reflectorized Paint Pavement Marking 719 Thermoplastic Pavement Marking 720 Permanent Pavement Marking Tape 721 Raised Pavement Marker 722 Plowable Pavement Marker 723 General Requirements for Signs 724 Overhead, Bridge Mounted, and Cantilever Sign Structures U' t DIVISION 700 - TRAFFIC CONTROL FACILITIES !1 725 Guide Sign 726 Standard Sign 727 Exit Number Panel 728 Delineators 729 Channel Post Sign Support 730 Breakaway Sign Support 731 Impact Attenuation Barrier 732 Crash Cushions 733 Video Detector with Radio Interface 734 Bridge End Terminal DIVISION 800 - STRUCTURES 801 Excavation and Backfilling 802 Concrete for Structures 803 Protective Surface Treatment for Concrete 804 Reinforcing Steel for Structures 805 Piling 806 Bridge Railings 807 Steel Structures 808 Elastomeric Bearings 809 Preformed Joint Seal 810 Closed Cell Joint Filler 811 Sheet Piles 812 Bridge Name Plate 813 Dampproofing 815 Membrane Waterproofing 816 Filter Blanket and Riprap 817 Timber Bridges 818 Untreated and Treated Timber Piling 820 Cleaning and Painting Existing Structural Steel 821 Modification of Existing Bridge Structures 822 Repair and Overlay of Concrete Bridge Decks [31 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment C Monitoring and Enforcement Mechanisms 03/06/09 The City of Fayetteville has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following: 1. Breach of contract action, pursuant to the terms of the contract; 2. Enforcement or suspension action, pursuant to Chapter 29 — Public Works; Arkansas State Code. In addition, the federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, including, but not limited to, the following: 1. Suspension or debarment proceedings pursuant to 49 CFR part 26 2. Enforcement action pursuant to 49 CFR part 31 3. Prosecution pursuant to 18 USC 1001. http:// wwv.accessfayetteville.org/govemmentlaviation/disadvantage_business_enterpdse/dbe.cfin City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment D Section 26.45: Overall Goal Calculation Airport Sponsor: City of Fayetteville Name of Preparer: James. Nicholson, Financial Coordinator Fayetteville Municipal Airport/Drake Field 4500 S School Ave., Suite F, Fayetteville, AR 72701 Goal Period: 10/01/08 thru 9/30/09 — AIP Grant No. 3-05-0020-0037-2009 Overall DBE Goal: 1.4% 03/06/09 Introduction to 2009 DBE Goal update: The City of Fayetteville / Fayetteville Municipal Airport DBE Goal update for Fiscal Year (FY) 2009 and extending through the completion of the Airport Improvement Project (AIP) noted above, is provided to describe the Airport Projects which are funded in part with Department of Transportation (DOT) / Federal Aviation Administration (FAA) funds, and to determine by the federally prescribed methodology the portion or percentage of those funds targeted for contract award to Disadvantaged Business Enterprises (DBE's) in accordance with Federal Regulations 49 CFR Part 26. The Goal Update is a prerequisite for AIP grant funding for airports which anticipate receiving more than $250,000 in federal funding from the DOT / FAA in the 2009 fiscal year. The 2009 DBE Goal Update revises the DBE participation goal in federally funded airport contracts anticipated for the 2009 fiscal year, from that originally described in the airport's previously published DBE Program Plan and successive annual goal updates. The FY 2009 Goal Update is effective concurrent with the solicitation of bids through completion of the grant funded project. Public Participation and Consultation in the DBE Goal Update process is a requirement under federal regulations at §26.45(g). The updated Goal and Methodology is published for 30 days prior to submittal to the FAA for approval. Comments on the Goal Update are accepted for 45 days after the date of public notification of its availability for public review. A number of interested private and public entities were selected to review and comment on the Goal Update, (see attachment #1 - list of consulting agencies). Public comments on the updated goal and methodology are incorporated with the submission to the FAA. Public comments on the proposed FY 2009 Goal will be received until 10115/08, (see attachment #2 — comments) Comments on the FY 2009 DBE Goal Update may be submitted to the Fayetteville Municipal Airport's DBE Liaison Officer by phone, writing, fax, or e-mail to the following: James Nicholson, DBE Liaison Officer Fayetteville Municipal Airport / Drake Field 4500 South School Ave., Suite F Fayetteville, AR 72701 479-718-7642 479-718-7646 fax iicholson(a)ci.favetteville.ar.us httpJ/www.accessfayettevi lle.org/govemmentlaviation/disadvantage_business_enterprise/dbe.cfm. City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 OVERALL GOALS (§26.45) Goal Period 10/1/08 - 9/30/09 Amount of Goal 1. City of Fayetteville's overall goal for FY 2009 is the following: 1.4% of the Federal Financial assistance to be expended in DOT -assisted contracts. 2. $ 2,150,000 is the total anticipated project funding from DOT -FAA in 2009. Of that amount, $700,000 is allocated for land acquisition costs. Therefore, the dollar amount of DOT -assisted contracts that City of Fayetteville expects to award during FY2009 is $1,450,000. This means that City of Fayetteville has set a goal of expending $ 20,300 with DBEs during this fiscal year/project. Determination of Market Area Step 1 of the methodology for determining DBE percentage goal requires an assessment of the relative availability of DBE's in the local market area. The local market area is the area which provides, or is most likely to provide, the firms considered qualified to perform the needed work. Correct RW 16 RSA Deficiency Phase II, Engineering & Design, Roadway Alignment: The Airport has selected, and has contracted with a consulting Engineering firm which will be used to perform a significant portion of the second phase of the above noted project. The Engineering consultant was selected in accordance with the requirements of 49CFR Part18.36, Procurement, and as permitted under paragraphs (d)(3)(v), by competitive proposals (A/E professional services). The Contract with the engineering firm includes a specific Disadvantaged Business Enterprise DBE Assurances clause stating the firm's responsibility to "...create a level playing field on which DBEs can compete fairly for DOT - assisted contracts." Construction work consisting of earthwork and fencing is also planned. We used information from the State of Arkansas Contractors Licensing Board to determine the number of qualified Contractors available for the project. Historically, most construction contractors for airport improvement work have come from the local area, specifically, Washington, Crawford, and Benton County, except that, occasionally a contractor performing ancillary tasks may be recruited from a further distance. However, the project being considered involves re-routing a portion of the State-owned roadway which bounds the west property line of the airfield and intrudes the Runway Safety Area. Thus, State-wide roadway construction companies will be solicited. Considerations in selecting Market Area Correct RW 16 RSA Deficiency Phase II, Engineering & Design, Roadway Alignment: The project phase consists of engineering, geologic investigation, surveying, roadway alignment and design/engineering, appraisal and property acquisition, grading, fill and drainage, roadway bed preparation, and fencing. Due to the extent of the project, additional professional services beyond engineering and design are required. Many of the tasks to be accomplished need not be performed on site. It is desirable, but not essential, to enlist skilled personnel who are experienced and knowledgeable of local conditions. However, professionals certified by the State of Arkansas are presumed to have the httpJ/vn,w accessfayetteville.org/govemmenVaviation/disadvantage_business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 03/06/09 qualifications necessary to perform the work adequately. Therefore, the selected Market Area for this project phase is determined to be the entire State of Arkansas. The consulting Engineer under contract to the airport lists at least one Woman -Owned Business Enterprise, (WBE), as an associate team partner for airport work. Additionally, a list of the DBE contractors in the State of Arkansas presumed to meet qualifications for subcontracted work under the consulting Engineer's contract will be compiled and issued to the Engineering firm. The consulting Engineer will be directed to inquire with the DBE firms as to their fitness and availability for any subcontracted work required by the consulting Engineering firm. Since the anticipated project consists of re-routing a portion of State Highway 71, construction and construction -related contractors for the project may be recruited from the state-wide pool of Heavy Construction I Highway, Street & Bridge constructors. Our Washington County, Arkansas location, situated in a central valley of the Boston Mountains, contributes to an insulated climate for material suppliers. Accessibility to distant material producers by trans -state highway is limited by mountain terrain and distances of surrounding rural area. The available DBE Contractors in the Local Market Area are those listed as being certified DBE by the Arkansas Unified DBE Certification Program, and listed in the "Arkansas Unified Disadvantaged Business Enterprise Directory" published July 2, 2008. http://www.accessfayettevi lle.org/government/aviation/disadvantage_business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Amount of Goal 03/06/09 1. City of Fayetteville's overall goal for FY 2009 is the following: 1.4% of the Federal Financial assistance to be expended in DOT -assisted contracts. 2. $ 1.450.000 is the dollar amount of DOT -assisted contracts that City of Fayetteville expects to award during FY2009. This means that City of Fayetteville has set a goal of expending $ 20,300 with DBEs during this fiscal year/project. Methodology used to Calculate Overall Goal Step 1: 26.45(c) Determine the base figure for the relative availability of DBEs. The base figure for the relative availability of DBEs was calculated as follows: Base figure Ready, willing, and able DBEs All firms ready, willing and able The data source or demonstrable evidence used was: Project No. 1: Correct RW 16 RSA Deficiency Phase I, Engineering & Design, Roadway Alignment. 2002 NAICS Code Work Item — Professional Services DBE's in Local Market Area All Available Firms* 53121 Real Estate Agents & Brokers 2 548 53132 Appraisal offices 1 142 54133 Engineering services 1 275 54136 Geophysical surveying and mapping 1 6 54138 Testing laboratories 1 40 Totals for this Contract 6 1011 US Census — 2002 Economic Census data http://vnvw.accessfayetteville.org/govemm ent/aviation/disadvantage_ business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 03/06/09 2002 NAICS Code Work Item - Construction DBE's in Local Market Area All Available Firms 237310 Highway, Street & Bridge Construction 13 194 238110 Asphalt Contractor 0 203 327320 Ready Mix Concrete Mfg 1 93 238120 Structural steel & Precast Concrete 4 17 238210 Electrical Contractors 2 517 237310 Striping (Hwy, St, & Bridge Construction) 0 48 238910 Site Preparation Contractors 1 279 484220 Dump Trucking, local specialized 7 226 Totals for this Construction Contract 28 1577 The numerator divided by the denominator is the calculation of the base figure for the overall goal. Weighting Roughly 12% of the project expense is allocated to Design & Engineering, real estate consulting and appraisals, and 88% to construction related activities. Therefore, the tasks associated with each category are calculated separately and summed. Calculation of Base Figure The base figure is calculated as: the number of available DBE contractors as a percentage of all available contractors in the Local Market Area. Base Figure = DBE contractors / all contractors Base Figure = (5/1011) + (27/1577) = 0.006 + .018 = .024 Step 2: 26.45(d) Step 2 is an adjustment to the base figure percentage from Step 1 so that the updated goal accurately reflects the actual attainable DBE participation in FY 2009 airport contracts. Past years DBE accomplishment results data for similar projects are examined and the median percentage is averaged with the base figure to determine the adjusted percentage goal. Only projects comprising like work are used for comparison. DBE Goal Accomplishments - Historical Information http://w.accessfayetteviIle.org/govemmentlaviation/disadvantage_business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 03/06/09 Year Goal % Accomplishment % Project Type 2000 1.74 0 Access Road Construction 2001 .93 .42 Taxiway / Runway Rehabilitation 2003 .73 1.99 Taxiway Construction 2004 1.18 1.13 Taxiway Construction 2005 1.0 .63 Aircraft Apron 2006 1.31 0 Aircraft Apron 2007 .75 0 Planning & Engineering Median % 1.0 0.42 Calculation of adjustment to DBE Base Figure The calculation of the adjusted figure is determined by averaging the base figure and the historical median for like projects. Base Figure + Historical Avg. / 2 = Adjusted Figure (2.4+0.42)/2=1.4 httpJ/www.accessfayetteville.org/govemm ent/aviation/disadvantage_business_enterprise/dbe.cfm City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 Public Participation We published our goal information in these publications: Arkansas Democrat Gazette — Northwest Arkansas edition Hola! Arkansas — Statewide Bi-lingual newspaper City of Fayetteville website We received comments from these individuals or organizations: 1. Charles Lynch, AR Development Finance Authority, (ADFA), by phone 8/26/08: In response to our letter requesting a review of our 2009 DBE Goal Update, Mr. Lynch called to provide information about a guaranteed loan program offered by his agency. The program enlists local banks to qualify borrowers for DBE small business capital loans and lines of credit up to $50,000. He asked that any DBEs or potential DBEs who consider bidding on airport projects be informed of this program and be provided Mr. Lynch's contact information. Mr. Lynch also made a referral to an individual, Donnie Rayford, who is conducting recruitment, training and assistance with DBE certification in Arkansas. City of Fayetteville response: Requested and received ADFA guaranteed loan program documents to keep on file in order to provide to existing or potential DBE contractors. http:// wvw.accessfayetteville.org/govemmentlaviation/disadvantage_business_enterprise/dbe.cfm 7 City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment E Section 26.51: Breakout of Estimated Race -Neutral & Race Conscious Participation 03106/09 City of Fayetteville will meet the maximum feasible portion of its overall goal by using race -neutral means of facilitating DBE participation. The City of Fayetteville uses the following race -neutral means to increase DBE participation: • Encourage Prime Contractors to subcontract portions of the work that they might otherwise perform with their own forces. • Arrange the time of solicitation and receipt of bids at suitable times. • Provide information and assistance to DBEs concerning ADFA guaranteed loan program. • Provide electronic notification of pending solicitations through e-mail contractor list. • Post notices of solicitations to City of Fayetteville website. We estimate that, in meeting our overall goal of 1.4 %, we will obtain 0 % from race -neutral participation and 1_4 % through race -conscious measures. The following is a summary of the basis of our estimated breakout of race -neutral and race -conscious DBE participation: In determining what percentage of the 2009 adjusted goal could be met through race -neutral means, we reviewed historical DBE accomplishments for Fayetteville / Drake Field. FYV did not have any DBE participants in Professional Services contracts on any AIP projects for the last six years, nor was FYV able to meet its minimum goal for construction activities. Therefore, we estimate that in meeting our overall 2009 adjusted goal of 1.4%, we will obtain 0% from race -neutral participation and 1.4% from race -conscious measures (e.g. setting contract goals). In order to ensure that our DBE program will be narrowly tailored to overcome the effects of discrimination, if we use contract goals we will adjust the estimated breakout of race -neutral and race - conscious participation as needed to reflect actual DBE participation (see 26.51(f)) and we will track and report race -neutral and race conscious participation separately. For reporting purposes, race -neutral DBE participation includes, but is not necessarily limited to, the following: DBE participation through a prime contract a DBE obtains through customary competitive procurement procedures; DBE participation through a subcontract on a prime contract that does not carry DBE goal; DBE participation on a prime contract exceeding a contract goal; and DBE participation through a subcontract from a prime contractor that did not consider a firm's DBE status in making the award. We will maintain data separately on DBE achievements in those contracts with and without contract goals, respectively. http:// ww.accessfayetteville.org/govemmentlaviation/disadvantage_ business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment F CITY OF FAYETTVILLE BIDDERS LIST FORM 03/06/09 All bidders/proposers are required to provide the following information and for all DBE and non - DBE subcontractors, who provided a proposal, bid, or quote on this project and must be submitted with their bid/proposal in order to be considered as a `responsible' bidder/proposer. The purpose of collecting this information is to comply with requirements at federal regulation 49CFR part 26.11(c) to maintain and update a Bidders List to assist in the overall annual goal DBE goal setting process. Finn Name: Address: Contact Person: Phone: Fax: Email: Is the firm currently certified as a DBE with the Arkansas Unified DBE Program? Type of work/services/materials provided by firm: What were your firm's Gross Annual receipts for last year? ❑ Less than $1 Million ❑ Less than $15 Million ❑ Less than $5 Million ❑ More than $15 Million ❑ YES ❑ NO ❑ Less than $10 Million This form can be duplicated if necessary to report all bidders (DBEs and non- DBEs) information. http:/twa .accessfayettevilleorg/govemm.ent/aviation/disadvantage_business_enterpdse/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment G Forms 1 & 2 for Demonstration of Good Faith Efforts FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION 03/06/09 The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following manner (please check the appropriate space): The bidder/offeror is committed to a minimum of _ % DBE utilization on this contract. The bidder/offeror (if unable to meet the DBE goal of _ %) is committed to a minimum of _% DBE utilization on this contract and submits documentation demonstrating good faith efforts. Name of bidder/offeror's firm: State Registration No. By (Signature) Title http://www.accessfayetteville.org/govemm ent/aviation/disadvantage_ business_enterpdse/d be.cfm City of Fayetteville 03/06/09 DBE Program 49 CFR Part 26 Revised October 2008 FORM 2: LETTER OF INTENT Name of bidder/offeror's firm: Address: City: Name of DBE firm: State: Zip: Address: City: State: Zip: Telephone: Description of work to be performed by DBE firm: ----------------------------------------------------------- The bidder/offeror is committed to utilizing the above -named DBE firm for the work described above. The estimated dollar value of this work is $ Affirmation The above -named DBE firm affirms that it will perform the portion of the contract for the estimated dollar value as stated above. By (Signature) (Title) If the bidderlofferor does not receive award of the prime contract, any and all representations in this Letter of Intent and Affirmation shall be null and void. (Submit this page for each DBE subcontractor.) httpJ/wwvv.accessfayetteville.org/govemm entlaviation/disadvantage_business_enterprise/dbe.cfm City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment H Arkansas Unified DBE Certification Program 03/06/09 This document is incorporated in its entirety and is made part of the City of Fayetteville's Disadvantaged Business Enterprise Program. The Arkansas Unified DBE Certification Program contains the following information in support of requirements found at Section 26.61 — 26.73 Certification Process: UCP Letter of Agreement Certification Application Forms Procedures for De -certification of.DBEs Affidavit of Certification / Annual Affidavit http:/lwww.accessfayetteville.org/govemm ent/aviation/disadvantage_business_enterprise/dbe.cfm The Disadvantaged Business Enterprise (DBE) requirements contained in 49 CFR Part 26 published in February 1999 include a provision for a "one -stop" certification process. Failure to develop and execute a Unified Certification Program (UCP) agreement will result in a loss of -United States Department of Transportation (USDOT) funding. Arkansas entities receiving Federal Highway Administration (FHWA), Federal Aviation Administration (FAA) and Federal Transit Administration (FTA) funding were identified and asked to participate in developing a UCP. A committee to oversee the development of the UCP statewide was formed that included FHWA, FAA and FTA funding recipients. The committee decided the Arkansas UCP. would be called the Arkansas Unified Disadvantaged Business Enterprise Certification Program or ACP. The UCP will not establish, recommend, or alter any agency's overall DBE Program, other than to supplement an approved program submittal, DBE goal or goal methodology. DBE goal development, administration, monitoring, and reporting remains the sole responsibility of the agency with a USDOT approved DBE Program, subject to any oversight requirements of FHWA, FAA or FTA. Recipients of USDOT funding greater than or equal to $250,000 are required to ratify the UCP agreement and all DBE certifications by the ACP will be binding. By signature of this letter, I have read and agree to adhere to the guidelines and procedures established by the ACP agreement, including subsequent revisions. c4eti k I Iltll11Ct1≥,t t Zot d Nariie of Organisation * Please maintain a copy of this executed document for yourlfile and return original. RECEIVED JAN08 8 2001 To: Recipient's of United States. Department of Transportation AIRPORT (USDOT) Federal Funding in the State of Arkansas In March of 1999, a new Disadvantaged Business Enterprise (DBE) regulation (Part 26) took effect that revamped the DBE program. In accordance with 49 C.F.R. Section 26.81, recipients of funds equal to or greater than $250,000 from USDOT's Federal Aviation Administration (FAA), Federal Transit Administration (FTA) and Federal Highway Administration (FHWA) operating administrations within a given state must band together to develop and implement a Unified Certification Program (UCP) to afford prospective applicants to the DBE program "one stop shopping." "One stop shopping" means that an applicant will only need to file one DBE application and go through one certification review to achieve a DBE certification that will be recognized by all other recipients within the state. Currently, a firm may need to seek certification from different entities if it seeks to do highway, transit or aviation related work. The UCP agreement will provide such applicants a "one stop shop." The Arkansas Unified DBE Certification Program (ACP) committee formed earlier this year and developed the enclosed joint UCP agreement. Your formal acceptance of the agreement is required before the UCP can be officially approved by USDOT. Attached are a copy of the proposal and a letter of agreement. The proposal should be read and the letter of agreement signed and returned to the Arkansas State Highway and Transportation Department before January 18, 2002. (A postage paid addressed envelope is provided.) Although your organization may not currently be receiving $250,000 or more in Federal funds, you will be required to participate in this agreement should you reach that funding level. You may choose to sign the agreement now, or wait until you are in.this position. You may have additional questions about the proposal, and we welcome those questions. Contact people are listed on the attachment. We appreciate your immediate attention to this matter. ACP Committee Contact Information Dan Clinton, P.E. Grimes Consulting Engineers, Inc. Riviera Building 3700 Cantrell Road, Suite 106 Little Rock, AR 72202 Phone: 501-666-1500 Fax: 501-666-4519 Email: DCLINT62[ilMSN.COM Kay Crutchfield, EEO Section Head Arkansas Highway & Transportation Department 10324 Interstate 30 * P.O. Box 2261 Little Rock, AR 72203-2664 Phone: 501-569-2298 Fax: 501-569-2664 Email: kay.crutchfield(o)ahtd.state.ar.us Celestine Lindsey, Manager —Properties Adams Field/Little Rock National Airport One Airport Drive Little Rock, AR 72202 Phone: 501-372-3439 Email: Irnadmin@Irn-airport.com Valera McDaniel — Transportation Specialist Federal Highway Administration — Arkansas Division 700 West Capitol Ave, Room 3130 Little Rock, AR 72201-3298 Phone: 501-324-5326 Fax: 501-324-6423 Email: valera.mcdaniel(�fhwa.dot.gov Ken Simmons, President AAOA Searcy Municipal Airport 2609 South Main Searcy, AR 72143 Phone: 501-279-1080 Email: k simmons(a rocketmail.com I I 0r,ortwr A rkansas.F IIWAfhwa.dot.gov LITTLE44ROCK NATIONAL AIRPORT Li uleRookAirport.AERO Central Arkansas Transit Authority SWilliamsccata.olg ARKANSAS AIRPORT A OPERATORS AAOA ASSOCIATION BEIowe g'f)eltaAirpon.com DISADVANTAGED BUSINESS ENTERPRISE PROGRAM TITLE 49 CODE OF FEDERAL REGULATIONS PART 26 ARKANSAS UNIFIED DBE CERTIFICATION APPLICATION 10324 Interstate 30, P. O. Box 2261 Little Rock, Arkansas 72203-2261 Natasha Halbert, DBE Program Specialist (501) 569-2259 Aviation Oriented Services or Products including Concessionaires One Airport Drive Little Rock, Arkansas 72202 Celestine Lindsey, Manager -Proprieties (501) 372-3439 Under Sec. 26.107 of 49 CFR Part 26, dated February 2, 1999, if at any time, the Department or a recipient has reason to believe that any person or firm has willfully and knowingly provided incorrect information or made false statements, the Department may initiate suspension or debarment proceedings against the person or firm under 49 CFR Part 29, Governmentwide Debarment and Suspension (nonprocurement) and Governmentwide Requirements for Drug -free Workplace (grants), take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, and/or refer the matter to the Department of Justice for criminal prosecution under 18 U.S.C: 1001, which prohibits false statements in Federal programs. NOTICE OF NONDISCRIMINATION The Arkansas State Highway and Transportation (Department) complies with the Americans with Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, Title VI of the Civil Rights Act of 1964 and other federal equal opportunity laws and therefore does not discriminate on the basis of race, sex, color, age, national origin, religion or disability, in admission or access to and treatment in Department programs and activities, as well as the Department's hiring or employment practices. Complaints of alleged discrimination and inquiries regarding the Department's nondiscrimination policies may be directed to James B. Moore, Jr., Section Head - EEO/DBE (ADA/504/ritle V1 Coordinator), P.O. Box 2261, Little Rock, AR 72203, (501) 569-2298, (Voice/TTY 711), or the following email address: lames moore,Iarkansashighways.com. This notice is available from the ADA/504/Title V1 Coordinator in large print, on audiotape and in Braille. ROADMAP FOR APPLICANTS 1) Should I apply? o Is your firm at least 51% -owned by a socially and economically disadvantaged individual(s) who also controls the firm? o Is the disadvantaged owner a U.S. Citizen or lawfully admitted permanent resident of the U.S.? o Is your firm a small business that meets the Small Business Administration's (SBA's) size standard and does not exceed $20.41 million in gross annual receipts? o Is your firm organized as a for-profit business? If you answered "Yes" to all of the questions above, you may be eligible to participate in the U.S. DOT DBE program. 2) Is there an easier way to apply? If you are currently certified by the SBA as an 8(a) and/or SDB firm, you may be eligible for a streamlined certification application process. Under this process, the certifying agency to which you are applying will accept your current SBA application package in lieu of requiring you to fill out and submit this form. NOTE: You must still meet the requirements for the DBE program, including undergoing an on -site review. 3) Be sure to attach all of the required documents listed in the Documents Check List at the end of this form with your completed application. 4) Where can I find more information? o U.S. DOT — htto://osdbuweb.dot.gov/business/dbe/index/litml (this site provides useful links to the rules and regulations governing the DBE program, questions and answers, and other pertinent information) o SBA — http://www.ntis.gov/naics (provides a listing of NAICS codes) and httn://www.sba.gov/size/indextableofsize.html (provides a listing of NAICS codes) o 49 CFR Part 26 (the rules and regulations governing the DBE program) INSTRUCTIONS FOR COMPLETING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM UNIFORM CERTIFICATION APPLICATION Note: If you require additional space for any question in this application, please attach additional sheets or copies as needed, taking care to indicate on each attached sheet/copy the section and number of this application to which it refers. Section 1: CERTIFICATION INFORMATION A. Prior/Other Certifications Check the appropriate box indicating for which program your firm is currently certified. If you are already certified as a DBE, indicate in the appropriate box the name of the certifying agency that has previously certified your firm, and also indicate whether your firm has undergone an onsite visit. If your firm has already undergone an onsite visit/review, indicate the most recent date of that review and the state UCP that conducted the review. NOTE: If your firm is currently certified under the SBA's 8(a) and/or SDB programs, you may not have to complete this application. You should contact your state UCP to find out about a streamlined application process for firms that are already certified under the 8(a) and SDB programs. B. Prior/Other Applications and Privileges Indicate whether your firm or any of the persons listed has ever withdrawn an application for a DBE program or an SBA 8(a) or SDB program, or whether any have ever been denied certification, decertified, debarred, suspended, or had bidding privileges denied or restricted by any state or local agency or Federal entity. If your answer is yes, indicate the date of such action, identify the name of the agency, and explain fully the nature of the action in the space provided. Section 2: GENERAL INFORMATION A. Contact Information (1) State the name and title of the person who will serve as your firm's primary contact under this application. (2) State the legal name of your firm, as indicated in your firm's Articles of Incorporation or charter. (3) State the primary phone number of your firm. (4) State a secondary phone number, if any. (5) State your firm's fax number, if any. (6) State your firm's or your contact person's e-mail address. (7) State your firm's website address, if any. (8) State the street address of your firm (i.e., the physical location of its offices — not a post office box address). (9) State the mailing address of your firm, if it is different from your firm's street address. B. Business Profile (I) In the box provided, briefly describe the primary business and professional activities in which your firm engages. (2) State the Federal Tax ID number of your firm as provided on your firm's filed tax returns, if you have one. This could also be the Social Security number of the owner of your firm. (3) State the date on which your firm was officially established, as stated in your firm's Articles of Incorporation or charter. (4) State the date of which you and/or each other owner took ownership of the firm. (5) Check the appropriate box that describes the manner in which you and each other owner acquired ownership of your firm. If you checked "Other," explain in the space provided. (6) Check the appropriate box that indicates whether your firm is "for profit." NOTE: If you checked "No," then you do NOT qualify for the DBE program and therefore do not need to complete the rest of this application. The DBE program requires all participating firms be for- profit enterprises. (7) Check the appropriate box that describes the legal form of ownership of your firm, as indicated in your firm's Articles of Incorporation or charter. If you checked "Other," briefly explain in the space provided. If you are applying to be certified as an Airport Concessions Disadvantaged Business Enterprise (ACDBE) you must state that in the space provided. (8) Check the appropriate box that indicates whether your firm has ever existed under different ownership, a different type of ownership, or a different name. If you checked "Yes," specify which and briefly explain the circumstances in the space provided. (9) Indicate in the spaces provided how many employees your firm has, specifying the number of employees who work on a full-time and part-time basis. (10) Specify the total gross receipts of your firm for each of the past three years, as declared in your firm's filed tax returns. C. Relationships with Other Businesses (1) Check the appropriate box that indicates whether your firm is co -located at any of its business locations, or whether your firm shares a telephone number(s), a post office box, any office space, a yard, warehouse, other facilities, any equipment, or any office staff with any other business, organization, or entity of any kind. If you answered "Yes," then specify the name of the other firm(s) and briefly explain the nature of the shared facilities or other items in the space provided. (2) Check the appropriate box that indicates whether at present, or at any time in the past: (a) Your firm has been a subsidiary of any other firm; (b) Your firm consisted of a partnership in which one or more of the partners are other firms; (c) Your firm has owned any percentage of any other firm; and (d) Your firm has had any subsidiaries of its own. (3) Check the appropriate box that indicates whether any other firm has ever had an ownership interest in your firm. (4) If you answered "Yes" to any of the questions in (2)(a) -(d) or (3), identify the name, address and type of business for each. D. Immediate Family Member Businesses Check the appropriate box that indicates whether any of your immediate family members own or manage another company. An "immediate family member" is any person who is your father, mother, husband, wife, son, daughter, brother, sister, grandmother, grandfather, grandson, granddaughter, mother-in-law, or father-in-law. If you answered "Yes," provide the name of each relative, your relationship to them, the name of the company they own or manage, the type of business, and whether they own or manage the company. Section 3: OWNERSHIP Identify all individuals or holding companies with any ownership interest in your firm, providing the information requested below (if your firm has more than one owner, provide completed copies of this section for each additional owner): A. Background Information (1) Give the name of the owner. (2) State his/her title or position within your firm. (3) Give his/her home phone number. (4) State his/her home (street) address. (5) Check the appropriate box that indicates this owner's gender. (6) Check the appropriate box that indicates this owner's ethnicity (check all that apply). If you checked "Other," specify this owner's ethnic group/identity not otherwise listed. (7) Check the appropriate box to indicate whether this owner is a U.S. Citizen. (8) If this owner is not a U.S. Citizen, check the appropriate box that indicates whether this owner is a lawfully admitted permanent resident. If this owner is neither a U.S. Citizen nor a lawfully admitted permanent resident of the U.S., then this owner is NOT eligible for certification as a DBE owner. This, however, does not necessarily disqualify your firm altogether from the DBE program if another owner is a U.S. Citizen or lawfully admitted permanent resident and meets the program's other qualifying requirements. B. Ownership Interest (1) State the number of years during which this owner has been an owner of your firm. (2) Indicate the dollar value of this owner's initial investment to acquire an ownership interest in your firm, broken down by cash, real estate, equipment, and/or other investment. (3) State the percentage of total ownership control of your firm that this owner possesses. (4) State the familial relationship of this owner to each other owner of your firm. (5) Indicate the number, percentage of the total, class, date acquired, and method by which this owner acquired his/her shares of stock in your firm. (6) Check the appropriate box that indicates whether this owner performs a management or supervisory function for any other business, if you checked "Yes," state the name of the other business and this owner's function or title held in that business. (7) Check the appropriate box that indicates whether this owner owns or works for any other firm(s) that has any relationship with your firm. If you checked "Yes," identify the name of the other business and this owner's function or title held in that business. Briefly describe the nature of the business relationship in the space provided. C. Disadvantaged Status NOTE: You only need to complete this section for each owner that is applying for DBE qualification (i.e., for each owner who is claiming to be "socially and economically disadvantaged" and whose ownership interest is to be counted toward the control and 51% ownership requirements of the DBE program). (1) Indicate in the space provided the total Personal Net Worth (PNW) of each owner who is applying for DBE qualification. Use the PNW calculator form at the end of this application to compute each owner's PNW. (2) Check the appropriate box that indicates whether any trust has ever been created for the benefit of this disadvantaged owner. If you answered "Yes," briefly explain the nature, history, purpose, and current value of the trust(s). Section 4: CONTROL A. Identify your firm's Officers and Board of Directors: (1) In the space provided, state the name, title, date of appointment, ethnicity, and gender of each officer of your firm. (2) In the space provided, state the name, title, date of appointment, ethnicity, and gender of each individual serving on your firm's Board of Directors. (3) Check the appropriate box that indicates whether any of your firm's officers and/or directors listed above perform a management or supervisory function for any other business. If you answered "Yes," identify each person by name, his/her title, the name of the other business in which s/he is involved, and his/her function performed in that other business. (4) Check the appropriate box that indicates whether any of your firm's officers and/or directors listed above own or work for any other firm(s) that has a relationship with your firm. If you answered "Yes," identify the name of the firm, the officer or director, and the nature of his/her business relationship with that other firm. B. Identify your firm's management personnel (by name, title, ethnicity, and gender) who control your firm in the following areas: (1) Making financial decisions on your firm's behalf, including the acquisition of lines of credit, surety bonds, supplies, etc.; (2) Estimating and bidding, including calculation of cost estimates, bid preparation and submission; (3) Negotiating and contract execution, including participation in any of your firm's negotiations and executing contracts on your firm's behalf; (4) Hiring and/or firing of management personnel, including interviewing and conducting performance evaluations; (5) Field/Production operations supervision, including site supervision, scheduling, project management services, etc.; (6) Office management; (7) Marketing and sales; (8) Purchasing of major equipment; (9) Signing company checks (for any purpose), and; (10)Conducting any other financial transactions on your firm's behalf not otherwise listed. (I 1)Check the appropriate box that indicates whether any of the persons listed in (I) through (10) above perform a management or supervisory function for any other business. If you answered "Yes," identify each person by name, his/her title, the name of the other business in which s/he is involved, and his/her function performed in that other business. (l2)Check the appropriate box that indicates whether any of the persons listed in (I) through (10) above own or work for any other firm(s) that has a relationship with your firm. If you answered "Yes," identify the name of the firm, the name of the person, and the nature of his/her business relationship with that other firm. C. Indicated your firm's inventory in the following categories: (1) Equipment State the type, make and model, and current dollar value of each piece of equipment held and/or used by your firm. Indicated whether each piece is either owned or leased by your firm. (2) Vehicles State the type, make and model, and current dollar value of each motor vehicle held and/or used by your firm. Indicate whether each vehicle is either owned or leased by your firm. (3) Office Space State the street address of each office space held and/or used by your firm. Indicate whether your firm owns or leases the office space and the current dollar value of that property or its lease. ACDBE's must also indicate all fees/lease payments paid to the airport. (4) Storage Space State the street address of each storage space held and/or used by your firm. Indicate whether your firm owns or leases the storage space and the current dollar value of that property or its lease. D. Does your firm rely on any other firm for management functions or employee payroll? Check the appropriate box that indicates whether your firm relies on any other firm for management functions or for employee payroll. If you answered "Yes," briefly explain the nature of that reliance and the extent to which the other firm carries out such functions. E. Financial Information (I) Banking Information (a) State the name of your firm's bank. (b) State the main phone number of your firm's bank branch. (c) State the address of your firm's bank branch. (2) Bonding Information (a) State your firm's Binder Number. (b) State the name of your firm's bond agent and/or broker. (c) State your agent's/broker's phone number. (d) State your agent's/broker's address. (e) State your firm's bonding limits (in dollars), specifying both the Aggregate and Project Limits. F. Identify all sources, amounts, and purposes of money loaned to your firm, including the names of persons or firms securing the loan, if other that the listed owner: State the name and address of each source, the name of the person securing the loan, the original dollar amount and the current balance of each loan, and the purpose for which each loan was made to your firm. G. List all contributions or transfers of assets to/from your firm and to/from any of its owners over the past two years: Indicate in the spaces provided, the type of contribution or asset that was transferred, its current dollar value, the person or firm from whom it was transferred, the person or firm to whom it was transferred, the relationship between the two persons and/or firms, and the date of the transfer. H. List current licenses/permits held by any owner or employee of your firm. List the name of each person in your firm who holds a professional license or permit, the type of license or permit, the expiration date of the permit or license, and the license/permit number and issuing State of the license or permit. 1. List the three largest contracts completed by your firm in the past three years, if any. List the name of each owner or contractor for each contract, the name and location of the projects under each contract, the type of work performed on each contract, and the dollar value of each contract. J. List the three largest active jobs on which your firm is currently working. For each active job listed, state the name of the prime contractor and the project number, the location, the type of work performed, the project start date, the anticipated completion date, and the dollar value of the contract. AFFIDAVIT & SIGNATURE Carefully read the attached affidavit in its entirety. Fill in the required information for each blank space, and sign and date the affidavit in the presence of a Notary Public, who must then notarize the form. * ACDBE's need not complete section 4(1) and (J). However, you must provide information on an attached page concerning any other airport concession businesses the applicant firm or any affiliate owns and/or operates, including name, location, type of concession, and start date of concession. Section 1: CERTIFICATION INFORMATION A. Prior/Other Certifications Is your firm currently ❑ DBE Name of certifying agency: certified for any of the following programs? Has your firm's state UCP conducted an on -site visit? (If Yes, check appropriate box(es)) ❑ Yes, on _______II_______ State: ❑ No c 8(a) ®STOP! If you checked either the 8(a) or SDB box, you may not have to O SDB complete this application. Ask your state UCP about the streamline application process under the SBA -DOT MOU. B. Prior/Other Applications and Privileges Has your firm (under any name) or any of its owners, Board of Directors, officers or management personnel, ever withdrawn an application for any of the programs listed above, or ever been denied certification, decertified, or debarred or suspended or otherwise had bidding privileges denied or restricted by any state or local agency or Federal entity? o Yes, on _// ❑ No If Yes, identify State and name of state, local, or Federal agency and explain the nature of the action: Section 2: GENERAL INFORMATION A. Contact Information (1) Contact person and Title: (2) Legal name of firm: (3) Phone #: (4) Other Phone #: (5) Fax #: (6) E-mail: (7) Website (fyou have one): (8) Street address of firm (No P. O. Box): City: County/Parish: State: Zip: (9) Mailing address of firm (if dierent): City: County/Parish: State: Zip: B. Business Profile (1) Describe the primary activities of your firm: (2) Federal Tax ID (if any): (3) This firm was established on / / 4 I/We have owned this firm since / / (5) Method of acquisition (check all that apply): ❑ Started new business ❑ Bought existing business ❑ Inherited business ❑ Secured Consolidation ❑ Merger or consolidation ❑ Other ex lain (6) Is your firm "for-profit"? ®STOP! If your firm is NOT for-profit, then you do NOT qualify for this program o Yes and do NOT need to fill out this application. ❑ No (7) Type of Firm (check all that apply): ❑ Sole Proprietorship ❑ Partnership ❑ Corporation ❑ Limited Liability Partnership ❑ Limited Liability Corporation ❑ Joint Venture ❑ Other, Describe: (8) Has your firm ever existed under different ownership, a different type of ownership, or a different name? ❑ Yes ❑ No If Yes, explain: (9) Number of employees: Full-time Part-time (10) Specify the gross receipts of the firm for the last 3 years: Year Total Receipts $ Year Total Receipts $ Year Total Receipts $ C. Relationships with Other Businesses (1) Is your firm co -located at any of its business locations, or does it share a telephone number, P. O. Box, office space, yard, warehouse, facilities, equipment, or office staff, with any other business, organization, or entity? ❑ Yes ❑ No If Yes, identify: Other Firm's name: Explain nature of shared facilities: (2) At present, or at any time (a) been a subsidiary of any other finn? in the past, has your firm: ❑ Yes ❑ No (b) consisted of a partnership in which one or more of the partners are other firms? ❑ Yes ❑ No (c) owned any percentage of any other firm? ❑ Yes ❑ No (d) had any subsidiaries? ❑ Yes ❑ No (3) Has any other firm had an ownership interest in your firm at present or at any time in the past? ❑ Yes ❑ No (4) If you answered "Yes" to any of the questions in (2) (a) -(d) and/or (3), identify the following for each (attach extra sheets, if needed): Name Address Type of Business 1. 2. 3. Immediate Family Member Business Do any of your immediate family members own or manage another company? ❑ Yes ❑ No If Yes, then list (attach extra sheets, if needed): 2. Section 3: OWNERSHIP Identify all individuals or holding companies with any ownership interest in your firm, providing the information requested below (if more than one owner, attach separate sheets for each additional owner): A. Background Information (1) Name: (2) Title: (3) Home Phone #: (4)Home Address (street and number): City: State: Zip: (5) Gender: (6) Ethnic group membership (check all that apply): ❑ Male ❑ Black ❑ Female ❑ 0 Asian Pacific Hispanic (7) U.S. Citizen: ❑ Yes a Subcontinent Asian ❑ No ❑ 0 Native American Other (spec): (8) Lawfully Admitted Permanent Resident: ❑ Yes ❑ No B. Ownership Interest (1) Number of years as owner: (2) Initial investment to acquire ownership interest in firm: Type Cash Dollar Value $ (3) Percentage owned: (4) Familial relationship to other owners: Real Estate $ Equipment $ Other $ (5) Shares of Stock: Number Percentage Class Date acquired Method Acquired (6) Does this owner perform a management or supervisory function for any other business? ❑ Yes ❑ No If Yes, identify: Name of Business: Function/Title: (7) Does this owner own or work for any other firm(s) that has a relationship with this firm (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)? ❑ Yes ❑ No If Yes, identify: Name of Business: Function/Title: Nature of Business Relationship: 9 C. Disadvantaged Status — NOTE: Complete this section only for each owner applying for DBE qualification (i.e., for each owner claiming to be socially and economically disadvantaged) (1) What is the Personal Net Worth (PNW) of the owner(s) applying for DBE qualification? (Use and attach the Personal Net Worth Calculator form at the end of this application; attach additional sheets if more than one owner is applying) Personal Net Worth $ (2) Has any trust been created for the benefit of this disadvantaged owner(s)? ❑ Yes ❑ No If Yes, explain (attach additional sheets if needed): Section 4: CONTROL A. Identify your firm's Officers & Board of Directors (if additional space is required, attach a separate sheet): (1) Officers of the Company (2) Board of Directors (3) Do any of tF business? ❑ Yes ❑ No If Yes, identify Name Title Date Appointed Ethnicity Gender (a) (b) (c) (d) (e) (a) (b) (c) (d) (e) e persons listed in (1) and/or (2) above perform a management or supervisory function for any other for each: Person: Title: Business: Function: 10 (4) Do any of the persons listed in (1) and/or (2) above own or work for any other firm(s) that has a relationship with this firm (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.)? o Yes o No If Yes, identify for each: Firm Name: Person: Nature of Business Relationship: B. Identify your firm's management personnel who control your firm in the following areas (if more than two persons, attach a separate sheet): Name Title Ethnicity Gender (1) Financial Decisions (responsibility for acquisition of line of credit, surety bonding, supplies, etc) (a) (b) (2) Estimating and Bidding (a) (b) (3) Negotiating and Contract Execution (a) (b) (4) Hiring/Firing of Management Personnel (a) (b) (5) Field/Production Operations Supervision (a) (b) (6) Office Management (a) (b) (7) Marketing/Sales (a) (b) (8) Purchasing of major equipment (a) (b) (9) Authorized to Sign Company Checks (for any purpose) (a) (b) (10) Authorized to make Financial Transactions (a) (b) 11 (11) Do any of the persons business? o Yes o No If Yes, identify for each: Person: Title: a management or any other Business: Function: (12) Do any of the persons listed in (1) through (10) above own or work for any other firm(s) that has a relationship with this firm (e.g., ownership interest, shared office space, financial investments) equipment, leases, personnel sharing, etc.)? U Yes o No If Yes, identify for each: Firm Name: Nature of Business Relationship: Person: C. Indicate your firm's inventory in the following categories (attach additional sheets f needed): (11 Rmrinrnent Type of Equipment Make/Model Current Value Owned or Leased? (a) (b) (c) Ill Vahinlne Type of Vehicle Make/Model Current Value Owned or Leased? (a) (b) (c) ill nrr.o. Qnnrn Street Address Owned or Leased? Current Value of Propertyor Lease (a) (b) 12 (4) Stnrage Snace Street Address Owned or Leased? Current Value of Propertyor Lease (a) (b) D. Management Functio Does your firm rely on any other ❑ Yes ❑ No If Yes, explain: E. Financial Information (1) Banking Information (a) Name of Bank: (b) Phone No.: ( (c) Address of Bank: City: (2) Bonding Information (a) Binder No.: (b) Name of agent/broker: (c) Phone No.: ( (d) Address of agent/broker: City: (el Bonding Limit: Aggregate Limit $ management functions or employee payroll? ect Limit Zip: F. Identify all sources, amounts, and purposes of money loaned to your firm, including the names of _..,...� ,... a7..n.c moo..., r:nn tho loon if nther than the licted owner! Name of Source Address of Source Name of Person Securing the Loan Original Amount Current Balance Purpose of Loan (1) (2) (3) 13 G. List all contributions or transfers of assets to/from your firm and to/from any of its owners over the past two years (attach additional sheets if needed): Contribution/Asset Dollar Value From Whom Transferred To Whom Transferred Relationship Date of Transfer (1) (2) (3) H. List current licenses/permits held by any owner and/or employee of your firm (e.g., contractor, engineer, architect, etc.) (attach additional sheets if needed): Name of License/Permit Holder Type of License/Permit Expiration Date License Number and State (1) (2) (3) I. List the three largest contracts completed by your firm in the past three years, if any: Name of Owner/Contractor Name/Location of Project Type of Work Performed Dollar Value of Contract (1) (2) (3) List the three largest active jobs on which your firm is currently working: Name of Prime Contractor and Project Number Location of Project Type of Work Project Start Date Anticipated Completion Date Dollar Value of Contract (1) (2) (3) 14 DBE UNIFORM CERTIFICATION APPLICATION SUPPORTING DOCUMENTS CHECKLIST In order to complete your application for DBE certification, you must attach copies of all the following documents as they apply to you and your firm. All Applicants ❑ Work experience resumes (that include places of ownership/employment with corresponding dates), for all owners and officers of your firm ❑ Personal Financial Statement (PFS). Form available with this application. ❑ Bank statement(s) that include the name of the bank, name of account holder(s), and account balance(s) as stated on the PFS for both checking and/or savings accounts. ❑ Personal tax returns for the past three years, if applicable, for each owner claiming disadvantaged status ❑ Your firm's tax returns (gross receipts) and all related schedules for the past three years ❑ Documented proof of contributions used to acquire ownership for each owner (e.g. both sides of cancelled checks) ❑ Your firm's signed loan agreements, security agreements, and bonding forms ❑ Descriptions of all real estate (including office/storage space, etc.) owned/leased by your firm and documented proof of ownership/signed leases ❑ List of equipment leased and signed lease agreements ❑ List of construction equipment and/or vehicles owned and titles/proof of ownership ❑ Documented proof of any transfers of assets to/from your firm and/or to/from any of its owners over the past two years ❑ Year-end balance sheets and income statements for the past three years (or life of firm, if less than three years); a new business must provide a current balance sheet ❑ All relevant licenses, license renewal forms, permits, and haul authority forms ❑ DBE and SBA 8(a) or SDB certifications, denials, and/or decertifications, if applicable ❑ Bank authorization and signatory cards ❑ Schedule of salaries (or other compensation or remuneration) paid to all officers, managers, owners, and/or directors of the firm ❑ Trust agreements held by any owner claiming disadvantaged status, if any ❑ Copy of On -Site Review ❑ Notarized Affidavit (form available with this application) ❑ Proof of minority status for each owner ❑ Department Item Codes — Check list of type of work that the firm normally performs (form available with this application) ❑ Copy of (3) cancelled checks for accounts payable Sole Proprietorship ❑ Copy of assumed name certificate Partnership or Joint Venture ❑ Original and any amended Partnership or Joint Venture Agreements Corporation or LLC ❑ Official Articles of Incorporation (Signed by the state official) ❑ Both sides of all corporate stock certificates and your firm's stock transfer ledger ❑ Shareholders' Agreement ❑ Minutes of all stockholders and board of directors meetings ❑ Corporate by-laws and any amendments ❑ Corporate bank resolution and bank signature cards ❑ Official Certificate of Formation and Operating Agreement with any amendments (for LLCs) ❑ If a foreign corporation, copy of authority to do business in the state Trucking Company ❑ Documented proof of ownership of the company ❑ Insurance agreements for each truck owned or operated by your firm ❑ Title(s) and registration certificate(s) for each truck owned or operated by your firm ❑ List of U.S. DOT numbers for each truck owned or operated by your firm Regular Dealer ❑ Proof of warehouse ownership or lease ❑ List of product lines carried ❑ List of distribution equipment owned and/or leased Airport Concession ❑ Work history of the firm, including any concession contracts or other contracts the firm may have received ❑ List of license of the firm and its key personnel to perform the concession contracts or other contracts it wishes to receive ❑ Statement of the type(s) of concession(s) the firm prefers to operate or the type(s) of other contract(s) the firm prefers to perform ❑ Information concerning any other airport concession businesses the firm or any affiliate owns and/or operates, including name, location, type of concession, and start date of concession NOTE: The specific state UCP to which you are applying may have additional required documents that you must also supply with your application. Contact the appropriate certifying agency to which you are applying to find out if more is required. 15 ��.'?•E:qt OMB APPROVAL NO. 3245-0188 EXPIRATION DATE: 3/31/2008 PERSONAL FINANCIAL STATEMENT 14i 9' U.S. SMALL BUSINESS ADMINISTRATION As of , Complete this form for: (1) each proprietor, or (2) each limited partner who owns 20% or more interest and each general partner, or (3) each stockholder owning 20% or more ofcf-voting stock, or (4) any erson or entity rovidin a guaranty on the loan. Name Business Phone Residence Address Residence Phone City, State, & Zip Code Business Name of Applicant ASSETS (Omit Cents) LIABILITIES (Omit Cents) Cash on hand & in Banks ..................................$ Accounts Payable .............................................$ Savings Accounts ..............................................$ Notes Payable to Banks and Others .................$ IRA or Other Retirement Account .....................$ (Describe in Section 2) Accounts & Notes Receivable Installment Account (Auto) ...............................$ ...........................$ Mo. Payments $ Life Insurance -Cash Surrender Value Only ......$ Installment Account (Other) .............................$ (Complete Section 8) Mo. Payments $ Stocks and Bonds .............................................$ Loan on Life Insurance .....................................$ (Describe in Section 3) Mortgages on Real Estate ................................$ Real Estate ........................................................$ (Describe in Section 4) (Describe in Section 4) Unpaid Taxes ....................................................$ Automobile -Present Value ................................$ (Describe in Section 6) Other Liabilities .................................................$ Other Personal Property ...................................$ (Describe in Section 7) (Describe in Section 5) Total Liabilities..................................................$ OtherAssets .....................................................$ (Describe in Section 5) Net Worth.........................................................$ Total.................................$ Total ................................$ Section 1. Source of Income Continent Liabilities Salary ................................................................$ As Endorser or Co -Maker ................................$ Net Investment Income .....................................$ Legal Claims & Judgments ............................... $ Real Estate Income ...........................................$ Provision for Federal Income Tax..................... $ Other Income (Describe below) ......................$ Other Special Debt........................................... $ Description of Other Income in Section 1. "Alimony or child support payments need not be disclosed in "Other Income' unless it is desired to have such payments counted toward total income. Section 2. Notes Payable to Banks and Others. (Use attachments it necessary. Each attachment must be identified as a part of this statement and signed.) Name and Address of Noteholder(s) Original Balance Current Balance Payment Amount Frequency (monthly, etc.; How Secured or Endorsed Type of Collateral SBA Form 413 (3-00) Previous Editions Obsolete (tumble) Section 3. Stocks and Bonds. (Use attachments if necessary. Each attachment must be identified as a part of this statement and signed}. Number of Shares Name of Securities Cost Market Value Quotation/Exchange Date of Quotation/Exchange Total Value Section 4. Real Estate Owned. (List each parcel separately. Use attachment if necessary. Each attachment must be identified as a part of this statement and si ned. Property A Property 8 Property C Type of Property Address Date Purchased Original Cost Present Market Value Name & Address of Mortgage Holder Mortgage Account Number Mortgage Balance Amount of Payment per Month/Year Status of Mortgage Section 5. Other Personal Property and Other Assets. (Describe, and if any is pledged as security, state name and address of lien holder, amount of lien, terms of payment and if delinquent. describe delinquency) Section 6. Unpaid Taxes. (Describe in detail, as to type, to whom payable, when due, amount, and to what property, if any, a tax lien attaches.) Section 7. Other Liabilities. (Describe in detail.) Section 8. Life Insurance Held. (Give face amount and cash surrender value of policies - name of insurance company and beneficiaries) 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. I understand FALSE statements may result in forfeiture of benefits and possible prosecution by the U.S. Attorney General (Reference 18 U.S.C. 1001). Signature: Date: Social Security Number: Signature: Date: Social Security Number: PLEASE NOTE: The estimated average burden hours for the completion of this form is 1.5 hours per response. If you have questions or comments concerning this estimate or any other aspect of this information, please contact Chief. Administrative Branch, U.S. Small Business Administration, Washington, D.C. 20416, and Clearance Officer, Paper Reduction Project (3245-0186), Office of Management and Budget, Washington, D.C. 20503. PLEASE DO NOT SEND FORMS TO OMB. Instructions to complete Personal Financial Statement (SBA Form 413) for the California Unified Certification Program: 1. Fill out all line items to the best of your ability. Be sure to include the DATE in the upper right corner of the First page. 2. Include all of your and, if applicable, your spouse's assets and liabilities. 3. Assets that must be included are real property (includes rental or vacation homes), personal property wherever located (includes household goods, collectibles, clothing and jewelry), other businesses, vehicles, boats, trailers, cash, bank accounts, stocks, bonds, retirement accounts, insurance policies and any other assets where you have an ownership interest. 4. Complete Section 4 for all of your real estate. Be sure to include and identify which is your primary residence. 5. For married individuals, list both names and all property, including both community and separate property. Complete Section 5 to identify separate property for each spouse. 6. Describe other assets, other property, and other liabilities in detail. Include your equity in your business also, under Other Assets, and then itemize all Other Assets in Section 5. 7. Market values for items such as real estate, other assets and other property should be as accurate as possible to their value as of the above date. 8. If necessary, use additional sheet(s) of paper to report all information and details. 9.. To compute Net Worth, first add all liabilities and put that figure in the Total Liabilities line, then subtract Total Liabilities from Total Assets to get your Net Worth. 10. To determine economic disadvantage eligibility, your Net Worth amount will be adjusted by the following to obtain an Adjusted Net Worth figure (see worksheet below). ➢ Exclusion of an individual's ownership interest in the applicant firm; ➢ Exclusion of an individual's equity in his or her primary residence; Deduction of tax and interest penalties that would accrue if retirement savings or investments (e.g., pension plans, Individual Retirement Accounts, 401(k) accounts, etc.) were distributed at the present time. > For airport concessionaire only: Exclusion of other assets documented to be necessary to obtain financing or a franchise agreement for the initiation, support or expansion of an airport concession, to a maximum of $3 million. 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. If your Adjusted Net Worth exceeds the $750,000 cap and you, individually, or you and other individuals are the majority owners of an applicant firm, the firm is not eligible for DBE certification. If the Adjusted Net Worth of the majority owner(s) exceeds the $750,000 cap at any time after your firm is certified, the firm is no longer eligible for certification. Should that occur, it is your responsibility to contact your certifying agency in writing to advise the firm no longer qualifies. Adjusted Net Worth Worksheet. Net Worth (less one-half of community property, if applicable) .............$_ Less: 1D ownership interest in applicant firm ........................................( m equity in primary residence.....................................................( ® tax and interest penalties on retirement accounts .................... <O airport concessionaire exclusion, if applicable .......................( Adjusted Net Worth Total 11. Be sure to sign, and date at the end of the statement. If you have any questions or would like assistance in completing this form, please contact one of the certifying agencies on the enclosed Roster. A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH THIS APPLICATION IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION. REVOCATION OF A PRIOR APPROVAL. INITIATION OF SUSPENSION OR DEBARMENT PROCEEDINGS, AND MAY SUBJECT THE PERSON AND/OR ENTITY MAKING THE FALSE STATEMENT TO ANY AND ALL CIVIL AND CRIMINAL PENALTIES AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW. DISADVANTAGED BUSINESS ENTERPRISE PROGRAM Unified Certification Program • Table of Contents UNIFIED CERTIFICATION PROGRAM I DEFINITIONS 1 RATIFICATION PROCESS 2 COMMUNICATION 3 INITIAL CONSOLIDATION (GRANDFATHER) 3 CERTIFICATION PROCESS 4 REVIEWING ENTITY DESIGNATION 4 SIC / NAIC CODES 4 RECIPROCITY 5 THIRD PARTY CHALLENGES 5 APPEALS PROCESS 6 DBE DIRECTORY 7 AGENCY COMPLIANC.E TRAINING 7 REVISIONS TO ACP DOCUMENT 9 Unified Certification Program The Disadvantaged Business Enterprise (DBE) requirements contained in 49 Code of Federal Regulations (CFR) Part 26 published in February 1999 (see Attachment) include a provision for a "one -stop" certification process. The process must be defined and submitted to the Secretary of Transportation for approval by March 2002. Failure to develop and execute a Unified Certification Program (UCP) agreement will result in a loss of United States Department of Transportation (USDOT) funding. Arkansas entities receiving Federal Highway Administration (FHWA), Federal Aviation Administration (FAA) and Federal Transit Administration (FTA) funding were identified and asked to participate in developing a UCP. A committee to oversee the development of the UCP statewide was formed that included FHWA, FAA and FTA funding recipients. The committee decided the Arkansas UCP would be called the Arkansas Unified Disadvantaged Business Enterprise Certification Program, or ACP. Additionally, the Arkansas State Highway and Transportation Department (AHTD), UNtle Rock Municipal Airport Commission (LRMAC), and the Arkansas Airport Operators Association (AAOA) were designated as Primary Partners within the ACP and will oversee implementation of the ACP. Each Primary Partner entity will designate a representative. The ACP will not establish, recommend, or alter any agency's overall DBE Program, other than to supplement an approved program submittal, DBE goal or goal methodology. DBE goal development, administration, monitoring, and reporting remains the sole responsibility of the agency with a USDOT approved DBE Program, in accordance with 49 CFR Part 26, subject to any oversight requirements of FHWA, FAA or FTA. All USDOT recipients will be required to ratify the ACP agreement and all DBE certifications by the ACP will be binding. Definitions The following definitions are provided to facilitate reading and comprehension of the UCP agreement: ACP: The Arkansas Unified Disadvantaged Business Enterprise Certification Program, created to provide a "one -stop" statewide certification process for disadvantaged business owners. Agency: department or organization involved in the certification review process. DBE: Disadvantaged Business Enterprise - a for - profit small business that (1) is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged (as defined by 49 CFR Part 26) or in which 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. MBEWBE: Minority or Women Business Enterprise -a for-profit small business that Is at least 51 percent owned by one or more minorities (as defined by 49 CFR Part 23A) or women, and whose management and daily business operations are controlled by one or more of the minorities or women who own it. Partners: Arkansas recipients of funds from the U.S. Department of Transportation's Federal Aviation Administration (FAA), Federal Transit Administration (FTA) and Federal Highway Administration (FHWA). Primary Partners: those partners that will oversee the implementation of the ACP, namely the Arkansas State Highway and Transportation Department (AHTD), Little Rock Municipal Airport Commission (LRMAC) and the Arkansas Airport Operators Association (AAOA). SIC/NAIC: the Standard Industrial Classification and North American Industrial Classification system; four digit code designation which best describes the primary business of a firm. UCP: Unified Certification Program, or the "one -stop° certification process for each state's DBE program as contained in 49 CFR Part 26. 49 CFR Part 26: the Department of Transportation's Rules and Regulations for the Disadvantaged Business Enterprise (OBE) program. (also see Attachment) Ratification Process Ali recipients of more than $250,000 in federal funds administered by the USDOT, either directly or indirectly, must ratify and comply with the ACP agreement. Failure to ratify the agreement may result in the loss of federal funds from the ACP partners and/or the USDOT. Prior to submission of the ACP document to USDOT, recipients will be required to make an affirmative statement of intent to comply and will be subject to administrative review by the ACP, the lead agency, or any branch of the USDOT. If at any time a recipient of federal funds receives at least $250,000 from any agency of USDOT, the recipient must accept and execute the ACP agreement and participate accordingly. p Communication Sharing information on any matter related to the operation of the ACP is important. All ACP partners agree to communicate openly with each other. Communication can take the form of, but is not limited to, telephone conversations, conference calls, meetings, written correspondence, electronic transmittals, and/or discussion. If any ACP partner is in receipt of information that is necessary or critical to making a determination of DBE eligibility, the ACP partner shall notify and submit the appropriate information to the ACP. Each ACP partner shall be notified of all changes affecting current certifications; -new certifications and denial actions. An "media" contacts related to the ACP or its activities can be made by the agency contacted. The response should be appropriate and present an accurate representation of the facts. Such contacts shall be reported to all of the Primary Partners within 24 hours. Initial Consolidation (Grandfather Clause) The ACP shall institute a limited "grandfather clause" that may grant DBE certification to firms currently certified by agencies that administer programs under the USDOT and 49 CFR Part 26. Those agencies are AHTD and LRMAC. This does not include firms certified as a DBE, MBE or WBE by any city, state, or federal agency, or any other entity who does not comply with 49 CFR Part 26, as determined by the ACP. This grandfather clause is a one time only occurrence and is subject to approval of the ACP on a firm -by -firm basis. The Primary Partners will review all firms for which any ACP partner makes a written request, to determine eligibility under 49 CFR Part 26. The Primary Partners will review any investigative information, the certification file and any other documentation provided, as necessary. A determination will then be made as to whether or not the firm meets the eligibility requirements. If the Primary Partners determine the firm is ineligible to participate as a DBE, the firm will be advised of the intent to decertify. The firm may appeal this decision by submitting a written request within 14 days of the date of the notice of intent to decertify. An appeals committee consisting of representatives of the Primary Partners will conduct the appeal hearing. The appeals committee will not include the agency making the original certification determination. A representative of Central Arkansas Transit Authority (CATA) will sit in as the third member. As provided in the DBE regulations, a firm may appeal directly to the USDOT; however, if they choose to appeal to the ACP, the firm does not forfeit the right to appeal to the USDOT, within the time frame provided in 49 CFR Part 26. After the effective date of this UCP agreement, only firms certified based on guidelines prescribed in 49 CFR 26 and provisions under this agreement shall be recognized as certified by the ACP. Any ACP partner that has concerns regarding any "grandfathered" firm may file a Third Party Challenge. That challenge will be treated in the manner set out below in the section titled Third Party Challenges. Certification Process The ACP shall review and make an eligibility determination on all firms applying for DBE certification whose business is located in the State of Arkansas, including those firms whose main headquarters is in another state but which maintain a branch office in the State of Arkansas. The ACP shall accept applications from firms located across state lines; however, the firm must be currently certified by its home state UCP in accordance with 49 CFR 26. Reviewing Entity Designation The firm's primary type of work or industry will be ascertained by the agency receiving the firm's application. The ACP partners agree to divide the applicants in accordance with a firm's primary industry or market Specifically the partners agree to divide application reviews in the following manner. o Applicants that provide primarily transit oriented services or products will be reviewed by the AHTD. These may include, but are not limited to, transit services, maintenance services, maintenance products or transportation management services. Applicants that are primarily aviation oriented services or products, including concessionaires, will be reviewed by the Little Rock National Airport These may include, but are not limited to, non -heavy highway construction products and services, food service firms, aviation specialty firms or structural construction firms. o Applicants that are primarily heavy highway construction oriented services • or products will be reviewed by AHTD. These may include, but are not limited to, heavy and bridge construction contractors, specialty contractors, planning and engineering consultants, specialty consultants, construction suppliers, and steel manufacturers or fabricators. There may be exceptions to assignments based upon familiarity with the firm, historical knowledge, or resources. Such exceptions must be agreed to by the Primary Partners prior to a review of the application. The certification process must include an on -site review at the firm's headquarters and a project site review. In order to expedite the certification process and efficiently utilize resources, ACP partners other than the AHTD and LRMAC may perform on -site or project reviews for the reviewing entity. Standard Industrial Classification (SIC) / North American Industry Classification System (NAICS) Codes The ACP agrees to certify all firms in compliance with 49 CFR Part 26, including designating specific work types. The partners agree to use the SIC/NAIL codes for those designations. All fines will be informed of the specific codes and a short narrative description of that designation. 4 V Any firm may request modification and/or additions to their approved codes by making a written request to the certifying partner. That request must include the equipment and experience indicating the firm's ability to perform the particular work type. In addition, the firm must submit documentation of past contracts on which the firm has performed the specific type of work. Reciprocity The ACP may elect to enter into a limited written reciprocity agreement with UCPs in other states or regions to share information. The reciprocity agreement will require that, at the request of the applicant firm, the home state UCP provide a complete copy of the firm's file. The certifying agency (AHTD or LRMAC) will review the file and on -site review prior to making a determination of eligibility. All partners agree that they will not individually execute any reciprocity agreements with any other agency or entity, including city, county, state or federal agencies, binding that partner, and subsequently the ACP, to a reciprocity agreement 3rd Party Challenges The ACP shall accept written complaints from any person, including ACP partners, alleging that a currently certified firm is ineligible. The complainant must state specific reasons for ineligibility and submit any documentation in support of the complaint. The ACP partner originally responsible for the certification shall thoroughly investigate the complaint within 60 days. The firm being challenged will be notified by the original certifying partner, in writing, of the challenge, the basic grounds, and the relevant regulations. At the conclusion of the review, the partner shall notify the DBE in writing, by certified mail, of the findings. If reasonable cause to remove certification eligibility is found, the ACP partner will notify the complainant of the specific grounds and inform the firm of the intent to decertify and right to appeal to the ACP. . The firm may submit an appeal, in writing, of the intent to remove certification eligibility within 14 days of the date of the notice. The appeal must be made to the initial certifying partner and state if the firm wishes to file a written appeal or appear in person. If the firm requests the opportunity to appear before the ACP hearing board, the request for appeal must state whether the firm is to be represented by counsel. That partner must notify the ACP partners within 2 days of receipt of the request. If the firm requests an appeal in person, the chair of the ACP will contact the appellant and ACP partners to set a date. The ACP Primary Partners will hear all challenges to currently certified firms. The entity completing the investigation and making the preliminary determination for eligibility removal will not act as a voting member on the board. A representative of CATA will vote in place of that entity. The USDOT may notify the ACP of reasonable cause to find a certified DBE firm to be ineligible and the ACP shall immediately remove the certification eligibility of that firm. Appeals Process The ACP established the following appeal processes for firms denied initial certification or re -certification, or notified of an intent to decertify. The firm may follow the appeal process set forth as follows and retain the right to appeal to the USDOT, or may appeal directly to the USDOT without utilizing appeals to the certifying agency or ACP. Initial Certification Applicant Denials The regulations do not require any appeal of certification denials for initial applicants; however, the partners indicated that it was preferred to have the opportunity to review denials prior to review by the USDOT. Therefore, it was agreed that any fire that received a denial of an initial request for certification would have the ability to make a written appeal to the entity that denied certification to the firm. A firm denied certification will be advised of the right to file a written appeal with the ACP within 15 days of the date of denial. The appeal must be submitted to the denying agency within that time frame. The agency will then offer the fire the opportunity for an appeal hearing. After the hearing or review of the written appeal,. the agency will make a final determination of eligibility. The firm will be notified in writing of the decision and right to appeal to the USDOT. Denial of Re -Certification and De -Certifications If a certifying agency becomes aware of reasons that a currently certified firm should be denied re -certification or be de -certified, the firm will be advised of the intent to decertify, the reasons and applicable federal regulations cited. Firms will be advised of the right to file a written appeal with the certifying agency within 15 days of the date of the notice of intent. The firm may request a hearing with the ACP in addition to providing a written appeal. The agency will then forward the appeal to the ACP for scheduling of a hearing. The Primary Partners will conduct a hearing or review the written appeal, and make a final determination of eligibility. The Primary Partner responsible for making the initial determination of ineligibility will not participate. CATA will sit in place of that partner. The firm will be notified in writing of the decision and right to appeal to the USDOT. Administrative Removal of Eligibility In circumstances where a certified firm, or a new applicant firm, has failed to submit required documentation or exceeded Personal Net Worth thresholds, there will be no administrative re -consideration. Those circumstances include: 15 C. Any certified firm that does not submit the annual affidavit required in 49 CFR Part 26 will have certification removed for failure to comply after 60 days from the date the affidavit was due. The affidavit is due at the 1st and 2nd year anniversary dates of a firm's certification. Failure to submit the affidavit cannot be appealed to the partner agency or ACP. t• Any firm not previously certified and denied certification due to exceeding the Personal Net Worth cap. by the disadvantaged owner cannot appeal to the partner agency or ACP. ❖ If any certified firm's disadvantaged owner's Personal Net Worth exceeds the cap within the 3 year period of certification, the eligibility of the firm will be removed. Removal of certification for exceeding Personal Net Worth cannot be appealed to the partner agency orACP. DBE Directory The UCP must provide for a single directory to include firms certified by the ACP. AHTD agrees to maintain and update a directory which will be available electronically on the AHTD website (www.ArkansasHighways.com). Unks from the partners' websites will be accessible. The ACP agreed that this is the most beneficial and effective means of implementing the data requirements of the UCP. The data and format currently used for the AHTD DBE directory all be utilized. ACP entities will be responsible for transmitting certification information to the AHTD for inclusion and updating of the Directory database. Agency Compliance The partners agree there are many agency specific issues related to their agency's certification processes. The primary areas of concern are: o Interference In Certification Decisions o Incomplete Or Inadequate Definition Of Processes o Non -Compliance With 49 CFR Part 26 o Quality Of Decisions In order for the ACP to succeed and the partners to maintain the level of trust needed to effectively comply with the UCP requirements it is necessary to implement minimum requirements for compliance, as well as a process for dealing with any agency that is found to be in non-compliance. The specific minimum requirements'are: o All decisions related to certification must be made in compliance with 49 CFR Part 26. This requires the independence to make decisions based solely upon the specific eligibility requirements. o All de -certification appeals or hearings must be decided by a third party who was not involved in the determination, nor was a direct or indirect supervisor of the party involved in the decision. o Outside entities such as construction boards or other politically mandated organizations cannot be involved in the certification determination, investigations of 3n° party challenges, or any administrative reconsideration. o The ACP Partners must have an approved DBE Program in place, if required under 49 CFR Part 26, that clearly defines the role of the administrative staff, in addition, each partner must have dearly defined processes and procedures related to administration of the DBE Program and certification decisions. o Any partner with a DBE Program administered in conjunction with an MBE/WBE program of another entity must have the procedures and policies for the DBE program clearly defined and separated. This includes eligibility requirements, data tracking, and removavdenial of certification. o All partners agree to make all decisions and recommendations on certification based purely upon the eligibility requirements, without consideration of political influence or factors. o All partners agree that there is no "emergency" certification, nor is there a provision within 49 CFR Part 26 for "conditional" certification. The eligibility requirements are to be determined with the factors present at the time of application and the decision is to be made in compliance with Part 26. If any ACP partner feels that a particular agency is not complying with the requirements of 49 CFR Part 26, they may make a written complaint to the ACP. The ACP will review the complaint and circumstances. If a majority of the ACP partners, not including the complaining agency or the agency in question, agrees that the agency is not complying with the requirements, remedial action will be taken. The remedial action can take the form of one of the following: Written Findings — The ACP may issue a formal written determination of the issues regarding that agency's certification, procedures, or practices. This determination will be sent to the senior management official or chief operating officer of the agency in question, the program administrator, and USD0T. It is hoped that the agency will review the procedures at issue and make improvements to the process in order to meet 49 CFR Part 26. o Monitoring & Concurrence - The ACP may issue a formal written determination as set out above, as well as provide a procedural review and concurrence process. it is the hope of the partners that the agency in question will take this opportunity to gain additional knowledge and education of the regulations and requirements. The agency in question will be required to gain ACP concurrence in certification determinations for a specific period of time. Depending upon the situation, the ACP may choose to "pair" the agency with another ACP partner or it may choose to require concurrence by a majority of the ACP partners. If an agency is paired with another agency and a dispute continues to exist, the ACP will make the final determination. o Non -Compliance — Should the ACP make every effort to correct the • deficiencies in an agency's certification process without success, extreme measures may be necessary. The ACP may find that an agency is not acting in good faith and determine that the UCP will not accept firms certified by that agency until the required changes are implemented. The ACP recognizes that this is a method of last resort and would not apply this remedy liberally. In addition, the ACP would not proceed with this remedy without notification to the USDOT, as well as the lead federal agency for the partner agency. The ACP further agrees that should the USDOT or the lead federal agency wish to assist or provide guidance on resolution, the ACP would make every effort to resolve the situation prior to implementing this remedy. Training Training will be provided to ACP partners as needs are identified, The ACP will seek the assistance of the USDOT, FHWA, FAA, FTA and any other agency to provide guidance and training. The ACP may also utilize in-service opportunities to provide updated information to the partners. These opportunities may be in conjunction with other UCPs, states, or entities. Revisions to ACP Document Revisions or changes to this ACP document can be proposed by any ACP partner. The revision must be submitted in writing to any Primary Partner and include reasons why the change is necessary. The Primary Partners will review and discuss the suggested change prior to voting on whether to adopt the revision. Revisions to the program document must be submitted to USDOT for approval prior to implementation by the ACP. The following entities agree to implement and administer Disadvantaged Business Enterprise certification activities in accordance with this agreement, the Arkansas Unified DBE Certification Program (ACP). Additionally, the agencies of the United States Department of Transportation noted below have reviewed and concur in the ACP. Signatures Priman, Partne Arkansas State High'ay and Transportation Department 1..4b¢tn } t- { __ .mac 4 Little Rock Municipal Airport Commission C.17. Zn4_- Arkansas Airport Operators Association 10 Operating Administrations U. S. Department of Transportation Federal F Arkansas Federal Aviation Administration — Regional Office of Civil Rights Federal Transit Administration — Regional Office of Civil Rights Page 1 of 2 AFFIDAVIT OF CERTIFICATION This form must be signed and notarized for each owner upon which disadvantaged status is relied. A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH THIS APPLICATION IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION, REVOCATION OF A PRIOR APPROVAL, INITIATION OF SUSPENSION OR DEBARMENT PROCEEDINGS, AND MAY SUBJECT THE PERSON AND/OR ENTITY MAKING THE FALSE STATEMENT TO ANY AND ALL CIVIL AND CRIMINAL PEALTIES AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW. I (full name printed), swear or affirm under penalty of law that I am (title) of applicant firm (firm name) and that I have read and understood all of the questions in this application and that all of the foregoing information and statements submitted in this application and its attachments and supporting documents are true and correct to the best of my knowledge, and that all responses to the questions are full and complete, omitting no material information. The responses include all material information necessary to fully and accurately identify and explain the operations, capabilities and pertinent history of the named firm as well as the ownership, control, and affiliations thereof. I recognize that the information submitted in this application is for the purpose of inducing certification approval by a government agency. I understand that a government agency may, by means it deems appropriate, determine the accuracy and truth of the statements in the application, and I authorize such agency to contact any entity named in the application, and the named firm's bonding companies, banking institutions, credit agencies, contractors, clients, and other certifying agencies for the purpose of verifying the information supplied and determining the named firm's eligibility. I agree to submit to government audit, examination and review of books, records, documents and files, in whatever form they exist, of the named firm and its affiliates, inspection of its places(s) of business and equipment, and to permit interviews of its principals, agents, and employees. I understand that refusal to permit such inquiries shall be grounds for denial of certification. If awarded a contract or subcontract, [ agree to promptly and directly provide the prime contractor, if any, and the Department, recipient agency, or federal funding agency on an ongoing basis, current, complete and accurate information regarding (1) work performed on the project; (2) payments; and (3) proposed changes, if any, to the foregoing arrangements. I agree to provide written notice to the recipient agency or Unified Certification Program (UCP) of any material change in the information contained in the original application within 30 calendar days of such change (e.g., ownership, address, telephone number, etc.). I acknowledge and agree that any misrepresentations in this application or in records pertaining to a contract or subcontract will be grounds for terminating any contract or subcontract which may be awarded; denial or revocation of certification; suspension and debarment; and for initiating action under federal and/or state law concerning false statement, fraud or other applicable offenses. I certify that I am a socially and economically disadvantaged individual who is an owner of the above -referenced firm seeking certification as a Disadvantaged Business Enterprise (DBE). In support of my application, I certify that I am a U.S. Citizen or lawfully admitted permanent resident of the U.S., and I am a member of one or more of the following groups, and that I have held myself out as a member of the group(s) (circle all that apply): Female Black American Hispanic American Native American Asian- Pacific American Subcontinent Asian American Other(specify) Page 2of2 I certify that I am socially disadvantaged because I have been subjected to racial or ethnic prejudice or cultural bias, or have suffered the effects of discrimination, because of my identity as a member of one or more of the groups identified above, without regard to my individual qualities. I certify that on the Personal Financial Statement, I have listed all the financial institutions at which I have an account, and all accounts held either individually or jointly with another person. I further certify that my personal net worth does not exceed $750,000, and that I am economically disadvantaged because my 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 and economically disadvantaged. I declare under penalty of perjury that the information provided in this application and supporting documents is true and correct. Executed on (Date) Signature (DBE Applicant) NOTARY CERTIFICATE City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 Attachment I Regulations: 49 CFR Part 26 03/06/09 http://www. accessfayetteville.org/govemm ent/aviation/disadvantage_business_enterprise/d be.cfm Office of the Secretary of Transportation § 25.545 Pre -employment inquiries (a) Marital status. A recipient shall not make pre -employment inquiry as to the marital status of an applicant for employment, including whether such applicant is "Miss" or "Mrs." (b) Sex. A recipient may make pre- employment inquiry as to the sex of an applicant for employment, but only if such inquiry is made equally of such applicants of both sexes and if the re- sults of such inquiry are not used in connection with discrimination prohib- ited by these Title IX regulations. §25.550 Sex as a bona fide occupa- tional qualification. A recipient may take action other- wise prohibited by §§25.500 through 25.550 provided it Is shown that sex is a bona fide occupational qualification for that action, such that consideration of sex with regard to such action is essen- tial to successful operation of the em- ployment function concerned. A recipi- ent shall not take action pursuant to this section that is based upon alleged comparative employment characteris- tics or stereotyped characterizations of one or the other sex, or upon pref- erence based on sex of the recipient, employees, students, or other persons, but nothing contained in this section shall prevent a recipient from consid- ering an employee's sex in relation to employment in a locker room or toilet facility used only by members of one sex. Subpart F —Procedures § 25.600 Notice of covered programs. Within 60 days of September 29, 2000, each Federal agency that awards Fed- eral financial assistance shall publish in the FEDERAL REGISTER a notice of the programs covered by these Title IX regulations. Each such Federal agency shall periodically republish the notice of covered programs to reflect changes in covered programs. Copies of this no- tice also shall be made available upon request to the Federal agency's office that enforces Title IX. Pt. 26 Title VI of the Civil Rights Act of 1964 (42 U.S.C. 20004) ("Title VI") are hereby adopted and applied to these Title IX regulations. These procedures may be found at 49 CFR part 21. 9 tti RI W u,eLLb'.6iT PART 26 -PARTICIPATION BY DIS- ADVANTAGED BUSINESS ENTER- PRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS Subpart A —General Sec. 26.1 What are the objectives of this part? 26.3 To whom does this part apply? 26.5 What do the terms used in this part mean? 26.7 What discriminatory actions are forbid- den? 26.9 How does the Department issue guid- ance and interpretations under this part? 26.11 What records do recipients keep and report? 26.13 What assurances must recipients and contractors make? 26.15 How can recipients apply for exemp- tions or waivers? Subpart B —Administrative Requirements for DBE Programs for Federally -Assisted Contracting 26.21 Who must have a DBE program? 26.23 What is the requirement for a policy statement? 26.25 What Is the requirement for a liaison officer? 26.27 What efforts must recipients make concerning DBE financial institutions? 26.29 What prompt payment mechanisms must recipients have? 26.31 What requirements pertain to the DBE directory? 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work? 26.35 What role do business development and mentor -protege programs have In the DBE program? 26.37 What are a recipient's responsibilities for monitoring the performance of other program participants? Subpart C —Goals, Good Faith Efforts, and Counting 26.41 What is the role of the statutory 30 § 25.605 Enforcement procedures. percent goal in this program? 26.43 Can recipients use set -asides or quotas The investigative, compliance, and as part of this program? enforcement procedural provisions of 26.45 How do recipients set overall goals? 283 § 26.1 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 proce- dures recipients follow in situations where there are contract goals? 26.55 How is DBE participation counted to- ward goals? Subpart D -Certification Standards 26.61 How are burdens of proof allocated in the certification process? 26.63 What rules govern group membership determinations? 26.65 What rules govern business size deter- minations? 26.67 What rules determine social and eco- nomic disadvantage? 26.69 What rules govern determinations of ownership? 26.71 What rules govern determinations con- cerning control? 26.73 What are other rules affecting certifi- cation? Subpart E --Certification Procedures 26.81 What are the requirements for Unified Certification Programs? 26.83 What procedures do recipients follow in making certification decisions? 26.84 How do recipients process applications submitted pursuant to the DOT/SBA MOU? 26.85 How do recipients respond to requests from DBE -certified firms or the SBA made pursuant to the DOTISBA MOU? 26.86 What rules govern recipients' denials of initial requests for certification? 26.87 What procedures does a recipient use to remove a DBE's eligibility? 26.89 What is the process for certification appeals to the Department of Transpor- tation? 26.91 What actions do recipients take fol- lowing DOT certification appeal deci- sions? Subpart F --Compliance and Enforcement 26.101 What compliance procedures apply to recipients? 26.103 What enforcement actions apply in FHWA and FTA programs? 26.105 What enforcement actions apply in FAA programs? 26.107 What enforcement actions apply to firms participating in the DBE program? 26.109 What are the rules governing infor- mation, confidentiality, cooperation, and intimidation or retaliation? APPENDIX A TO PART 26 —GUIDANCE CON- CERNING GOOD FAITH EFFORTS 49 CFR Subtitle A (10-1-05 Edition) APPENDIX B TO PART 26 —UNIFORM REPORT OF DBE AWARDS OR COMMITMENTS AND PAY- MENTS FORM APPENDIX C TO PART 26 —DBE BUSINESS DE- VELOPMENT PROGRAM GUIDELINES APPENDIX D TO PART 26 —MENTOR -PROTEGE PROGRAM GUIDELINES APPENDIX E TO PART 26 —INDIVIDUAL DETER- MINATIONS OF SOCIAL AND ECONOMIC DIS- ADVANTAGE APPENDIX F TO PART 26 -UNIFORM CERTIFI- CATION APPLICATION FORM AUTHORrrY: 23 U.S.C. 324: 42 U.S.C. 2000d, et seq.; 49 U.S.C 1615, 47107, 47113, 47123; Sec. 1101(b), Pub. L. 105-178, 112 Stat. 107. 113. SOURCE; 64 FR 5126, Feb. 2. 1999, unless oth- erwise noted. Subpart A —General §26.1 What are the objectives of this part? This part seeks to achieve several ob- jectives: (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 stand- ards are permitted to participate as DBEs; (e) To help remove barriers to the participation of DBEs in DOT -assisted contracts; (f) To assist the development of firms that can compete successfully in the marketplace outside the DBE program; and (g) To provide appropriate flexibility. to recipients of Federal financial as- sistance in establishing and providing opportunities for DBEs. § 26.3 To whom does this part apply? (a) If you are a recipient of any of the following types of funds, this part ap- plies to you: (1) Federal -aid highway funds author- ized under Titles I (other than Part B) and V of the Intermodal Surface Trans- portation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, 284 Office of the Secretary of Transportation or Titles I, III, and V of the Transpor- tation Equity Act for the 21st Century (TEA -21), Pub. L. 105-178, 112 Stat. 107. (2) Federal transit funds authorized by Titles I, III, V and VI of ISTEA, Pub. L. 102-240 or by Federal transit laws in Title 49, U.S. Code, or Titles I, III, and V of the TEA -21, Pub. L. 105- 178. (3) Airport funds authorized by 49 U.S.C. 47101, et seq. (b) [Reserved] (c) If you are letting a contract, and that contract is to be performed en- tirely 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. 626.5 What do the terms used in this part mean? Affiliation has the same meaning the term has in the Small Business Admin- istration (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 in- directly: (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 af- filiation 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 deter- mining 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 en- rolled in the Metlaktla Indian Commu- nity), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof § 26.5 of a minimum blood quantum, any cit- izen 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. Vil- lage Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in ac- cordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). Compliance means that a recipient has correctly implemented the require- ments of this part. Contract means a legally binding re- lationship obligating a seller to furnish supplies or services (including, but not limited to, construction and profes- sional 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 partici- pates, through a contract or sub- contract (at any tier), in a DOT -as- sisted highway, transit, or airport pro- gram. Department or DOT means the U.S. Department of Transportation, includ- ing the Office of the Secretary, the Federal Highway Administration (FHWA), the Federal Transit Adminis- tration (FTA), and the Federal Avia- tion Administration (FAA). Disadvantaged business enterprise or DBE means a for-profit small business concern — (1) That is at least 51 percent owned by one or more individuals who are both socially and economically dis- advantaged or, in the case of a corpora- tion, in which 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 eco- nomically disadvantaged individuals who own it. DOT -assisted contract means any con- tract between a recipient and a con- tractor (at any tier) funded in whole or in part with DOT financial assistance, including letters of credit or loan guar- antees, except a contract solely for the purchase of land. § 26.5 DOT/SBA Memorandum of Under- standing or MOU, refers to the agree- ment signed on November 23, 1999, be- tween the Department of Transpor- tation (DOT) and the Small Business Administration (SBA) streamlining certification procedures for participa- tion in SBA's 8(a) Business Develop- ment (8(a) BD) and Small Disadvan- taged Business (SDB) programs, and DOT's Disadvantaged Business Enter- prise (DBE) program for small and dis- advantaged businesses. Good faith efforts means efforts to achieve a DBE goal or other require- ment of this part which, by their scope, Intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement. Immediate family member means fa- ther, mother, husband, wife, son, daughter, brother, sister, grandmother, grandfather, grandson, granddaughter, mother-in-law, or father-in-law. Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is recognized as eligi- ble for the special programs and serv- ices provided by the United States to Indians because of their status as Indi- ans, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See defi- nition 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 par- ties combine their property, capital, ef- forts, skills and knowledge, and in which the DBE is responsible for a dis- tinct, 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. Native Hawaiian means any indi- vidual 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 or- ganization chartered by the State of Hawaii, is controlled by Native Hawai- 49 CFR Subtitle A (10-1-05 Edition) fans, and whose business activities will principally benefit such Native Hawai- ians. Noncompliance means that a recipient has not correctly implemented the re- quirements of this part. Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA), Federal Highway Administra- tion (FHWA), and Federal Transit Ad- ministration (FTA). The "Adminis- trator" of an operating administration includes his or her designees. Personal net worth means the net value of the assets of an individual re- maining after total liabilities are de- ducted. An individual's personal net worth does not include: The individ- ual's ownership interest In an appli- cant or participating DBE firm; or the individual's equity in his or her pri- mary place of residence. An individ- ual'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 North American Industrial Classi- fication System (NAICS) designation which best describes the primary busi- ness of a firm. The NAICS is described in the North American Industry Classi- fication Manual —United States, 1997 which is available from the National Technical Information Service, 5285 Port Royal Road, Springfield, VA, 22161; by calling 1 (800) 553-6847; or via the Internet at: http://www.ntis.gov/ productfnaics.htm. Primary recipient means a recipient which receives DOT financial assist- ance 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 op- erations spend most working hours and where top management's business records are kept. If the offices from which management is directed and where business records are kept are in different locations, the recipient will determine the principal place of busi- ness for DBE program purposes. Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to which this part applies. Office of the Secretary of Transportation Race -conscious measure or program is one that is focused specifically on as- sisting 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 pri- vate, to which DOT financial assist- ance is extended, whether directly or through another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance. Secretary means the Secretary of Transportation or his/her designee. Set -aside means a contracting prac- tice restricting eligibility for the com- petitive award of a contract solely to DBE firms. Small Business Administration or SBA means the United States Small Busi- ness 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 re- spect to firms seeking to participate as DBEs in DOT -assisted contracts, a small business concern as defined pur- suant to section 3 of the Small Busi- ness Act and Small Business Adminis- tration regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual gross re- ceipts specified in §26.65(b). Socially and economically disadvan- taged individual means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who is — (1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case -by - case basis. (2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: (i) "Black Americans," which in- cludes persons having origins in any of the Black racial groups of Africa; (ii) "Hispanic Americans," which in- cludes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or § 26.7 Portuguese culture or origin, regard- less of race; (iii) "Native Americans," which in- cludes persons who are American Indi- ans, Eskimos, Aleuts, or Native Hawai- ians: (iv) "Asian -Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar). Vietnam, Laos, Cambodia (Kampuchea), Thailand, Ma- laysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Re- public of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga. Kirbati, Juvalu, 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 designa- tion becomes effective. 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 recipi- ents must do XYZ). [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570. June 28, 1999; 68 FR 35553, June 16, 2003] §26.7 What discriminatory actions are forbidden? (a) You must never exclude any per- son from participation in, deny any person the benefits of, or otherwise dis- criminate against anyone in connec- tion 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 pro- gram, you must not, directly or through contractual or other arrange- ments, use criteria or methods of ad- ministration that have the effect of de- feating or substantially impairing ac- complishment of the objectives of the program with respect to individuals of 287 § 26.9 a particular race, color, sex, or na- tional origin. $26.9 How does the Department issue guidance and interpretations under this part? (a) This part applies instead of sub- parts A and C through E of 49 CFR part 23 in effect prior to March 4, 1999. (See 49 CFR Parts 1 to 99, revised as of Octo- ber 1, 1998.) Only guidance and inter- pretations (including interpretations set forth in certification appeal deci- sions) consistent with this part 26 and issued after March 4, 1999 have defini- tive, binding effect in implementing the provisions of this part and con- stitute the official position of the De- partment of Transportation. (b) The Secretary of Transportation, Office of the Secretary of Transpor- tation, FHWA, FTA, and FAA may issue written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid and binding, and constitute the official position of the Department of Transportation, only if they are issued over the signature of the Sec- retary of Transportation or if they con- tain the following statement: The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent with the lan- guage and intent of 49 CFR part 26. §26.11 What records do recipients keep and report? (a) [Reserved] (b) You must continue to provide data about your DBE program to the Department as directed by DOT oper- ating administrations. (c) You must create and maintain a bidders list. (1) The purpose of this list is to pro- vide you as accurate data as possible about the universe of DBE and non - DBE contractors and subcontractors who seek to work on your Federally -as- sisted contracts for use in helping you set your overall goals. (2) You must obtain the following in- formation about DBE and non -DBE contractors and subcontractors who seek to work on your Federally -as- sisted contracts: (I) Firm name; (ii) Firm address; 49 CFR Subtitle A (10-1-05 Edition) (iii) Firm's status as a DBE or non - DBE; (iv) Age of the firm; and (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; $500,000-51 mil- lion; $1-2 million: 52-5 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 DEE and non -DBE contractors and sub- contractors who seek to work on your Federally -assisted contracts. You may combine different data collection ap- proaches (e.g., collect name and address information from all bidders, while conducting a survey with respect to age and gross receipts information). [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2080] $26.13 What assurances must recipi- ents and contractors make? (a) Each financial assistance agree- ment you sign with a DOT operating administration (or a primary recipient) must include the following assurance: The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT -as- sisted contract or in the administration of its DBE program or the requirements of 49 CFR part 26. The recipient shall take all nec- essary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of DOT -assisted contracts. The recipient's DEE 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 re- cipient of its failure to carry out its ap- proved program, the Department may im- pose sanctions as provided for under part 26 and may, in appropriate cases. refer the mat- ter 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 bill' Office of the Secretary of Transportation prime contractor signs with a subcon- tractor) must include the following as- surance: The contractor, sub recipient or subcon- tractor shall not discriminate on the basis of race, color, national origin, or sex in the per- formance 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 requirements is a material breach of this contract, which may result in the termination of this con- tract or such other remedy as the recipient deems appropriate. §26.15 How can recipients apply for exemptions or waivers? (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 Sec- retary 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 con- templated in connection with the rule - making 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 will issue a written response to all ex- emption 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 pro- visions regarding administrative re- quirements. overall goals, contract goals or good faith efforts. Program waivers are for the purpose of author- izing 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 pro- gram waiver, you must follow these procedures: (1) You must apply through the con- cerned operating administration. The application must include a specific pro- gram 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 § 26.15 the DBE community and at least one public hearing, Your application must include a summary of the public par- ticipation process and the information gathered through it. (2) Your application must show that — (I) There is a reasonable basis to con- clude 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 dis- crimination against any individual or group in access to contracting opportu- nities or other benefits of the program; and (iv) Your proposal is consistent with applicable law and program require- ments of the concerned operating ad- ministration's financial assistance pro- gram. (3) The Secretary has the authority to approve your application. If the Sec- retary 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 ob- jectives of this part; (iii) There is a reasonable limitation on the duration of your modified pro- gram; and (iv) Any other conditions the Sec- retary makes on the grant of the waiv- er. (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 require- ments 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 dura- tion of the program. § 26.21 Subpart B —Administrative Re- quirements for DBE Programs for Federally -Assisted Con- tracting §26.21 Who must have a DBE pro- gram? (a) If you are in one of these cat- egories and let DOT -assisted contracts, you must have a DBE program meeting the requirements of this part: (1) All FHWA recipients receiving funds authorized by a statute to which this part applies; (2) FTA recipients receiving plan- ning, capital and/or operating assist- ance who will award prime contracts (excluding transit vehicle purchases) exceeding $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 exceed- ing $250,000 in FAA funds in a Federal fiscal year. (b)(1) You must submit a DBE pro- gram conforming to this part by Au- gust 31, 1999 to the concerned operating administration (OA). Once the OA has approved your program, the approval counts for all of your DOT -assisted pro- grams (except that goals are reviewed by the particular operating administra- tion 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 ex- pended. [64 FR 5126, Feb. 2. 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15. 2000] §26.23 What is the requirement for a policy statement? You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states its objectives, and outlines re- sponsibilities for its implementation. 49 CFR Subtitle A (10-1-05 Edition) You must circulate the statement throughout your organization and to the DBE and non -DBE business com- munities that perform work on your DOT -assisted contracts. §26.25 What is the requirement for a liaison officer? You must have a DBE liaison officer, who shall have direct, independent ac- cess 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. §26.27 What efforts must recipients make concerning DBE financial in- stitutions? You must thoroughly investigate the full extent of services offered by finan- cial institutions owned and controlled by socially and economically disadvan- taged individuals in your community and make reasonable efforts to use these institutions. You must also en- courage prime contractors to use such institutions. §26.29 What prompt payment mecha- nisms must recipients have? (a) You must establish, as part of your DBE program, a contract clause to require prime contractors to pay subcontractors for satisfactory per- formance of their contracts no later than 30 days from receipt of each pay- ment you make to the prime con- tractor. (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 retalnage from prime contractors and require a contract clause obligating prime con- tractors to make prompt and full pay- ment of any retainage kept by prime contractor to the subcontractor within Office of the Secretary of Transportation 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 ac- ceptances of portions of the prime con- tract, pay retainage to prime contrac- tors 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 ac- cepted 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 accom- plished 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 ac- ceptance is deemed to be satisfactorily completed. (d) Your DEE program must provide appropriate means to enforce the re- quirements of this section. These means may include appropriate pen- alties 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 fol- lowing additional mechanisms to en- sure 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 dis- pute 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 reim- bursed for work performed by sub- contractors unless and until the prime contractor ensures that the sub- contractors 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 § 26.35 other contractors are fully and prompt- ly paid. [68 FR 35553, June 16. 2003] §26.31 What requirements pertain to the DEE directory? You must maintain and make avail- able to interested persons a directory identifying all firms eligible to partici- pate as DBEs 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 cer- tified to perform as a DEE. You must revise your directory at least annually and make updated information avail- able to contractors and the public on request. § 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 par- ticipate 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, men- tor -protege programs, and other appro- priate measures designed to assist DBEs in performing work outside of the specific field in which you have de- termined that non -DBEs are unduly burdened. You may also consider vary- ing your use of contract goals, to the extent consistent with §26.51, to unsure that non -DBEs are not unfairly pre- vented from competing for sub- contracts. (c) You must obtain the approval of the concerned DOT operating adminis- tration for your determination of over - concentration and the measures you devise to address it. Once approved, the measures become part of your DEE program. §26.35 What role do business develop- ment and mentor -protege programs have in the DBE program? (a) You may or, if an operating ad- ministration directs you to, you must establish a DEE business development program (BDP) to assist firms in gain- ing the ability to compete successfully 291 § 26.37 in the marketplace outside the DBE program. You may require a DBE firm, as a condition of receiving assistance through the BDP, to agree to termi- nate its participation in the DBE pro- gram after a certain time has passed or certain objectives have been reached. See Appendix C of this part for guid- ance on administering BDP programs. (b) As part of a BDP 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 DBEs before they are proposed for par- ticipation in a mentor -protege program are eligible to participate in the men- tor -protege program. (2) During the course of the mentor - protege relationship, you must: (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 re- cipient; 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 deter- minations of business size under this part, you must not treat protege firms as affiliates of mentor firms, when both firms are participating under an ap- proved 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 con- cerned operating administration before you implement them. Once approved, they become part of your DBE pro- gram. §26.37 What are a recipient's respon- sibilities for monitoring the per. fonnance of other program partici- pants? (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 Fed- eral, state and local law). You must set 49 CFR Subtitle A (10-1-05 Edition) forth these mechanisms in your DBE program. (b) Your DBE program must also in- clude a monitoring and enforcement mechanism to ensure that work com- mitted to DBEs at contract award is actually performed by DBEs. (c) This mechanism must provide for a running tally of actual DBE attain- ments (e.g., payments actually made to DBE firms), including a means of com- paring these attainments to commit- ments. In your reports of DBE partici- pation to the Department, you must display both commitments and attain- ments. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16. 2003] Subpart C —Goals, Good Faith Efforts, and Counting §26.41 What is the role of the statu- tory 10 percent goal in this pro - grain? (a) The statutes authorizing this pro- gram provide that, except to the extent the Secretary determines otherwise, not less than 10 percent of the author- ized funds are to be expended with DBEs. (b) This 10 percent goal is an aspira- tional goal at the national level, which the Department uses as a tool in evalu- ating and monitoring DBEs' opportuni- ties to participate in DOT -assisted con- tracts. (c) The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 10 percent level, or any other particular level, or to take any special adminis- trative steps if their goals are above or below 10 percent. § 26.43 Can recipients use set -asides or quotas as part of this program? (a) You are not permitted to use quotas for DBEs on DOT -assisted con- tracts 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 dis- crimination. 292 Office of the Secretary of Transportation §26.45 How do recipients set overall goals? (a)(1I Except as provided in para- graph (a)(2) of this section, you must set an overall goal for DBE participa- tion in your DOT -assisted contracts. (2) If you are a PTA 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 respec- tively 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 avail- ability of ready, willing and able DBEs relative to all businesses ready, willing and able to participate on your DOT - assisted contracts (hereafter, the "rel- ative availability of DBEs"). The goal must reflect your determination of the level of DBE participation you would expect absent the effects of discrimina- tion. You cannot simply rely on either the 10 percent national goal, your pre- vious overall goal or past DBE partici- pation 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 exam- ples are provided as a starting point for your goal setting process. Any percent- age figure derived from one of these ex- amples should be considered a basis from which you begin when examining all evidence available in your jurisdic- tion. 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 Bu- reau Data. Determine the number of ready, willing and able DBEs in your market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP) data base, de- termine the number of all ready, will- ing and able businesses available in your market that perform work in the same NAICS codes. (Information about the CBP data base may be obtained from the Census Bureau at their web site, www.census.gov/epcdtcbp/view/ cbpview.html.) Divide the number of DBEs 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 on your DOT -assisted prime contracts or subcontracts in the pre- vious year, Determine the number of all businesses that have bid or quoted on prime or subcontracts in the same time period. Divide the number of DBE bidders and quoters by the number for all businesses to derive a base figure for the relative availability of DBEs in your market. (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 recipi- ent. 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. You may use other methods to determine a base fig- ure for your overall goal. Any method- ology you choose must be based on de- monstrable evidence of local market conditions and be designed to ulti- mately attain a goal that is rationally related to the relative availability of DBEs in your market. (d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your jurisdic- tion to determine what adjustment, if any, is needed to the base figure in order to arrive at your overall goal. (1) There are many types of evidence that must be considered when adjust- ing 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 DBEs have per- formed in recent years; (ii) Evidence from disparity studies conducted anywhere within your juris- diction, to the extent it is not already accounted for in your base figure; and 293 §26.45 (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 abil- ity of DBEs to get the financing, bond- ing and insurance required to partici- pate in your program; (ii) Data on employment, self-em- ployment, education, training and union apprenticeship programs, to the extent you can relate it to the opportu- nities for DBEs to perform in your pro- gram. (3) If you attempt to make an adjust- ment to your base figure to account for the continuing effects of past discrimi- nation (often called the "but for" fac- tor) or the effects of an ongoing DBE program, the adjustment must be based on demonstrable evidence that is logi- cally and directly related to the effect for which the adjustment is sought. (e) Once you have determined a per- centage figure in accordance with para- graphs (c) and (d) of this section, you should express your overall goal as fol- lows: (1) If you are an FHWA recipient, as a percentage of all Federal -aid highway funds you will expend in FHWA-as- sisted contracts in the forthcoming fis- cal year; (2) If you are an FTA or FAA recipi- ent, as a percentage of all FTA or FAA funds (exclusive of FTA funds to be used for the purchase of transit vehi- cles) that you will expend in FTA or FAA -assisted contracts in the forth- coming fiscal year. In appropriate cases, the FTA or FAA Administrator may permit you to express your overall goal as a percentage of funds for a par- ticular grant or project or group of grants and/or projects. (f)(1) If you set overall goals on a fis- cal year basis, you must submit them to the applicable DOT operating ad- ministration for review on August 1 of each year, unless the Administrator of the concerned operating administra- tion establishes a different submission date. 49 CFR Subtitle A (10-1-05 Edition) (2) If you are an FTA or FAA recipi- ent and set your overall goal on a project or grant basis, you must sub- mit the goal for review at a time deter- mined by the FTA or FAA Adminis- trator. (3) You must include with your over- all goal submission a description of the methodology you used to establish the goal, including your base figure and the evidence with which it was cal- culated, and the adjustments you made to the base figure and the evidence re- lied on for the adjustments. You should also include a summary listing of the relevant available evidence in your ju- risdiction and, where applicable, an ex- planation 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 -conscious measures, respec- tively (see §26.51(c)). (4) You are not required to obtain prior operating administration concur- rence with the your overall goal. How- ever, 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 adminis- tration may, after consulting with you, adjust your overall goal or require that you do so. The adjusted overall goal is binding on you. (5) If you need additional time to col- lect 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: (1) Reflect the relative availability of DBEs in your local market to the max- imum extent feasible given the data available to you: and (ii) Avoid imposing undue burdens on non -DBEs. (g) In establishing an overall goal, you must provide for public participa- tion. This public participation must in- clude: (1) Consultation with minority, wom- en's and general contractor groups, community organizations, and other officials or organizations which could 294 Office of the Secretary of Transportation be expected to have information con- cerning the availability of disadvan- taged and non -disadvantaged busi- nesses, the effects of discrimination on opportunities for DBEs, and your ef- forts to establish a level playing field for the participation of DBEs. (2) A published notice announcing your proposed overall goal, informing the public that the proposed goal and Its rationale are available for inspec- tion during normal business hours at your principal office for 30 days fol- lowing the date of the notice, and in- forming the public that you and the Department will accept comments on the goals for 45 days from the date of the notice. The notice must include ad- dresses to which comments may be sent, and you must publish it in gen- eral circulation media and available minority -focused media and trade asso- ciation publications. (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) § 26.47 Can recipients be penalized for failing to meet overall goals? (a) You cannot be penalized, or treat- ed by the Department as being In non- compliance 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. § 26.49 How are overall goals estab- lished for transit vehicle manufac- turers? (a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufac- turer, as a condition of being author- ized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has complied with the require- ments of this section. You do not in- clude FTA assistance used in transit vehicle procurements in the base § 26.51 amount from which your overall goal is calculated. (b) If you are a transit vehicle manu- facturer, you must establish and sub- mit for FTA's approval an annual over- all percentage goal. 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 per- form during the fiscal year in question. You must exclude from this base funds attributable to work performed outside the United States and its territories, possessions, and commonwealths. The requirements and procedures of this part with respect to submission and ap- proval of overall goals apply to you as they do to recipients. (c) As a transit vehicle manufacturer, you may make the certification re- quired by this section if you have sub- mitted the goal this section requires and FTA has approved it or not dis- approved it. (d) As a recipient, you may, with FTA approval, establish project -spe- cific goals for DBE participation in the procurement of transit vehicles in lieu of complying through the procedures of this section. (e) If you are an FHWA or FAA re- cipient, you may, with FHWA or FAA approval, use the procedures of this section with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the manufac- turers of this equipment must meet the same requirements (including goal ap- proval by FHWA or FAA) as transit ve- hicle manufacturers must meet in FTA-assisted procurements. §26.51 What means do recipients use to meet overall goals? (a) You must meet the maximum fea- sible portion of your overall goal by using race -neutral means of facili- tating DBE participation. Race -neutral DBE participation includes any time a DBE wins a prime contract through customary competitive procurement procedures, is awarded a subcontract on a prime contract that does not carry a DBE goal, or even if there is a DBE goal, wins a subcontract from a prime contractor that did not consider 295 § 26.51 its DBE status in making the award (e.g., a prime contractor that uses a strict low bid system to award sub- contracts), (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 DBE, and other small businesses, participation (e.g., unbundling large contracts to make them more accessible to small busi- nesses, requiring or encouraging prime contractors to subcontract portions of work that they might otherwise per- form with their own forces): (2) Providing assistance in over- coming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding require- ments, eliminating the impact of sur- ety costs from bids, and providing serv- ices to help DBEs, and other small businesses, obtain bonding and financ- ing); (3) Providing technical assistance and other services; (4) Carrying out information and communications programs on con- tracting procedures and specific con- tract 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 serv- ices program to develop and improve immediate and long-term business management, record keeping, and fi- nancial and accounting capability for DBEs and other small businesses: (6) Providing services to help DBEs, and other small businesses, improve long-term development, increase op- portunities to participate in a variety of kinds of work, handle Increasingly significant projects, and achieve even- tual 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 49 CFR Subtitle A (10-1-05 Edition) 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. (c) Each time you submit your over- all goal for review by the concerned op- erating 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 projec- tion is subject to approval by the con- cerned 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. (e) The following provisions apply to the use of contract goals: (1) You may use contract goals only on those DOT -assisted contracts that have subcontracting possibilities. (2) You are not required to set a con- tract goal on every DOT -assisted con- tract. 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 loca- tion of the work, and the availability of DBEs for the work of the particular contract. However, over the period cov- ered by your overall goal, you must set contract goals so that they will cumu- latively 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 ap- proval of each contract goal is not nec- essarily required. However, operating administrations may review and ap- prove 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, Office of the Secretary of Transportation 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 -neu- tral means, you must implement your program without setting contract goals during that year. Example to Paragraph (1)O): Your overall goal for Year I 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 ease, you do not set any contract goals for the contracts that will be per- formed in Year I. (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 de- termine that you will fall short of your overall goal, then you must make ap- propriate modifications in your use of race -neutral and/or race -conscious measures to allow you to meet the overall goal. Example to Paragraph (13(2): In Year B, your overall goal is 12 percent. You have esti- mated 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 DEE goals. By September, you have already obtained 11 percent DBE participa- tion 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 -con- scious 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 re- quired 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 con- tracts in the next year. You continue using only race -neutral means to meet your overall goals unless and until you § 26.51 do not meet your overall goal for a year. Example to Paragraph (f)(3): Your overall goal for Years I and Year D 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 III 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 over- all goals. However, if in Year VI your DBE participation falls short of your overall goal, then you must make a paragraph (c) projec- tion 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 (Q(4): In Years I and B, 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 III, your overall goal is again 12 percent, and your paragraph (c) pro- jection estimates that you will obtain 4 per- cent 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 ID you obtain 11 percent par- ticipation, 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 DEE achievements in those contracts with and without contract goals, respec- tively. You must report this data to the concerned operating administra- tion as provided in § 26.11. 297 § 26.53 §26.53 What are the good faith efforts procedures recipients follow in situ- ations where there are contract goals? (a) When you have established a DBE contract goal, you must award the con- tract only to a bidder/offeror who makes good faith efforts to meet it. You must determine that a bidder/of- feror has made good faith efforts if the bidder/offeror does either of the fol- lowing 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 ob- taining enough DBE participation to do so. If the bidder/offeror does docu- ment adequate good faith efforts, you must not deny award of the contract on the basis that the bidder/offeror failed to meet the goal. See Appendix A of this part for guidance in determining the adequacy of a bidder/offeror's good faith efforts. (b) In your solicitations for DOT -as- sisted contracts for which a contract goal has been established, you must re- quire the following: (1) Award of the contract will be con- ditioned on meeting the requirements of this section; (2) All biddersiofferors will be re- quired to submit the following infor- mation to the recipient, at the time provided in paragraph (b)(3) of this sec- tion: (i) The names and addresses of DBE firms that will participate in the con- tract; (ii) A description of the work that each DBE will perform; (iii) The dollar amount of the partici- pation of each DBE firm participating; (iv) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; (v) Written confirmation from the DBE that it is participating in the con- tract as provided in the prime contrac- tor's commitment; and (vi) If the contract goal is not met, evidence of good faith efforts (see Ap- pendix A of this part); and (3) At your discretion, the bidder/of- feror must present the information re - 49 CFR Subtitle A (10-1-05 Edition) quired by paragraph (b)(2) of this sec- tion— (1) Under sealed bid procedures, as a matter of responsiveness, or with ini- tial proposals, under contract negotia- tion procedures; or (ii) At any time before you commit yourself to the performance of the con- tract by the bidder/offeror, as a matter of responsibility. (c) You must make sure all informa- tion is complete and accurate and ade- quately documents the bidder/offeror's good faith efforts before committing yourself to the performance of the con- tract by the bidder/offeror. (d) If you determine that the appar- ent successful bidder/offeror has failed to meet the requirements of paragraph (a) of this section, you must, before awarding the contract, provide the bid- der/offeror an opportunity for adminis- trative reconsideration. (1) As part of this reconsideration. the bidder/offeror must have the oppor- tunity to provide written documenta- tion or argument concerning the issue of whether it met the goal or made ade- quate 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 deter- mination 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 50. (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 appeal- able to the Department of Transpor- tation. (e) In a "design -build" or "turnkey" contracting situation, in which the re- cipient lets a master contract to a con- tractor, who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the project. The master con- tractor then establishes contract goals. C 1 Office of the Secretary of Transportation as appropriate, for the subcontracts it lets. Recipients must maintain over- sight of the master contractor's activi- ties to ensure that they are conducted consistent with the requirements of this part. (f)(1) You must require that a prime contractor not terminate for conven- ience a DBE subcontractor listed in re- sponse to paragraph (b)(2) of this sec- tion (or an approved substitute DBE firm) and then perform the work of the terminated subcontract with its own forces or those of an affiliate, without your prior written consent. (2) When a DBE subcontractor is ter- minated, 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 ef- forts shall be directed at finding an- other 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 procure- ment. (3) You must include in each prime contract a provision for appropriate ad- ministrative remedies that you will in- voke if the prime contractor fails to comply with the requirements of this section. (g) You must apply the requirements of this section to DBE bidders/offerors for prime contracts. In determining whether a DBE bidder/offeror 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. $26.55 How is DBE participation counted toward goals? (a) When a DBE participates in a con- tract, 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 para- graph (a)(2) of this section) that is per- formed by the DBE's own forces. In- clude the cost of supplies and materials obtained by the DBE for the work of § 26.55 the contract, including supplies pur- chased or equipment ]eased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affil- iate). (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 re- quired for the performance of a DOT - assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not excessive as com- pared 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 sub- contracts to a non -DBE firm does not count toward DBE goals. (b) When a DBE performs as a partic- ipant in a joint venture, count a por- tion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the con- tract that the DBE performs with its own forces toward DBE goals. (c) Count expenditures to a DBE con- tractor toward DBE goals only if the DBE is performing a commercially use- ful function on that contract. (1) A DBE performs a commercially useful function when it is responsible for execution of the work of the con- tract and is carrying out its respon- sibilities by actually performing, man- aging, and supervising the work in- volved. 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 de- termine whether a DBE is performing a commercially useful function, you must evaluate the amount of work sub- contracted, 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 §26.55 DEE credit claimed for its performance of the work, and other relevant factors. (2) A DEE does not perform a com- mercially 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 DEE participation. In determining whether a DEE is such an extra participant, you must examine similar transactions, particularly those in which DBEs do not participate. (3) If a DBE does not perform or exer- cise responsibility for at least 30 per- cent of the total cost of its contract with its own work force, or the DEE subcontracts a greater portion of the work of a contract than would be ex- pected on the basis of normal industry practice for the type of work involved, you must presume that it is not per- forming a commercially useful func- tion. (4) When a DEE is presumed not to be performing a commercially useful func- tion as provided in paragraph (c)(3) of this section, the DEE may present evi- dence to rebut this presumption, You may determine that the firm is per- forming a commercially useful func- tion 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 ad- ministration, but are not administra- tively appealable to DOT. (d) Use the following factors in deter- mining whether a DEE trucking com- pany is performing a commercially useful function: (1) The DEE 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 ar- rangement for the purpose of meeting DBE goals. (2) The DBE must itself own and op- erate at least one fully licensed, in- sured, and operational truck used on the contract. (3) The DEE receives credit for the total value of the transportation serv- ices it provides on the contract using trucks it owns, insures, and operates using drivers it employs. 49 CFR Subtitle A (10-1-05 Edition) (4) The DEE 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 les- see DEE provides on the contract. (5) The DEE may also lease trucks from a non -DBE firm, including from an owner -operator. The DEE who leases trucks from a non -DBE is enti- tled to credit for the total value of transportation services provided by non-DEE lessees not to exceed the value of transportation services pro- vided by DBE -owned trucks on the con- tract. Additional participation by non- DEE lessees receives credit only for the fee or commission it receives as a re- sult of the lease arrangement. If a re- cipient chooses this approach, it must obtain written consent from the appro- priate Department Operating Adminis- tration. Example to this paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks from DBE Firm Y and six trucks 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 pro- vided by four of the six trucks provided by Firm Z. In all, full credit would be allowed for the participation of eight trucks. With respect to the other two trucks provided by Firm Z, DBE credit could be awarded only for the fees or commissions pertaining to those trucks Firm X receives as a result of the lease with Firm Z. (6) 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 DEE, 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 DEE. (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 DEE manufacturer, count 100 percent of the cost of the ma- terials or supplies toward DEE goals. 300 Office of the Secretary of Transportation (ii) For purposes of this paragraph (e)(1), a manufacturer is a firm that op- erates or maintains a factory or estab- lishment that produces, on the prem- ises, the materials, supplies, articles, or equipment required under the con- tract and of the general character de- scribed 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 ma- terials or supplies toward DBE goals. (ii) For purposes of this section, a regular dealer is a firm that owns, op- erates, or maintains a store, ware- house, or other establishment in which the materials, supplies, articles or equipment of the general character de- scribed by the specifications and re- quired 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 busi- ness that engages, as its principal busi- ness and under its own name, in the purchase and sale or lease of the prod- ucts in question. (B) A person may be a regular dealer in such bulk items as petroleum prod- ucts, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as pro- vided in this paragraph (e)(2)(ii) if the person both owns and operates dis- tribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract -by -contract basis. (C) Packagers, brokers, manufactur- ers' 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 sup- plies 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 al- § 26.61 lowed for similar services. Do not count any portion of the cost of the materials and supplies themselves to- ward DBE goals, however. (f) If a firm is not currently certified as a DBE in accordance with the stand- ards 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 pro- vided 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 cer- tified toward your overall goal. (h) Do not count the participation of a DBE subcontractor toward a contrac- tor's final compliance with its DBE ob- ligations 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. 20031 Subpart D —Certification Standards §26.61 How are burdens of proof allo- cated in the certification process? (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 sub- part 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 re- buttable presumption, individuals must submit a signed, notarized statement that they are a member of one of the groups in §26.67(x). Applicants do have the obligation to provide you informa- tion concerning their economic dis- advantage (see §26.67). (d) Individuals who are not presumed to be socially and economically dis- advantaged, and individuals concerning whom the presumption of disadvantage has been rebutted, have the burden of 301 §26.63 proving to you, by a preponderance of the evidence, that they are socially and economically disadvantaged. (See Ap- pendix E of this part.) (e) You must make determinations concerning whether individuals and firms have met their burden of dem- onstrating group membership, owner- ship, 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. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554. June 16, 2003] §26.63 What rules govern group mem- bership determinations? (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 member- ship and a written request for addi- tional evidence as outlined in pare - graph (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 dis- proportionate 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 ap- plicant to produce appropriate docu- mentation of group membership. (1) If you determine that an Indi- vidual claiming to be a member of a group presumed to be disadvantaged is not a member of a designated disadvan- taged group, the individual must dem- onstrate social and economic disadvan- tage on an individual basis. I[ 49 CFR Subtitle A (10-1-05 Edition) (2) Your decisions concerning mem- bership in a designated group are sub- ject to the certification appeals proce- dure of §26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003] § 26.65 What rules govern business size determinations? (a) To be an eligible DBE, a firm (in- cluding its affiliates) must be an exist- ing small business, as defined by Small Business Administration (SBA) stand- ards. 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. (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 af- filiates) has had average annual gross receipts, as defined by SBA regulations (see 13 CFR 121.402), over the firm's pre- vious three fiscal years, in excess of $16.6 million. The Secretary adjusts this amount for inflation from time to time. §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 law- fully admitted permanent residents) who are women, Black Americans, His- panic Americans, Native Americans, Asian -Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and economically dis- advantaged individuals. You must re- quire applicants to submit a signed, no- tarized certification that each pre- sumptively disadvantaged owner is, in fact, socially and economically dis- advantaged. (2) (i) You must require each indi- vidual owner of a firm applying to par- ticipate as a DBE (except a firm apply- ing to participate as a DBE airport concessionaire) whose ownership and control are relied upon for DBE certifi- cation to certify that he or she has a personal net worth that does not ex- ceed $750,000. Office of the Secretary of Transportation (ii) You must require each individual who makes this certification to sup- port it with a signed, notarized state- ment of personal net worth, with ap- propriate supporting documentation. Thisstatement and documentation must not be unduly lengthy, burden- some, or intrusive. (iii) In determining an individual's net worth, you must observe the fol- lowing requirements: (A) Exclude an individual's ownership interest in the applicant firm; (B) Exclude the individual's equity in his or her primary residence (except any portion of such equity that is at- tributable to excessive withdrawals from the applicant firm). (C) Do not use a contingent liability to reduce an individual's net worth. (D) With respect to assets held in vested pension plans, Individual Retire- ment 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 ad- verse tax or interest consequences, in- clude only the present value of such as- sets, less the tax and interest penalties that would accrue if the asset were dis- tributed at the present time. (iv) Notwithstanding any provision of Federal or state law, you must not re- lease an individual's personal net worth statement nor any documenta- tion supporting it to any third party without the written consent of the sub- mitter. Provided, that you must trans- mit this information to DOT in any certification appeal proceeding under §26.89.in which the disadvantaged sta- tus of the individual is in question. (b) Rebuttal of presumption of dis- advantage. (1) If the statement of per- sonal net worth that an individual sub- mits under paragraph (a)(2) of this sec- tion shows that the individual's per- sonal net worth exceeds $750,000, the in- dividual'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. (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 economi- § 26.67 cally disadvantaged you may, at any time, start a proceeding to determine whether the presumption should be re- garded as rebutted with respect to that individual. Your proceeding must fol- low the procedures of §26.87. (3) In such a proceeding, you have the burden of demonstrating, by a prepon- derance of the evidence, that the indi- vidual is not socially and economically disadvantaged. You may require the in- dividual to produce information rel- evant 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 can- not be used for purposes of DBE eligi- bility under this subpart unless and until he or she makes an individual showing of social and/or economic dis- advantage. If the basis for rebutting the presumption is a determination that the individual's personal net worth exceeds $750,000, the individual is no longer eligible for participation in the program and cannot regain eligi- bility by making an individual showing of disadvantage. (c) [Reserved] (d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who are not presumed to be socially and economically disadvantaged (in- cluding 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 owner- ship and control are relied upon for DBE certification is socially and eco- nomically 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 disadvan- taged. An individual whose personal net worth exceeds $750,000 shall not be deemed to be economically disadvan- taged. In making these determinations, use the guidance found in Appendix E of this part. You must require that ap- plicants provide sufficient information 303 § 26.69 to permit determinations under the guidance of Appendix E of this part. (64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570. June 28, 1999: 68 FR 35554. June 16, 2003] §26.69 What rules govern determina- tions of ownership? (a) In determining whether the so- cially and economically disadvantaged participants in a firm own the firm, you must consider all the facts in the record, viewed as a whole. (b) To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvan- taged individuals. (1) In the case of a corporation, such individuals must own at least 51 per- cent of the each class of voting stock outstanding and 51 percent of the ag- gregate of all stock outstanding. (2) In the case of a partnership, 51 percent of each class of partnership in- terest must be owned by socially and economically disadvantaged individ- uals. 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) The firm's ownership by socially and economically disadvantaged indi- viduals must be real, substantial, and continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. The disadvan- taged owners must enjoy the cus- tomary incidents of ownership, and share in the risks and profits commen- surate with their ownership interests, as demonstrated by the substance, not merely the form, of arrangements. (d) All securities that constitute ownership of a firm shall be held di- rectly by disadvantaged persons. Ex- cept as provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are con- sidered as held by disadvantaged per- sons in determining the ownership of a firm. However, securities or assets held in trust are regarded as held by a dis- advantaged individual for purposes of determining ownership of the firm, if — (1) The beneficial owner of securities or assets held in trust is a disadvan- 49 CFR Subtitle A (10-1-05 Edition) taged 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 activi- ties of the firm. Assets held in a rev- ocable living trust may be counted only in the situation where the same disadvantaged individual is the sole grantor, beneficiary, and trustee. (e) The contributions of capital or ex- pertise by the socially and economi- cally disadvantaged owners to acquire their ownership interests must be real and substantial. Examples of insuffi- cient 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 ac- tivities as an employee. Debt Instru- ments 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 re- lied upon as part of a disadvantaged owner's contribution to acquire owner- ship: (1) The owner's expertise must be— (i) In a specialized field; (ii) Of outstanding quality; (iii) In areas critical to the firm's op- erations; (iv) Indispensable to the firm's poten- tia] success: (v) Specific to the type of work the firm performs; and (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 fi- nancial investment in the firm. (g) You must always deem as held by a socially and economically disadvan- taged individual, for purposes of deter- mining 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 304 Office of the Secretary of Transportation 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 consider- ation, from any non -disadvantaged in- dividual or non -DBE firm who is — (I) Involved in the same firm for which the individual is seeking certifi- cation, or an affiliate of that firm; (II) Involved in the same or a similar line of business; or (Iii) Engaged in an ongoing business relationship with the firm, or an affil- iate of the firm, for which the indi- vidual 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 dis- advantaged individual was made for reasons other than obtaining certifi- cation as a DBE; and (ii) The disadvantaged individual ac- tually controls the management, pol- icy, and operations of the firm, not- withstanding the continuing participa- tion of a non -disadvantaged individual who provided the gift or transfer. (I) You must apply the following rules in situations in which marital as- sets 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 ac- quired by that spouse with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the owner- ship 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 § 26.71 ownership than state law would recog- nize 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 applica- tion for DBE certification. (j) 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 in- eligible, solely because — (1) A socially and economically dis- advantaged 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 -sig- nature of a spouse who is not a socially and economically disadvantaged indi- vidual on financing agreements, con- tracts 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 disadvan- taged individual to a spouse who is such an individual. In this case, you must give particularly close and care- ful scrutiny to the ownership and con- trol 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. §26.71 What rules govern determina- tions concerning control? (a) In determining whether socially and economically disadvantaged own- ers 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 poten- tial DBE is an independent business, you must scrutinize relationships with 305 §26.71 non -DBE firms, in such areas as per- sonnel, facilities, equipment, financial and/or bonding support, and other re- sources. (2) You must consider whether present or recent employer/employee relationships between the disadvan- taged owner(s) of the potential DBE and non -DBE firms or persons associ- ated with non -DBE firms compromise the independence of the potential DBE firm. (3) You must examine the firm's rela- tionships with prime contractors to de- termine whether a pattern of exclusive or primary dealings with a prime con- tractor 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 consist- ency of relationships between the po- tential 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 dis- advantaged owners. There can be no re- strictions through corporate charter provisions, by-law provisions, con- tracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to different classes of stock, employment con- tracts, requirements for concurrence by non -disadvantaged partners, condi- tions precedent or subsequent, execu- tory agreements, voting trusts, restric- tions 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 §26.69(j)(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 man- agement, policy and operations. (1) A disadvantaged owner must hold the highest officer position in the com- pany (e.g., chief -executive officer or president). 49 CFR Subtitle A (10-1-05 Edition) (2) In a corporation, disadvantaged owners must control the board of direc- tors. (3) In a partnership, one or more dis- advantaged owners must serve as gen- eral partners,. with control over all partnership decisions. (e) Individuals who are not socially and economically disadvantaged may be involved in a DBE firm as owners, managers, employees, stockholders, of- ficers, and/or directors. Such individ- uals must not, however, possess or ex- ercise the power to control the firm, or be disproportionately responsible for the operation of the firm. (f) The socially and economically dis- advantaged owners of the firm may del- egate various areas of the manage- ment, policymaking, or daily oper- ations of the firm to other participants in the firm, regardless of whether these participants are socially and economi- cally disadvantaged individuals. Such delegations of authority must be rev- ocable, and the socially and economi- cally disadvantaged owners must re- tain the power to hire and fire any per- son to whom such authority is dele- gated. The managerial role of the so- cially 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 own- ers 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 manage- rial and technical competence and ex- perience directly related to, the type of business in which the firm is engaged and the firm's operations. The socially and economically disadvantaged own- ers are not required to have experience or expertise in every critical area of the firm's operations, or to have great- er experience or expertise in a given field than managers or key employees. The socially and economically dis- advantaged owners must have the abil- ity to intelligently and critically evaluate information presented by other participants in the firm's activi- ties and to use this information to make independent decisions concerning 306 Office of the Secretary of transportation the firm's daily operations, manage- ment, and policymaking. Generally, expertise limited to office manage- ment, administration, or bookkeeping functions unrelated to the principal business activities of the firm is insuf- ficient 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 disadvan- taged persons who own and control a potential DBE firm of that type must possess the required license or creden- tial. If state or local law does not re- quire such a person to have such a li- cense or credential to own and/or con- trol a firm, you must not deny certifi- cation 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 dis- advantaged 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 per- sons involved, normal industry prac- tices, the firm's policy and practice concerning reinvestment of income, and any other explanations for the dif- fei'ences proffered by the firm. You may determine that a firm is con- trolled by its socially and economi- cally disadvantagedowner although that owner's remuneration is lower than that of some other participants in the firm. (2) In a case where a non -disadvan- taged individual formerly controlled the firm, and a socially and economi- cally disadvantaged Individual now controls it, you may consider a dif- ference 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 re- mains involved with the firm and con- tinues to receive greater compensation than the disadvantaged individual. § 26.71 (j) In order to be viewed as control- ling a firm, a socially and economi- cally disadvantaged owner cannot en- gage 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 ex- ample, absentee ownership of a busi- ness 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 eve- nings and/or weekends, if the indi- vidual controls it all the time it is op- erating. (k)(1) A socially and economically disadvantaged individual may control a firm even though one or more of the individual's immediate family mem- bers (who themselves are not socially and economically disadvantaged indi- viduals) participate in the firm as a manager, employee, owner, or in an- other capacity. Except as otherwise provided in this paragraph, you must make a judgment about the control the socially and economically disadvan- taged 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 disadvan- taged owners —as distinct from the family as a whole —control the firm, then the socially and economically dis- advantaged owners have failed to carry their burden of proof concerning con- trol, even though they may participate significantly in the firm's activities. (1) Where a firm was formerly owned and/or controlled by a non -disadvan- taged individual (whether or not an im- mediate family member), ownership and/or control were transferred to a so- cially and economically disadvantaged individual, and the non -disadvantaged individual remains involved with the firm in any capacity, the disadvan- taged individual now owning the firm must demonstrate to you, by clear and convincing evidence, that: (1) The transfer of ownership and/or control to the disadvantaged individual 307 § 26.73 was made for reasons other than oh - taming certification as a DBE; and (2) The disadvantaged individual ac- tually controls the management, pol- icy, and operations of the firm, not- withstanding the continuing participa- tion of a non -disadvantaged individual who formerly owned and/or controlled the firm. (m) In determining whether a firm is controlled by its socially and economi- cally disadvantaged owners, you may consider whether the firm owns equip- ment necessary to perform its work. However, you must not determine that a firm is not controlled by socially and economically disadvantaged individ- uals 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 com- promises 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 cer- tified in an additional type of work, the firm need demonstrate to you only that its socially and economically dis- advantaged owners are able to control the firm with respect to that type of work. You may not, in this situation. require that the firm be recertified or submit a new application for certifi- cation, but you must verify the dis- advantaged owner's control of the firm in the additional type of work. (o) A business operating under a fran- chise or license agreement may be cer- tified if it meets the standards in this subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affili- ation exists, you should generally not consider the restraints relating to standardized quality, advertising, ac- counting 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 commensu- rate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement 49 CFR Subtitle A (10-1-05 Edition) 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 economi- cally 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 com- pany. The use of such a company does not preclude the socially and economi- cally disadvantaged individuals from controlling their firm if they continue to maintain an employer -employee re- lationship with the leased employees. This includes being responsible for hir- ing, firing, training, assigning, and otherwise controlling the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related to the employ- ees. §26.73 What are other rules affecting certification? (a)(1) Consideration of whether a firm performs a commercially useful func- tion or is a regular dealer pertains solely to counting toward DBE goals the participation of firms that have al- ready been certified as DBEs. Except as provided in paragraph (a)(2) of this sec- tion, you must not consider commer- cially useful function issues in any way in making decisions about whether to certify a firm as a DBE. (2) You may consider, in making cer- tification decisions, whether a firm has exhibited a pattern of conduct indi- cating its involvement in attempts to evade or subvert the intent or require- ments of the DBE program. (b) You must evaluate the eligibility of a firm on the basis of present cir- cumstances. You must not refuse to certify a firm based solely on historical information indicating a lack of owner- ship or control of the firm by socially and economically disadvantaged indi- viduals at some time in the past, if the Office of the Secretary of Transportation firm currently meets the ownership and control standards of this part. Nor must you refuse to certify a firm solely on the basis that it is a newly formed firm. (c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for information relevant to the certifi- cation 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 DBEs. Not -for-profit organizations, even though controlled by socially and economically disadvan- taged 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. Ex- cept as provided in this paragraph, a firm that is not owned by such individ- uals, but instead is owned by another firm —even a DBE firm —cannot be an eligible DBE. (1) If socially and economically dis- advantaged individuals own and con- trol a firm through a parent or holding company, established for tax, capital- ization 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 other- wise meets all requirements of this subpart. In this situation, the Indi- vidual 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 indi- viduals. The following examples illus- trate how this cumulative ownership provision works: Example 1: Socially and economically dis- advantaged 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 sub- sidiary may be certified, if all other require- ments are met. Example 3: Disadvantaged individuals own 80 percent of the holding company, which in § 26.73 turn owns 70 percent of a subsidiary. In this case, the cumulative ownership of the sub- sidiary 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 eco- nomically disadvantaged owners of the par- ent or holding company controls the sub- sidiary. Even though the subsidiary is owned by disadvantaged individuals, through the holding or parent company, you cannot cer- tify it because it falls to meet control re- quirements. 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 sub- sidiary 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 addi- tion 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 certifi- cation and/or the gross receipts cap of §26.65(6). Under the rules concerning affili- ation, the subsidiary fails to meet the size standard and cannot be certified. (f) Recognition of a business as a sep- arate entity for tax or corporate pur- poses is not necessarily sufficient to demonstrate that a firm is an Inde- pendent business, owned and controlled by socially and economically disadvan- taged individuals. (g) You must not require a DBE firm to be prequalified as a condition for certification unless the recipient re- quires all firms that participate in its contracts and subcontracts to be prequalified. (h) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Ha- waiians as individuals, may be eligible for certification. Such a firm must meet the size standards of §26.35. Such a firm must be controlled by socially and economically disadvantaged indi- viduals, as provided in §26.71. (i) The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs). (1) Notwithstanding any other provi- sions of this subpart, a direct or indi- rect subsidiary corporation, joint ven- ture, or partnership entity of an ANC is eligible for certification as a DBE if it [Cu's] § 26.81 meets all of the following require- ments: (i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of the Settle- ment 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 di- rectors; (ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or partner- ship 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 pur- pose 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 ANC - related entity applies for certification, you do not use the DOT uniform appli- cation form (see Appendix F of this part). You must obtain from the firm documentation sufficient to dem- onstrate that entity meets the require- ments of paragraph (i)(1) of this sec- tion. 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 ANC -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 In- dian Tribes or Native Hawaiian Organi- zations. (64 FR 5126. Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003] Subpart E —Certification Procedures §26.81 What are the requirements for Unified Certification Programs? (a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP). 49 CFR Subtitle A (10-1-05 Edition) (1) within three years of March 4, 1999. you and the other recipients in your state must sign an agreement es- tablishing 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 mee'&ing 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 direc- tives and guidance concerning certifi- cation matters. The agreement shall also commit recipients to ensuring that the UCP has sufficient resources and expertise to carry out the require- ments of this part. The agreement shall include an implementation sched- ule ensuring that the UCP is fully oper- ational no later than 18 months fol- lowing the approval of the agreement by the Secretary. (3) Subject to approval by the Sec- retary, 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 ex- planation, or the explanation does not justify the failure to meet the dead- line, 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. 310 Office of the Secretary of Transportation (b) The UCP shall make all certifi- cation decisions on behalf of all DOT recipients in the state with respect to participation in the DOT DBE Pro- gram. (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 certifi- cation, such that an applicant is re- quired 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 non- discrimination must be carried out by UCPs, and recipients may use only UCPs that comply with the certifi- cation and nondiscrimination require- ments 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 busi- ness 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 docu- ments concerning the firm with other UCPs that are considering the firm's application. (e) Subject to DOT approval as pro- vided in this section, the recipients in two or more states may form a re- gional 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 agree- ments with other recipients, on a re- gional or inter -jurisdictional basis, to perform certification functions re- quired by this part. You may also grant reciprocity to other recipient's certifi- cation decisions. (g) Each UCP shall maintain a uni- fied DBE directory containing, for all firms certified by the UCP (including those from other states certified under the provisions of this section), the in- formation required by §26.31. The UCP shall make the directory available to the public electronically, on the inter - net, as well as in print. The UCP shall update the electronic version of the di- rectory by including additions, dele- tions, and other changes as soon as they are made. (h) Except as otherwise specified in this section, all provisions of this sub- part and subpart D of this part per- taining to recipients also apply to UCPs. §26.83 What procedures do recipients follow in making certification deci- sions? (a) You must ensure that only firms certified as eligible DBEs under this section participate as DBEs in your program. (b) You must determine the eligi- bility 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 re- cipients are required to meet. (c) You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of this part: (1) Perform an on -site visit to the of- fices of the firm. You must interview the principal officers of the firm and review their resumes and/or work his- tories. 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; (2) If the firm is a corporation, ana- lyze the ownership of stock in the firm; (3) Analyze the bonding and financial capacity of the firm; (4) Determine the work history of the firm, including contracts it has re- ceived and work it has completed; (5) Obtain a statement from the firm of the type of work it prefers to per- form as part of the DBE program and its preferred locations for performing the work, if any; 311 §26.83 (6) 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; (7) Require potential DBEs to com- plete and submit an appropriate appli- cation form, unless the potential DBE is an SBA certified firm applying pur- suant to the DOT/SBA MOU. (1) 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 approval of the concerned op- erating administration, for supplementing the form by requesting additional information not incon- sistent with this part. (ii) You must make sure that the ap- plicant attests to the accuracy and truthfulness of the information on the application form. This shall be done ei- ther in the form of an affidavit sworn to by the applicant before a person who is authorized by state law to admin- ister oaths or in the form of an unsworn declaration executed under penalty of perjury of the laws of the United States. (iii) You must review all information on the form prior to making a decision about the eligibility of the firm. (d) When another recipient, in con- nection 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 avail- able to the other recipient. (e) When another DOT recipient has certified a firm, you have discretion to take any of the following actions: (1) Certify the firm in reliance on the certification decision of the other re- cipient; (2) Make an independent certification decision based on documentation pro- vided by the other recipient, aug- mented by any additional information you require the applicant to provide; or (3) Require the applicant to go through your application process with- out regard to the action of the other recipient. 49 CFR Subtitle A (10-1-05 Edition) (I) Subject to the approval of the con- cerned 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 disclo- sure to unauthorized persons informa- tion gathered as part of the certifi- cation process that may reasonably be regarded as proprietary or other con- fidential business information, con- sistent with applicable Federal, state, and local law. (h) Once you have certified a DBE, it shall remain certified for a period of at least three years unless and until its certification has been removed through the procedures of §26.87. You may not require DBEs to reapply for certifi- cation as a condition of continuing to participate in the program during this three-year period, unless the factual basis on which the certification was made changes. (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 sta- tus, ownership, or control require- ments of this part or any material change in the information provided in your application form. (1) Changes in management responsi- bility among members of a limited li- ability company are covered by this re- quirement. (2) You must attach supporting docu- mentation describing in detail the na- ture 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). (j) If you are a DBE, you must pro- vide to the recipient, every year on the anniversary of the date of your certifi- cation, an affidavit sworn to by the firm's owners before a person who is authorized by state law to administer 312 Office of the Secretary of Transportation oaths or an unsworn declaration exe- cuted under penalty of perjury of the laws of the United States. This affi- davit must affirm that there have been no changes in the firm's circumstances affecting its ability to meet size, dis- advantaged status, ownership, or con- trol requirements of this part or any material changes in the information provided in its application form, except for changes about which you have noti- fied the recipient under paragraph (i) of this section. The affidavit shall spe- cifically affirm that your firm con- tinues to meet SBA business size cri- teria and the overall gross receipts cap of this part, documenting this affirma- tion with supporting documentation of your firm's size and gross receipts. 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 cer- tification within 90 days of receiving from the applicant firm all information required under this part. You may ex- tend this time period once, for no more than an additional 60 days, upon writ- ten notice to the firm, explaining fully and specifically the reasons for the ex- tension. 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 administra- tion. Your failure to make a decision by the applicable deadline under this paragraph is deemed a constructive de- nial of the application, on the basis of which the firm may appeal to DOT under §26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003] §26.84 How do recipients process ap- plications submitted pursuant to the DOT/SBA MOU? (a) When an SBA -certified firm ap- plies for certification pursuant to the DOT/SBA MOU, you must accept the certification applications, forms and packages submitted by a firm to the SBA for either the 8(a) BD or SDB pro- grams, in lieu of requiring the appli- cant firm to complete your own appli- cation forms and packages. The appli- cant may submit the package directly. § 26.85 or may request that the SBA forward the package to you. Pursuant to the MOU, the SBA will forward the pack- age within thirty days. (b) If necessary, you may request ad- ditional relevant information from the SBA. The SBA will provide this addi- tional material within forty-five days of your written request. (c) Before certifying a firm based on its 8(a) BD or SUB certification, you must conduct an on -site review of the firm (see §26.83(c)(1)). If the SBA con- ducted an on -site review, you may rely on the SBA's report of the on -site re- view. In connection with this review, you may also request additional rel- evant information from the firm. (d) Unless you determine, based on the on -site review and information ob- tained in connection with it, that the firm does not meet the eligibility re- quirements of Subpart D of this part, you must certify the firm. (e) You are not required to process an application for certification from an SBA -certified firm having its principal place of business outside the state(s) in which you operate unless there is a re- port of a "home state" on -site review on which you may rely. (0 You are not required to process an application for certification from an SBA -certified firm if the firm does not provide products or services that you use in your DOT -assisted programs or airport concessions. [68 FR 35555, June 16, 2103] § 26.85 How do recipients respond to requests from DBE -certified firms or the SBA made pursuant to the DOT/SBA MOU? (a) Upon receipt of a signed, written request from a DBE -certified firm, you must transfer to the SBA a copy of the firm's application package. You must transfer this information within thirty days of receipt of the request. (b) If necessary, the SBA may make a written request to the recipient for ad- ditional materials (e.g., the report of the on -site review). You must provide a copy of this material to the SBA with- in forty-five days of the additional re- quest. (c) You must provide appropriate as- sistance to SBA -certified firms, includ- ing providing information pertaining 313 to the DBE application process, filing locations, required documentation and status of applications. [68 FR 35555. June 16, 2003] §26.86 What rules govern recipients' denials of initial requests for cer- tification? (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 expla- nation 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) When you deny DBE certification to a firm certified by the SBA, you must notify the SBA in writing. The notification must include the reason for denial. (c) When a firm is denied certifi- cation, you must establish a time pe- riod of no more than twelve months that must elapse before the firm may reapply to the recipient for certifi- cation. You may provide, in your DBE program, subject to approval by the concerned operating administration, a shorter waiting period for reapplica- tion. The time period for reapplication begins to run on the date the expla- nation required by paragraph (a) of this section is received by the firm. (d) When you make an administra- tively final denial of certification con- cerning 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) §26.87 What procedures does a recipi- ent use to remove a DBE's eligi- bility? (a) Ineligibility complaints. (1) Any per- son may file with you a written com- plaint alleging that a currently -cer- tified firm is ineligible and specifying the alleged reasons why the firm is in- eligible. You are not required to accept a general allegation that a firm is in- eligible or an anonymous complaint. The complaint may include any infor- mation or arguments supporting the complainant's assertion that the firm is ineligible and should not continue to 49 CFR Subtitle A (10-1-05 Edition) be certified. Confidentiality of com- plainants' identities must be protected as provided in §26.109(b). (2) You must review your records concerning the firm, any material pro- vided by the firm and the complainant, and other available information. You may request additional information from the firm or conduct any other in- vestigation that you deem necessary. (3) If you determine, based on this re- view, 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 ineli- gible, setting forth the reasons for the proposed determination. If you deter- mine that such reasonable cause does not exist, you must notify the com- plainant 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 atten- tion, you determine that there is rea- sonable cause to believe that a cur- rently certified firm is ineligible, you must provide written notice to the firm that you propose to find the firm Ineli- gible, 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 adminis- tration determines that information in your certification records, or other in- formation available to the concerned operating administration, provides rea- sonable cause to believe that a firm you certified does not meet the eligi- bility criteria of this part, the con- cerned operating administration may direct you to initiate a proceeding to remove the firm's certification. (2) The concerned operating adminis- tration must provide you and the firm a notice setting forth the reasons for the directive, including any relevant documentation or other information. 314 Office of the Secretary of Transportation (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 re- move 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 ar- guments concerning why it should re- main 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 ac- ceptable under state law for the reten- tion of a verbatim record of an admin- istrative 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 re- tain 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 in- formation 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 evi- dence, 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 pro- ceeding 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 per- sonnel who did take part in these ac- tions. (1) Your method of implementing this requirement must be made part of your DBE program. (2) The decisionmaker must be an in- dividual 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 § 26.87 authority (i.e., an airport or transit au- thority 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 must not base a decision to remove eligibility on a reinterpretation or changed opinion of information available to the recipi- ent at the time of its certification of the firm. You may base such a decision only on one or more of the following: (1) Changes in the firm's cir- cumstances 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 avail- able 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 De- partment since you certified the firm; or (5) A documented finding that your determination to certify the firm was factually erroneous. (g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the reasons for it, including specific ref- erences to the evidence in the record that supports each reason for the deci- sion. 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 in- eligibility complaint or the concerned operating administration that had di- rected you to initiate the proceeding. (h) When you decertify a DBE firm certified by the SBA, you must notify the SBA in writing. The notification must include the reason for denial. (I) Status of firm during proceeding. (1) A firm remains an eligible DBE during the pendancy of your proceeding to re- move its eligibility. (2) The firm does not become ineli- gible until the issuance of the notice provided for in paragraph (g) of this section. 315 § 26.89 (j) 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 ineli- gible firm, or you have made a commit- ment to using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the de- certification notice provided for in paragraph (g) of this section, the ineli- gible 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 ineligi- bility, the prime contractor may con- tinue to use the firm on the contract and may continue to receive credit to- ward 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 por- tion of the ineligible firm's perform- ance of the contract remaining after you issued the notice of its ineligi- bility shall not count toward your overall goal, but may count toward the contract goal. (3) Exception: If the DBE's ineligi- bility is caused solely by its having ex- ceeded the size standard during the performance of the contract, you may continue to count its participation on that contract toward overall and con- tract goals. (k) Availability of appeal. When you make an administratively final re- moval of a firm's eligibility under this section, the firm may appeal the re- moval to the Department under §26.89. [64 FR 5126, Feb. 2. 1999, as amended at 68 FR 35556, June 16, 20031 §26.89 What is the process for certifi- cation appeals to the Department of Transportation? (a)(1) If you are a firm that is denied certification or whose eligibility is re- moved by a recipient, including SBA - certified firms applying pursuant to the DOT/SBA MOU, you may make an administrative appeal to the Depart- ment. 49 CFR Subtitle A (10-1-05 Edition) (2) If you are a complainant in an in- eligibility complaint to a recipient (in- cluding the concerned operating ad- ministration in the circumstances pro- vided in §26.87(c)), you may appeal to the Department if the recipient does not find reasonable cause to propose re- moving the firm's eligibility or, fol- lowing a removal of eligibility pro- ceeding, determines that the firm is el- igible. (3) Send appeals to the following ad- dress: Department of Transportation, Office of Civil Rights, 400 7th Street, SW, Room 5414, Washington, DC 20590. (b) Pending the Department's deci- sion in the matter, the recipient's deci- sion remains in effect. The Department does not stay the effect of the recipi- ent'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 recipi- ent's final decision, including informa- tion and arguments concerning why the recipient's decision should be re- versed. 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 which has been denied certifi- cation, whose certification has been re- moved, whose owner is determined not to be a member of a designated dis- advantaged 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 cer- tifies 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 eligi- bility is pending. Failure to provide this information may be deemed a fail- ure to cooperate under §26.109(c). (2) If you are an appellant other than one described in paragraph (c)(1) of this section, the Department will request, and the firm whose certification has been questioned shall promptly pro- vide, the information called for in paragraph (c)(1) of this section. Failure to provide this information may be Office of the Secretary of Transportation deemed a failure to cooperate under §26.109(c). (d) When it receives an appeal, the Department requests a copy of the re- cipient's complete administrative record in the matter. If you are the re- cipient, you must provide the adminis- trative record, including a hearing transcript, within 20 days of the De- partment'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 re- cipient's certification decision con- cerning a firm, and that recipient re- lied on the decision and/or administra- tive record of another recipient, this requirement applies to both recipients involved. (e) The Department makes its deci- sion based solely on the entire adminis- trative record. The Department does not make a de novo review of the mat- ter and does not conduct a hearing. The Department may supplement the administrative record by adding rel- evant information made available by the DOT Office of Inspector General; Federal, state, or local law enforce- ment authorities; officials of a DOT op- erating administration or other appro- priate DOT office: a recipient; or a firm or other private party. (f) As a recipient, when you provide supplementary information to the De- partment, you shall also make this in- formation available to the firm and any third -party complainant involved, consistent with Federal or applicable state laws concerning freedom of infor- mation and privacy. The Department makes available, on request by the firm and any third -party complainant involved, any supplementary informa- tion it receives from any source. (1) The Department affirms your de- cision unless it determines, based on the entire administrative record, that your decision is unsupported by sub- stantial evidence or inconsistent with the substantive or procedural provi- § 26.89 sions of this part concerning certifi- cation. (2) If the Department determines, after reviewing the entire administra- tive record, that your decision was un- supported by substantial evidence or inconsistent with the substantive or procedural provisions of this part con- cerning certification, the Department reverses your decision and directs you to certify the firm or remove its eligi- bility, as appropriate. You must take the action directed by the Depart- ment's decision immediately upon re- ceiving written notice of it. (3) The Department is not required to reverse your decision If the Depart- ment determines that a procedural error did not result in fundamental un- fairness to the appellant or substan- tially prejudice the opportunity of the appellant to present its case. (4) If it appears that the record is in- complete 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 clarifica- tion or augmentation of the record be- fore making a finding. The Department may also remand a case to you for fur- ther proceedings consistent with De- partment 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 deci- sion 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 ad- ministrative record or decision has been involved in the proceeding (see paragraph (d) of this section). The De- partment 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, includ- ing specific references to the evidence in the record that supports each reason for the decision. 317 § 26.91 (8) The Department's policy is to make its decision within 180 days of re- ceiving the complete administrative record. If the Department does not make its decision within this period, the Department provides written no- tice 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 reconsider- ation. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000: 68 FR 35556, June 16, 2003] §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 ap- plicable, 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, with- out 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 rea- sonable cause to remove the firm's eli- gibility, you must expeditiously com- mence 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 cer- tify or removed the eligibility of the firm, you must certify the firm, effec- tive on the date of your receipt of the written notice of Department's deter- mination. (4) If the Department determines that you erroneously determined that the presumption of social and eco- nomic disadvantage either should or should not be deemed rebutted, you must take appropriate corrective ac- tion as determined by the Department. 49 CFR Subtitle A (10-1-05 Edition) (5) If the Department affirms your determination, no further action is necessary. (c) Where DOT has upheld your de- nial of certification to or removal of eligibility from a firm, or directed the removal of a firm's eligibility, other recipients with whom the firm is cer- tified may commence a proceeding to remove the firm's eligibility under §26.87. Such recipients must not re- move the firm's eligibility absent such a proceeding. Where DOT has reversed your denial of certification to or re- moval of eligibility from a firm, other recipients must take the DOT action into account in any certification ac- tion involving the firm. However, other recipients are not required to certify the firm based on the DOT decision. Subpart F —Compliance and Enforcement § 26.101 What compliance procedures apply to recipients? (a) If you fail to comply with any re- quirement 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 pro- gram, actions provided for under 23 CFR 1.36; in the case of the FAA pro- gram, actions consistent with 49 U.S.C. 471O6(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 unconstitu- tional. §26.103 What enforcement actions apply in FHWA and VIA programs? The provisions of this section apply to enforcement actions under FHWA and FTA programs: 318 Office of the Secretary of Transportation (a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obliga- tions under this part may file a written complaint with the concerned oper- ating 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 viola- tion 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 Of- fice of Civil Rights may protect the confidentiality of your identity as pro- vided 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 ap- propriate. The Office of Civil Rights may direct the operating administra- tion to initiate a compliance review based on complaints received. (c) Reasonable cause notice. If it ap- pears, from the investigation of a com- plaint or the results of a compliance review, that you, as a recipient, are in noncompliance with this part, the ap- propriate DOT office promptly sends you. return receipt requested, a writ- ten notice advising you that there is reasonable cause to find you in non- compliance. The notice states the rea- sons for this finding and directs you to reply within 30 days concerning wheth- er you wish to begin conciliation. (d) Conciliation. (1) If you request con- ciliation, 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 of- fice sign a conciliation agreement, then the matter is regarded as closed and you are regarded as being in com- pliance. The conciliation agreement sets forth the measures you have taken or will take to ensure compliance. While a conciliation agreement is in ef- § 26.107 feet, you remain eligible for FHWA or FTA financial assistance. (3) The concerned operating adminis- tration shall monitor your implemen- tation 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) Enforce- ment actions are taken as provided in this subpart. (2) Applicable findings in enforce- ment proceedings are binding on all DOT offices. §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 as- sistance is enforced through the proce- dures of Title 49 of the United States Code, including 49 U.S.C. 47106(d), 47111(d), and 47122, and regulations im- plementing them. (b) The provisions of §26.103(b) and this section apply to enforcement ac- tions in FAA programs. (c) Any person who knows of a viola- tion 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. §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 par- ticipate in a DOT -assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representa- tions or under circumstances indi- cating a serious lack of business integ- rity or honesty, the Department may initiate suspension or debarment pro- ceedings against you under 49 CFR part 29. (b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or at- tempts to use, on the basis of false, 319 § 26.109 fraudulent or deceitful statements or representations or under circumstances indicating a serious lack of business in- tegrity 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 49 CFR part 29. (c) In a suspension or debarment pro- ceeding brought under paragraph (a) or (b) of this section, the concerned oper- ating administration may consider the fact that a purported DBE has been certified by a recipient. Such certifi- cation does not preclude the Depart- ment from determining that the pur- ported 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 en- forcement 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. §26.109 What are the rules governing information, confidentiality, co- operation, and intimidation or re- taliation? (a) Availability of records. (1) In re- sponding to requests for information concerning any aspect of the DBE pro- gram, 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 infor- mation 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 re- lease information that may be reason- ably be construed as confidential busi- ness information to any third party without the written consent of the firm that submitted the information. This 49 CFR Subtitle A (10-1-05 Edition) includes applications for DBE certifi- cation and supporting documentation. However, you must transmit this infor- mation to DOT in any certification ap- peal proceeding under §26.89 in which the disadvantaged status of the indi- vidual is in question. (b) Confidentiality of information on complainants. Notwithstanding the pro- visions of paragraph (a) of this section, the identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the in- vestigation, proceeding or hearing, or result in a denial of appropriate admin- istrative 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 re- spect to confidentiality of information in complaints. (c) Cooperation. All participants in the Department's DBE program (in- cluding, but not limited to, recipients, DBE firms and applicants for DBE cer- tification, complainants and appel- lants, and contractors using DBE firms to meet contract goals) are required to cooperate fully and promptly with DOT and recipient compliance reviews, cer- tification reviews, investigations, and other requests for information. Failure to do so shall be a ground for appro- priate action against the party in- volved (e.g., with respect to recipients, a finding of noncompliance: with re- spect to DBE firms, denial of certifi- cation or removal of eligibility and/or suspension and debarment: with re- spect 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, 320 Office of the Secretary of Transportation assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. If you violate this prohibition, you are in noncompli- ance with this part. [64 FR 5126, Feb. 2, 1999, as amended at 6g FR 35556, June 16, 2003] APPENDIX A TO PART 26 —GUIDANCE CONCERNING GOOD FAITH EFFORTS I. When, as a recipient, you establish a contract goal on a DOT -assisted contract, a bidder must, in order to be responsible and/ or responsive, make good faith efforts to meet the goal. The bidder can meet this re- quirement in either of two ways. First, the bidder can meet the goal, documenting com- mitments for participation by DEE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can docu- ment adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DEE goal or other requirement of this part which, by their scope, intensity, and appro- priateness to the objective, could reasonably be expected to obtain sufficient DEE partici- pation, even if they were not fully success- ful. II. In any situation in which you have es- tablished a contract goal. part 26 requires you to use the good faith efforts mechanism of this part. As a recipient, it is up to you to make a fair and reasonable judgment wheth- er 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. The efforts em- ployed 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 DEE contract goal. Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determina- tion concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting quantitative formulas is not required. ID. 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 ac- tions which you should consider as part of the bidder's good faith efforts to obtain DEE participation. It is not intended to be a man- datory checklist, nor is it intended to be ex- clusive or exhaustive. Other factors or types Pt. 26, App. A of efforts may be relevant in appropriate cases. A. Soliciting through all reasonable and available means (e.g. attendance at pre -bid meetings, advertising andlor written notices) the interest of all certified DBEs who have the capability to perform the work of. the contract. The bidder must solicit this inter- est within sufficient time to allow the DEEs to respond to the solicitation. The bidder must 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 per- formed by DEEs in order to increase the likelihood that the DEE goals will be achieved. This includes, where appropriate, breaking out contract work items into eco- nomically feasible units to facilitate DEE participation, even when the prime con- tractor might otherwise prefer to perform these work items with its own forces. C. Providing interested DBEs with ade- quate information about the plans, specifica- tions, and requirements of the contract in a timely manner to assist them in responding to a solicitation. D. (1) Negotiating in good faith with inter- ested DEES. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to se- lect those portions of the work or material needs consistent with the available DBE sub- contractors and suppliers, so as to facilitate DEE participation. Evidence of such negotia- tion includes the names, addresses, and tele- phone numbers of DBEs that were consid- ered; a description of the information pro- vided 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 negoti- ating 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 in- volved 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 organiza- tion does not relieve the bidder of the re- sponsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DEEs If the price difference is excessive or unreasonable. E. Not rejecting DEEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The con- tractor's standing within its industry, mem- bership in specific groups, organizations, or 321 Pt. 26, App. A associations and political or social affili- ations (for example union vs. non-union em- ployee 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 In- surance as required by the recipient or con- tractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, sup- plies, materials, or related assistance or services. H. Effectively using the services of avail- able minority/women community organiza- tions; minority/women contractors' groups; local, state, and Federal minority/women business assistance offices; and other organl- 49 CFR Subtitle A (10-1-05 Edition) zations 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 appar- ent 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 appar- ent successful bidder having made good faith efforts. 322 Office of the Secretary of Transportation Pt. 26, App. B APPENDIX B TO PART 26 -UNIFORM REPORT OF DBE AWARDS OR COMMITMENTS AND PAYMENTS FORM your Fedcnl tmarelal assistance. 11 asitstsnec ttTNs Ilglt mote than one OA, net zpan4 expecting forms fee each OA. If you an an n A recipient, indicate your Vendor Number in the apace pin ider. I. If you an an FAA mgient, radiate the eleant Al? Numbns covered by this npott If more e than si; attach a square sheet 3. Specify the Fetal Osal year (ic, October I — September So) in Mich the covered reporting period falls. 4. Stem the dm of rubmission of this report. 5. Check the appropriate box that indicates lire npmtmg period trial the data provided in this report co m. If this amount Is due June 1, data Would awn Deer I — Mme. 31. If Nis report is dam Decet 1, data shoeld costs April I — September 30. If this opal is doe to the FAA, dm Awld cover the otin you, 6. Nme ofiMncigrnl 7. State your annual DBE limits) established for the Federal fiscal year or this spat to be aubmiud to and approved by the relevant OA Your Overall Goal is to be trimmed as well we the beakdewn for specific Race Conscious and Swe Neural Geds (both of which lalode gedmomcrous'rt nI gals), The Race Conscious Goal portion Donald be bard m pmgnno that foss me and provide bwefis only for DBEs. The we of counter goals e a primary example of a Boa conscious tousum. The Bed Neural Goal portion should include programs that, while benefiting DDE,. art not solely focused on DUE Dmts For example. a small business outreach peogram. merriest assistance, and prong( payment climes an mist a wide warily of businesses in addition to helping DBE fimn. 8.9. The amounts in i'tins BIA)-9(1) should include all mpn of prime contracts award and all types of wMonmm awarded or committed, including: professional or onsulml services. omtwctim. membrane of intends or stpplies, lease or perform or equipment and anv other lyres of omen. All dollar amounts m to reflect oWy he Fetal Ave of web onmm, and should be rounded to the nano dollar. g(A). Pavide the treal dollar among for all prime contrails muiard with I%yf fords that wen awarded during this reporting Period. 8(0). Pmvbe the seal ,,o be of all prime coNev4 assisted with DOT rwrb that were awmded doting this reporting period. g(C). Fn® di. total dollar amount awarded in item 8(A). provide the dollar amount awarded o emitted ODE doting this reporting period. g(D) Frm the total number of prime eonmcn awarded in item 8(B). speciy the number aw-ardd to certified DOES denied this repotting Period. 9(E. From the total dolled n rdcd in 8(C). provide the CWL{ amount awarded to DBE though the ase of Race Conscious nnlhodt See the deftnilion of Ran Conscious Goal in item 7 and the explanation of project hypes in Item B to include in your calculation. 8(F). From IW local murder of prime contracts awarded it 1(0). sweetly the met a en d to DBE through Ban Conscious methods. it mlur amwtm .ward m itvo IXe). provde anaNd an cmifre DBEs through the m of di. Set the definition of Race Natural Goal in motion of project types in item B to include. 8110. Fun the tool manager of prime onmm avoided in 8(0). specify IM a bra anwtded m DOE, i&ough Race Netenl meths 8(I). Of all pine a neacts avurdd this leading period, calculate the gyggy(ggp going to OEt Divide tM dollar amoonr in item 8(C) by the dollar amwm in ben 81A) be derive this percentage. Round percmuge ne the neaml tenth. 9(A) -9(I). Items 9(A)-9(1) an deririvd in the s is wry as items 8(A)- 8(0. 0. neepl that these calculations ebadd be bred on subcontracts rttpv Wm prime manacn. Unlike prime corrects. which toy only be awuhq mbcamana her be either amid in emmnitu6 10(A) -I I(D. Fec all DOES sentenced pence ovens aM molded or remmined atdeonweet as iMiatd in r{C)N) and 9(C){fl break the data down branches by most dollar amount as well as the number of alt comma going to each ethnic group as well as to non- mmoriry wanes. Gic 0ther contrary includes thou DBE wM are rte members of the presumptively disadvantaged groups already listed, had cobs Ce deermimd eligible roe the DEE program m an individual basis (e4 a Concedes pule with a disability). The TOTALS vale in 10(H) should equat the wi 018(C) phi, (C). and similarly, the TOTALS value in 11(11) should equal the sum of B(D) plate 9(DI. Column I should only be filled out if this report is due m Dcennber 1. as indicated in ism 5. The aloes for this column are derived by seeing the valor regard in column H in year first report with the values reported in this mod open. Iz(A). Pride the toil number of prime connate completed during this reporting period final had fan Conuious goats. Red Conscious conmrn am thou with roman goals or another Rae Conscious measure. hl(BI Provide he total dollar value of prim contracts completed Wis reporting period that bad Rao Conscious gals. 12(C) Pwide the total dollar ammmt of ODE participation on all Rage Conscious prime contracts completed this reposing period that was necessary to meet the contract goals an than. This applies only to Race Conscious prime contact!. 1$0). Provide the actual trod DUE pnteipation in dollars on the me conscious prime cwnatu orriMed this reporting period 11(E) Of all the pivot armor construed this reporting period. calculate 'he renominate of ORE Nomiado D'u'de the actual total dollar amount in 11(D) by the total dollar value provided in 12(B) to derive this percentage. Round to the nearest Orion 13(A). U(E). Item 13(A)-I3(E) are derived in the come manner as items 12(A)-ly(E). except these towns should be based on Ran Neural prim contacts (i.e. duce with in race conscious masma). la(A)-I4 E). Calculate me Totals to, cab column by adding the race conscious and neural frgwe, provided in each row above. I5. Maine of me Aummimd Reptemtative preparing this fonts 16. Signature or the Authorized Revenmive. I]_ Phone n®Mr of me AOTahzcd Repreenmive. IB. Fu number of the Authetind Representative. "summa your eanpatr refine Yana Rrowad or Ohblan lMtt 323 Pt. 26, App. C 49 CFR Subtitle A (11)-1-05 Edition) - ---. -. g> o n nO2 -.- .-- N e W •. ua WC ¢O O 2 n Q TO 42 d°v mrn ¢ a pp zm E S 83 f NZC h V °¢8 m W (� V .22 e v q � z x028 coc= ° a k F a o oQi— La Y^� . umTi{E oeC �S= zsa• 26e LL. d _ u &o 0 y • a • •0 a cN 4- 45 D_ o V t2o 8 • ¢ r, F 9 n _ C °=i EE dy �1 .. {i Efi m OSEE ° HI n� �e Ut 3 r$5 mE O0 • O F 0 V •¢ Wi } °nG =9 S f _mW ° > V a 3gg• O YoE 2 SU ° w3 $ • �a o OF - x ° _Z5 $a e° xE Cl d aoV n a2 C O. . V <O a E p ¢ • O LL — — a LL 4Y SSQ c E �T mi�. ,- o Jig Ni ¢ S W Y' 3 S :'m�£l� 'y ay,��$ µ 'a:G„s„ 3 a �2 UI „„ll: ¢6 M1 S ,'i [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003] APPENDIX C TO PART 26 —DBE BUSINESS DEVELOPMENT PROGRAM GUIDELINES The purpose of this program element is to further the development of DBEs, 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 the recipient. (A) Each firm that participates in a recipi- ent's business development program (BDP) program is subject to a program term deter- mined by the recipient. The term should con- sist of two stages; a developmental stage and a transitional stage. 324 Office of the Secretary of Transportation (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 sub- mitted 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-tradi- tional areas of work and/or work outside the DBE program. (D) The business plan should contain at least the following: (1) An analysis of market potential, com- petitive environment and other business analyses estimating the program partici- pant's prospects for profitable operation dur- ing 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 re- ceiving contracts other than those in tradi- tional areas of DEE participation. (3) Specific targets, objectives, and goals for the business development of the partici- pant during the next two years, utilizing the results of the analysis conducted pursuant to paragraphs (C) and (D)(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 (5) Such other information as the recipient may require. (E) Each participant should annually re- view 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 pre - gram purposes until the recipient approves In writing a modified plan. The recipient should establish an anniversary date for re- view of the participant's business plan and contract forecasts. (F) Each participant should annually fore- cast in writing its need for contract awards for the next program year and the suc- ceeding 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: Pt. 26, App. C (1) The aggregate dollar value of contracts to be sought under the DEE program, reflect- ing 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 re- quested 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 dis- advantage 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 par- ticipation 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 pro- gression of achieving the firm's established goals and objectives. The setting of such time could be factored on such items as, but net limited to, the number of contracts, ag- gregate amount of the contract received, years in business, growth potential, etc. (I) Beginning in the first year of the transi- tional stage of program participation, each participant should annually submit for in- clusion in its business plan a transition man- agement plan outlining specific steps to pro- mote profitable business operations in areas other than traditional areas of DBE partici- pation 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 para- graph (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 suc- cessfully completing the program by sub- stantially 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. 325 Pt. 26, App. D (K) In determining whether a concern has substantially achieved the goals and objec- tives of its business plan, the following fac- tors, among others, should be considered by the recipient: (1) Profitability: (2) Sales, including improved ratio of non- traditional contracts to traditional -type contracts; (3) Net worth, financial ratios, working capital, capitalization, access to credit and capital; (4) Ability to obtain bonding; (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 (6) Good management capacity and capa- bility. (L) Upon determination by the recipient that the participant should be graduated from the developmental program, the recipi- ent 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 rea- sons for each finding. The letter of notifica- tion should also provide the participant 45 days from the date of service of the letter to submit in writing information that would ex- plain why the proposed basis of graduation is not warranted. (M) Participation of a DBE firm in the pro- gram 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 reason- able period of time as evidenced by, among other indicators, a pattern of inadequate per- formance or unjustified delinquent perform- ance. 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 re- spond 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. APPENDIX D TO PART 26 —MENTOR - PROTEGE PROGRAM GUIDELINES (A) The purpose of this program element Is to further the development of DBEs, includ- ing 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 oper- ating administration. 49 CFR Subtitle A (10-1-05 Edition) (B)(1) Any mentor -protege relationship shall be based on a written development plan, approved by the recipient, which clear- ly sets forth the objectives of the parties and their respective roles, the duration of the ar- rangement 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 in- direct cost for such services rendered by the mentor for specific training and assistance to the protege through the life of the agree- ment. 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 prop- erly allowable to specific individual con- tracts. The recipient may establish a line Item for the mentor to quote the portion of the fee schedule expected to be provided dur- ing 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 con- tract. 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 en- tities which meet the requirements for cer- tification 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 rec- ognize 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. APPENDIX E TO PART 26r —INDIVIDUAL DETERMINATIONS OF SOCIAL AND ECONOMIC DISADVANTAGE The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic disadvan- tage 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 disadvan- tage must stem from circumstances beyond their control. Evidence of individual social disadvantage must include the following ele- ments: 326 Office of the Secretary of Transportation (A) At least one objective distinguishing feature that has contributed to social dis- advantage, such as race, ethnic origin, gen- der, disability, long-term residence in an en- vironment isolated from the mainstream of American society, or other similar causes not common to individuals who are not so- cially disadvantaged: (B) Personal experiences of substantial and chronic social disadvantage in American so- ciety, not in other countries; and (C) Negative impact on entry into or ad- vancement in the business world because of the disadvantage. Recipients will consider any relevant evidence in assessing this ele- ment. In every case, however, recipients will consider education, employment and busi- ness history, where applicable, to see if the totality of circumstances shows disadvan- tage in entering into or advancing in the business world. (1) Education. Recipients will consider such factors as denial of equal access to institu- tions of higher education and vocational training, exclusion from social and profes- sional association with students or teachers, denial of educational honors rightfully earned, and social patterns or pressures which discouraged the individual from pur- suing 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 indi- vidual into non-professional or non -business fields. (3) Business history. The recipient will con- sider such factors as unequal access to credit or capital, acquisition of credit or capital under commercially unfavorable cir- cumstances, unequal treatment in opportu- nities for government contracts or other work, unequal treatment by potential cus- tomers and business associates, and exclu- sion from business or professional organiza- tions. 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 re- main to their full participation in education, employment, and business opportunities available to the general public. The Ameri- cans with Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with disabilities. It is plausible that many individuals with disabilities —espe- cially persons with severe disabilities (e.g., significant mobility, vision, or hearing im- pairments) —may be socially and economi- cally disadvantaged. Pt. 26, App. E III. Under the laws concerning social and economic disadvantage, people with disabil- ities are not a group presumed to be dis- advantaged. Nevertheless, recipients should look carefully at individual showings of dis- advantage by individuals with disabilities, making a case -by -case judgment about whether such an individual meets the cri- teria of this appendix. As public entities sub- ject to Title II of the ADA, recipients must also ensure their DBE programs are acces- sible to individuals with disabilities. For ex- ample, physical barriers or the lack of appli- cation and information materials in acces- sible formats cannot be permitted to thwart the access of potential applicants to the cer- tification process or other services made available to DBEs and applicants. EcoNoMic DISADVANTAGE (A) General. Economically disadvantaged individuals are socially disadvantaged indi- viduals 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 dis- advantaged. (B) Submission of narrative and lnanciat in- formation. (1) Each individual claiming economic dis- advantage must describe the conditions which are the basis for the claim in a nar- rative 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 indi- vidual claiming disadvantaged status, in- cluding personal income for the past two years (including bonuses and the value of company stock given in lieu of cash), per- sonal net worth, and the fair market value of all assets, whether encumbered or not. Re- cipients will also consider the financial con- dition of the applicant compared to the fi- nancial 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 so- cially and economically disadvantaged indi- viduals 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/work- ing 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 trans- ferred to an immediate family member, or to 327 Pt. 26, App. E a trust, a beneficiary of which is an imme- diate family member, for less than fair mar- ket value, within two years prior to a con- cern'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 imme- diate family member for that individual's education, medical expenses, or some other form of essential support. (2) Recipients will not attribute to an indi- vidual claiming disadvantaged status any as- sets transferred by that individual to an im- mediate family member that are consistent 49 CFR Subtitle A (10-1-05 Edition) 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 char- ities). [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 2003] I Office of the Secretary of Transportation Pt. 26, App. F APPENDIX F TO PART 26 --UNIFORM CERTIFICATION APPLICATION FORM INSTRUCTIONS FOR COMPLETING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM UNIFORM CERTIFICATION APPLICATION NOTE; If you renAreadmimod 'pact for any gouda k Ihb applIcation, pleare attach additional thee eepb o eMeJ, uD tarerokdlmean eaeb atuehrd.heetle. tbe.wesm and number ofrhh oplknlon lowMch heifers. --- Section 1: CERTIFICATION INFORMATION A. Pttor/Other Certifeations Check the appropriate box indicating for which program your firm is currently ctuifrcd. If you are already certified as a DBE, mdimu in the appropriate box the name of the certifying agency that has previously certified your firm, and also indicate wbetha your fire has undergone an nnsite visit. If your firm has already undergone an ensile viaitlreview, indicate the more recent date of that review and the state UCP that conducted the review, NOTE: If your rim is currently certified under the SEAS R(e) mdrm SOB programs, you m ev not have to complete this application You should contact your area UCP to find our about a sveamlir,ed application process for firms that me already Chaired under the 8(a) and SOB programs. 8. PrbrfOlher Applications and Frivilegn Indicate whether Son fain or ary of de Ieraarc li9N has ever withdrawn an application for a DBE program or an SBA 8(a) or SOB program, or whether any have ever been denied certification, decenilied, rebatied, suspended, or had bidding privileges denied or restricted by prey state or local agency or Federal entity. If your answer is yes, indicate the date of such action. identify she name of he agency, and napkin fully the nature ofthe action in the Space provided. Section 2: GENERAL INFORMATION A. Confect information (1) State the name and title of the person who will one a your run's preppy contact under this applicnlion. (21 State the Legal name of your Bnn, as indicated in your fortis Articles of incorporation or charter. (3) State the primary phone number of your firm. (4) Sure a secondary phone number, if my. (51 Stale your inn's fax number, if any. (6) Sum your fain s or your contact person's email address. (7) Sate your Timms website address. ifeny. (8) State the stied address of your ('mu (i.e. the physical location of its offices —gy a post office box address). (9) State the moiling address or your firm if it is di(Oenl from your firms met address, B. Business Profile (I) In the box provided, briefly describe the primay business and professional activities in which your rimn engage,. ' (2) Sale the Federal Tax ID mzmber of your firm as provided on your rim's filed tae returns. if you have one. This could also be the Social Security number ofthe owneroryour cum. (3) State the date on which your fines w s officially established. as sums in your firm's Articles of examination or charter. (4) Stem the date on which you and/or each other owner look ownership ofthe firm. (5) Check the appropriate box that describes the manner in which you and each other owner acquired ownership of yea from If you checked 'OthcC explain in the space Provided (6) Check the appropriate box that indicates whether your fines is "fm pmf1L" NOTE: If you checked NC then you do NOT qualify for the DBE progtvn and therefore do end need to complete the test of this epplilion. The DBE program requires all participating for be for-profit enlerpdus. (7) Check the appropriate boa that descnlea the legal form of ownership or your fmm, as indicated in your firm's Articles of Incorporation or ch arter. If you checked "Other? briefly explain in the spa provided. (8) Cook the ape% eve boa the whetherindicates ethn your firm has near existed order different ownership, a different type of oxnmhip, or a different name. I(you checked "Yes,' specify which and briefly explain the circumstances in the space provided. (9) Indicelc in Iuc spaces provided how many of employees who work on a full-time and part- time basis. (to) Specify the total gross receipts of your fine for each of the pmt three years, as declared in your fine's filed tax return,. C. RelatIonshIps with Other Raciness.. (1) Chec k Check the appropriate box than indicates whether your firm is co -located at any of its busia locations. or whether your firm shharares s a man, a e numbalaa post ogee his, any ogee space, yard, anyoffice warehouse, eater facilities, any equipment, or any staff with any other business, organization or entity of any kind. If you answered ^Yes, then specify the name of the other fvndalties briefly explain in nature of the shared facilities m other items the ryes provided. (I) Check the appropriale hot e indicates whether or at m at present, or a any time in the past: (a) Vein Gran has been•mbskory of any etM1ec firm; (b) Your rim nnaiated of a partnership in which one or more of the panic,, are other firms; (d Your fines his owned any percentage of any other Ann: and (d) Your rimhas had any subsidiaries of its own. (3) Check the appropriate box that indicates whether my other fun, ha, ever bad an ownership myour fmm. P1. 26, App. F (4) If you answered 'Yes"lo any oflhe questions in I2Xa)- d) or (3), identify the name, address and lype ofbusmes5 for each. D. Immediate Family Member Businesses Check the appropriate box that indicates whether any of your immediate family members own or manage another company. An -immediate family member' is any person who is your father. mother, husband, wife. Ion, daughter, brother, sister, grandmother, graadfath", grandson, granddaughter, mother-in-law, or father-in-law. If you answered'Ya.' provide the name of each relative, your relationship to them, the name of the company they own or manage, the type of business, and whether they own or manage the company. Section 3: OWNERSIIIP Identify all individuals or holding companies with any ownership Interest in your firm. providing the Information requested below (if your firm has more than one owner, provide completed copies of this section for each additional owner): A. Bnkgrourld Information (1) Givethe vote ofdwowns. (2) State hither title or position within you finer (3) Give hisrh" home phone nmmlb r. (4) State hisger home (sum) address. (5) Check the appropriate box that indicates this owner's gender (6) Check the appropriate box that indicates this owner's ethnicity (check all that apply). If you checked "Other." specify this owner's ethnic groupAdentiry not otherwise listed. (7) Check the appropriate box to indicate whether this owner Is a U.S. citizen. (8) If this owner is not a U.S. citiren. check the appropriate box that indicates whether this owma is a lawfully edmiited pennant resident. If this owner is neither a U.S. citizen nor a lawfully admitted penvreot resident of the U.S., then this owner is NOT eligible for certification as a DBE owner, This. however, does not necessarily disqualify your firm altogether from the DBE program if another owner is a U.S. citizen or lawfully admitted permanent resident and meets the program's other qualifying requirements, B. Ownership Interest (1) State the number of years during which this own" has been m Owner ofythi fires (2) Indicate the dollar value of this owner's initial investment to acquire an ownership interest in your Inn. broken down by cash, real estate, equRmeLL u,4/or rem invesani, (3) State the percentage of total ownership control of your ram that this mwiir (4) State the familial relationship of of this owner to each other owner of r firm. (5) Indicate the numberumber, percentage of the total. class, date acquired, and method by which this owner acquired hi/het shares of stock in your fm. 330 49 CFR Subtitle A (10-1-05 Edition) (6) Check the appropriate box that indicates whether this owner performs a management or supervisory function for any other business. If you checked "Yes," state the name of the other business and this owner's function or Ink held in that business. (7) Check the appropriate box that indicates whether this owner owns or works for any other finn(s) that has pray relationship with your ream. If you checked "Yes: identify the came of the other business and his owner's function or title held in that business. Briefly describe the nature of the busopss relationship in the space provided. C. Disadvantaged Status NOTE: You only nerd to complete this section for each own" that is applying for OBE qualification (i.e. for each owner who 1s claiming m be "social' and economically disadvantaged" and whose Ownership Interest Is to be counted toward the control and 51% ownership ngnimvanta of the DBE program) (I) Indicate is the space provided the taut Personal Net Worth (PNW) of each owner what is applying for DBE qualification. Use the PNW calculator farm at the end of this application to compute each owner's PNW. (2) Cheek the appropriate box that indicates whether any trust has ever been created for the benefit of this disadvantaged owner. If you answered 'Yes," briefly explain the nature, history, purpose. and current value of the crea(e). Section a: CONTROL A. Idenllf, your firm's Officers and Board of Directors: (1) in the space provided, sue the name, irate. date of appointment, ethnicity, and gender or each officer ofyo ur frm. (2) In the space provided, state the same. title, date of appointment, ethnicity, and gender of each individual serving on your firma Board of Directors. (3) Check the appropriate box that indicates whether any of yam firm's officers andlm directors listed above perform a management or supervisory function for any other business. If you answered "Yes," identify each person by name. hillier title, the name of the other business in which sore is involved, and histhcr fimctioo performed in that otherbusiness- (4)Check the appropriate has that indicates whether any of your Ann's officers andlm directors listed above can or work fm my rubber rum(s) that her a relationship with your firm If you answered "Yes: identify the name of the Inn, the officer or director, and the nature of hisTer business relationship with that other from B. Identify your firm's management personnel (by name, title, ethnicity, and gender) who control your Arm in the following alas: Office of the Secretary of Transportation (I) Making financial decisions an your firms behalf, including the acquisition of lines of alit, =rely bolds, sapplles, ctr,; (2) Estimating and bidding, including circulation of oust estimates. bid pepintion and sudnissien (3) Negaialing and contract execmioo, including Participation in any of your firm's negotiations end executing contracu on you fan's behalf: (4) Hiring and/or firing of management personnel, including interviewing and conducting performance evaluations; (5) Field/Prod tic l ion operations supervision. including silt supervision, scheduling, project management smites. etc.: (6) Office mamgemem; (7) Marketing and asks; (8) Purchasing oftmja equrymml: (9) Signing remains checks (for any Wnpse): and (10) Conducting any other cmncal trnmctiaes on your ftm s behalfml otherwise listed. (11) Check the rppopriate box that indicates 'tether any of she persons listed in (I) through (10) above perform a management or supervisory function for any other bmircss. Iryou answered "Yes,' identify each person by name, hisber title, she name of the other business in which Lhe is involved, and his/her function performed in what other business. (12) Check the appPoriate box that indicates whether any of she persons listed in (I) through (10) above own or work for any other firm(s) draw has a relationship with your Bun. If you answered "Yes," identify the name of the Bnn. the name of the person, and the nature of his/her business relationship with that tether firm. C. Indicate your firm's inventory in the following nregodes: (1) Equipment State the type. make and morel, and atrent dollar value or each piece of equipment held and/or used by your film. Indicate whether eh piece is either owned or leased by your firm. (2) 'eMdn Smite she type, make and model, red current dollar value of each motor vehicle held and/or used by your firm. Indicate whether each vehicle is either owner or leased by your from. (3) Officer Span State the street address of each who: space held and/or used by your rim Indicate whether your cam owns or leases the office space and the rvrten, dollar nicer oftht popcay or its lease. (4) Stange Space Sam the street address of each eaomge space held and/or nod by you can. Indicate whether your urn, owns or leans the storage space and the cunent dollar value of lhat wopnyer its lax. your Doe, Corm rely on any ocher firm for management fux[bns or x employee us; ' Check the s on te box that indicates whether your (inn relies on any other firm for management functions or for employee payroll. If You answered 331 Pt. 26, App. F "Y¢:' briefly explain the nature of that reliance and the extent to which It other rims carries out such functions. F_ blorn1 Information (I) Baking Information (s) Scale to mac of your Brm shank. (1) Slate Nemem Plane number of your ham's bank bread. (c) State the address ofyoeu fmhiabank blench. (2) Bo(a) Stale rimer (a) Sam your film's Binder Number. (b) Sate the name of your Bran's bond agent tabroken. (c) State te your agent sbroker's phone number. (d) Stare your agent'shmker's address, (e) Sate your fin's bonding limits (in dollars), upecif)m8 bath the Aggregate end Project L®c. F. Idonl an to u amounts, and purposes of money brood to your fern Iv an, If the nemn of persons or owner removing the ban, If other than the Surd the mat of to eM1e vane and address of loan, h eooae ale vanr of opnd securing the co the heloar, ddtlar he amount and the h each) balance m eachin loan, and the Past all for uions loan rbwas er, oars is cam. C. List all contributions tor transfer, of mess over your two and wolfram any a(In owners war the p.11 the in spaces provided, the type of contributionvalue, asset r one wan tramfert its ewar dWnsr rd,, the person fiim from whomm it was transferred, erthe person or Gam to whom it was transferred, the relationship edate between . two persons crick amen, and thednmofthe heldxber. 11. kit lean lfir Armin held by any owner m ampte mof your firm. the listmall oreachperson in your fpm wed holds r pmfessit the xpensi n pamB, the type of license or pnmti se/per on date of tic pctmgl or license. fto one the limrmit. it number and issuing State of the listL tie L Ii rte three t three earsnea completed by your firm her the peso am yeen, owner or c cou the time rsf each awns or f she pauji for each eacthe tame and location a the rtncd o under each es"contract, the Pape of work h contract w each cosusct and the duller vela veJob nPmm J. List Ithes three largest active rase on watch year Fork currently working. For recto naive job project state o name of the name contractor ofw and the project rej ere loars date, the type of wok performed, the project the seen tl atu the he cipted completion date, and ere dollar vane of he cVImt. AFFI fill & 'ad Carefully lad the vnfored nthfataffidavit in its ank pa and iionendice iafomdavotinortechshank space, and sign and damoeaffidavit inthee thehue,t Notary Public, who mu tlmt notarize the farm Pt. 26, App. F 49 CFR Subtitle A (10-1-05 Edition) DISADVANTAGED BUSINESS ENTERPRISE PROGRAM 49 C.F.R. PART 26 UNIFORM CERTIFICATION APPLICATION IR GADPMP iFO1R APPiLllCANYTM Should I apply? o Is your fom at least 51% -owned by a socially and economically disadvantaged individual(s) who also controls the Ban? o Is the disadvantaged owtxr a U.S. citizen or lawfully admitted permanent resident of the U.S o Is your firm a small business that meets the Small Business Administration's (SBA's) size standard pn4 does not excel $17.42 million in gross anal receipts? o Is your Firm organized as a for-profit business? Ifyou answered "Yes' to all Mike questions above, you may,ke eligible to participate in the U.S. DOT DBE program. ® Is there an easier way to apply? If you art currently certified by the SBA as an 8(a) and/or SDB fims you may be eligible for a streamlined certification application process. Under this process. the certifying agency to which you art applying will accept your current SBA application package in lieu of requiring you to fill out and submit this form. NOTE: You must still meet the requirements for the DBE program, including undergoing an on -site review. 0) Be sure to attach all of the required documents listed in the Documents Check List at the end of this form with your completed application. O Where can I fend more information? o U.S. DOT —h tp/losdbuweb dot euwbusiness'db&indexlnml (this site provides useful links to the rules ud regulations governing the DUE program, questions and answers, ad other pertinent information) o SBA — hmalwww.ntis.govinaics (provides a listing ofNA1CS codes) and htto://www.sba.ov/siz&indextableofsizc hinil (provides a listing ofNAICS codes) __ O 49 CFR Pon 26 (the rules and regulations governing the DBE program) Under Sec. 26.107 of 49 CFR Pan 26. dated February?, 1999, if at any time, the Department or a recipient has reason to believe that any person or fine has willfully and knowingly provided incorrect information or made false statements, the Department may initiate suspension or debamtent proceedings against the person or firm under 49 CFR Pan 29, Govemmentwide Debarment and Suspension (nonprocuremer t) and Govemmentwide Requirements for Drug -free Workplace (grants), take enforcement action under 49 CFA Part 31, Program Fraud and Civil Remedies, and/or refer the matter to the Department of Justice for criminal prosecution under 18 U.S.C. 1001, whicIi prohibits false statements in Federal programs. Page I erg 332 Office of the Secretary of Transportation Pt. 26, App. F Section 1: CERTIFICATION INFORMATION Prior/Other Certifications Is your firm currently certified for ❑ DBE Name of certifying agency: any of the following prognuns7 (/if Yes. check appropriate box(e,)) Has your firm's state UCP conducted an on -site visit? OYes on / I State: ❑No O 8(a) ®STOP! Ifyou checked tither the 8(a) or 5DB box, you may not have to complete this application Ask your state UCP about the streamlined application ptocess under the SBA.DOT MOU. ❑ SDB Has your firm (under any name) or my of its owners, Board of Directors, othcem or management personnel, ever withdrawn an npplication for my of the programs listed above, or ever been denied certification, decertified, or debuted or suspended or otherwise had bidding privileges denied or restricted by any stale or local agency, or Federal antityt ❑Yes.on_/ / ONo If Yes, identify State and name of state, local, or Federal agency and explain the nature of the action: Section 2: GENERAL INFORMATION (I) Contact person and Title: (2) Legal nine of (inn: (3) Phone 4: (4) Other Phone #: (5) Fax 9: E-mail: Website (ifhaw one): (8) Street address of fine NNo P.a Bar): City: CwxyIP irh: Sue: Zip: (9) Mailing address of fine ordrryerea : C5ry: Cuunt+Pvish: Sun: Zip: Bnslness Profile (1) Describe the primary activities of your firm: (2) Federal Tax ID (any): (3) This firm was established on / / d Bede have owned this firm since: / (5) Method of acquisition (thud all elan applv): O Started new business 0 Bought existing business Olnherited business ❑ Secured concession ❑Mercer or consolidation O Other ain (6) Is your firm florprofit'4 OYes ONo 0STOP! Ifyour fine is NOT for.profit. then you do NOT qualify for this and do NOT need to fill out this alication. Page 2 of 8 333 Pt. 26, App. F 49 CFR Subtitle A (10-1-05 Edition) (7) Type of fmm frfe<x an May app.): o Sole Proprietorship o Partnership O Corpoalion O Limited LabilityPaMership o Limited Liability Corporation o Joint Venture O Other, Describe: (8) Has your firm ever existed order different ownership, a different type of ownership, or a different name? ❑Yes ONo If Yes, explain: 9 Number ofem bees: Full-time Part-time Total (10) Specify the gross receipts ofthe firm for the last 3 years: Year _ Total receipts S Year Total receipts S Year Total meciplsS (I) Is your firm co -located at any of its business locations, or does it shoe a telephone number. P.O. Box, office space, yard, waabouse, facilities, equipment, or office staff, with any other business, organization, or entity? ❑Yes O No If Yes. identify. Other F'our's ®mc: Explain nature of shared facilities: (2) At present, or at any time in the (a) been a subsidiary ofany other finn? U Yes O No past, hos your firm: (b) consisted of a parNership in which one or more of the partners art other firms? O Yes O No c owneden rcen ofan otherfiren? OYes ONo (d) hod any subsidiaries? ❑ Yes O No (3) Has any other finn had an ownership interest in your firm at pcet or at any time in the past? OYes ONo (4) If yon answered "Yes" to any of the questions in (2)(a}(d) and/or (3), identify the following for each (attach arm ahem. l/aehd): Name Address Type of Business I. 2. 3. Do any of you immediate family members own or menage another company? O Yes O No IfYes, then list (affach almsAecJs, ifnerded): Name Relationship Cmmpany TvneofBusiaess Ownor Maoaee? I. 2. Page 3°f 8 334 Office of the Secretary of Transportation Pt. 26, App. F Section 3: OWNERSHIP Identify all individuals or holding companies with any ownersulp interest in your firm, providing the Information requested below (lImorr than one anw, mach seyamlesheeufor each additional oxnol: A. Background Information (1) Name: I (2) Title: I (3) Home Phone #: (4) Home Address (umrrandnumber): Carr Sur zip (5)Gender: ablate UFemale (6) Ethnic group membership a Black Asian Pacific a other (speci5) (Ghee} alltlmrggly): O Hispanic O Native American O Subcontinent Asian (?) U.S. Citizen: Dyes a No (8) Lawfully Admitted Permanent Resident:❑ a Yes ONo Ownersblo Interest (p Nwnber of years as owner: (2) Initial investment to acquire ownership intcrtt in in: Tyoc Dollar Value Cash $ Real Estate $ (3) Percentage owned: (4) Familial relationship to other owners: Equipment $ Other S (5) Shares ofStock: Npnnbp Expectance �W Daeemnhed t�ethodAyujhnd (6) Does this owner perform a management or supervimry, function for any other business? U Yes O No lives, identif. None or Rurmess: FwnuMitle: (7) Does this owner own or work for any other finn(s) that has a relationship with this firm (eg. omzmhipinwrrs. shared office rpam.fmanoiat urmmmb. erwpme n. leases ymwuddonng, et)? O Yes a No If Yes, identify. Name of Pssmns: Nrniowrnk: Nature ofnusmess Rebtiomhip: C. Disadvantaged Status —NOTE: Complete this section only forma owner applying for DBE qualification ryse and all the any trust been creams for me heroin explain (attach additional sheen ifwe e✓): Page 4 of e 335 Pt. 26, App. F 49 CFR Subtitle A (10-1-05 Edition) Section 4: CONTROL /C. \YCIIIII YYI I,'III )VIIICOI WYIU V\U\IiCNI]IUUOIIIUUaI U IRY. ar,ccn a stporrne Snnl: Name Title Date Ainted Ethnicity Lender IHOlfwa] (a) dra CMlaen% IBBmrder (a) D4nron (d) (3) Do any of the persons listed in (I) and/or (2) above perform a management or supervisory function for any other business? O Yes O No If Yes, identify for each: Perms: Title: Aus ness: Fw,ctim: (4) Do any or the persons listed (1) o ator (2) above own or wont for my ether firms) that has a relationship with this firm (at. antiS inlrtn. .ha,rd o�tcegar_finind w.vm+m& avlMnnit trans. w+]ennd sating. at)? OYes 0 N IfYes, identify for each: Firm Name: Pion: Nature of Business Relaliombip: B. Identify your firm's management personnel who control your firm In the following areas (IImore than nwl persons. olmcA a mygratesheetl: Name Tide Ethnicity Gender (I) Financial Decisions (rnpeslMNryforargWnbn of (ma of credit. ]u¢w ban.}i . Ii,. ea. a b, (2) Estimating and bidding a. b. (3) Negotiating and Contract Execution a. b. (4) Hiring/firing of management personnel a. b. (5) Field/Production Operations Supervisor A. b. (6) Office management a. b. (7) Marketing/Soles a. b. (8) Purchasing of major equipment a. b. (9) Authorized to Sign Company Checks (for my prlrpose) a. b. (10) Authorized to make Financial Transactions a. b. Page 5 ofR 336 Office of the Secretary of Transportation N. 26, App. F (11) Do any of the persons listed in (1) through (ID) obove perform a management or supervisory function for any other business? U Yes U No If Yn, identify for each: Person: Title: Business: Function: (12) Do any of the persons listed in (I) through (10) above own or veork for any other finn(s) that has a relationship with thus form(eg-mannhip tatercA 'MMeffrce eFeccftnavMlffmune . epsipes,:. tm*n.{ mad ihnthte, earj? DYes ONo IfYes, identify for each: Firm Name: Person: Namrc of Business Relationship: C. Indicate your rim's Inventory in the following categories (attach additional sheets ifneeded): In Fnuinmmt Type of Eui ment Make/Model Current Value Owned or leased? (a) (b) (c) 42) Vehicles Type of Vehicle MakelModel Current Value Owned or Leased? (a) (b) (C) Al Street Address Owned or leased? Current Value of Property or Lease (a) (b) rat Street Address Owned or leased? Current Value of Property or lease (a) (b) D. Don your firm rely on any other rim for management functions or employee payroll? 0 Yes ❑ No E. Financial Information (1) Banking Information: (a) Name of hank:- (b)Phoe No:( )_ (c) Address of bank: Cite: Sate: Lo: Page 6 o13 337 Pt. 26, App. F 49 CFR Subtitle A (10-1-05 Edition) (2) Bonding Information: if you have bonding capacity, identify: (a) Binder No: (b) Name ofageavbroker (c) Phone No:( ) (d) Address ofagent/broker: City: stale: _ Zip:_ (e) Bonding limit: Aggregate limit S Project limit $ F. Identify all source; amounts, and purposes of money loaned to your firm, Including the names of any penons or firms securing the loan, if other than the listed oanter: Name of Source Addrnt of Source Name of Person Securing the loan Original Amount Current Balance Purpose of Loan 2. 3. G. List all contributions or transfer of assets to/from your firm and to/from any of in owners over the noel two years runnch addilinnal sAeen ifneededl: ConlrlbutionlAsset Dollar Value From Whom Transferred To Whom Transferred Relationship Date of Transfer I. 2. 3. H. . List current licenses/permits held by any owner and/or employee of your flm (e.g. commaor. engineer, amVi,rr, err 1/mmrh additional Mien irneNN), Name of License/Permit Holder Type of License/Permit Expiration Date License Number and Since I. 2. 3. I Ice ,he three 6reral enntrnel emmnletM by your firm in the noes three veart_ If anv: Name of Owner/Contractor Name/Location of Project Type of Work Performed Dollar Value of Conrad I. 2. 3. Page i ofit 338 Office of the Secretary of Transportation Pt. 26, App. F List the three Iar cst active robs on which your firm is currently workine: Name of Prime Contractor and Project Number Location of Project Type or Work Project Start Date Anticipated Completion Date Dollar Value of Contract I. 2. 3. Page A of a 339 Pt. 26, App. F 49 CFR Subtitle A (10-1-05 Edition) DBE UNIFORM CERTIFICATION APPLICATION SUPPORTING DOCUMENTS CHECKLIST In order to complete your application for DBE cerdreation, you man attach copies out' of the following documents as they apply to you and yarn firm. All Applicants ❑ Work experience resumes (include places of ownership/employment with conesponding dates), for all owners and officers of your fine O Personal Financial Statement (fan available with this application) O Personal tax returns for the past three years, if applicable, for each owner claiming disadvantaged courts O Your fin's tax returns (gross receipts) and all related schedules for the past three years ❑ Documented proofaf contributions used to acquire ownership for each owner (e.g., both sides of cancelled checks) O Your finn's signed loan agreements, security agreements, and bonding forms Cl Descriptions of all real estate (including office/stomge space, etc.) owned/leased by your fine and daaanented proof of ownership/signed leases ❑ List of equipment leased and signed (case agreements ❑ List of construction equipment and/or vehicles owned and titlea/proofofownership O Documented proof of any transfers of assets to/from your find and/or to/from any of its owners over the past two years O Year end balance sheets and income statements for the past three years (or life offinn. If lass than three years); a new business muse provide a current balance shat O All relevant licenses, license renewal forms. permits, and haul authority forms O DDE and SBA 8(a) or SOB certifications, denials. and/or decenifications. if applicable O Bank authorization and signatory cards O Schedule of salaries (or other compensation or remuneration) paid to all ofcers, managers, owners, nnd/ar directors of the fen O Trust agreement held by any owner claiming disadvantaged status, if any Vannerahip or Joint Venture O Original and any amended Partnership or Joint Venture Agreements Corporation or LLC Cl Official Articles of lncotpomtion (signed by the state ofcial) ❑ Both sides of all corporate stock certificates and your fine's stock transfer ledger O Shareholders' Agreement ❑ Minutes of all stockholders and board of directors meetings O Corporate by-laws and any amendments ❑ Corporate bank resolution and bank signature arts Cl Official Certificate of Formation and Operating Agreement with any amendments (for LLCs) Trucking Company ❑ Documented pmofofownership of the company O Insurance agreements for each track owned or operated by your fin ❑ Titte(s) and regisnntion certificate(s) for each truck owned or operated by your fin O List of U.S. DOT numbers for each track owned or operated by your fin Rrrular Dealer O Proof of warehouse ownership or lease ❑ List orproduct lines carried O List of distribution equipment owned and/or leased NOTE: The specific state UCP to which you are applying may have additional required documents that you must also supply with your application. Contact the appropriate certifying agency to which you are applying to find out if more is required. i l Office of the Secretary of Transportation Pt. 26, App. F AFFIDAVIT OF CERTIFICATION This form must be signed and notarized for each owner upon which disadvantaged status is retied. A MATERIAL OR FALSE STATEMENT OR OMISSION MADE IN CONNECTION WITH TB IS APPLICATION IS SUFFICIENT CAUSE FOR DENIAL OF CERTIFICATION, REVOCATION OFA PRIOR APPROVAL. INITIATION OF SUSPENSION OR DEBARMENT PROCEEDINGS, AND MAY SUBJECT THE. PERSON ANDIOR ENTITY MAKING THE FALSE STATEMENT TO ANY AND ALL CIVIL AND CRIMINAL PENALTIES AVAILABLE PURSUANT TO APPLICABLE FEDERAL AND STATE LAW. (full name printed), swear or affirm under penalty of law that I am (title) of applicant firm (fan name) and that I have read and understood all of the questions in this application and that all of the foregoing information and statements submitted in this application and its attachments and supporting documents are true and correct to the best of my knowledge, and that ail responses to the questions are full and complete, omitting no material information. The responses include all material information necessary to fully and accurately identify and explain the operations, capabilities and pertinent history of the named from as well as the ownership, control, and affiliations thereof. I recognize that the information submitted in this application is for the purpose of inducing certification approval by a government agency. I understand the a government agency may, by means it deems appropriate, determine the accuracy and truth of the statements in the application, and 1 authorize such agency to contact any entity named in the application, and the named firm's bonding companies, banking institutions, credit agencies, contractors, clients, and other certifying agencies for the purpose of verifying the information supplied and determining the named firm's eligibility. I agree to submit to government audit, examination and review of books, records, documents and files, in whatever form they exist, of the named fine and its affiliates, inspection of its place(s) of business and equipment, and to permit interviews of its principals, agents, and employees I understand that refusal to permit such inquiries shall be grounds for denial of certification. If awarded a contract or subcontract I agree to promptly and directly provide the prime contactor, if any. and the Department, recipient agency, or federal funding agency on an ongoing basis, current complete and ac rate information regarding (I) work performed on the project; (2) payments; and (3) proposed changes, if any, to the foregoing arrangements. I agree to provide written notice to the recipient agency or Unified Certification Program (UCP) of any material change in the information contained in the original application within 30 calendar days of such change (e.g., ownership, address, telephone number, etc.). I acknowledge and agree that any misrepresentations in this application or in records pertaining to a contract or subcontract will be grounds for terminating any comma or subcontract which may be awarded; denial or revocation ofoenifhcation; suspension and debarment; and for initiating action under federal and/or state law concerning false statement fraud or other applicable offenses. I certify that I am a socially and economically disadvantaged individual who is an owner of to above -referenced firm seeking certification as a Disadvantaged Business Enterprise (DBE). In support of my application. I certify the lama member of one or more of the following groups, and that I have held myself oust as a member of the group(s) (circle all the apply): Female Black American Hispanic American Native American Asian- Pacific American Subcontinent Asian American Other (specify) 341 Pt. 26, App. F 49 CFR Subtitle A (16-1-05 Edition) I ratify that I am socially disadvantaged because I have born subjected to racial or ethnic prejudice or cultural bias, or have suffered the effects of discrimination, because of my identity as a member of one or more of the groups identified above, without regard to my individual qualities. I further certify that my personal net worth does not exceed 5750,000, and that I an economically disadvantaged because my 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 and economically disadvantaged. I declare under penalty ofperjury that the information provided in this application and supporting documents is true and cotta. Executed on (Date) (DBE Applicant) (68 FR 35559, June 16, 2003] 342 City of Fayetteville Staff Review Form City Council Agenda Items and Contracts, Leases or Agreements 3 3 2oc9 City Council Meeting Date Agenda Items Only 313/O/f x-09 Pros rcn Ray M Boudreaux Aviation & Economic Development General Government Submitted By Division Department uired: A Resolution to accept and approve the Fayetteville Executive Airport Disadvantaged Business (OBE) Program Revision and Participation Goal in 2009 for Airport Improvement Grant Project 3-05-0020- $ - Cost of this request Category / Project Budget Program Category I Project Name Account Number Funds Used to Date Program / Project Category Name Project Number Remaining Balance Fund Name Budgeted Item Budget Adjustment Attached 147-00, 150-01, 81-03 Previous Ordinance or Resolution # 97-04, 87-05 202-05. 143-06. 154-07 Original Contract Date: Original Contract Number: 2- 17-01 Date Received in City yrja�t Clerk's Office 1" 'Date EN Received in Mayor's office ate Revised January 15, 2009 ;i. Review Memorandum City Council Meeting February 17, 2009 TO: Lioneld Jordan, Mayor Fayetteville City Council members THRU: Ray M. Boudreaux, Director Fayetteville Executive Airport Advisory Board Staff Review Committee FROM: James L. Nicholson, Financial Coordinator / DBE Liaison DATE: January 22, 2009 SUBJECT: Disadvantaged Business Enterprise (DBE) Program revisi n Recommendation: Approve a Resolution and signature of the Mayor required to approve the Fayetteville Executive Airport Disadvantaged Business Enterprise (DBE) Program revision and -2009 DBE Participation Goal Update. Background: On October 14, 2000, the Fayetteville City Council approved the Fayetteville Executive Airport's revised Disadvantaged Business Enterprise Program by resolution 147-00. The Airport's DBE Program is federally mandated under 49 CFR Part 26 for all Department of Transportation (DOT/FAA) grant recipients which anticipate receiving more than $250,000 in federal funds in the fiscal year. The DBE Program assures that Minority & Women -owned businesses, and other economically disadvantaged small businesses have an equal opportunity, or "level playing field," in competing for Airport procurement contracts. Discussion: The FAA SW Region Civil Rights Officer has requested that we revise and update our existing DBE program. The revision incorporates changes to some language in the Program narrative to reflect the most current 49 CFR Part 26 language, brings current some of the details of how the City administers its DBE Program, and adds supplementary documents and information in order provide a more comprehensive document for potential DBE participants, stakeholder organizations and the general public. Included with the Program revision is the 2009 DBE Goal update, (Attachment D). The regulation requires that we circulate the Program Policy Statement and Annual Goal Update throughout the organization. The Policy Statement reflects our commitment to our DBE program, outlines its objectives, and outlines responsibilities for its implementation. The Policy Statement (pg 2 of the document), should be signed by the City's chief officer and submitted to the FAA. Budget Considerations: • No budget effect. /jn Attachment: Revised DBE Program CITY OF FAYETTEVILLE FAYETTEVILLE EXECUTIVE AIRPORT 1/23/09 DBE Program Revision packet NOTE TO REVIEWERS, Please do not be daunted by the weight and heft of the document. Several of the attachments comprise of a large list of contractors or a copy of the federal regulations that apply to this program. They are included by request of our FAA Civil rights officer and do not need to be reviewed except to be used as a reference to the regulation for example. The first section of the document, from pg 2-14, is important to review. This is the City's "DBE Program" and includes all of the requirements and responsibilities which we are obligated to follow as a recipient of Dept of Transportation (DOT) grant funding for airport improvement projects. PURCHASING: Please pay close attention to the section titled "Good Faith Efforts Procedures" beginning on pg 9. All DOT funded project bids will necessarily have to be reviewed by the airport prior to any award. The determination of a `responsible' bidder, is significant and is contingent on whether the bidder includes the required DBE — related documents, and verification that any DBE subcontractors that the prime lists are certified DBE in Arkansas Unified DBE Program. Please call me with any questions you may have about this. The next section to review closely is "Attachment D," the 2009 Participation Goal Update. This section illustrates the goal calculation process and rationale. Thanks for your time and RESOLUTION NO. A RESOLUTION TO ACCEPT AND APPROVE THE UPDATED FAYETTEVILLE EXECUTIVE AIRPORT DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM REVISION AND PARTICIPATION GOAL FOR FY2009; AND AUTHORIZING THE MAYOR TO SIGN THE REQUIRED OBJECTIVES/POLICY STATEMENT. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF FAYETTEVILLE, ARKANSAS: Section 1. That the City Council of the City of Fayetteville, Arkansas hereby accepts and approves the updated Fayetteville Executive Airport' Disadvantaged Business Enterprise (DBE) Program revision and participation goal for FY2009. • Section 2. That the City Council of the City of Fayetteville, Arkansas hereby authorizes the Mayor to sign the required Objectives/Policy Statement. PASSED and APPROVED this 17`h day of February, 2009. APPROVED: By: LIONELD JORDAN, Mayor ATTEST: By: SONDRA E. SMITH, City Clerk/Treasurer City of Fayetteville DBE Program 49 CFR Part 26 Revised October 2008 POLICY STATEMENT Section 26.1, 26.23 Objectives/Policy Statement 03106/09 The City of Fayetteville, Fayetteville Executive Airport, 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 an equal opportunity 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; 6. To assist the development of firms that can compete successfully in the market place outside the DBE Program. The Airport Financial Coordinator has been delegated as the DBE Liaison Officer (DBELO). In that capacity, the DBELO 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 Fayetteville Executive Airport has disseminated this policy statement to the City Administration, City Council and all of the components of our organization. We have distributed this statement to DBE and non -DBE business communities that perform work for us on DOT -assisted contracts. Lioneld Jordan, Mayor Attest: Sondra Smith, City Clerk Date Date http://www.accessfayetteville.org/govemment/aviation/disadvantage_business_enterpriseldbe.cfm Page 2 of 14 Page 1 of 1 Clarice Pearman - Res. 52-09 From: Clarice Pearman To: Boudreaux, Ray Date: 3.6.09 1:35 PM Subject: Res. 52-09 CC: Audit Attachments: Audit Ray: Attached is your agenda item passed by the City Council regarding DBE revision. I am forwarding to you one of two signed Policy Statements. Please let me know if there is anything else needed for this item. Have a good weekend. Clarice file://C:\Documents%20and%2OSettings\cpearman.000\Local%2OSettings\Temp\XPgrpwise\49B 1269DFA... 3.6.09 Page 1 of 1 Clarice Pearman - Res. 52-09 From: Clarice Pearman To: Boudreaux, Ray Date: 3.9.09 1:34 PM Subject: Res. 52-09 CC: Audit; Nicholson, James Attachments: Audit; Nicholson, James Ray: Attached is a revised copy of the Res. 52-09 regarding the DBE Program. James renumbered some the pages so that they were in sequence and no so confusing. I appreciate his assistance. Have a good day. Clarice file: //C:\Documents%20and%20Settings\cpearman.000\Local%20Settings\Temp\XPgrpwise\49B51 AE8FA... 3.9.09