HomeMy WebLinkAboutDisadvantaged Business Enterprise (DBE) - 6/5/2017 AZCOM
Disadvantaged Business Enterprise Program
Waterloo Regional Airport
Waterloo, Iowa
Prepared For:
WATERLOO
REGIONAL AIRPORT
Waterloo Regional Airport
2790 Livingston Lane
Waterloo, Iowa 50703
Prepared By:
AECOM
500 SW 7th Street, Suite 301
Des Moines, Iowa 50309
AECOM
501 Sycamore Street, Suite 222
Waterloo, Iowa 50703
May 2017
DBEPROGRAM
For
WATERLOO REGIONAL AIRPORT
POLICY STATEMENT
Section 26.1, 26.23 Objectives/Policy Statement
The Waterloo Regional Airport Board for the City of Waterloo, hereinafter referred to as "Board," 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 Board has received Federal financial
assistance from the Department of Transportation; and as a condition of receiving this assistance, the
Board has signed an assurance that it will comply with 49 CFR Part 26.
It is the policy of the Board to ensure that DBEs as defined in Part 26, have an equal opportunity to
receive and participate in Federal Aviation Administration (FAA) Airport Improvement Program (AIP)
assisted contracts. It is also our policy:
1. To ensure nondiscrimination in the award and administration of FAA AIP-assisted contracts;
2. To create a level playing field on which DBEs can compete fairly for FAA AIP-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 FAA AIP-assisted contracts;
6. To assist the development of firms that can compete successfully in the marketplace outside the
DBE Program.
The City Contract Compliance Officer has been delegated as the DBE Liaison Officer. In that capacity,
the City Contract Compliance Officer 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 Waterloo in its financial assistance agreements with the Department of
Transportation.
The Airport Director has disseminated this policy statement to the members of the Board 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 FAA AIP-assisted contracts. The Airport Director will circulate
copies of this Policy to the Office of Community Development; to the Mayor's Advisory Committee for
Minority, Female, and Disadvantage Business Enterprise; and will post it on the Waterloo Regional
Airport website (www.flyalo.com) and the City of Waterloo website (www.ci.waterloo.ia.us/).
Airport Director Date
DBE Program 1 Waterloo Regional Airport
May 2017
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 Board is the recipient of Federal airport funds authorized by 49 U.S.C. 47101, et seq.
Section 26.5 Definitions
The terms used in this program are defined in 49 CFR Section 26.5. The reader is referred to this section
of the Federal Regulations for detailed information about their meanings.
Section 26.7 Non-Discrimination Requirements
The Board 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 Board 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(b)
The Board will continue to provide data regarding the DBE program to FAA as follows:
We will transmit to FAA annually on December 1 the "Uniform Report of DBE Awards or Commitments
and Payments" Form, found in Appendix B to this part. We will also report the DBE contractor form's
information either on the FAA DBE contractor's form or other similar format.
Bidders List: 26.11(c)
The Board will create and maintain a bidders list. The purpose of the list is to provide as accurate data as
possible about the universe of DBE and non-DBE contractors and subcontractors who seek to work on
FAA-assisted contracts for use in helping to set overall goals. The bidders list will include the name,
address, DBE and non-DBE status, ownership of firm and experience of firm.
We will collect this information through the bidding process by requiring each bidder to provide a "Bidder's
Information Sheet" and a "Synopsis of Experience Record" with their bid. In addition, the contract
specifications require that each bidder shall submit "evidence of competency" or Prequalification with
Iowa Department of Transportation at the time of bid opening. Evidence of financial responsibility may be
requested after the bids and prior to award of contract.
The Iowa Department of Transportation (DOT) DBE Directory will be used for data about DBE contractors
and subcontractors.
DBE Program 2 Waterloo Regional Airport
May 2017
Section 26.13 Federal Financial Assistance Agreement
The City of Waterloo has signed the following assurances, applicable to all FAA AIP-assisted contracts
and their administration:
Assurance: 26.13(a) Each financial assistance agreement you sign with an FAA operating administration
(or a primary recipient) must include the following assurance:
The Board 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 Board 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 Board'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 Board of its failure to
carry out its approved program, the Department may impose sanctions as provided for
under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et
seq.).
This language will appear in financial assistance agreements with sub-recipients.
Contract Assurance: 26.13b
The Board will ensure that the following clause is included in each contract we sign with a contractor and
each subcontract the prime contractor signs with a subcontractor.
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 Board deems
appropriate.
SUBPART B - ADMINISTRATIVE REQUIREMENTS
Section 26.21 DBE Program Updates
Since the Board has received a grant for airport planning or development, we will continue to carry out
this program until all funds from FAA financial assistance have been expended. We will provide to FAA
updates representing significant changes in the program. We will submit an updated goal annually on
August 1 if we plan to award contracts exceeding $250,000 in FAA funds in that Federal fiscal year.
Section 26.23 Policy Statement
The Policy Statement is elaborated on the first page of this DBE program.
Section 26.25 DBE Liaison Officer(DBELO)
We have designated the following individual as our DBE Liaison Officer:
DBE Program 3 Waterloo Regional Airport
May 2017
Rudy D. Jones, Director
Waterloo Community Development Office
620 Mulberry St, Suite 202
Waterloo, IA 50703
319-291-4429
rudy.iones(a_waterloo-ia.orq
In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring
that the Board complies with all provisions of 49 CFR Part 26. The DBELO has direct, independent
access to the Airport Director concerning DBE program matters. The Airport Director and the Director of
Community Development are Department Heads within the City of Waterloo and report to the Mayor and
City Council.
The DBELO is responsible for developing, implementing and monitoring the DBE program, in
coordination with other appropriate officials. The DBELO, with assistance provided by AECOM Technical
Services, Inc., consultant to the City of Waterloo, will provide the administration of the program. The
duties and responsibilities include the following:
1. Gathers and reports statistical data and other information as required by FAA.
2. Reviews third party contracts and purchase requisitions for compliance with this program.
3. Works with the airport 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) and monitors results.
6. Analyzes Board's progress toward attainment and identifies ways to improve progress.
7. Participates in pre-bid meetings.
8. Advises the Airport Board and City Council on DBE matters and achievement.
9. Work with the Mayor's Advisory Committee for Minority, Female, and Disadvantage Business
Enterprise.
10. Determine contractor compliance with good faith efforts.
11. Provide DBEs with information and assistance in preparing bids, obtaining bonding and
insurance.
12. Plans and participates in DBE training seminars.
13. Acts as liaison to the Uniform Certification Process in Iowa.
14. Provides outreach to DBEs and community organizations to advise them of opportunities.
15. Provide access to the Iowa DOT certified DBE Directory and the MBE/WBE Contractors —
Waterloo Community Development Board.
Section 26.27 DBE Financial Institutions
It is the policy of the Board 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 FAA AIP-assisted
contracts to make use of these institutions. To date, no such institutions have been found by the Iowa
DOT, although the following institution, which is willing to work with the DBE community, has been
identified:
West Bank of Des Moines, Iowa
Contact Person: Ms. Michele Belden, VP
Section 26.29 Prompt Payment Mechanisms
The Board will include the following clause in each FAA AIP-assisted prime contract:
DBE Program 4 Waterloo Regional Airport
May 2017
The prime contractor agrees to pay each subcontractor under this prime contract for
satisfactory performance of its contract no later than seven (7) calendar days from the
receipt of each payment the prime contractor receives from City of Waterloo. The prime
contractor agrees further to return retainage payments to each subcontractor within
seven (7) calendar days after the subcontractors work is satisfactorily completed. Any
delay or postponement of payment from the above-referenced timeframe may occur only
for good cause following written approval of the City of Waterloo, Iowa. This clause
applies to both DBE and non-DBE subcontractors.
Section 26.31 Directory
The Board utilizes a directory prepared and maintained by the Iowa DOT supplemented by a directory
maintained by Waterloo Community Development Office 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 Iowa DOT directory is updated
monthly and is available to the public electronically. The Waterloo Community Development Office
maintains a local directory that is updated periodically. The Directories are made available at the
following websites:
http://www.iowadot.gov/civiIrights/dbe program.html
http://www.ci.waterloo.ia.us/contractcompliance list
The Directories may be found in Attachments 4 and 5 to this program document.
Section 26.33 Over-Concentration
The Board has not identified that over-concentration exists in the types of work that DBEs perform.
Section 26.35 Business Development Programs
The Board has not established a business development program. The Waterloo Regional Airport Board
will rely on the business development programs as offered by the Iowa DOT and included in the Iowa
DOT DBE Program.
Section 26.37 Monitoring and Enforcement Mechanisms
The Board will take the following monitoring and enforcement mechanisms to ensure compliance with 49
CFR Part 26.
If the Board knows of any false, fraudulent or dishonest conduct in connection with this DBE Program, the
Board will take appropriate action consistent with applicable Federal, State and local laws and
regulations. Such action could result in referral to the Department of Justice or the U.S. DOT Inspector
General for possible criminal prosecution, suspension and debarment, or Program fraud and Civil
Penalties rules provided in 26.107.
Section 26.39 Fostering Small Business Participation
The Board is aware that the U.S. Department of Transportation final rule 49 CFR Part 26.39 requires a
small business element as part of a Disadvantaged Business Enterprise (DBE) to encourage race- and
gender-neutral contracting to small businesses, including DBEs. The Board recognizes the value of
increasing the race neutral portion of DBE goals and intends to increase efforts to ensure that small
businesses are made aware of contracting opportunities.
As part of this program element, the Board has included the following strategies:
DBE Program 5 Waterloo Regional Airport
May 2017
• As an outreach to small firms, requests for proposals will be posted to the Targeted Small
Business (TSB) website at the same time as general posting to provide small businesses with
notice of potential opportunities.
• Work with the Community Development Office to assist in identifying local firms that may be
qualified as ESB firms and encourage these firms to become registered with the Iowa DOT
Emerging Small Business Program.
• Unbundle portions of contracts, where reasonable, to provide opportunities for smaller contracts.
• Prepare a form to include with bid documents that will require contractors to identify TSB and
ESB businesses contacted as potential subcontractors.
• Work with the Community Development Office to encourage local ESB and TSB businesses to
apply for Iowa DOT DBE certification if they meet the qualifications.
• The Board will pursue the use of the FAA's dbE-Connect system to post contracting
opportunities.
The Iowa DBE Program will be used for the certification process and verification procedures for ESB and
DBE firms.
SUBPART C—GOALS, GOOD FAITH EFFORTS AND COUNTING
Section 26.43 Set-Asides or Quotas
The Board does not use quotas in any way in the administration of this DBE program.
Section 26.45 Overall Goals
The Board will annually establish overall goals if it is anticipated that prime contracts will be awarded
exceeding $250,000 in FAA funds in a Federal fiscal year in accordance with the 2-step process as
specified in 49 CFR Part 26.45. If the Board does not anticipate awarding more than $250,000 in FAA
funds in prime contracts within the Federal fiscal year, the Board will not develop an overall goal; however
the existing DBE program will remain in effect and the Board will seek to fulfill the objectives outlined in
49 CFR Part 26.1.
The Board will maintain an approved DBE Program and overall DBE goal, if applicable, as well as
administer our DBE Program in good faith to be considered to be in compliance with this part.
If the Board awards and commitments shown on our Uniform Report of Awards or Commitments and
Payments at the end of any fiscal year are less than the overall goal applicable to that fiscal year, we will
do the following in order to be regarded by the Department as implementing your DBE Program in good
faith:
(1) Analyze in detail the reasons for the difference between the overall goal and our awards
and commitments in that fiscal year;
(2) Establish specific steps and milestones to correct the problems we have identified in our
analysis and to enable us to meet fully your goal for the new fiscal year; and
(3) Board will retain the analysis and corrective actions developed under paragraphs (c) (1)
and (2) of this section for three (3) years and make it available to FAA on request.
Section 26.51(d-g) Contract Goals
The Board will use contract goals to meet any portion of the overall goal the Board does not project being
able to meet using race-neutral means. Contract goals are established so that, over the period to which
DBE Program 6 Waterloo Regional Airport
May 2017
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 Board will establish contract goals only on those FAA AIP-assisted contracts that have
subcontracting possibilities. The Board need not establish a contract goal on every such contract, and the
size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location
of work, availability of DBEs to perform the particular type of work).
The Board will express the contract goals as a percentage of total amount of aN FAA AIP-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 DBE Liaison Officer is responsible for determining whether a bidder/offeror who has not met the
contract goal has documented sufficient good faith efforts to be regarded as responsive.
The Board will ensure that all information is complete and accurate and adequately documents the
bidder/offeror's good faith efforts before we commit to the performance of the contract by the
bidder/offeror.
Information to be Submitted (26.53())
The Board treats bidder/offers' compliance with good faith efforts requirements as a matter of
responsiveness—all bidders submit DBE information at the time of bid.
Each solicitation for which a contract goal has been established will require all bidders/offerors to submit
the following information at the time of bid:
1. Certified DBE firm contacted,
2. Date each DBE firm was first contacted concerning quoting on the proposal to be bid.
3. Whether each DBE firm submitted a quote on the proposal to be bid.
4. If the DBE firm is being used as part of the bidder's DBE commitment.
5. If used as part of the bidder's DBE commitment, the work items that the DBE will be used for on
the contract.
6. If used as part of the bidder's DBE commitment, the "Quote Amount" which has been committed
to each DBE firm which will be used on the contract.
7. If the DBE firm is being used as a supplier(in which case, only 60% of the dollars paid to the DBE
Firm will count toward the DBE commitment).
8. The "Net Dollar Commitment" of each DBE firm which will be counted toward the DBE
commitment.
9. If the contract goal is not met, evidence of good faith efforts.
Administrative Reconsideration (26.53(d))
Within seven (7) business days of being informed by the Board that it is not responsive because it has not
documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration.
Bidders/offerors should make this request in writing to the following reconsideration official: Mayor of the
City of Waterloo. The reconsideration official will not have played any role in the original determination
that the bidder/offeror did not document sufficient good faith efforts.
DBE Program 7 Waterloo Regional Airport
May 2017
As part of this reconsideration, the bidder/offeror will have the opportunity to provide written
documentation or argument concerning the issue of whether it met the goal or made adequate good faith
efforts to do so. The bidder/offeror will have the opportunity to meet in person with the reconsideration
official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. The
Board will send the bidder/offeror a written decision on reconsideration, explaining the basis for finding
that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the
reconsideration process is not administratively appealable to the Department of Transportation.
Good Faith Efforts When a DBE is Replaced on a Contract (26.53(f))
The Board will require a contractor to make good faith efforts to replace a DBE that is terminated or has
otherwise failed to complete its work on a contract with another certified DBE to the extent needed to
meet the contract goal. We will require the prime contractor to notify the DBE Liaison Officer immediately
of the DBE's inability or unwillingness to perform and provide reasonable documentation.
In this situation, the Board will require 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.
If the contractor fails or refuses to comply in the time specified, the Director of Aviation 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.
The Following Section will be Included in the Proposal of FAA AIP-Assisted Contract Specifications
The bidder shall make good faith efforts, as defined in Appendix A of 49 CFR Part 26,
Regulations of the Office of the Secretary of Transportation, to subcontract (project goal).percent
of the dollar value of the prime contract to small business concerns owned and controlled by
socially and economically disadvantaged individuals (DBE). Individuals who are rebuttably
presumed to be socially and economically disadvantaged include women, Blacks, Hispanics,
Native Americans, Asian-Pacific Americans, and Asian-Indian Americans. The apparent
successful competitor will be required to submit information concerning the DBEs that will
participate in the contract. The information will include the name and address of each DBE, a
description of the work to be performed by each named firm, and the dollar value of the contract.
If the bidder fails to achieve the contract goal stated herein, it will be required to provide
documentation demonstrating that it made good faith efforts in attempting to do so. In the event
that the apparent successful competitor for this solicitation qualified as a DBE, the contract goal
shall be deemed to have been met. A bid that fails to meet these requirements will be considered
nonresponsive.
The Following Sections will be Included in the Special Provisions of FAA AIP-Assisted Contract
Specifications
Bidder must demonstrate that they made good faith efforts to achieve participation with DBE
firms. This requires that the bidder show that it took all necessary and reasonable steps to
secure participation by certified DBE firms. Mere pro forma efforts will not be considered as a
good faith effort.
Actions constituting evidence of good faith efforts are described in Appendix A to 49 CFR Part 26.
Such actions include but are not limited to:
• Soliciting DBE participation through all reasonable and available means. This may include
public advertisements and phone calls/faxes to known certified DBE firms.
• Consult State Department of Transportation office to obtain a list of certified DBE firms.
DBE Program 8 Waterloo Regional Airport
May 2017
• Selecting portions of work that increases the likelihood that DBE firms will be available to
participate.
• Providing DBE firms with sufficient information and time to review the project plans and
specifications.
• Documenting all contacts with DBE firms. This includes name, address, phone number,
date of contact and record of conversation/negotiation.
Section 26.55 Counting DBE Participation
The Board will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55.
The Board will not count the participation of a DBE subcontract toward a contractor's final compliance
with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE.
SUBPART D — CERTIFICATION STANDARDS
Section 26.61 —26.73 Certification Process
For FAA AIP-assisted projects, the Board will not determine the eligibility of firms to participate as DBE's,
but will rely on the Iowa DOT DBE Directory supplemented by the City of Waterloo Community
Development Office Directory. Both directories will be included in the contract documents for reference.
SUBPART E — CERTIFICATION PROCEDURES
Section 26.81 Unified Certification Programs
The Iowa DOT has established a unified certification program (UCP) for all government entities receiving
US DOT funds in the State of Iowa. With respect to participation as a DBE on US DOT-assisted
contracts, the Iowa DOT will make all DBE certification decisions through the UCP on behalf of these
entities. The purpose of the UCP is to provide "one-stop shopping" to certification applicants, which
means that once they have been certified, their certification will be honored by all other entities in the
State that receives US DOT funds. The Board will follow the program established by the Iowa DOT.
Section 26.83 Procedures for Certification Decisions
Re-Certifications 26.83(a) & (c)
The Board will rely on the Iowa DOT process.
"No Change"Affidavits and Notices of Change (26.83('))
The Board will rely on the Iowa DOT process.
Personal Net Worth, (26.67(b))
The Board will rely on the Iowa DOT process.
Section 26.85 Interstate Certification
The Board will rely on the Iowa DOT process.
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May 2017
Section 26.86 Denials of Initial Requests for Certification
The Board will rely on the Iowa DOT process.
Section 26.87 Removal of a DBE's Eligibility
The Board will rely on the Iowa DOT process.
Section 26.89 Certification Appeals
The Board will rely on the Iowa DOT process.
SUBPART F — COMPLIANCE AND ENFORCEMENT
Section 26.109 Information, Confidentiality, Cooperation
The Board will safeguard from disclosure to third parties information that may reasonably be regarded as
confidential business information, consistent with Federal, state and local law.
Notwithstanding any contrary provisions of state or local law, we will not release personal financial
information submitted in response to the personal net worth requirement to a third party other than FAA
without the written consent of the submitter.
Monitoring Payments to DBEs
The Board will require prime contractors to maintain records and documents of payments to DBEs for
three (3) years following the performance of the contract. These records will be made available for
inspection upon request by any authorized representative of the Board or FAA. This reporting
requirement also extends to any certified DBE subcontractor.
We 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.
ATTACHMENTS
Attachment 1 Regulations: 49 CFR Part 26 [include the e-version of the regulations, dated 511 712 01 7,found
at:
https://www.ec gov/cgi-bin1text-
idx?SID=40aeac09d740]0a 1 cb552 yedcbc9l&mc=true&node=pt49.1.26&rgn=div5
Attachment 2 Bidder's Information Sheet
Attachment 3 Synopsis of Experience Record
Attachment 4 Iowa DOT DBE Directory
Attachment 5 Certified MBE/WBE Contractors-Waterloo Community Development Board
Attachment 6 DBE Goal Methodology for FY-2017/2018/2019 - Waterloo Regional Airport, Waterloo,
Iowa
Attachment 7 Forms for Demonstration of Good Faith Efforts
DBE Program 10 Waterloo Regional Airport
May 2017
Attachment 1
REGULATIONS: 49 CFR 26
(Only attach when providing to the public; the FAA does not require a copy.)
See Attached.
DBE Program 11 Waterloo Regional Airport
May 2017
e-CFR data is current as of May 17, 2017
Title 49--� Subtitle A--> Part 26
Title 49: Transportation
PART 26-PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
Contents
Subpart A-General
§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 forbidden?
§26.9 How does the Department issue guidance 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 exemptions 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 information must you include in your 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?
§26.39 Fostering small business participation.
Subpart C-Goals, Good Faith Efforts, and Counting
§26.41 What is the role of the statutory 10 percent goal in this program?
§26.43 Can recipients use set-asides or quotas as part of this program?
§26.45 How do recipients set overall goals?
§26.47 Can recipients be penalized for failing to meet overall goals?
§26.49 How are overall goals established for transit vehicle manufacturers?
§26.51 What means do recipients use to meet overall goals?
§26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals?
§26.55 How is DBE participation counted toward goals?
Subpart D-Certification Standards
§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 determinations?
§26.67 What rules determine social and economic disadvantage?
§26.69 What rules govern determinations of ownership?
§26.71 What rules govern determinations concerning control?
§26.73 What are other rules affecting certification?
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?
§26.85 Interstate certification.
§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?
§26.88 Summary suspension of certification.
§26.89 What is the process for certification appeals to the Department of Transportation?
§26.91 What actions do recipients take following DOT certification appeal decisions?
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 information, confidentiality, cooperation, and intimidation or retaliation?
Appendix A to Part 26—Guidance Concerning Good Faith Efforts
Appendix B to Part 26—Uniform Report of DBE Awards or Commitments and Payments Form
Appendix C to Part 26—DBE Business Development Program Guidelines
Appendix D to Part 26—Mentor-Protege Program Guidelines
Appendix E to Part 26—Individual Determinations of Social and Economic Disadvantage
Appendix F to Part 26—Uniform Certification Application Form
Appendix G to Part 26—Personal Net Worth Statement
AUTHORITY: 23 U.S.C. 304 and 324;42 U.S.C. 2000d, et seq. ;49 U.S.C.47107,47113,47123; Sec. 1101(b), Pub. L. 105-178,
112 Stat. 107, 113.
SOURCE: 64 FR 5126, Feb. 2, 1999, unless otherwise noted.
t Back to Top
Subpart A—General
t Back to Top
§26.1 What are the objectives of this part?
This part seeks to achieve several objectives:
(a)To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's
highway, transit, and airport financial assistance programs;
(b)To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
(c)To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law;
(d)To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs;
(e)To help remove barriers to the participation of DBEs in DOT-assisted contracts;
(f)To promote the use of DBEs in all types of federally-assisted contracts and procurement activities conducted by
recipients.
(g)To assist the development of firms that can compete successfully in the marketplace outside the DBE program;
and
(h)To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing
opportunities for DBEs.
[64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59592, Oct. 2, 2014]
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§26.3 To whom does this part apply?
(a) If you are a recipient of any of the following types of funds, this part applies to you:
(1) Federal-aid highway funds authorized under Titles I (other than Part B) and V of the Intermodal Surface
Transportation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, or Titles I, III, and V of the Transportation
Equity Act for the 21 st Century(TEA-21), Pub. L. 105-178, 112 Stat. 107. Titles I, III, and V of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and
Divisions A and B of the Moving Ahead for Progress in the 21st Century Act(MAP-21), Pub. L. 112-141, 126 Stat. 405.
(2) Federal transit funds authorized by Titles I, 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. Titles I, 111, and V of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and
Divisions A and B of the Moving Ahead for Progress in the 21st Century Act(MAP-21), Pub. L. 112-141, 126 Stat. 405.
(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 entirely outside the United States, its territories
and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract.
(d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the
contract.
[64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59592, Oct.2, 2014]
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§26.5 What do the terms used in this part mean?
Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part
121.
(1) Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or
indirectly:
(i)One concern controls or has the power to control the other; or
(ii)A third party or parties controls or has the power to control both; or
(iii)An identity of interest between or among parties exists such that affiliation may be found.
(2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common
ownership, common management, and contractual relationships. Affiliates must be considered together in determining
whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE
program.
Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian
(including Tsimshian Indians not enrolled in the Metlaktla Indian Community), Eskimo, or Aleut blood, or a combination of
those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native
village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native.
Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group
Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act,
as amended (43 U.S.C. 1601, et seq.).
Assets mean all the property of a person available for paying debts or for distribution, including one's respective share
of jointly held assets. This includes, but is not limited to, cash on hand and in banks, savings accounts, IRA or other
retirement accounts, accounts receivable, life insurance, stocks and bonds, real estate, and personal property.
Business, business concern or business enterprise means an entity organized for profit with a place of business
located in the United States, and which operates primarily within the United States or which makes a significant
contribution to the United States economy through payment of taxes or use of American products, materials, or labor.
Compliance means that a recipient has correctly implemented the requirements of this part.
Contingent Liability means a liability that depends on the occurrence of a future and uncertain event. This includes,
but is not limited to, guaranty for debts owed by the applicant concern, legal claims and judgments, and provisions for
federal income tax.
Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not
limited to, construction and professional services)and the buyer to pay for them. For purposes of this part, a lease is
considered to be a contract.
Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT-assisted highway,
transit, or airport program.
Days mean calendar days. In computing any period of time described in this part, the day from which the period
begins to run is not counted, and when the last day of the period is a Saturday, Sunday, or Federal holiday, the period
extends to the next day that is not a Saturday, Sunday, or Federal holiday. Similarly, in circumstances where the recipient's
offices are closed for all or part of the last day, the period extends to the next day on which the agency is open.
Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal
Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA).
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
disadvantaged or, in the case of a corporation, 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.
DOT-assisted contract means any contract between a recipient and a contractor(at any tier)funded in whole or in part
with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase of
land.
Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope,
intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.
Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of
business.
Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandfather,
grandmother, father-in-law, mother-in-law, sister-in-law, brother-in-law, and domestic partner and civil unions recognized
under State law.
Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any
ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians
because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or
community resides. See definition of"tribally-owned concern" in this section.
Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit business
enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is
responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution,
control, management, risks, and profits of the joint venture are commensurate with its ownership interest.
Liabilities mean financial or pecuniary obligations. This includes, but is not limited to, accounts payable, notes payable
to bank or others, installment accounts, mortgages on real estate, and unpaid taxes.
Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises
the State of Hawaii.
Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of
Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and
whose business activities will principally benefit such Native Hawaiians.
Noncompliance means that a recipient has not correctly implemented the requirements of this part.
Operating Administration or OA means any of the following parts of DOT. the Federal Aviation Administration (FAA),
Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The"Administrator" of an operating
administration includes his or her designees.
Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An
individual's personal net worth does not include: The individual's ownership interest in an applicant or participating DBE
firm; or the individual's equity in his or her primary place of residence. An individual's personal net worth includes only his
or her own share of assets held jointly or as community property with the individual's spouse.
Primary industry classification means the most current North American Industry Classification System (NAICS)
designation which best describes the primary business of a firm. The NAICS is described in the North American Industry
Classification Manual—United States, which is available on the Internet at the U.S. Census Bureau Web site:
http://www.census.gov/eos/www/naics/.
Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to
another recipient.
Principal place of business means the business location where the individuals who manage the firm's day-to-day
operations spend most working hours. If the offices from which management is directed and where the business records
are kept are in different locations, the recipient will determine the principal place of business.
Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to
which this part applies.
Race-conscious measure or program is one that is focused specifically on assisting only DBEs, including women-
owned DBEs.
Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of
this part, race-neutral includes gender-neutrality.
Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through
another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance.
Secretary means the Secretary of Transportation or his/her designee.
Set-aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE
firms.
Small Business Administration or SBA means the United States Small Business Administration.
SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a)
BD or SDB programs.
Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a
small business concern as defined pursuant to section 3 of the Small Business Act and Small Business Administration
regulations implementing it(13 CFR part 121)that also does not exceed the cap on average annual gross receipts
specified in §26.65(b).
Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted
permanent resident)of the United States and who has been subjected to racial or ethnic prejudice or cultural bias within
American society because of his or her identity as a members of groups and without regard to his or her individual
qualities. The social disadvantage must stem from circumstances beyond the individual's control.
(1)Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case
basis. An individual must demonstrate that he or she has held himself or herself out, as a member of a designated group if
you require it.
(2)Any individual in the following groups, members of which are rebuttably presumed to be socially and economically
disadvantaged:
(i)"Black Americans,"which includes persons having origins in any of the Black racial groups of Africa;
(ii)"Hispanic Americans,"which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South
American, or other Spanish or Portuguese culture or origin, regardless of race;
(iii)"Native Americans,"which includes persons who are enrolled members of a federally or State recognized Indian
tribe, Alaska Natives, or Native Hawaiians;
(iv)"Asian-Pacific Americans,"which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma
(Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa,
Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), Republic of the Northern Marianas Islands,
Samoa, Macao, Fiji, Tonga, Kirbati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;
(v)"Subcontinent Asian Americans,"which includes persons whose origins are from India, Pakistan, Bangladesh,
Bhutan, the Maldives Islands, Nepal or Sri Lanka;
(vi)Women;
(vii)Any additional groups whose members are designated as socially and economically disadvantaged by the SBA,
at such time as the SBA designation becomes effective.
(3) Being born in a particular country does not, standing alone, mean that a person is necessarily a member of one of
the groups listed in this definition.
Spouse means a married person, including a person in a domestic partnership or a civil union recognized under State
law.
Transit vehicle manufacturer means any manufacturer whose primary business purpose is to manufacture vehicles
specifically built for public mass transportation. Such vehicles include, but are not limited to: Buses, rail cars, trolleys,
ferries, and vehicles manufactured specifically for paratransit purposes. Producers of vehicles that receive post-production
alterations or retrofitting to be used for public transportation purposes (e.g., so-called cutaway vehicles, vans customized
for service to people with disabilities)are also considered transit vehicle manufacturers. Businesses that manufacture,
mass-produce, or distribute vehicles solely for personal use and for sale"off the lot"are not considered transit vehicle
manufacturers.
Tribally-owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section.
You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., `You must do
XYZ' means that recipients must do XYZ).
[64 FR 5126, Feb.2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096, Jan. 28, 2011;
79 FR 59592, Oct. 2, 2014]
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§26.7 What discriminatory actions are forbidden?
(a)You must never exclude any person from participation in, deny any person the benefits of, or otherwise
discriminate against anyone in connection with the award and performance of any contract covered by this part on the
basis of race, color, sex, or national origin.
(b) In administering your DBE program, you must not, directly or through contractual or other arrangements, use
criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the
objectives of the program with respect to individuals of a particular race, color, sex, or national origin.
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§26.9 How does the Department issue guidance and interpretations under this part?
(a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent
with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of
Transportation or any of its operating administrations.
(b)The Secretary of Transportation, Office of the Secretary of Transportation, FHWA, FTA, and FAA may issue written
interpretations of or written guidance concerning this part. Written interpretations and guidance are valid, and express the
official positions and views of the Department of Transportation or any of its operating administrations, only if they are
issued over the signature of the Secretary of Transportation or if they contain the following statement:
The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent with the
language and intent of 49 CFR part 26.
[72 FR 15617,Apr. 2, 2007]
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§26.11 What records do recipients keep and report?
(a)You must transmit the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to this
part, at the intervals stated on the form.
(b)You must continue to provide data about your DBE program to the Department as directed by DOT operating
administrations.
(c)You must create and maintain a bidders list.
(1)The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non-DBE
contractors and subcontractors who seek to work on your Federally-assisted contracts for use in helping you set your
overall goals.
(2)You must obtain the following information about DBE and non-DBE contractors and subcontractors who seek to
work on your Federally-assisted contracts:
(i) Firm name;
(ii) Firm address;
(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-$1 million; $1-2 million; $2-5 million; etc.) rather than
requesting an exact figure from the firm.
(3)You may acquire the information for your bidders list in a variety of ways. For example, you can collect the data
from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically sound estimate of
the universe of DBE and non-DBE contractors and subcontractors who seek to work on your Federally-assisted contracts.
You may combine different data collection approaches (e.g., collect name and address information from all bidders, while
conducting a survey with respect to age and gross receipts information).
(d)You must maintain records documenting a firm's compliance with the requirements of this part.At a minimum, you
must keep a complete application package for each certified firm and all affidavits of no-change, change notices, and on-
site reviews. These records must be retained in accordance with applicable record retention requirements for the
recipient's financial assistance agreement. Other certification or compliance related records must be retained for a
minimum of three (3)years unless otherwise provided by applicable record retention requirements for the recipient's
financial assistance agreement, whichever is longer.
(e)The State department of transportation in each UCP established pursuant to§26.81 of this part must report to the
Department of Transportation's Office of Civil Rights, by January 1, 2015, and each year thereafter, the percentage and
location in the State of certified DBE firms in the UCP Directory controlled by the following:
(1)Women;
(2) Socially and economically disadvantaged individuals (other than women); and
(3) Individuals who are women and are otherwise socially and economically disadvantaged individuals.
[64 FR 5126, Feb.2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 76 FR 5096, Jan.28,2011; 79 FR 59593, Oct. 2, 2014]
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§26.13 What assurances must recipients and contractors make?
(a) Each financial assistance agreement 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-assisted contract or in the administration of its DBE program or the requirements
49 CFR part 26. The recipient shall take all necessary and reasonable steps under 49 CFR part 26 to ensure
nondiscrimination in the award and administration of DOT-assisted contracts. The recipient's DBE program, as required by
49 CFR part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program
is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to
the recipient of its failure to carry out its approved program, the Department may impose sanctions as provided for under
49 CFR part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program
Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).
(b) Each contract you sign with a contractor(and each subcontract the prime contractor signs with a subcontractor)
must include the following assurance: The contractor, sub recipient or subcontractor shall not 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, which may include, but is not limited to:
(1)Withholding monthly progress payments;
(2)Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying the contractor from future bidding as non-responsible.
[79 FR 59593, Oct. 2, 20141
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§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 Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the request only if it
documents special or exceptional circumstances, not likely to be generally applicable, and not contemplated in connection
with the rulemaking that established this part, that make your compliance with a specific provision of this part impractical.
You must agree to take any steps that the Department specifies to comply with the intent of the provision from which an
exemption is granted. The Secretary will issue a written response to all exemption requests.
(b)You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any
provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program waivers are
for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part by means that may
differ from one or more of the requirements of Subpart B or C of this part. To receive a program waiver, you must follow
these procedures:
(1)You must apply through the concerned operating administration. The application must include a specific program
proposal and address how you will meet the criteria of paragraph (b)(2)of this section. Before submitting your application,
you must have had public participation in developing your proposal, including consultation with the DBE community and at
least one public hearing. Your application must include a summary of the public participation process and the information
gathered through it.
(2)Your application must show that—
(i)There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent with the
objectives of this part using different or innovative means other than those that are provided in subpart B or C of this part;
(ii)Conditions in your jurisdiction are appropriate for implementing the proposal;
(iii)Your proposal would prevent discrimination against any individual or group in access to contracting opportunities
or other benefits of the program; and
(iv)Your proposal is consistent with applicable law and program requirements of the concerned operating
administration's financial assistance program.
(3)The Secretary has the authority to approve your application. If the Secretary grants your application, you may
administer your DBE program as provided in your proposal, subject to the following conditions:
(i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is counted as
provided in §26.49;
(ii)Your level of DBE participation continues to be consistent with the objectives of this part;
(iii)There is a reasonable limitation on the duration of your modified program; and
(iv)Any other conditions the Secretary makes on the grant of the waiver.
(4)The Secretary may end a program waiver at any time and require you to comply with this part's provisions. The
Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2)and (3)of this
section continue to be met. Any such extension shall be for no longer than period originally set for the duration of the
program.
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Subpart B—Administrative Requirements for DBE Programs for Federally-Assisted
Contracting
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§26.21 Who must have a DBE program?
(a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the
requirements of this part:
(1)All FHWA primary recipients receiving funds authorized by a statute to which this part applies;
(2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding
transit vehicle purchases)the cumulative total value of which exceeds$250,000 in FTA funds in a Federal fiscal year;
(3) FAA recipients receiving grants for airport planning or development who will award prime contracts the cumulative
total value of which exceeds$250,000 in FAA funds in a Federal fiscal year.
(b)(1)You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating
administration (OA). Once the OA has approved your program, the approval counts for all of your DOT-assisted programs
(except that goals are reviewed by the particular operating administration that provides funding for your DOT-assisted
contracts).
(2)You do not have to submit regular updates of your DBE programs, as long as you remain in compliance. However,
you must submit significant changes in the program for approval.
(c)You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you are
in compliance with it and this part. You must continue to carry out your program until all funds from DOT financial
assistance have been expended.
[64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 79 FR 59593, Oct. 2, 2014]
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§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 responsibilities for its implementation. You must circulate the statement throughout your
organization and to the DBE and non-DBE business communities that perform work on your DOT-assisted contracts.
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§26.25 What is the requirement for a liaison officer?
You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer
concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE
program. You must also have adequate staff to administer the program in compliance with this part.
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§26.27 What efforts must recipients make concerning DBE financial institutions?
You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by
socially and economically disadvantaged individuals in your community and make reasonable efforts to use these
institutions. You must also encourage prime contractors to use such institutions.
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§26.29 What prompt payment mechanisms 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 performance of their contracts no later than 30 days from receipt of each payment you
make to the prime contractor.
(b)You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30
days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to comply with
this requirement:
(1)You may decline to hold retainage from prime contractors and prohibit prime contractors from holding retainage
from subcontractors.
(2)You may decline to hold retainage from prime contractors and require a contract clause obligating prime
contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within 30 days
after the subcontractor's work is satisfactorily completed.
(3)You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances of
portions of the prime contract, pay retainage to prime contractors based on these acceptances, and require a contract
clause obligating the prime contractor to pay all retainage owed to the subcontractor for satisfactory completion of the
accepted work within 30 days after your payment to the prime contractor.
(c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished and documented as required by the recipient. When a recipient has made an
incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is
deemed to be satisfactorily completed.
(d)Your DBE program must provide appropriate means to enforce the requirements of this section. These means may
include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program may also
provide that any delay or postponement of payment among the parties may take place only for good cause, with your prior
written approval.
(e)You may also establish, as part of your DBE program, any of the following additional mechanisms to ensure
prompt payment:
(1)A contract clause that requires prime contractors to include in their subcontracts language providing that prime
contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to resolve payment
disputes. You may specify the nature of such mechanisms.
(2)A contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors
unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed.
(3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and other
contractors are fully and promptly paid.
[68 FR 35553, June 16,2003]
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§26.31 What information must you include in your DBE directory?
(a) In the directory required under§26.81(g)of this Part, you must list all firms eligible to participate 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
certified to perform as a DBE.
(b)You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code
available to describe each type of work. You must make any changes to your current directory entries necessary to meet
the requirement of this paragraph (a) by August 26, 2011.
[76 FR 5096, Jan.28,2011]
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§26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work?
(a) If you determine that DBE firms are so overconcentrated in a certain type of work as to unduly burden the
opportunity of non-DBE firms to participate in this type of work, you must devise appropriate measures to address this
overconcentration.
(b)These measures may include the use of incentives, technical assistance, business development programs,
mentor-protege programs, and other appropriate measures designed to assist DBEs in performing work outside of the
specific field in which you have determined that non-DBEs are unduly burdened. You may also consider varying your use
of contract goals, to the extent consistent with §26.51, to unsure that non-DBEs are not unfairly prevented from competing
for subcontracts.
(c)You must obtain the approval of the concerned DOT operating administration for your determination of
overconcentration and the measures you devise to address it. Once approved, the measures become part of your DBE
program.
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§26.35 What role do business development and mentor-protege programs have in the DBE program?
(a)You may or, if an operating administration directs you to, you must establish a DBE business development
program (BDP)to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE program.
You may require a DBE firm, as a condition of receiving assistance through the BDP, to agree to terminate its participation
in the DBE program after a certain time has passed or certain objectives have been reached. See Appendix C of this part
for guidance on administering 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 participation in a mentor-protege program are
eligible to participate in the mentor-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 recipient; and
(ii) Not award DBE credit to a non-DBE mentor firm for using its own protege firm for more than every other contract
performed by the protege firm.
(3) For purposes of making determinations of business size under this part, you must not treat protege firms as
affiliates of mentor firms, when both firms are participating under an approved mentor-protege program. See Appendix D
of this part for guidance concerning the operation of mentor-protege programs.
(c)Your BDPs and mentor-protege programs must be approved by the concerned operating administration before you
implement them. Once approved, they become part of your DBE program.
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§26.37 What are a recipient's responsibilities for monitoring the performance of other program participants?
(a)You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program
participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must set forth
these mechanisms in your DBE program.
(b)Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed to
DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually performed by the
DBEs to which the work was committed. This mechanism must include a written certification that you have reviewed
contracting records and monitored work sites in your state for this purpose. The monitoring to which this paragraph refers
may be conducted in conjunction with monitoring of contract performance for other purposes (e.g., close-out reviews for a
contract).
(c)This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to DBE
firms), including a means of comparing these attainments to commitments. In your reports of DBE participation to the
Department, you must display both commitments and attainments.
[64 FR 5126, Feb.2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554,June 16, 2003; 76 FR 5097, Jan. 28, 20111
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§26.39 Fostering small business participation.
(a)Your DBE program must include an element to structure contracting requirements to facilitate competition by small
business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and
unjustified bundling of contract requirements that may preclude small business participation in procurements as prime
contractors or subcontractors.
(b)This element must be submitted to the appropriate DOT operating administration for approval as a part of your
DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the following
strategies:
(1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount(e.g., $1 million).
(2) In multi-year design-build contracts or other large contracts (e.g., for"megaprojects") requiring bidders on the
prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses,
including DBEs, can reasonably perform.
(3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting
opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the
work involved.
(4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint
ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts.
(5)To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a
reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform.
(c)You must actively implement your program elements to foster small business participation. Doing so is a
requirement of good faith implementation of your DBE program.
[76 FR 5097, Jan.28,2011]
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Subpart C—Goals, Good Faith Efforts, and Counting
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§26.41 What is the role of the statutory 10 percent goal in this program?
(a)The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not
less than 10 percent of the authorized funds are to be expended with DBEs.
(b)This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in evaluating
and monitoring DBEs'opportunities to participate in DOT-assisted contracts.
(c)The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 10
percent level, or any other particular level, or to take any special administrative steps if their goals are above or below 10
percent.
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§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 contracts subject to this part.
(b)You may not set-aside contracts for DBEs on DOT-assisted contracts subject to this part, except that, in limited
and extreme circumstances, you may use set-asides when no other method could be reasonably expected to redress
egregious instances of discrimination.
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§26.45 How do recipients set overall goals?
(a)(1) Except as provided in paragraph (a)(2)of this section, you must set an overall goal for DBE participation in your
DOT-assisted contracts.
(2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases)
$250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to develop overall
goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE program, it must remain in
effect and you must seek to fulfill the objectives outlined in §26.1.
(b)Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DBEs
relative to all businesses ready, willing and able to participate on your DOT-assisted contracts (hereafter, the"relative
availability of DBEs"). The goal must reflect your determination of the level of DBE participation you would expect absent
the effects of discrimination. You cannot simply rely on either the 10 percent national goal, your previous overall goal or
past DBE participation rates in your program without reference to the relative availability of DBEs in your market.
(c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of DBEs.
The following are examples of approaches that you may take toward determining a base figure. These examples are
provided as a starting point for your goal setting process. Any percentage figure derived from one of these examples
should be considered a basis from which you begin when examining all evidence available in your jurisdiction. These
examples are not intended as an exhaustive list. Other methods or combinations of methods to determine a base figure
may be used, subject to approval by the concerned operating administration.
(1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DBEs in your
market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP)data base, determine the
number of all ready, willing and able businesses available in your market that perform work in the same NAICS codes.
(Information about the CBP data base may be obtained from the Census Bureau at their web site,
www.census.gov/epcd/cbp/view/cbpview.htmi.) 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 (successful and unsuccessful)on your
DOT-assisted prime contracts or subcontracts in the past three years. Determine the number of all businesses that have
bid or quoted (successful and unsuccessful)on prime or subcontracts in the same time period. Divide the number of DBE
bidders and quoters by the number of all businesses to derive a base figure for the relative availability of DBEs in your
market. When using this approach, you must establish a mechanism (documented in your goal submission)to directly
capture data on DBE and non-DBE prime and subcontractors that submitted bids or quotes on your DOT-assisted
contracts.
(3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity study.
(4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market has
set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal.
(5)Alternative methods. Except as otherwise provided in this paragraph, you may use other methods to determine a
base figure for your overall goal. Any methodology you choose must be based on demonstrable evidence of local market
conditions and be designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your
market. The exclusive use of a list of prequalified contractors or plan holders, or a bidders list that does not comply with
the requirements of paragraph (c)(2)of this section, is not an acceptable alternative means of determining the availability
of DBEs.
(d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your jurisdiction
to determine what adjustment, if any, is needed to the base figure to arrive at your overall goal. If the evidence does not
suggest an adjustment is necessary, then no adjustment shall be made.
(1)There are many types of evidence that must be considered when adjusting the base figure. These include:
(i)The current capacity of DBEs to perform work in your DOT-assisted contracting program, as measured by the
volume of work DBEs have performed in recent years;
(ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not already
accounted for in your base figure; and
(iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market and your
contracting program.
(2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form, grow and
compete. These include, but are not limited to:
(i)Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to participate in
your program;
(ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the extent you
can relate it to the opportunities for DBEs to perform in your program.
(3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past
discrimination (often called the"but for"factor)or the effects of an ongoing DBE program, the adjustment must be based
on demonstrable evidence that is logically and directly related to the effect for which the adjustment is sought.
(e) Once you have determined a percentage figure in accordance with paragraphs (c)and (d)of this section, you
should express your overall goal as follows:
(1) If you are an FHWA recipient, as a percentage of all Federal-aid highway funds you will expend in FHWA-assisted
contracts in the forthcoming three fiscal years.
(2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be used for
the purchase of transit vehicles)that you will expend in FTA or FAA-assisted contracts in the three forthcoming fiscal
years.
(3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your overall goal
as a percentage of funds for a particular grant or project or group of grants and/or projects, including entire projects. Like
other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence of the
appropriate operating administration.
(i)A project goal is an overall goal, and must meet all the substantive and procedural requirements of this section
pertaining to overall goals.
(ii)A project goal covers the entire length of the project to which it applies.
(iii)The project goal should include a projection of the DBE participation anticipated to be obtained during each fiscal
year covered by the project goal.
(iv)The funds for the project to which the project goal pertains are separated from the base from which your regular
overall goal, applicable to contracts not part of the project covered by a project goal, is calculated.
(f)(1)(i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating
administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA, as
applicable, and posted on that agency's Web site.
(ii)You may adjust your three-year overall goal during the three-year period to which it applies, in order to reflect
changed circumstances. You must submit such an adjustment to the concerned operating administration for review and
approval.
(iii)The operating administration may direct you to undertake a review of your goal if necessary to ensure that the
goal continues to fit your circumstances appropriately.
(iv)While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the overall goal
and the provisions of Sec. 26.47(c) apply to each year during that three-year period.
(v)You may make, for informational purposes, projections of your expected DBE achievements during each of the
three years covered by your overall goal. However, it is the overall goal itself, and not these informational projections, to
which the provisions of section 26.47(c)of this part apply.
(2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of this
section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA Administrator, as applicable.
(3)You must include with your overall goal submission a description of the methodology you used to establish the
goal, incuding your base figure and the evidence with which it was calculated, and the adjustments you made to the base
figure and the evidence you relied on for the adjustments. You should also include a summary listing of the relevant
available evidence in your jurisdiction and, where applicable, an explanation of why you did not use that evidence to adjust
your base figure. You must also include your projection of the portions of the overall goal you expect to meet through race-
neutral and race-consioous measures, respectively(see 26.51(c)).
(4)You are not required to obtain prior operating administration concurrence with your overall goal. However, if the
operating administration's review suggests that your overall goal has not been correctly calculated or that your method for
calculating goals is inadequate, the operating administration may, after consulting with you, adjust your overall goal or
require that you do so. The adjusted overall goal is binding on you. In evaluating the adequacy or soundness of the
methodology used to derive the overall goal, the operating administration will be guided by goal setting principles and best
practices identified by the Department in guidance issued pursuant to §26.9.
(5) If you need additional time to collect data or take other steps to develop an approach to setting overall goals, you
may request the approval of the concerned operating administration for an interim goal and/or goal-setting mechanism.
Such a mechanism must:
(i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the data available
to you; and
(ii)Avoid imposing undue burdens on non-DBEs.
(6)Timely submission and operating administration approval of your overall goal is a condition of eligibility for DOT
financial assistance.
(7) If you fail to establish and implement goals as provided in this section, you are not in compliance with this part. If
you establish and implement goals in a way different from that provided in this part, you are not in compliance with this
part. If you fail to comply with this requirement, you are not eligible to receive DOT financial assistance.
(g)(1) In establishing an overall goal, you must provide for consultation and publication. This includes:
(i) Consultation with minority, women's and general contractor groups, community organizations, and other officials or
organizations which could be expected to have information concerning the availability of disadvantaged and non-
disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and your efforts to establish a level
playing field for the participation of DBEs. The consultation must include a scheduled, direct, interactive exchange (e.g., a
face-to-face meeting, video conference, teleconference)with as many interested stakeholders as possible focused on
obtaining information relevant to the goal setting process, and it must occur before you are required to submit your
methodology to the operating administration for review pursuant to paragraph (f)of this section. You must document in
your goal submission the consultation process you engaged in. Notwithstanding paragraph (f)(4)of this section, you may
not implement your proposed goal until you have complied with this requirement.
(ii)A published notice announcing your proposed overall goal before submission to the operating administration on
August 1 st. The notice must be posted on your official Internet Web site and may be posted in any other sources (e.g.,
minority-focused media, trade association publications). If the proposed goal changes following review by the operating
administration, the revised goal must be posted on your official Internet Web site.
(2)At your discretion, you may inform the public that the proposed overall goal and its rationale are available for
inspection during normal business hours at your principal office and for a 30-day comment period. Notice of the comment
period must include addresses to which comments may be sent. The public comment period will not extend the August 1st
deadline set in paragraph (f)of this section.
(h)Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
[64 FR 5126, Feb.2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 68 FR 35553, June 16, 2003;
75 FR 5536, Feb. 3, 2010; 76 FR 5097, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014]
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§26.47 Can recipients be penalized for failing to meet overall goals?
(a)You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your
DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith.
(b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good faith,
you are in noncompliance with this part.
(c) If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the
end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in order to be
regarded by the Department as implementing your DBE program in good faith:
(1)Analyze in detail the reasons for the difference between the overall goal and your awards and commitments in that
fiscal year;
(2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to enable
you to meet fully your goal for the new fiscal year;
(3)(i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or an
Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit, within 90 days of
the end of the fiscal year, the analysis and corrective actions developed under paragraphs (c)(1)and (2)of this section to
the appropriate operating administration for approval. If the operating administration approves the report, you will be
regarded as complying with the requirements of this section for the remainder of the fiscal year.
(ii)As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i)of this section, you must retain
analysis and corrective actions in your records for three years and make it available to FTA or FAA on request for their
review.
(4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis and
corrective actions including, but not limited to, modifications to your overall goal methodology, changes in your race-
conscious/race-neutral split, or the introduction of additional race-neutral or race-conscious measures.
(5)You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in §26.103
or§26.105 of this part and other applicable regulations, for failing to implement your DBE program in good faith if any of
the following things occur:
(i)You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as required under
paragraph (c)(3)of this section;
(ii) FHWA, FTA, or FAA disapproves your analysis or corrective actions; or
(iii)You do not fully implement the corrective actions to which you have committed or conditions that FHWA, FTA, or
FAA has imposed following review of your analysis and corrective actions.
(d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming to
the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve DBE awards
and commitments that would be necessary to allow you to meet your overall goal at the end of the fiscal year, FHWA, FTA,
or FAA, as applicable, may require you to make further good faith efforts, such as by modifying your race-conscious/race-
neutral split or introducing additional race-neutral or race-conscious measures for the remainder of the fiscal year.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011]
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§26.49 How are overall goals established for transit vehicle manufacturers?
(a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a
condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has complied
with the requirements of this section. You do not include FTA assistance used in transit vehicle procurements in the base
amount from which your overall goal is calculated.
(1) Only those transit vehicle manufacturers listed on FTA's certified list of Transit Vehicle Manufacturers, or that have
submitted a goal methodology to FTA that has been approved or has not been disapproved, at the time of solicitation are
eligible to bid.
(2)A TVM's failure to implement the DBE Program in the manner as prescribed in this section and throughout 49 CFR
part 26 will be deemed as non-compliance, which will result in removal from FTA's certified TVMs list, resulting in that
manufacturer becoming ineligible to bid.
(3) FTA recipient's failure to comply with the requirements set forth in paragraph (a)of this section may result in formal
enforcement action or appropriate sanction as determined by FTA(e.g., FTA declining to participate in the vehicle
procurement).
(4) FTA recipients are required to submit within 30 days of making an award, the name of the successful bidder, and
the total dollar value of the contract in the manner prescribed in the grant agreement.
(b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall
percentage goal.
(1) In setting your overall goal, you should be guided, to the extent applicable, by the principles underlying §26.45.
The base from which you calculate this goal is the amount of FTA financial assistance included in transit vehicle contracts
you will bid on during the fiscal year in question, less the portion(s)attributable to the manufacturing process performed
entirely by the transit vehicle manufacturer's own forces.
(i)You must consider and include in your base figure all domestic contracting opportunities made available to non-
DBE firms; and
(ii)You must exclude from this base figure funds attributable to work performed outside the United States and its
territories, possessions, and commonwealths.
(iii) In establishing an overall goal, the transit vehicle manufacturer must provide for public participation. This includes
consultation with interested parties consistent with §26.45(g).
(2)The requirements of this part with respect to submission and approval of overall goals apply to you as they do to
recipients.
(c)Transit vehicle manufacturers awarded must comply with the reporting requirements of§26.11 of this part including
the requirement to submit the Uniform Report of Awards or Commitments and Payments, in order to remain eligible to bid
on FTA assisted transit vehicle procurements.
(d)Transit vehicle manufacturers must implement all other applicable requirements of this part, except those relating
to UCPs and DBE certification procedures.
(e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section
with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the manufacturers of this
equipment must meet the same requirements (including goal approval by FHWA or FAA)as transit vehicle manufacturers
must meet in FTA-assisted procurements.
(f)As a recipient you may, with FTA approval, establish project-specific goals for DBE participation in the procurement
of transit vehicles in lieu of complying through the procedures of this section.
[79 FR 59594, Oct. 2, 20141
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§26.51 What means do recipients use to meet overall goals?
(a)You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating race-
neutral DBE participation. Race-neutral DBE participation includes any time a DBE wins a prime contract through
customary competitive procurement procedures or is awarded a subcontract on a prime contract that does not carry a
DBE contract goal.
(b) Race-neutral means include, but are not limited to, the following:
(1)Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways
that facilitate participation by DBEs and other small businesses and by making contracts more accessible to small
businesses, by means such as those provided under§26.39 of this part.
(2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such
means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from
bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing);
(3) Providing technical assistance and other services;
(4) Carrying out information and communications programs on contracting procedures and specific contract
opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders;
ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in
languages other than English, where appropriate);
(5) Implementing a supportive services program to develop and improve immediate and long-term business
management, record keeping, and financial and accounting capability for DBEs and other small businesses;
(6) Providing services to help DBEs, and other small businesses, improve long-term development, increase
opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-
sufficiency;
(7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically
been low;
(8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of
potential prime contractors; and
(9)Assisting 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 overall goal for review by the concerned operating administration, you must also submit
your projection of the portion of the goal that you expect to meet through race-neutral means and your basis for that
projection. This projection is subject to approval by the concerned operating administration, in conjunction with its review
of your overall goal.
(d)You must establish contract goals to meet any portion of your overall goal you do not project being able to meet
using race-neutral means.
(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 contract goal on every DOT-assisted contract. You are not required to set each
contract goal at the same percentage level as the overall goal. The goal for a specific contract may be higher or lower than
that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work,
and the availability of DBEs for the work of the particular contract. However, over the period covered by your overall goal,
you must set contract goals so that they will cumulatively result in meeting any portion of your overall goal you do not
project being able to meet through the use of race-neutral means.
(3) Operating administration approval of each contract goal is not necessarily required. However, operating
administrations may review and approve or disapprove any contract goal you establish.
(4)Your contract goals must provide for participation by all certified DBEs and must not be subdivided into group-
specific goals.
(f)To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination, you
must adjust your use of contract goals as follows:
(1) If your approved projection under paragraph (c)of this section estimates that you can meet your entire overall goal
for a given year through race-neutral means, you must implement your program without setting contract goals during that
year, unless it becomes necessary in order meet your overall goal.
Example to paragraph (f)(1):Your overall goal for Year 1 is 12 percent.You estimate that you can obtain 12 percent or more
DBE participation through the use of race-neutral measures,without any use of contract goals. In this case, you do not set any
contract goals for the contracts that will be performed in Year 1. However, if part way through Year 1,your DBE awards or
commitments are not at a level that would permit you to achieve your overall goal for Year 1,you could begin setting race-conscious
DBE contract goals during the remainder of the year as part of your obligation to implement your program in good faith.
(2) If, during the course of any year in which you are using contract goals, you determine that you will exceed your
overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure that the use of
contract goals does not result in exceeding the overall goal. If you determine that you will fall short of your overall goal,
then you must make appropriate modifications in your use of race-neutral and/or race-conscious measures to allow you to
meet the overall goal.
Example to paragraph (f)(2): In Year II, your overall goal is 12 percent.You have estimated that you can obtain 5 percent DBE
participation through use of race-neutral measures.You therefore plan to obtain the remaining 7 percent participation through use of
DBE goals. By September, you have already obtained 11 percent DBE participation for the year. For contracts let during the
remainder of the year,you use contract goals only to the extent necessary to obtain an additional one percent DBE participation.
However, if you determine in September that your participation for the year is likely to be only 8 percent total,then you would
increase your use of race-neutral and/or race-conscious means during the remainder of the year in order to achieve your overall
goal.
(3) If the DBE participation you have obtained by race-neutral means alone meets or exceeds your overall goals for
two consecutive years, you are not required to make a projection of the amount of your goal you can meet using such
means in the next year. You do not set contract goals on any contracts in the next year. You continue using only race-
neutral means to meet your overall goals unless and until you do not meet your overall goal for a year.
Example to paragraph (f)(3):Your overall goal for Years I and Year II is 10 percent. The DBE participation you obtain through
race-neutral measures alone is 10 percent or more in each year. (For this purpose, it does not matter whether you obtained
additional DBE participation through using contract goals in these years.) In Year 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 overall goals. However, if in Year VI your DBE participation falls short of your overall
goal,then you must make a paragraph (c)projection for Year VII and, if necessary, resume use of contract goals in that year.
(4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of contract
goals (i.e., not through the use of race-neutral means alone), you must reduce your use of contract goals proportionately
in the following year.
Example to paragraph (f)(4): In Years I and II,your overall goal is 12 percent, and you obtain 14 and 16 percent DBE
participation, respectively.You have exceeded your goals over the two-year period by an average of 25 percent. In Year III,your
overall goal is again 12 percent, and your paragraph (c)projection estimates that you will obtain 4 percent DBE participation through
race-neutral means and 8 percent through contract goals.You then reduce the contract goal projection by 25 percent(i.e.,from 8 to
6 percent)and set contract goals accordingly during the year. If in Year III you obtain 11 percent participation, you do not use this
contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of exceeding overall goals.
(g) In any year in which you project meeting part of your goal through race-neutral means and the remainder through
contract goals, you must maintain data separately on DBE achievements in those contracts with and without contract
goals, respectively. You must report this data to the concerned operating administration as provided in §26.11.
[64 FR 5126, Feb.2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014]
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§26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals?
(a)When you have established a DBE contract goal, you must award the contract only to a bidder/offeror who makes
good faith efforts to meet it. You must determine that a bidder/offeror has made good faith efforts if the bidder/offeror does
either of the following things:
(1) Documents that it has obtained enough DBE participation to meet the goal; or
(2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in obtaining
enough DBE participation to do so. If the bidder/offeror does document 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-assisted contracts for which a contract goal has been established, you must require
the following:
(1)Award of the contract will be conditioned on meeting the requirements of this section;
(2)All bidders or offerors will be required to submit the following information to the recipient, at the time provided in
paragraph (b)(3)of this section:
(i)The names and addresses of DBE firms that will participate in the contract;
(ii)A description of the work that each DBE will perform. To count toward meeting a goal, each DBE firm must be
certified in a NAICS code applicable to the kind of work the firm would perform on the contract;
(iii)The dollar amount of the participation of each DBE firm participating;
(iv)Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it
submits to meet a contract goal; and
(v)Written confirmation from each listed DBE firm that it is participating in the contract in the kind and amount of work
provided in the prime contractor's commitment.
(vi) If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part). The documentation of
good faith efforts must include copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-
DBE subcontractor was selected over a DBE for work on the contract; and
(3)(i)At your discretion, the bidder/offeror must present the information required by paragraph (b)(2)of this section—
(A) Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract negotiation
procedures; or
(B) No later than 7 days after bid opening as a matter of responsibility. The 7 days shall be reduced to 5 days
beginning January 1, 2017.
(ii) Provided that, in a negotiated procurement, including a design-build procurement, the bidder/offeror may make a
contractually binding commitment to meet the goal at the time of bid submission or the presentation of initial proposals but
provide the information required by paragraph (b)(2)of this section before the final selection for the contract is made by
the recipient.
(c)You must make sure all information is complete and accurate and adequately documents the bidder/offeror's good
faith efforts before committing yourself to the performance of the contract by the bidder/offeror.
(d) If you determine that the apparent successful bidder/offeror has failed to meet the requirements of paragraph (a)of
this section, you must, before awarding the contract, provide the bidder/offeror an opportunity for administrative
reconsideration.
(1)As part of this reconsideration, the bidder/offeror must have the opportunity to provide written documentation or
argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so.
(2)Your decision on reconsideration must be made by an official who did not take part in the original determination
that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so.
(3)The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss the
issue of whether it met the goal or made adequate good faith efforts to do so.
(4)You must send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the
bidder did or did not meet the goal or make adequate good faith efforts to do so.
(5)The result of the reconsideration process is not administratively appealable to the Department of Transportation.
(e) In a "design-build"or"turnkey" contracting situation, in which the recipient lets a master contract to a contractor,
who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the project. The
master contractor then establishes contract goals, as appropriate, for the subcontracts it lets. Recipients must maintain
oversight of the master contractor's activities to ensure that they are conducted consistent with the requirements of this
part.
(f)(1)(i)You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph
(b)(2)of this section (or an approved substitute DBE firm)without your prior written consent. This includes, but is not
limited to, instances in which a prime contractor seeks to perform work originally designated for a DBE subcontractor with
its own forces or those of an affiliate, a non-DBE firm, or with another DBE firm.
(ii)You must include in each prime contract a provision stating:
(A)That the contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which
each is listed unless the contractor obtains your written consent as provided in this paragraph (f); and
(B)That, unless your consent is provided under this paragraph (f), the contractor shall not be entitled to any payment
for work or material unless it is performed or supplied by the listed DBE.
(2)You may provide such written consent only if you agree, for reasons stated in your concurrence document, that the
prime contractor has good cause to terminate the DBE firm.
(3) For purposes of this paragraph, good cause includes the following circumstances:
(i)The listed DBE subcontractor fails or refuses to execute a written contract;
(ii)The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal
industry standards. Provided, however, that good cause does not exist if the failure or refusal of the DBE subcontractor to
perform its work on the subcontract results from the bad faith or discriminatory action of the prime contracor;
(iii)The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable, nondiscriminatory bond
requirements.
(iv)The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;
(v)The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment
proceedings pursuant 2 CFR Parts 180, 215 and 1,200 or applicable state law;
(vii)You have determined that the listed DBE subcontractor is not a responsible contractor;
(vi)The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice of its
withdrawal;
(vii)The listed DBE is ineligible to receive DBE credit for the type of work required;
(viii)A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its
work on the contract;
(ix) Other documented good cause that you determine compels the termination of the DBE subcontractor. Provided,
that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the contract so that
the prime contractor can self-perform the work for which the DBE contractor was engaged or so that the prime contractor
can substitute another DBE or non-DBE contractor after contract award.
(4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime contractor
must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to terminate and/or
substitute, and the reason for the request.
(5)The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you and
the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why you should not
approve the prime contractor's action. If required in a particular case as a matter of public necessity (e.g., safety), you may
provide a response period shorter than five days.
(6) In addition to post-award terminations, the provisions of this section apply to preaward deletions of or substitutions
for DBE firms put forward by offerors in negotiated procurements.
(g)When a DBE subcontractor is terminated as provided in paragraph (f)of this section, or fails to complete its work
on the contract for any reason, you must require the prime contractor to make good faith efforts to find another DBE
subcontractor to substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to
perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to
meet the contract goal you established for the procurement. The good faith efforts shall be documented by the contractor.
If the recipient requests documentation under this provision, the contractor shall submit the documentation within 7 days,
which may be extended for an additional 7 days if necessary at the request of the contractor, and the recipient shall
provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated.
(h)You must include in each prime contract the contract clause required by§26.13(b)stating that failure by the
contractor to carry out the requirements of this part is a material breach of the contract and may result in the termination of
the contract or such other remedies set forth in that section you deem appropriate if the prime contractor fails to comply
with the requirements of this section.
(i)You must apply the requirements of this section to DBE bidders/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.
Q)You must require the contractor awarded the contract to make available upon request a copy of all DBE
subcontracts. The subcontractor shall ensure that all subcontracts or an agreement with DBEs to supply labor or materials
require that the subcontract and all lower tier subcontractors be performed in accordance with this part's provisions.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014]
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§26.55 How is DBE participation counted toward goals?
(a)When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward
DBE goals.
(1) Count the entire amount of that portion of a construction contract(or other contract not covered by paragraph (a)
(2)of this section)that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the
DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and
equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate).
(2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as
professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the
performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not
excessive as compared with fees customarily allowed for similar services.
(3)When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may
be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE
firm does not count toward DBE goals.
(b)When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract
equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward
DBE goals.
(c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful
function on that contract.
(1)A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and
is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a
commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the
contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and
paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate
the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is
commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and
other relevant factors.
(2)A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a
transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In
determining whether a DBE is such an extra participant, you must examine similar transactions, particularly those in which
DBEs do not participate.
(3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its
own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis
of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful
function.
(4)When a DBE is presumed not to be performing a commercially useful function as provided in paragraph (c)(3)of
this section, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a
commercially useful function given the type of work involved and normal industry practices.
(5)Your decisions on commercially useful function matters are subject to review by the concerned operating
administration, but are not administratively appealable to DOT.
(d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful
function:
(1)The DBE must be responsible for the management and supervision of the entire trucking operation for which it is
responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.
(2)The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the
contract.
(3)The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it
owns, insures, and operates using drivers it employs.
(4)The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The
DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE
provides on the contract.
(5)The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE that leases
trucks equipped with drivers from a non-DBE is entitled to credit for the total value of transportation services provided by
non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided
by DBE-owned trucks or leased trucks with DBE employee drivers. Additional participation by non-DBE owned trucks
equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement. If a
recipient chooses this approach, it must obtain written consent from the appropriate DOT operating administration.
Example to paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks from DBE Firm Y and six
trucks equipped with drivers from non-DBE Firm Z. DBE credit would be awarded for the total value of transportation services
provided by Firm X and Firm Y, and may also be awarded for the total value of transportation services provided by four of the six
trucks provided by Firm Z. In all,full credit would be allowed for the participation of eight trucks. DBE credit could be awarded only
for the fees or commissions pertaining to the remaining trucks Firm X receives as a result of the lease with Firm Z.
(6)The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the DBE leases trucks from a
non-DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these
hauling services.
Example to paragraph (d)(6): DBE Firm X uses two of its own trucks on a contract. It leases two additional trucks from non-DBE
Firm Z. Firm X uses its own employees to drive the trucks leased from Firm Z. DBE credit would be awarded for the total value of the
transportation services provided by all four trucks.
(7) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over the
truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the
DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the
name and identification number of the DBE.
(e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
(1)(i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials
or supplies toward DBE goals.
(ii) For purposes of this paragraph (e)(1), a manufacturer is a firm that operates or maintains a factory or
establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract
and of the general character described by the specifications.
(2)(i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the
materials or supplies toward DBE goals.
(ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or
other establishment in which the materials, supplies, articles or equipment of the general character described by the
specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the
usual course of business.
(A)To be a regular dealer, the firm must be an established, regular business that engages, as its principal business
and under its own name, in the purchase and sale or lease of the products in question.
(B)A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or
asphalt without owning, operating, or maintaining a place of business as provided in this paragraph (e)(2)(ii) if the person
both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution
equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are
not regular dealers within the meaning of this paragraph (e)(2).
(3)With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer,
count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies,
or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals,
provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for
similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals,
however.
(4)You must determine the amount of credit awarded to a firm for the provisions of materials and supplies (e.g.,
whether a firm is acting as a regular dealer or a transaction expediter)on a contract-by-contract basis.
(f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time of
the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided for in
§26.87(i)).
(g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified
toward your overall goal.
(h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE
obligations on a contract until the amount being counted has actually been paid to the DBE.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554,June 16, 2003; 79 FR 59595, Oct. 2, 2014]
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Subpart D—Certification Standards
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§26.61 How are burdens of proof allocated 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 subpart concerning group membership or individual disadvantage, business size,
ownership, and control.
(c)You must rebuttably presume that members of the designated groups identified in §26.67(a)are socially and
economically disadvantaged. This means they do not have the burden of proving to you that they are socially and
economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must submit a signed,
notarized statement that they are a member of one of the groups in §26.67(a). Applicants do have the obligation to provide
you information concerning their economic disadvantage (see §26.67).
(d) Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning
whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a preponderance of the
evidence, that they are socially and economically disadvantaged. (See Appendix E of this part.)
(e)You must make determinations concerning whether individuals and firms have met their burden of demonstrating
group membership, ownership, control, and social and economic disadvantage (where disadvantage must be
demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole.
[64 FR 5126, Feb.2, 1999, as amended at 68 FR 35554, June 16, 2003]
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§26.63 What rules govern group membership 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 membership
and a written request for additional evidence as outlined in paragraph (b)of this section.
(3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate
burden on members of any particular designated group. Imposing a disproportionate burden on members of a particular
group could violate§26.7(b)and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21.
(b) In making such a determination, you must consider whether the person has held himself out to be a member of the
group over a long period of time prior to application for certification and whether the person is regarded as a member of
the group by the relevant community. You may require the applicant to produce appropriate documentation of group
membership.
(1) If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not a
member of a designated disadvantaged group, the individual must demonstrate social and economic disadvantage on an
individual basis.
(2)Your decisions concerning membership in a designated group are subject to the certification appeals procedure of
§26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 2003]
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§26.65 What rules govern business size determinations?
(a)To be an eligible DBE, a firm (including its affiliates) must be an existing small business, as defined by Small
Business Administration (SBA)standards. As a recipient, you must apply current SBA business size standard(s)found in
13 CFR part 121 appropriate to the type(s)of work the firm seeks to perform in DOT-assisted contracts, including the
primary industry classification of the applicant.
(b) Even if it meets the requirements of paragraph (a)of this section, a firm is not an eligible DBE in any Federal fiscal
year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA regulations (see 13 CFR
121.402), over the firm's previous three fiscal years, in excess of$23.98 million.
(c)The Department adjusts the number in paragraph (b)of this section annually using the Department of Commerce
price deflators for purchases by State and local governments as the basis for this adjustment.
[74 FR 15224,Apr. 3, 2009, as amended at 79 FR 59596, Oct. 2, 2014]
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§26.67 What rules determine social and economic disadvantage?
(a) Presumption of disadvantage. (1)You must rebuttably presume that citizens of the United States (or lawfully
admitted permanent residents)who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific
Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and
economically disadvantaged individuals. You must require applicants to submit a signed, notarized certification that each
presumptively disadvantaged owner is, in fact, socially and economically disadvantaged.
(2)(i)You must require each individual owner of a firm applying to participate as a DBE, whose ownership and control
are relied upon for DBE certification, to certify that he or she has a personal net worth that does not exceed $1.32 million.
(ii)You must require each individual who makes this certification to support it with a signed, notarized statement of
personal net worth, with appropriate supporting documentation. To meet this requirement, you must use the DOT personal
net worth form provided in appendix G to this part without change or revision. Where necessary to accurately determine
an individual's personal net worth, you may, on a case-by-case basis, require additional financial information from the
owner of an applicant firm (e.g., information concerning the assets of the owner's spouse, where needed to clarify whether
assets have been transferred to the spouse or when the owner's spouse is involved in the operation of the company).
Requests for additional information shall not be unduly burdensome or intrusive.
(iii) In determining an individual's net worth, you must observe the following requirements:
(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 attributable
to excessive withdrawals from the applicant firm). The equity is the market value of the residence less any mortgages and
home equity loan balances. Recipients must ensure that home equity loan balances are included in the equity calculation
and not as a separate liability on the individual's personal net worth form. Exclusions for net worth purposes are not
exclusions for asset valuation or access to capital and credit purposes.
(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 Retirement Accounts, 401(k)accounts, or other
retirement savings or investment programs in which the assets cannot be distributed to the individual at the present time
without significant adverse tax or interest consequences, include only the present value of such assets, less the tax and
interest penalties that would accrue if the asset were distributed at the present time.
(iv) Notwithstanding any provision of Federal or State law, you must not release an individual's personal net worth
statement nor any documents pertaining to it to any third party without the written consent of the submitter. Provided, that
you must transmit this information to DOT in any certification appeal proceeding under§26.89 of this part or to any other
State to which the individual's firm has applied for certification under§26.85 of this part.
(b) Rebuttal of presumption of disadvantage. (1)An individual's presumption of economic disadvantage may be
rebutted in two ways.
(i) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a)
(2)of this section shows that the individual's personal net worth exceeds$1.32 million, the individual's presumption of
economic disadvantage is rebutted. You are not required to have a proceeding under paragraph (b)(2)of this section in
order to rebut the presumption of economic disadvantage in this case.
Example to paragraph (b)(1)(i):An individual with very high assets and significant liabilities may, in accounting terms, have a
PNW of less than$1.32 million. However,the person's assets collectively(e.g., high income level, a very expensive house, a yacht,
extensive real or personal property holdings)may lead a reasonable person to conclude that he or she is not economically
disadvantaged.The recipient may rebut the individual's presumption of economic disadvantage under these circumstances, as
provided in this section, even though the individual's PNW is less than$1.32 million.
(ii)(A) If the statement of personal net worth and supporting documentation that an individual submits under paragraph
(a)(2)of this section demonstrates that the individual is able to accumulate substantial wealth, the individual's presumption
of economic disadvantage is rebutted. In making this determination, as a certifying agency, you may consider factors that
include, but are not limited to, the following:
(1)Whether the average adjusted gross income of the owner over the most recent three year period exceeds
$350,000;
(2)Whether the income was unusual and not likely to occur in the future;
(3)Whether the earnings were offset by losses;
(4)Whether the income was reinvested in the firm or used to pay taxes arising in the normal course of operations by
the firm;
(5) Other evidence that income is not indicative of lack of economic disadvantage; and
(6)Whether the total fair market value of the owner's assets exceed $6 million.
(B)You must have a proceeding under paragraph (b)(2)of this section in order to rebut the presumption of economic
disadvantage in this case.
(2) If you have a reasonable basis to believe that an individual who is a member of one of the designated groups is
not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to determine whether the
presumption should be regarded as rebutted with respect to that individual. Your proceeding must follow the procedures of
§26.87.
(3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the
individual is not socially and economically disadvantaged. You may require the individual to produce information relevant
to the determination of his or her disadvantage.
(4)When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her ownership
and control of the firm in question cannot be used for purposes of DBE eligibility under this subpart unless and until he or
she makes an individual showing of social and/or economic disadvantage. If the basis for rebutting the presumption is a
determination that the individual's personal net worth exceeds$1.32 million, the individual is no longer eligible for
participation in the program and cannot regain eligibility by making an individual showing of disadvantage, so long as his
or her PNW remains above that amount.
(c)Transfers within two years. (1) Except as set forth in paragraph (c)(2)of this section, recipients must attribute to an
individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member,
to a trust a beneficiary of which is an immediate family member, or to the applicant firm for less than fair market value,
within two years prior to a concern's application for participation in the DBE program or within two years of recipient's
review of the firm's annual affidavit, unless the individual claiming disadvantaged status can demonstrate that the transfer
is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of
essential support.
(2) Recipients must not attribute to an individual claiming disadvantaged status any assets transferred by that
individual to an immediate family member that are consistent with the customary recognition of special occasions, such as
birthdays, graduations, anniversaries, and retirements.
(d) Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who
are not presumed to be socially and economically disadvantaged (including individuals whose presumed disadvantage
has been rebutted) may apply for DBE certification. You must make a case-by-case determination of whether each
individual whose ownership and control are relied upon for DBE certification is socially and economically disadvantaged.
In such a proceeding, the applicant firm has the burden of demonstrating to you, by a preponderance of the evidence, that
the individuals who own and control it are socially and economically disadvantaged. An individual whose personal net
worth exceeds $1.32 million shall not be deemed to be economically disadvantaged. In making these determinations, use
the guidance found in Appendix E of this part. You must require that applicants provide sufficient information to permit
determinations under the guidance of appendix E of this part.
[79 FR 59596, Oct. 2, 20141
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§26.69 What rules govern determinations of ownership?
(a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must
consider all the facts in the record viewed as a whole, including the origin of all assets and how and when they were used
in obtaining the firm. All transactions for the establishment and ownership (or transfer of ownership) must be in the normal
course of business, reflecting commercial and arms-length practices.
(b)To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged
individuals.
(1) In the case of a corporation, such individuals must own at least 51 percent of the each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding.
(2) In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and
economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership agreement.
(3) In the case of a limited liability company, at least 51 percent of each class of member interest must be owned by
socially and economically disadvantaged individuals.
(c)(1)The firm's ownership by socially and economically disadvantaged individuals, including their contribution of
capital or expertise to acquire their ownership interests, must be real, substantial, and continuing, going beyond pro forma
ownership of the firm as reflected in ownership documents. Proof of contribution of capital should be submitted at the time
of the application. When the contribution of capital is through a loan, there must be documentation of the value of assets
used as collateral for the loan.
(2) Insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner
who is not a disadvantaged individual, mere participation in a firm's activities as an employee, or capitalization not
commensurate with the value for the firm.
(3)The disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and be
entitled to the profits and loss commensurate with their ownership interests, as demonstrated by the substance, not merely
the form, of arrangements. Any terms or practices that give a non-disadvantaged individual or firm a priority or superior
right to a firm's profits, compared to the disadvantaged owner(s), are grounds for denial.
(4) Debt instruments from financial institutions or other organizations that lend funds in the normal course of their
business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan.
Examples to paragraph (c): (i)An individual pays$100 to acquire a majority interest in a firm worth$1 million.The individual's
contribution to capital would not be viewed as substantial.
(ii)A 51%disadvantaged owner and a non-disadvantaged 49%owner contribute$100 and$10,000, respectively,to acquire a
firm grossing $1 million.This may be indicative of a pro forma arrangement that does not meet the requirements of(c)(1).
(iii)The disadvantaged owner of a DBE applicant firm spends$250 to file articles of incorporation and obtains a$100,000 loan,
but makes only nominal or sporadic payments to repay the loan.This type of contribution is not of a continuing nature.
(d)All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as
provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are considered as held
by disadvantaged persons in determining the ownership of a firm. However, securities or assets held in trust are regarded
as held by a disadvantaged individual for purposes of determining ownership of the firm, if—
(1)The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the same
or another such individual; or
(2)The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective
control over the management, policy-making, and daily operational activities of the firm.Assets held in a revocable living
trust may be counted only in the situation where the same disadvantaged individual is the sole grantor, beneficiary, and
trustee.
(e)The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their
ownership interests must be real and substantial. Examples of insufficient contributions include a promise to contribute
capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or mere participation in
a firm's activities as an employee. Debt instruments from financial institutions or other organizations that lend funds in the
normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the
loan.
(f)The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged owner's
contribution to acquire ownership:
(1)The owner's expertise must be—
(i) In a specialized field;
(ii)Of outstanding quality;
(iii) In areas critical to the firm's operations;
(iv) Indispensable to the firm's potential 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 financial investment in the firm.
(g)You must always deem as held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual—
(1)As the result of a final property settlement or court order in a divorce or legal separation, provided that no term or
condition of the agreement or divorce decree is inconsistent with this section; or
(2)Through inheritance, or otherwise because of the death of the former owner.
(h)(1)You must presume as not being held by a socially and economically disadvantaged individual, for purposes of
determining ownership, all interests in a business or other assets obtained by the individual as the result of a gift, or
transfer without adequate consideration, from any non-disadvantaged individual or non-DBE firm who is—
(i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm;
(ii) Involved in the same or a similar line of business; or
(iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is
seeking certification.
(2)To overcome this presumption and permit the interests or assets to be counted, the disadvantaged individual must
demonstrate to you, by clear and convincing evidence, that—
(i)The gift or transfer to the disadvantaged individual was made for reasons other than obtaining certification as a
DBE; and
(ii)The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding
the continuing participation of a non-disadvantaged individual who provided the gift or transfer.
(i)You must apply the following rules in situations in which marital assets form a basis for ownership of a firm:
(1)When marital assets (other than the assets of the business in question), held jointly or as community property by
both spouses, are used to acquire the ownership interest asserted by one spouse, you must deem the ownership interest
in the firm to have been acquired by that spouse with his or her own individual resources, provided that the other spouse
irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in
which either spouse or the firm is domiciled. You do not count a greater portion of joint or community property assets
toward ownership than state law would recognize as belonging to the socially and economically disadvantaged owner of
the applicant firm.
(2)A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or
community assets used to acquire an ownership interest in the firm must be included as part of the firm's application for
DBE certification.
Q)You may consider the following factors in determining the ownership of a firm. However, you must not regard a
contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because—
(1)A socially and economically disadvantaged individual acquired his or her ownership interest as the result of a gift,
or transfer without adequate consideration, other than the types set forth in paragraph (h)of this section;
(2)There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged
individual on financing agreements, contracts for the purchase or sale of real or personal property, bank signature cards,
or other documents; or
(3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who is not
a socially and economically disadvantaged individual to a spouse who is such an individual. In this case, you must give
particularly close and careful scrutiny to the ownership and control of a firm to ensure that it is owned and controlled, in
substance as well as in form, by a socially and economically disadvantaged individual.
[64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59597, Oct. 2, 2014]
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§26.71 What rules govern determinations concerning control?
(a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the
facts in the record, viewed as a whole.
(b) Only an independent business may be certified as a DBE. An independent business is one the viability of which
does not depend on its relationship with another firm or firms.
(1) In determining whether a potential DBE is an independent business, you must scrutinize relationships with non-
DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other resources.
(2)You must consider whether present or recent employer/employee relationships between the disadvantaged
owner(s)of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise the
independence of the potential DBE firm.
(3)You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive or
primary dealings with a prime contractor compromises the independence of the potential DBE firm.
(4) In considering factors related to the independence of a potential DBE firm, you must consider the consistency of
relationships between the potential DBE and non-DBE firms with normal industry practice.
(c)A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the
socially and economically disadvantaged owners. There can be no restrictions through corporate charter provisions, by-
law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to
different classes of stock, employment contracts, requirements for concurrence by non-disadvantaged partners, conditions
precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights)that prevent
the socially and economically disadvantaged owners, without the cooperation or vote of any non-disadvantaged individual,
from making any business decision of the firm. This paragraph does not preclude a spousal co-signature on documents as
provided for in §26.690)(2).
(d)The socially and economically disadvantaged owners must possess the power to direct or cause the direction of
the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of
management, policy and operations.
(1)A disadvantaged owner must hold the highest officer position in the company(e.g., chief executive officer or
president).
(2) In a corporation, disadvantaged owners must control the board of directors.
(3) In a partnership, one or more disadvantaged owners must serve as general partners, with control over all
partnership decisions.
(e) Individuals who are not socially and economically disadvantaged or immediate family members may be involved in
a DBE firm as owners, managers, employees, stockholders, officers, and/or directors. Such individuals must not, however
possess or exercise the power to control the firm, or be disproportionately responsible for the operation of the firm.
(f)The socially and economically disadvantaged owners of the firm may delegate various areas of the management,
policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are
socially and economically disadvantaged individuals. Such delegations of authority must be revocable, and the socially
and economically disadvantaged owners must retain the power to hire and fire any person to whom such authority is
delegated. The managerial role of the socially and economically disadvantaged owners in the firm's overall affairs must be
such that the recipient can reasonably conclude that the socially and economically disadvantaged owners actually
exercise control over the firm's operations, management, and policy.
(g)The socially and economically disadvantaged owners must have an overall understanding of, and managerial and
technical competence and experience directly related to, the type of business in which the firm is engaged and the firm's
operations. The socially and economically disadvantaged owners are not required to have experience or expertise in every
critical area of the firm's operations, or to have greater experience or expertise in a given field than managers or key
employees. The socially and economically disadvantaged owners must have the ability to intelligently and critically
evaluate information presented by other participants in the firm's activities and to use this information to make independent
decisions concerning the firm's daily operations, management, and policymaking. Generally, expertise limited to office
management, administration, or bookkeeping functions unrelated to the principal business activities of the firm is
insufficient to demonstrate control.
(h) If state or local law requires the persons to have a particular license or other credential in order to own and/or
control a certain type of firm, then the socially and economically disadvantaged persons who own and control a potential
DBE firm of that type must possess the required license or credential. If state or local law does not require such a person
to have such a license or credential to own and/or control a firm, you must not deny certification solely on the ground that
the person lacks the license or credential. However, you may take into account the absence of the license or credential as
one factor in determining whether the socially and economically disadvantaged owners actually control the firm.
(i)(1)You may consider differences in remuneration between the socially and economically disadvantaged owners
and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in the
context of the duties of the persons involved, normal industry practices, the firm's policy and practice concerning
reinvestment of income, and any other explanations for the differences proffered by the firm. You may determine that a
firm is controlled by its socially and economically disadvantaged owner although that owner's remuneration is lower than
that of some other participants in the firm.
(2) In a case where a non-disadvantaged individual formerly controlled the firm, and a socially and economically
disadvantaged individual now controls it, you may consider a difference between the remuneration of the former and
current controller of the firm as a factor in determining who controls the firm, particularly when the non-disadvantaged
individual remains involved with the firm and continues to receive greater compensation than the disadvantaged individual.
Q) In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in
outside employment or other business interests that conflict with the management of the firm or prevent the individual from
devoting sufficient time and attention to the affairs of the firm to control its activities. For example, absentee ownership of a
business and part-time work in a full-time firm are not viewed as constituting control. However, an individual could be
viewed as controlling a part-time business that operates only on evenings and/or weekends, if the individual controls it all
the time it is operating.
(k)(1)A socially and economically disadvantaged individual may control a firm even though one or more of the
individual's immediate family members (who themselves are not socially and economically disadvantaged individuals)
participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise provided in this
paragraph, you must make a judgment about the control the socially and economically disadvantaged owner exercises
vis-a-vis other persons involved in the business as you do in other situations, without regard to whether or not the other
persons are immediate family members.
(2) If you cannot determine that the socially and economically disadvantaged owners—as distinct from the family as a
whole—control the firm, then the socially and economically disadvantaged owners have failed to carry their burden of
proof concerning control, even though they may participate significantly in the firm's activities.
(1)Where a firm was formerly owned and/or controlled by a non-disadvantaged individual (whether or not an
immediate family member), ownership and/or control were transferred to a socially and economically disadvantaged
individual, and the nondisadvantaged individual remains involved with the firm in any capacity, there is a rebuttable
presumption of control by the non-disadvantaged individual unless the disadvantaged individual now owning the firm
demonstrates to you, by clear and convincing evidence, that:
(1)The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than
obtaining certification as a DBE; and
(2)The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding
the continuing participation of a nondisadvantaged individual who formerly owned and/or controlled the firm.
(m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may
consider whether the firm owns equipment necessary to perform its work. However, you must not determine that a firm is
not controlled by socially and economically disadvantaged individuals solely because the firm leases, rather than owns,
such equipment, where leasing equipment is a normal industry practice and the lease does not involve a relationship with
a prime contractor or other party that compromises the independence of the firm.
(n)You must grant certification to a firm only for specific types of work in which the socially and economically
disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the firm need
demonstrate to you only that its socially and economically disadvantaged owners are able to control the firm with respect
to that type of work. You must not require that the firm be recertified or submit a new application for certification, but you
must verify the disadvantaged owner's control of the firm in the additional type of work.
(1)The types of work a firm can perform (whether on initial certification or when a new type of work is added) must be
described in terms of the most specific available NAICS code for that type of work. If you choose, you may also, in addition
to applying the appropriate NAICS code, apply a descriptor from a classification scheme of equivalent detail and
specificity. A correct NAICS code is one that describes, as specifically as possible, the principal goods or services which
the firm would provide to DOT recipients. Multiple NAICS codes may be assigned where appropriate. Program participants
must rely on, and not depart from, the plain meaning of NAICS code descriptions in determining the scope of a firm's
certification. If your Directory does not list types of work for any firm in a manner consistent with this paragraph (a)(1), you
must update the Directory entry for that firm to meet the requirements of this paragraph (a)(1) by August 28, 2011.
(2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept up-
to-date and accurately reflect work which the UCP has determined the firm's owners can control. The firm bears the
burden of providing detailed company information the certifying agency needs to make an appropriate NAICS code
designation.
(3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s)of work in which it is
seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification documentation,
supplement the assigned NAICS code(s)with a clear, specific, and detailed narrative description of the type of work in
which the firm is certified. A vague, general, or confusing description is not sufficient for this purpose, and recipients
should not rely on such a description in determining whether a firm's participation can be counted toward DBE goals.
(4)A certifier is not precluded from changing a certification classification or description if there is a factual basis in the
record. However, certifiers must not make after-the-fact statements about the scope of a certification, not supported by
evidence in the record of the certification action.
(o)A business operating under a franchise or license agreement may be certified if it meets the standards in this
subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affiliation
exists, you should generally not consider the restraints relating to standardized quality, advertising, accounting format, and
other provisions imposed on the franchisee or licensee by the franchise agreement or license, provided that the franchisee
or licensee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively,
even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement or
license, affiliation could arise through other means, such as common management or excessive restrictions on the sale or
transfer of the franchise interest or license.
(p) In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non-
disadvantaged partners must not have the power, without the specific written concurrence of the socially and economically
disadvantaged partner(s), to contractually bind the partnership or subject the partnership to contract or tort liability.
(q)The socially and economically disadvantaged individuals controlling a firm may use an employee leasing company.
The use of such a company does not preclude the socially and economically disadvantaged individuals from controlling
their firm if they continue to maintain an employer-employee relationship with the leased employees. This includes being
responsible for hiring, firing, training, assigning, and otherwise controlling the on-the-job activities of the employees, as
well as ultimate responsibility for wage and tax obligations related to the employees.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28, 2011; 79 FR 59597, Oct. 2, 2014]
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§26.73 What are other rules affecting certification?
(a)(1)Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely to
counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as provided in
paragraph (a)(2)of this section, you must not consider commercially useful function issues in any way in making decisions
about whether to certify a firm as a DBE.
(2)You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct indicating its
involvement in attempts to evade or subvert the intent or requirements of the DBE program.
(b)(1)You must evaluate the eligibility of a firm on the basis of present circumstances. You must not refuse to certify a
firm based solely on historical information indicating a lack of ownership or control of the firm by socially and economically
disadvantaged individuals at some time in the past, if the firm currently meets the ownership and control standards of this
part.
(2)You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed projects or
contracts at the time of its application, has not yet realized profits from its activities, or has not demonstrated a potential for
success. If the firm meets disadvantaged, size, ownership, and control requirements of this Part, the firm is eligible for
certification.
(c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests)for
information relevant to the certification process. Failure or refusal to provide such information is a ground for a denial or
removal of certification.
(d) Only firms organized for profit may be eligible DBEs. Not-for-profit organizations, even though controlled by
socially and economically disadvantaged individuals, are not eligible to be certified as DBEs.
(e)An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as
provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm—even a DBE
firm—cannot be an eligible DBE.
(1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding
company, established for tax, capitalization or other purposes consistent with industry practice, and the parent or holding
company in turn owns and controls an operating subsidiary, you may certify the subsidiary if it otherwise meets all
requirements of this subpart. In this situation, the individual owners and controllers of the parent or holding company are
deemed to control the subsidiary through the parent or holding company.
(2)You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by socially
and economically disadvantaged individuals. The following examples illustrate how this cumulative ownership provision
works:
Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company,which has a wholly-
owned subsidiary.The subsidiary may be certified, if it meets all other requirements.
Example 2: Disadvantaged individuals own 100 percent of the holding company,which owns 51 percent of a subsidiary. The
subsidiary may be certified, if all other requirements are met.
Example 3: Disadvantaged individuals own 80 percent of the holding company,which in turn owns 70 percent of a subsidiary. In
this case,the cumulative ownership of the subsidiary by disadvantaged individuals is 56 percent(80 percent of the 70 percent). This
is more than 51 percent, so you may certify the subsidiary, if all other requirements are met.
Example 4: Same as Example 2 or 3, but someone other than the socially and economically disadvantaged owners of the
parent or holding company controls the subsidiary. Even though the subsidiary is owned by disadvantaged individuals,through the
holding or parent company,you cannot certify it because it fails to meet control requirements.
Example 5: Disadvantaged individuals own 60 percent of the holding company,which in turn owns 51 percent of a subsidiary. In
this case,the cumulative ownership of the subsidiary by disadvantaged individuals is about 31 percent.This is less than 51 percent,
so you cannot certify the subsidiary.
Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other companies. The
combined gross receipts of the holding companies and its subsidiaries are greater than the size standard for the subsidiary seeking
certification and/or the gross receipts cap of§26.65(b). Under the rules concerning affiliation,the subsidiary fails to meet the size
standard and cannot be certified.
(f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to
demonstrate that a firm is an independent business, owned and controlled by socially and economically disadvantaged
individuals.
(g)You must not require a DBE firm to be prequalified as a condition for certification.
(h)A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Hawaiians
as individuals, may be eligible for certification. Such a firm must meet the size standards of§26.65. Such a firm must be
controlled by socially and economically disadvantaged individuals, as provided in §26.71.
(i)The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs).
(1) Notwithstanding any other provisions of this subpart, a direct or indirect subsidiary corporation,joint venture, or
partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following requirements:
(i)The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of the
Settlement Common Stock and by Natives and descendents of Natives represents a majority of both the total equity of the
ANC and the total voting power of the corporation for purposes of electing directors;
(ii)The shares of stock or other units of common ownership interest in the subsidiary,joint venture, or partnership
entity held by the ANC and by holders of its Settlement Common Stock represent a majority of both the total equity of the
entity and the total voting power of the entity for the purpose of electing directors, the general partner, or principal officers;
and
(iii)The subsidiary,joint venture, or partnership entity has been certified by the Small Business Administration under
the 8(a)or small disadvantaged business program.
(2)As a recipient to whom an ANC-related entity applies for certification, you do not use the DOT uniform application
form (see Appendix F of this part). You must obtain from the firm documentation sufficient to demonstrate that entity meets
the requirements of paragraph (i)(1)of this section. You must also obtain sufficient information about the firm to allow you
to administer your program (e.g., information that would appear in your DBE Directory).
(3) If an 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 Indian Tribes or
Native Hawaiian Organizations.
[64 FR 5126, Feb.2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan.28,2011; 79 FR 59598, Oct. 2, 20141
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Subpart E—Certification Procedures
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§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).
(1)Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement
establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary may, on the
basis of extenuating circumstances shown by the recipients in the state, extend this deadline for no more than one
additional year.
(2)The agreement must provide for the establishment of a UCP meeting all the requirements of this section. The
agreement must specify that the UCP will follow all certification procedures and standards of this part, on the same basis
as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring activities of DOT and its operating
administrations; and that the UCP shall implement DOT directives and guidance concerning certification matters. The
agreement shall also commit recipients to ensuring that the UCP has sufficient resources and expertise to carry out the
requirements of this part. The agreement shall include an implementation schedule ensuring that the UCP is fully
operational no later than 18 months following the approval of the agreement by the Secretary.
(3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients in that
state.
(4)The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state for
revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is deemed to be
accepted.
(5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall have
the opportunity to make an explanation to the Secretary why a deadline could not be met and why meeting the deadline
was beyond your control. If you fail to make such an explanation, or the explanation does not justify the failure to meet the
deadline, the Secretary shall direct you to complete the required action by a date certain. If you and the other recipients
fail to carry out this direction in a timely manner, you are collectively in noncompliance with this part.
(b)The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to
participation in the DOT DBE Program.
(1) Certification decisions by the UCP shall be binding on all DOT recipients within the state.
(2)The UCP shall provide"one-stop shopping"to applicants for certification, such that an applicant is required to
apply only once for a DBE certification that will be honored by all recipients in the state.
(3)All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs, and
recipients may use only UCPs that comply with the certification and nondiscrimination requirements of this part.
(c)All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due
date for bids or offers on a contract on which a firm seeks to participate as a DBE.
(d)A UCP is not required to process an application for certification from a firm having its principal place of business
outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of business. The
"home state" UCP shall share its information and documents concerning the firm with other UCPs that are considering the
firm's application.
(e) Subject to DOT approval as provided in this section, the recipients in two or more states may form a regional UCP.
UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline the specific
responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT recipient.
(f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements with
other recipients, on a regional or inter-jurisdictional basis, to perform certification functions required by this part. You may
also grant reciprocity to other recipient's certification decisions.
(g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those from
other states certified under the provisions of this part), the information required by§26.31. The UCP shall make the
directory available to the public electronically, on the internet, as well as in print. The UCP shall update the electronic
version of the directory by including additions, deletions, and other changes as soon as they are made and shall revise the
print version of the Directory at least once a year.
(h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to
recipients also apply to UCPs.
[64 FR 5126, Feb.2, 1999, as amended at 76 FR 5100, Jan. 28, 20111
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§26.83 What procedures do recipients follow in making certification decisions?
(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 eligibility of firms as DBEs consistent with the standards of subpart D of this part. When a
UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that recipients are
required to meet.
(c)(1)You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of
this part:
(i) Perform an on-site visit to the firm's principal place of business. You must interview the principal officers and review
their resumes and/or work histories. You may interview key personnel of the firm if necessary. You must also perform an
on-site visit to job sites if there are such sites on which the firm is working at the time of the eligibility investigation in your
jurisdiction or local area. You may rely upon the site visit report of any other recipient with respect to a firm applying for
certification;
(ii)Analyze documentation related to the legal structure, ownership, and control of the applicant firm. This includes,
but is not limited to, Articles of Incorporation/Organization; corporate by-laws or operating agreements; organizational,
annual and board/member meeting records; stock ledgers and certificates; and State-issued Certificates of Good Standing
(iii)Analyze the bonding and financial capacity of the firm; lease and loan agreements; bank account signature cards;
(iv) Determine the work history of the firm, including contracts it has received, work it has completed; and payroll
records;
(v) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its
preferred locations for performing the work, if any.
(vi) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its key
personnel possess to perform the work it seeks to do as part of the DBE program;
(vii) Obtain complete Federal income tax returns (or requests for extensions)filed by the firm, its affiliates, and the
socially and economically disadvantaged owners for the last 3 years. A complete return includes all forms, schedules, and
statements filed with the Internal Revenue Service.
(viii) Require potential DBEs to complete and submit an appropriate application form, except as otherwise provided in
§26.85 of this part.
(2)You must use the application form provided in Appendix F to this part without change or revision. However, you
may provide in your DBE program, with the written approval of the concerned operating administration, for supplementing
the form by requesting specified additional information not inconsistent with this part.
(3)You must make sure that the applicant attests to the accuracy and truthfulness of the information on the
application form. This shall be done either in the form of an affidavit sworn to by the applicant before a person who is
authorized by State law to administer oaths or in the form of an unsworn declaration executed under penalty of perjury of
the laws of the United States.
(4)You must review all information on the form prior to making a decision about the eligibility of the firm. You may
request clarification of information contained in the application at any time in the application process.
(d)When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for
certification information you have obtained about that firm (e.g., including application materials or the report of a site visit, if
you have made one to the firm), you must promptly make the information available to the other recipient.
(e) [Reserved]
(f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose a
reasonable application fee for certification. Fee waivers shall be made in appropriate cases.
(g)You must safeguard from disclosure to unauthorized persons information gathered as part of the certification
process that may reasonably be regarded as proprietary or other confidential business information, consistent with
applicable Federal, state, and local law.
(h)(1)Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in
whole or in part, through the procedures of§26.87 of this part, except as provided in §26.67(b)(1)of this part.
(2)You may not require DBEs to reapply for certification or undergo a recertification process. However, you may
conduct a certification review of a certified DBE firm, including a new on-site review, if appropriate in light of changed
circumstances (e.g., of the kind requiring notice under paragraph (i)of this section or relating to suspension of certification
under§26.88), a complaint, or other information concerning the firm's eligibility. If information comes to your attention that
leads you to question the firm's eligibility, you may conduct an on-site review on an unannounced basis, at the firm's
offices and job sites.
(i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your
ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change in the
information provided in your application form.
(1) Changes in management responsibility among members of a limited liability company are covered by this
requirement.
(2)You must attach supporting documentation describing in detail the nature of such changes.
(3)The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by state
law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of the United States.
You must provide the written notification within 30 days of the occurrence of the change. If you fail to make timely
notification of such a change, you will be deemed to have failed to cooperate under§26.109(c).
Q) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your certification,
an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an
unsworn declaration executed under penalty of perjury of the laws of the United States. This affidavit must affirm that there
have been no changes in the firm's circumstances affecting its ability to meet size, disadvantaged status, ownership, or
control requirements of this part or any material changes in the information provided in its application form, except for
changes about which you have notified the recipient under paragraph (i)of this section. The affidavit shall specifically
affirm that your firm continues to meet SBA business size criteria and the overall gross receipts cap of this part,
documenting this affirmation with supporting documentation of your firm's size and gross receipts (e.g., submission of
Federal tax returns). If you fail to provide this affidavit in a timely manner, you will be deemed to have failed to cooperate
under§26.109(c).
(k) If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from the
applicant firm all information required under this part. You may extend this time period once, for no more than an additional
60 days, upon written notice to the firm, explaining fully and specifically the reasons for the extension. You may establish a
different time frame in your DBE program, upon a showing that this time frame is not feasible, and subject to the approval
of the concerned operating administration. Your failure to make a decision by the applicable deadline under this paragraph
is deemed a constructive denial of the application, on the basis of which the firm may appeal to DOT under§26.89.
(1)As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application whether
the application is complete and suitable for evaluation and, if not, what additional information or action is required.
(m) Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application
before you have issued a decision on the application, the applicant can resubmit the application at any time. As a recipient
or UCP, you may not apply the waiting period provided under§26.86(c)of this part before allowing the applicant to
resubmit its application. However, you may place the reapplication at the"end of the line," behind other applications that
have been made since the firm's previous application was withdrawn. You may also apply the waiting period provided
under§26.86(c)of this part to a firm that has established a pattern of frequently withdrawing applications before you make
a decision.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014]
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§26.85 Interstate certification.
(a)This section applies with respect to any firm that is currently certified in its home state.
(b)When a firm currently certified in its home state ("State A")applies to another State ("State B")for DBE
certification, State B may, at its discretion, accept State A's certification and certify the firm, without further procedures.
(1)To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from State A.
(2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A. State B
can do so by reviewing State A's electronic directory or obtaining written confirmation from State A.
(c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph (b)
of this section, as the applicant firm you must provide the information in paragraphs (c)(1)through (4)of this section to
State B.
(1)You must provide to State B a complete copy of the application form, all supporting documents, and any other
information you have submitted to State A or any other state related to your firm's certification. This includes affidavits of
no change (see §26.830))and any notices of changes (see §26.83(1))that you have submitted to State A, as well as any
correspondence you have had with State A's UCP or any other recipient concerning your application or status as a DBE
firm.
(2)You must also provide to State B any notices or correspondence from states other than State A relating to your
status as an applicant or certified DBE in those states. For example, if you have been denied certification or decertified in
State C, or subject to a decertification action there, you must inform State B of this fact and provide all documentation
concerning this action to State B.
(3) If you have filed a certification appeal with DOT(see§26.89), you must inform State B of the fact and provide your
letter of appeal and DOT's response to State B.
(4)You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to
administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States.
(i)This affidavit must affirm that you have submitted all the information required by 49 CFR 26.85(c)and the
information is complete and, in the case of the information required by§26.85(c)(1), is an identical copy of the information
submitted to State A.
(ii) If the on-site report from State A supporting your certification in State A is more than three years old, as of the date
of your application to State B, State B may require that your affidavit also affirm that the facts in the on-site report remain
true and correct.
(d)As State B, when you receive from an applicant firm all the information required by paragraph (c)of this section,
you must take the following actions:
(1)Within seven days contact State A and request a copy of the site visit review report for the firm (see§26.83(c)(1)),
any updates to the site visit review, and any evaluation of the firm based on the site visit.As State A, you must transmit
this information to State B within seven days of receiving the request. A pattern by State B of not making such requests in
a timely manner or by"State A"or any other State of not complying with such requests in a timely manner is
noncompliance with this Part.
(2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or should not
apply in your State. Reasons for making such a determination may include the following:
(i) Evidence that State A's certification was obtained by fraud;
(ii) New information, not available to State A at the time of its certification, showing that the firm does not meet all
eligibility criteria;
(iii)State A's certification was factually erroneous or was inconsistent with the requirements of this part;
(iv)The State law of State B requires a result different from that of the State law of State A.
(v)The information provided by the applicant firm did not meet the requirements of paragraph (c)of this section.
(3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is
erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the
applicant firm all the information required by paragraph (c)of this section, send to the applicant firm a notice that it is
certified and place the firm on your directory of certified firms.
(4) If, as State B, you have determined that there is good cause to believe that State A's certification is erroneous or
should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant
firm all the information required by paragraph (c)of this section, send to the applicant firm a notice stating the reasons for
your determination.
(i)This notice must state with particularity the specific reasons why State B believes that the firm does not meet the
requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to State B with respect to
these reasons.
(ii)The firm may elect to respond in writing, to request an in-person meeting with State B's decision maker to discuss
State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B you must schedule the
meeting to take place within 30 days of receiving the firm's request.
(iii)The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the requirements of
this Part with respect to the particularized issues raised by State B's notice. The firm is not otherwise responsible for
further demonstrating its eligibility to State B.
(iv)The decision maker for State B must be an individual who is thoroughly familiar with the provisions of this Part
concerning certification.
(v) State B must issue a written decision within 30 days of the receipt of the written response from the firm or the
meeting with the decision maker, whichever is later.
(vi)The firm's application for certification is stayed pending the outcome of this process.
(vii)A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under s§26.89
of this part.
(e)As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you
have made a timely request for it, you may hold action required by paragraphs (d)(2)through (4)of this section in
abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the date on
which you received from an applicant firm all the information required by paragraph (c)of this section, notify the firm in
writing of the delay in the process and the reason for it.
(f)(1)As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other
State in which the firm is certified, through the procedures of paragraph (d)(4)of this section, or decertify a firm, in whole
or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOCR's) Ineligibility
Determination Online Database. You must enter the following information:
(i)The name of the firm;
(ii)The name(s)of the firm's owner(s);
(iii)The type and date of the action;
(iv)The reason for the action.
(2)As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm that is
applying to you for certification or that you have already certified is on the list.
(3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP that
made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting UCP within 7
days of receiving the request. As the UCP receiving the decision, you must then consider the information in the decision in
determining what, if any, action to take with respect to the certified DBE firm or applicant.
(g)You must implement the requirements of this section beginning January 1, 2012.
[76 FR 5100, Jan.28, 2011]
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§26.86 What rules govern recipients' denials of initial requests for certification?
(a)When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must
provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the record that
supports each reason for the denial. All documents and other information on which the denial is based must be made
available to the applicant, on request.
(b) [Reserved]
(c)When a firm is denied certification, you must establish a time period of no more than twelve months that must
elapse before the firm may reapply to the recipient for certification. You may provide, in your DBE program, subject to
approval by the concerned operating administration, a shorter waiting period for reapplication. The time period for
reapplication begins to run on the date the explanation required by paragraph (a)of this section is received by the firm. An
applicant's appeal of your decision to the Department pursuant to §26.89 does not extend this period.
(d)When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial to
the Department under§26.89.
[64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003; 79 FR 59598, Oct. 2, 2014]
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§26.87 What procedures does a recipient use to remove a DBE's eligibility?
(a) Ineligibility complaints. (1)Any person may file with you a written complaint alleging that a currently-certified firm is
ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general allegation
that a firm is ineligible or an anonymous complaint. The complaint may include any information or arguments supporting
the complainant's assertion that the firm is ineligible and should not continue to be certified. Confidentiality of
complainants' identities must be protected as provided in §26.109(b).
(2)You must review your records concerning the firm, any material provided by the firm and the complainant, and
other available information. You may request additional information from the firm or conduct any other investigation that
you deem necessary.
(3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible, you must
provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed
determination. If you determine that such reasonable cause does not exist, you must notify the complainant and the firm in
writing of this determination and the reasons for it. All statements of reasons for findings on the issue of reasonable cause
must specifically reference the evidence in the record on which each reason is based.
(b) Recipient-initiated proceedings. If, based on notification by the firm of a change in its circumstances or other
information that comes to your attention, you determine that there is reasonable cause to believe that a currently certified
firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the
reasons for the proposed determination. The statement of reasons for the finding of reasonable cause must specifically
reference the evidence in the record on which each reason is based.
(c) DOT directive to initiate proceeding. (1) If the concerned operating administration determines that information in
your certification records, or other information available to the concerned operating administration, provides reasonable
cause to believe that a firm you certified does not meet the eligibility criteria of this part, the concerned operating
administration may direct you to initiate a proceeding to remove the firm's certification.
(2)The concerned operating administration must provide you and the firm a notice setting forth the reasons for the
directive, including any relevant documentation or other information.
(3)You must immediately commence and prosecute a proceeding to remove eligibility as provided by paragraph (b)of
this section.
(d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph
(a), (b), or(c)of this section, you must give the firm an opportunity for an informal hearing, at which the firm may respond
to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it
should remain certified.
(1) In such a proceeding, you bear the burden of proving, by a preponderance of the evidence, that the firm does not
meet the certification standards of this part.
(2)You must maintain a complete record of the hearing, by any means acceptable under state law for the retention of
a verbatim record of an administrative hearing. If there is an appeal to DOT under§26.89, you must provide a transcript of
the hearing to DOT and, on request, to the firm. You must retain the original record of the hearing. You may charge the
firm only for the cost of copying the record.
(3)The firm may elect to present information and arguments in writing, without going to a hearing. In such a situation,
you bear the same burden of proving, by a preponderance of the evidence, that the firm does not meet the certification
standards, as you would during a hearing.
(e) Separation of functions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made by
an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the
firm's eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in
these actions.
(1)Your method of implementing this requirement must be made part of your DBE program.
(2)The decisionmaker must be an individual who is knowledgeable about the certification requirements of your DBE
program and this part.
(3) Before a UCP is operational in its state, a small airport or small transit authority(i.e., an airport or transit authority
serving an area with less than 250,000 population) is required to meet this requirement only to the extent feasible.
(f) Grounds for decision. You may base a decision to remove a firm's eligibility only on one or more of the following
grounds:
(1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm unable to
meet the eligibility standards of this part;
(2) Information or evidence not available to you at the time the firm was certified;
(3) Information relevant to eligibility that has been concealed or misrepresented by the firm;
(4)A change in the certification standards or requirements of the Department since you certified the firm;
(5)Your decision to certify the firm was clearly erroneous;
(6)The firm has failed to cooperate with you (see §26.109(c));
(7)The firm has exhibited a pattern of conduct indicating its involvement in attempts to subvert the intent or
requirements of the DBE program (see§26.73(a)(2)); or
(8)The firm has been suspended or debarred for conduct related to the DBE program. The notice required by
paragraph (g)of this section must include a copy of the suspension or debarment action. A decision to remove a firm for
this reason shall not be subject to the hearing procedures in paragraph (d)of this section.
(g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the
reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The
notice must inform the firm of the consequences of your decision and of the availability of an appeal to the Department of
Transportation under§26.89. You must send copies of the notice to the complainant in an ineligibility complaint or the
concerned operating administration that had directed you to initiate the proceeding. Provided that, when sending such a
notice to a complainant other than a DOT operating administration, you must not include information reasonably construed
as confidential business information without the written consent of the firm that submitted the information.
(h) [Reserved]
(i)Status of firm during proceeding. (1)A firm remains an eligible DBE during the pendancy of your proceeding to
remove its eligibility.
(2)The firm does not become ineligible until the issuance of the notice provided for in paragraph (g)of this section.
0) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action:
(1)When a prime contractor has made a commitment to using the ineligible firm, or you have made a commitment to
using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the decertification
notice provided for in paragraph (g)of this section, the ineligible firm does not count toward the contract goal or overall
goal. You must direct the prime contractor to meet the contract goal with an eligible DBE firm or demonstrate to you that it
has made a good faith effort to do so.
(2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its ineligibility,
the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal
for the firm's work. In this case, or in a case where you have let a prime contract to the DBE that was later ruled ineligible,
the portion of the ineligible firm's performance of the contract remaining after you issued the notice of its ineligibility shall
not count toward your overall goal, but may count toward the contract goal.
(3) Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the
performance of the contract, you may continue to count its participation on that contract toward overall and contract goals.
(k)Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section, the
firm may appeal the removal to the Department under§26.89.
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101,Jan.28,2011; 79 FR 59599, Oct. 2, 2014]
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§26.88 Summary suspension of certification.
(a)A recipient shall immediately suspend a DBE's certification without adhering to the requirements in §26.87(d)of
this part when an individual owner whose ownership and control of the firm are necessary to the firm's certification dies or
is incarcerated.
(b)(1)A recipient may immediately suspend a DBE's certification without adhering to the requirements in §26.87(d)
when there is adequate evidence to believe that there has been a material change in circumstances that may affect the
eligibility of the DBE firm to remain certified, or when the DBE fails to notify the recipient or UCP in writing of any material
change in circumstances as required by§26.83(1)of this part or fails to timely file an affidavit of no change under§26.830).
(2) In determining the adequacy of the evidence to issue a suspension under paragraph (b)(1)of this section, the
recipient shall consider all relevant factors, including how much information is available, the credibility of the information
and allegations given the circumstances, whether or not important allegations are corroborated, and what inferences can
reasonably be drawn as a result.
(c)The concerned operating administration may direct the recipient to take action pursuant to paragraph (a)or(b)this
section if it determines that information available to it is sufficient to warrant immediate suspension.
(d)When a firm is suspended pursuant to paragraph (a)or(b) of this section, the recipient shall immediately notify the
DBE of the suspension by certified mail, return receipt requested, to the last known address of the owner(s)of the DBE.
(e) Suspension is a temporary status of ineligibility pending an expedited show cause hearing/proceeding under
§26.87 of this part to determine whether the DBE is eligible to participate in the program and consequently should be
removed. The suspension takes effect when the DBE receives, or is deemed to have received, the Notice of Suspension.
(f)While suspended, the DBE may not be considered to meet a contract goal on a new contract, and any work it does
on a contract received during the suspension shall not be counted toward a recipient's overall goal. The DBE may
continue to perform under an existing contract executed before the DBE received a Notice of Suspension and may be
counted toward the contract goal during the period of suspension as long as the DBE is performing a commercially useful
function under the existing contract.
(g) Following receipt of the Notice of Suspension, if the DBE believes it is no longer eligible, it may voluntarily
withdraw from the program, in which case no further action is required. If the DBE believes that its eligibility should be
reinstated, it must provide to the recipient information demonstrating that the firm is eligible notwithstanding its changed
circumstances. Within 30 days of receiving this information, the recipient must either lift the suspension and reinstate the
firm's certification or commence a decertification action under§26.87 of this part. If the recipient commences a
decertification proceeding, the suspension remains in effect during the proceeding.
(h)The decision to immediately suspend a DBE under paragraph (a)or(b)of this section is not appealable to the US
Department of Transportation. The failure of a recipient to either lift the suspension and reinstate the firm or commence a
decertification proceeding, as required by paragraph (g)of this section, is appealable to the U.S. Department of
Transportation under§26.89 of this part, as a constructive decertification.
[79 FR 59599, Oct. 2, 2014]
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§26.89 What is the process for certification appeals to the Department of Transportation?
(a)(1) If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA-certified
firms, you may make an administrative appeal to the Department.
(2) If you are a complainant in an ineligibility complaint to a recipient(including the concerned operating administration
in the circumstances provided in §26.87(c)), you may appeal to the Department if the recipient does not find reasonable
cause to propose removing the firm's eligibility or, following a removal of eligibility proceeding, determines that the firm is
eligible.
(3) Send appeals to the following address: U.S. Department of Transportation, Departmental Office of Civil Rights,
1200 New Jersey Avenue SE., Washington, DC 20590-0001.
(b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does
not stay the effect of the recipient's decision while it is considering an appeal.
(c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's
final decision, including information and setting forth a full and specific statement as to why the decision is erroneous, what
significant fact that the recipient failed to consider, or what provisions of this Part the recipient did not properly apply. The
Department may accept an appeal filed later than 90 days after the date of the decision if the Department determines that
there was good cause for the late filing of the appeal or in the interest of justice.
(d)When it receives an appeal, the Department requests a copy of the recipient's complete administrative record in
the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript, within 20
days of the Department's request. The Department may extend this time period on the basis of a recipient's showing of
good cause. To facilitate the Department's review of a recipient's decision, you must ensure that such administrative
records are well organized, indexed, and paginated. Records that do not comport with these requirements are not
acceptable and will be returned to you to be corrected immediately. If an appeal is brought concerning one recipient's
certification decision concerning a firm, and that recipient relied on the decision and/or administrative record of another
recipient, this requirement applies to both recipients involved.
(e)The Department makes its decision based solely on the entire administrative record as supplemented by the
appeal. The Department does not make a de novo review of the matter and does not conduct a hearing. The Department
may also supplement the administrative record by adding relevant information made available by the DOT Office of
Inspector General; Federal, State, or local law enforcement authorities; officials of a DOT operating administration or other
appropriate DOT office; a recipient; or a firm or other private party.
(f)As a recipient, when you provide supplementary information to the Department, you shall also make this
information available to the firm and any third-party complainant involved, consistent with Federal or applicable state laws
concerning freedom of information and privacy. The Department makes available, on request by the firm and any third-
party complainant involved, any supplementary information it receives from any source.
(1)The Department affirms your decision unless it determines, based on the entire administrative record, that your
decision is unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part
concerning certification.
(2) If the Department determines, after reviewing the entire administrative record, that your decision was unsupported
by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification,
the Department reverses your decision and directs you to certify the firm or remove its eligibility, as appropriate. You must
take the action directed by the Department's decision immediately upon receiving written notice of it.
(3)The Department is not required to reverse your decision if the Department determines that a procedural error did
not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the appellant to present
its case.
(4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact on
the outcome of the case, the Department may remand the record to you with instructions seeking clarification or
augmentation of the record before making a finding. The Department may also remand a case to you for further
proceedings consistent with Department instructions concerning the proper application of the provisions of this part.
(5)The Department does not uphold your decision based on grounds not specified in your decision.
(6)The Department's decision is based on the status and circumstances of the firm as of the date of the decision
being appealed.
(7)The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility
complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision has been
involved in the proceeding (see paragraph (d)of this section). The Department will also notify the SBA in writing when
DOT takes an action on an appeal that results in or confirms a loss of eligibility to any SBA-certified firm. The notice
includes the reasons for the Department's decision, including specific references to the evidence in the record that
supports each reason for the decision.
(8)The Department's policy is to make its decision within 180 days of receiving the complete administrative record. If
the Department does not make its decision within this period, the Department provides written notice to concerned parties,
including a statement of the reason for the delay and a date by which the appeal decision will be made.
(g)All decisions under this section are administratively final, and are not subject to petitions for reconsideration.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556,June 16, 2003; 73 FR 33329, June 12, 2008;
79 FR 59599, Oct. 2, 2014]
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§26.91 What actions do recipients take following DOT certification appeal decisions?
(a) If you are the recipient from whose action an appeal under§26.89 is taken, the decision is binding. It is not binding
on other recipients.
(b) If you are a recipient to which a DOT determination under§26.89 is applicable, you must take the following action:
(1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on receipt
of the determination, without further proceedings on your part. Effective on the date of your receipt of the Department's
determination, the consequences of a removal of eligibility set forth in §26.87(1)take effect.
(2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's eligibility,
you must expeditiously commence a proceeding to determine whether the firm's eligibility should be removed, as provided
in §26.87.
(3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm, you
must certify the firm, effective on the date of your receipt of the written notice of Department's determination.
(4) If the Department determines that you erroneously determined that the presumption of social and economic
disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action as determined
by the Department.
(5) If the Department affirms your determination, no further action is necessary.
(c)Where DOT has upheld your denial 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 certified may commence a proceeding to remove the firm's
eligibility under§26.87. Such recipients must not remove the firm's eligibility absent such a proceeding. Where DOT has
reversed your denial of certification to or removal of eligibility from a firm, other recipients must take the DOT action into
account in any certification action involving the firm. However, other recipients are not required to certify the firm based on
the DOT decision.
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Subpart F—Compliance and Enforcement
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§26.101 What compliance procedures apply to recipients?
(a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under
§26.103 or§26.105 or appropriate program sanctions by the concerned operating administration, such as the suspension
or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies are remedied. Program
sanctions may include, in the case of the FHWA program, actions provided for under 23 CFR 1.36; in the case of the FAA
program, actions consistent with 49 U.S.C. 47106(d), 47111(d), and 47122; and in the case of the FTA program, any
actions permitted under 49 U.S.C. chapter 53 or applicable FTA program requirements.
(b)As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any
requirement of this part because you have been prevented from complying because a Federal court has issued a final
order in which the court found that the requirement is unconstitutional.
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§26.103 What enforcement actions apply in FHWA and FTA programs?
The provisions of this section apply to enforcement actions under FHWA and FTA programs:
(a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations
under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If you want
to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the date on which you
learned of a continuing course of conduct in violation of this part. In response to your written request, the Office of Civil
Rights may extend the time for filing in the interest of justice, specifying in writing the reason for so doing. The Office of
Civil Rights may protect the confidentiality of your identity as provided in §26.109(b). Complaints under this part are limited
to allegations of violation of the provisions of this part.
(b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this part
at any time, including reviews of paperwork and on-site reviews, as appropriate. The Office of Civil Rights may direct the
operating administration to initiate a compliance review based on complaints received.
(c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance review,
that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends you, return receipt
requested, a written notice advising you that there is reasonable cause to find you in noncompliance. The notice states the
reasons for this finding and directs you to reply within 30 days concerning whether you wish to begin conciliation.
(d) Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30, but
not more than 120, days from the date of your request. The appropriate DOT office may extend the conciliation period for
up to 30 days for good cause, consistent with applicable statutes.
(2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed and you
are regarded as being in compliance. The conciliation agreement sets forth the measures you have taken or will take to
ensure compliance. While a conciliation agreement is in effect, you remain eligible for FHWA or FTA financial assistance.
(3)The concerned operating administration shall monitor your implementation of the conciliation agreement and
ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are in
noncompliance.
(4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in paragraph
(d)(1)of this section, then enforcement proceedings begin.
(e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart.
(2)Applicable findings in enforcement proceedings are binding on all DOT offices.
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§26.105 What enforcement actions apply in FAA programs?
(a) Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance
is enforced through the procedures of Title 49 of the United States Code, including 49 U.S.C. 47106(d), 47111(d), and
47122, and regulations implementing them.
(b)The provisions of§26.103(b)and this section apply to enforcement actions in FAA programs.
(c)Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR
part 16 with the Federal Aviation Administration Office of Chief Counsel.
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§26.107 What enforcement actions apply to firms participating in the DBE program?
(a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate in
a DOT-assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations or under
circumstances indicating a serious lack of business integrity or honesty, the Department may initiate suspension or
debarment proceedings against you under 2 CFR parts 180 and 1200.
(b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts to
use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances indicating a
serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of subpart D of this part,
the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200.
(c) In a suspension or debarment proceeding brought under paragraph (a)or(b) of this section, the concerned
operating administration may consider the fact that a purported DBE has been certified by a recipient. Such certification
does not preclude the Department from determining that the purported DBE, or another firm that has used or attempted to
use it to meet DBE goals, should be suspended or debarred.
(d)The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, against
any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31.
(e)The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other applicable
provisions of law, any person who makes a false or fraudulent statement in connection with participation of a DBE in any
DOT-assisted program or otherwise violates applicable Federal statutes.
[64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5101, Jan. 28, 2011]
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§26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation?
(a)Availability of records. (1) In responding to requests for information concerning any aspect of the DBE program,
the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and
552a). The Department may make available to the public any information concerning the DBE program release of which is
not prohibited by Federal law.
(2) Notwithstanding any provision of Federal or state law, you must not release any information that may reasonably
be construed as confidential business information to any third party without the written consent of the firm that submitted
the information. This includes applications for DBE certification and supporting information. However, you must transmit
this information to DOT in any certification appeal proceeding under§26.89 of this part or to any other state to which the
individual's firm has applied for certification under§26.85 of this part.
(b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a)of this section, the
identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the investigation,
proceeding or hearing, or result in a denial of appropriate administrative due process to other parties, the complainant
must be advised for the purpose of waiving the privilege. Complainants are advised that, in some circumstances, failure to
waive the privilege may result in the closure of the investigation or dismissal of the proceeding or hearing. FAA follows the
procedures of 14 CFR part 16 with respect to confidentiality of information in complaints.
(c) Cooperation. All participants in the Department's DBE program (including, but not limited to, recipients, DBE firms
and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet contract goals)
are required to cooperate fully and promptly with DOT and recipient compliance reviews, certification reviews,
investigations, and other requests for information. Failure to do so shall be a ground for appropriate action against the
party involved (e.g., with respect to recipients, a finding of noncompliance; with respect to DBE firms, denial of certification
or removal of eligibility and/or suspension and debarment; with respect to a complainant or appellant, dismissal of the
complaint or appeal; with respect to a contractor which uses DBE firms to meet goals, findings of non-responsibility for
future contracts and/or suspension and debarment).
(d) Intimidation and retaliation. If you are a recipient, contractor, or any other participant in the program, you must not
intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or
privilege secured by this part or because the individual or firm has made a complaint, testified, assisted, or participated in
any manner in an investigation, proceeding, or hearing under this part. If you violate this prohibition, you are in
noncompliance with this part.
[64 FR 5126, Feb.2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan.28,2011]
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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 for procuring construction,
equipment, services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient
good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet
the goal, documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't
meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all
necessary and reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity,
and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they
were not fully successful.
ll. In any situation in which you have established a contract goal, Part 26 requires you to use the good faith efforts
mechanism of this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a
bidder that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity,
and intensity of the different kinds of efforts that the bidder has made, based on the regulations and the guidance in this
Appendix.
The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder
were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma
efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination
concerning the sufficiency of the firm's good faith efforts is a judgment call. Determinations should not be made using
quantitative formulas.
III. The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a
specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate
good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts.
IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to
obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive.
Other factors or types of efforts may be relevant in appropriate cases.
A. (1)Conducing market research to identify small business contractors and suppliers and soliciting through all
reasonable and available means the interest of all certified DBEs that have the capability to perform the work of the
contract. This may include attendance at pre-bid and business matchmaking meetings and events, advertising and/or
written notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs
listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE
directory) and which are located in the area or surrounding areas of the project.
(2)The bidder should solicit this interest as early in the acquisition process as practicable to allow the DBEs to
respond to the solicitation and submit a timely offer for the subcontract. The bidder should determine with certainty if the
DBEs are interested by taking appropriate steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will
be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units (for
example, smaller tasks or quantities)to facilitate DBE participation, even when the prime contractor might otherwise prefer
to perform these work items with its own forces. This may include, where possible, establishing flexible timeframes for
performance and delivery schedules in a manner that encourages and facilitates DBE participation.
C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the
contract in a timely manner to assist them in responding to a solicitation with their offer for the subcontract.
D. (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work
available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with
the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation
includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information
provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why
additional Agreements could not be reached for DBEs to perform the work.
(2)A bidder using good business judgment would consider a number of factors in negotiating with subcontractors,
including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration.
However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient
reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or
desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the
responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if
the price difference is excessive or unreasonable.
E. (1) Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations
and political or social affiliations (for example union vs. non-union status)are not legitimate causes for the rejection or non-
solicitation of bids in the contractor's efforts to meet the project goal. Another practice considered an insufficient good faith
effort is the rejection of the DBE because its quotation for the work was not the lowest received. However, nothing in this
paragraph shall be construed to require the bidder or prime contractor to accept unreasonable quotes in order to satisfy
contract goals.
(2)A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the ability
and/or desire to perform the contract work with its own forces does not relieve the contractor of the obligation to make
good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a prospective replacement DBE's
reasonable quote.
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the
recipient or contractor.
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services.
H. Effectively using the services of available minority/women community organizations; minority/women contractors'
groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a
case-by-case basis to provide assistance in the recruitment and placement of DBEs.
V. In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documented efforts. At a
minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the apparent
successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether,
with additional efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder fails to
meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in
conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. As provided
in §26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non-DBE subcontractor quote
submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract to review
whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation to inquire as to
whether they were contacted by the prime. Pro forma mailings to DBEs requesting bids are not alone sufficient to satisfy
good faith efforts under the rule.
VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to
constitute good faith efforts.
[79 FR 59600, Oct. 2, 2014]
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Appendix B to Part 26—Uniform Report of DBE Awards or Commitments and Payments Form
INSTRUCTIONS FOR COMPLETING THE UNIFORM REPORT OF DBE AWARDS/COMMITMENTS AND PAYMENTS
Recipients of Department of Transportation (DOT)funds are expected to keep accurate data regarding the contracting
opportunities available to firms paid for with DOT dollars. Failure to submit contracting data relative to the DBE program
will result in noncompliance with Part 26. All dollar values listed on this form should represent the DOT share attributable
to the Operating Administration (OA): Federal Highway Administration (FHWA), Federal Aviation Administration (FAA)or
Federal Transit Administration (FTA)to which this report will be submitted.
1. Indicate the DOT (OA)that provides your Federal financial assistance. If assistance comes from more than one
OA, use separate reporting forms for each OA. If you are an FTA recipient, indicate your Vendor Number in the space
provided.
2. If you are an FAA recipient, indicate the relevant AIP Numbers covered by this report. If you are an FTA recipient,
indicate the Grant/Project numbers covered by this report. If more than ten attach a separate sheet.
3. Specify the Federal fiscal year(i.e., October 1-September 30) in which the covered reporting period falls.
4. State the date of submission of this report.
5. Check the appropriate box that indicates the reporting period that the data provided in this report covers. For FHWA
and FTA recipients, if this report is due June 1, data should cover October 1-March 31. If this report is due December 1,
data should cover April 1-September 30. If the report is due to the FAA, data should cover the entire year.
6. Provide the name and address of the recipient.
7. State your overall DBE goal(s)established for the Federal fiscal year of the report being submitted to and approved
by the relevant OA. Your overall goal is to be reported as well as the breakdown for specific Race Conscious and Race
Neutral projections (both of which include gender-conscious/neutral projections). The Race Conscious projection should
be based on measures that focus on and provide benefits only for DBEs. The use of contract goals is a primary example
of a race conscious measure. The Race Neutral projection should include measures that, while benefiting DBEs, are not
solely focused on DBE firms. For example, a small business outreach program, technical assistance, and prompt payment
clauses can assist a wide variety of businesses in addition to helping DBE firms.
Section A: Awards and Commitments Made During This Period
The amounts in items 8(A)-10(1)should include all types of prime contracts awarded and all types of subcontracts
awarded or committed, including: professional or consultant services, construction, purchase of materials or supplies,
lease or purchase of equipment and any other types of services.All dollar amounts are to reflect only the Federal share of
such contracts and should be rounded to the nearest dollar.
Line 8: Prime contracts awarded this period: The items on this line should correspond to the contracts directly
between the recipient and a supply or service contractor, with no intermediaries between the two.
8(A). Provide the total dollar amount for all prime contracts assisted with DOT funds and awarded during this reporting
period. This value should include the entire Federal share of the contracts without removing any amounts associated with
resulting subcontracts.
8(B). Provide the total number of all prime contracts assisted with DOT funds and awarded during this reporting
period.
8(C). From the total dollar amount awarded in item 8(A), provide the dollar amount awarded in prime contracts to
certified DBE firms during this reporting period. This amount should not include the amounts sub contracted to other firms.
8(D). From the total number of prime contracts awarded in item 8(B), specify the number of prime contracts awarded
to certified DBE firms during this reporting period.
8(E&F). This field is closed for data entry. Except for the very rare case of DBE-set asides permitted under 49 CFR
part 26, all prime contracts awarded to DBES are regarded as race-neutral.
8(G). From the total dollar amount awarded in item 8(C), provide the dollar amount awarded to certified DBEs through
the use of Race Neutral methods. See the definition of Race Neutral in item 7 and the explanation in item 8 of project
types to include.
8(H). From the total number of prime contracts awarded in 8(D), specify the number awarded to DBEs through Race
Neutral methods.
8(I). Of all prime contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar
amount in item 8(C) by the dollar amount in item 8(A)to derive this percentage. Round percentage to the nearest tenth.
Line 9: Subcontracts awarded/committed this period: Items 9(A)-9(I)are derived in the same way as items 8(A)-8(I),
except that these calculations should be based on subcontracts rather than prime contracts. Unlike prime contracts, which
may only be awarded, subcontracts may be either awarded or committed.
9(A). If filling out the form for general reporting, provide the total dollar amount of subcontracts assisted with DOT
funds awarded or committed during this period. This value should be a subset of the total dollars awarded in prime
contracts in 8(A), and therefore should never be greater than the amount awarded in prime contracts. If filling out the form
for project reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during
this period. This value should be a subset of the total dollars awarded or previously in prime contracts in 8(A). The sum of
all subcontract amounts in consecutive periods should never exceed the sum of all prime contract amounts awarded in
those periods.
9(B). Provide the total number of all sub contracts assisted with DOT funds that were awarded or committed during
this reporting period.
9(C). From the total dollar amount of sub contracts awarded/committed this period in item 9(A), provide the total dollar
amount awarded in sub contracts to DBEs.
9(D). From the total number of sub contracts awarded or committed in item 9(B), specify the number of sub contracts
awarded or committed to DBEs.
9(E). From the total dollar amount of sub contracts awarded or committed to DBEs this period, provide the amount in
dollars to DBEs using Race Conscious measures.
9(F). From the total number of sub contracts awarded orcommitted to DBEs this period, provide the number of sub
contracts awarded or committed to DBEs using Race Conscious measures.
9(G). From the total dollar amount of sub contracts awarded/committed to DBEs this period, provide the amount in
dollars to DBEs using Race Neutral measures.
9(H). From the total number of sub contracts awarded/committed to DBEs this period, provide the number of sub
contracts awarded to DBEs using Race Neutral measures.
9(I). Of all subcontracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar
amount in item 9(C) by the dollar amount in item 9(A)to derive this percentage. Round percentage to the nearest tenth.
Line 10: Total contracts awarded or committed this period. These fields should be used to show the total dollar value
and number of contracts awarded to DBEs and to calculate the overall percentage of dollars awarded to DBEs.
10(A)-10(B). These fields are unavailable for data entry.
10(C-H). Combine the total values listed on the prime contracts line (Line 8)with the corresponding values on the
subcontracts line (Line 9).
10(I). Of all contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the total dollars
awarded to DBEs in item 10(C) by the dollar amount in item 8(A)to derive this percentage. Round percentage to the
nearest tenth.
Section B: Breakdown by Ethnicity& Gender of Contracts Awarded to DBEs This Period
11-17. Further breakdown the contracting activity with DBE involvement. The Total Dollar Amount to DBEs in 17(C)
should equal the Total Dollar Amount to DBEs in 10(C). Likewise the total number of contracts to DBEs in 17(F)should
equal the Total Number of Contracts to DBEs in 10(D).
Line 16: The"Non-Minority" category is reserved for any firms whose owners are not members of the presumptively
disadvantaged groups already listed, but who are either"women" OR eligible for the DBE program on an individual basis.
All DBE firms must be certified by the Unified Certification Program to be counted in this report.
Section C: Payments on Ongoing Contracts
Line 18(A-E). Submit information on contracts that are currently in progress. All dollar amounts are to reflect only the
Federal share of such contracts, and should be rounded to the nearest dollar.
18(A). Provide the total dollar amount paid to all firms performing work on contracts.
18(B). Provide the total number of contracts where work was performed during the reporting period.
18(C). From the total number of contracts provided in 18(A) provide the total number of contracts that are currently
being performed by DBE firms for which payments have been made.
18(D). From the total dollar amount paid to all firms in 18(A), provide the total dollar value paid to DBE firms currently
performing work during this period.
18(E). Provide the total number of DBE firms that received payment during this reporting period. For example, while 3
contracts may be active during this period, one DBE firm may be providing supplies or services on all three contracts. This
field should only list the number of DBE firms performing work.
18(F). Of all payments made during this period, calculate the percentage going to DBEs. Divide the total dollar value
to DBEs in item 18(D) by the total dollars of all payments in 18(B). Round percentage to the nearest tenth.
Section D: Actual Payments on Contracts Completed This Reporting Period
This section should provide information only on contracts that are closed during this period. All dollar amounts are to
reflect the entire Federal share of such contracts, and should be rounded to the nearest dollar.
19(A). Provide the total number of contracts completed during this reporting period that used Race Conscious
measures. Race Conscious contracts are those with contract goals or another race conscious measure.
19(B). Provide the total dollar value of prime contracts completed this reporting period that had race conscious
measures.
19(C). From the total dollar value of prime contracts completed this period in 19(B), provide the total dollar amount of
dollars awarded or committed to DBE firms in order to meet the contract goals. This applies only to Race Conscious
contracts.
19(D). Provide the actual total DBE participation in dollars on the race conscious contracts completed this reporting
period.
19(E). Of all the contracts completed this reporting period using Race Conscious measures, calculate the percentage
of DBE participation. Divide the total dollar amount to DBEs in item 19(D) by the total dollar value provided in 19(B)to
derive this percentage. Round to the nearest tenth.
20(A)-20(E). Items 21(A)-21(E) are derived in the same manner as items 19(A)-19(E), except these figures should be
based on contracts completed using Race Neutral measures.
20(C). This field is closed.
21(A)-21(D). Calculate the totals for each column by adding the race conscious and neutral figures provided in each
row above.
21(C). This field is closed.
21(E). Calculate the overall percentage of dollars to DBEs on completed contracts. Divide the Total DBE participation
dollar value in 21(D) by the Total Dollar Value of Contracts Completed in 21(B)to derive this percentage. Round to the
nearest tenth.
23. Name of the Authorized Representative preparing this form.
24. Signature of the Authorized Representative.
25. Phone number of the Authorized Representative.
**Submit your completed report to your Regional or Division Office.
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[79 FR 59601, Oct. 2, 20141
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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 recipient's business development program (BDP) program is subject to a program
term determined by the recipient. The term should consist of two stages; a developmental stage and a transitional stage.
(B) In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria
contained in part 26.
(C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a
comprehensive business plan setting forth the participant's business targets, objectives and goals. The participant will not
be eligible for program benefits until such business plan is submitted and approved by the recipient. The approved
business plan will constitute the participant's short and long term goals and the strategy for developmental growth to the
point of economic viability in non-traditional areas of work and/or work outside the DBE program.
(D)The business plan should contain at least the following:
(1)An analysis of market potential, competitive environment and other business analyses estimating the program
participant's prospects for profitable operation during the term of program participation and after graduation from the
program.
(2)An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting any
financial, managerial, technical, or labor conditions which could impede the participant from receiving contracts other than
those in traditional areas of DBE participation.
(3) Specific targets, objectives, and goals for the business development of the participant during the next two years,
utilizing the results of the analysis conducted pursuant to paragraphs (C) and (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 review its currently approved business plan with the recipient and modify the
plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently approved
plan should be considered the applicable plan for all program purposes until the recipient approves in writing a modified
plan. The recipient should establish an anniversary date for review of the participant's business plan and contract
forecasts.
(F) Each participant should annually forecast in writing its need for contract awards for the next program year and the
succeeding program year during the review of its business plan conducted under paragraph (E)of this appendix. Such
forecast should be included in the participant's business plan. The forecast should include:
(1)The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the
business plan;
(2)The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE participation;
(3)The types of contract opportunities being sought, based on the firm's primary line of business; and
(4) Such other information as may be requested by the recipient to aid in providing effective business development
assistance to the participant.
(G) Program participation is divided into two stages; (1)a developmental stage and (2) a transitional stage. The
developmental stage is designed to assist participants to overcome their social and economic disadvantage by providing
such assistance as may be necessary and appropriate to enable them to access relevant markets and strengthen their
financial and managerial skills. The transitional stage of program participation follows the developmental stage and is
designed to assist participants to overcome, insofar as practical, their social and economic disadvantage and to prepare
the participant for leaving the program.
(H)The length of service in the program term should not be a pre-set time frame for either the developmental or
transitional stages but should be figured on the number of years considered necessary in normal progression of achieving
the firm's established goals and objectives. The setting of such time could be factored on such items as, but not limited to,
the number of contracts, aggregate amount of the contract received, years in business, growth potential, etc.
(1) Beginning in the first year of the transitional stage of program participation, each participant should annually submit
for inclusion in its business plan a transition management plan outlining specific steps to promote profitable business
operations in areas other than traditional areas of DBE participation after graduation from the program. The transition
management plan should be submitted to the recipient at the same time other modifications are submitted pursuant to the
annual review under paragraph (E)of this section. The plan should set forth the same information as required under
paragraph (F)of steps the participant will take to continue its business development after the expiration of its program
term.
(J)When a participant is recognized as successfully completing the program by substantially achieving the targets,
objectives and goals set forth in its program term, and has demonstrated the ability to compete in the marketplace, its
further participation within the program may be determined by the recipient.
(K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the
following factors, among others, should be considered by the recipient:
(1) Profitability;
(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 capability.
(L) Upon determination by the recipient that the participant should be graduated from the developmental program, the
recipient should notify the participant in writing of its intent to graduate the firm in a letter of notification. The letter of
notification should set forth findings, based on the facts, for every material issue relating to the basis of the program
graduation with specific reasons for each finding. The letter of notification should also provide the participant 45 days from
the date of service of the letter to submit in writing information that would explain why the proposed basis of graduation is
not warranted.
(M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's
program term for good cause due to the failure of the firm to engage in business practices that will promote its
competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of inadequate
performance or unjustified delinquent performance. Also, the recipient can discontinue the participation of a firm that does
not actively pursue and bid on contracts, and a firm that, without justification, regularly fails to respond to solicitations in
the type of work it is qualified for and in the geographical areas where it has indicated availability under its approved
business plan. The recipient should take such action if over a 2-year period a DBE firm exhibits such a pattern.
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Appendix D to Part 26—Mentor-Protege Program Guidelines
(A)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 other firms. To operate a mentor-protege program, a recipient must obtain the
approval of the concerned operating administration.
(B)(1)Any mentor-protege relationship shall be based on a written development plan, approved by the recipient,
which clearly sets forth the objectives of the parties and their respective roles, the duration of the arrangement and the
services and resources to be provided by the mentor to the protege. The formal mentor-protege agreement may set a fee
schedule to cover the direct and indirect cost for such services rendered by the mentor for specific training and assistance
to the protege through the life of the agreement. Services provided by the mentor may be reimbursable under the FTA,
FHWA, and FAA programs.
(2)To be eligible for reimbursement, the mentor's services provided and associated costs must be directly attributable
and properly allowable to specific individual contracts. The recipient may establish a line item for the mentor to quote the
portion of the fee schedule expected to be provided during the life of the contract. The amount claimed shall be verified by
the recipient and paid on an incremental basis representing the time the protege is working on the contract. The total
individual contract figures accumulated over the life of the agreement shall not exceed the amount stipulated in the original
mentor/protege agreement.
(C) DBEs involved in a mentor-protege agreement must be independent business entities which meet the
requirements for certification as defined in subpart D of this part. A protege firm must be certified before it begins
participation in a mentor-protege arrangement. If the recipient chooses to recognize mentor/protege agreements, it should
establish formal general program guidelines. These guidelines must be submitted to the operating administration for
approval prior to the recipient executing an individual contractor/subcontractor mentor-protege agreement.
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Appendix E to Part 26—Individual Determinations of Social and Economic Disadvantage
The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic
disadvantage determinations (see 13 CFR 124.103(c)and 124.104).
SOCIAL DISADVANTAGE
I. Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias
within American society because of their identities as members of groups and without regard to their individual qualities.
Social disadvantage must stem from circumstances beyond their control. Evidence of individual social disadvantage must
include the following elements:
(A)At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic
origin, gender, disability, long-term residence in an environment isolated from the mainstream of American society, or other
similar causes not common to individuals who are not socially disadvantaged;
(B) Personal experiences of substantial and chronic social disadvantage in American society, not in other countries;
and
(C) Negative impact on entry into or advancement in the business world because of the disadvantage. Recipients will
consider any relevant evidence in assessing this element. In every case, however, recipients will consider education,
employment and business history, where applicable, to see if the totality of circumstances shows disadvantage in entering
into or advancing in the business world.
(1) Education. Recipients will consider such factors as denial of equal access to institutions of higher education and
vocational training, exclusion from social and professional association with students or teachers, denial of educational
honors rightfully earned, and social patterns or pressures which discouraged the individual from pursuing a professional or
business education.
(2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other aspects of
professional advancement, pay and fringe benefits, and other terms and conditions of employment; retaliatory or
discriminatory behavior by an employer or labor union; and social patterns or pressures which have channeled the
individual into non-professional or non-business fields.
(3) Business history. The recipient will consider such factors as unequal access to credit or capital, acquisition of
credit or capital under commercially unfavorable circumstances, unequal treatment in opportunities for government
contracts or other work, unequal treatment by potential customers and business associates, and exclusion from business
or professional organizations.
II. With respect to paragraph L(A)of this appendix, the Department notes that people with disabilities have
disproportionately low incomes and high rates of unemployment. Many physical and attitudinal barriers remain to their full
participation in education, employment, and business opportunities available to the general public. The Americans with
Disabilities Act(ADA)was passed in recognition of the discrimination faced by people with disabilities. It is plausible that
many individuals with disabilities—especially persons with severe disabilities (e.g., significant mobility, vision, or hearing
impairments)—may be socially and economically disadvantaged.
III. Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed
to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by individuals
with disabilities, making a case-by-case judgment about whether such an individual meets the criteria of this appendix. As
public entities subject to Title II of the ADA, recipients must also ensure their DBE programs are accessible to individuals
with disabilities. For example, physical barriers or the lack of application and information materials in accessible formats
cannot be permitted to thwart the access of potential applicants to the certification process or other services made
available to DBEs and applicants.
ECONOMIC DISADVANTAGE
(A) General. Economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete
in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others
in the same or similar line of business who are not socially disadvantaged.
(B)Submission of narrative and financial information. (1) Each individual claiming economic disadvantage must
describe the conditions which are the basis for the claim in a narrative statement, and must submit personal financial
information.
(2) [Reserved]
(C) Factors to be considered. In considering diminished capital and credit opportunities, recipients will examine
factors relating to the personal financial condition of any individual claiming disadvantaged status, including personal
income for the past two years (including bonuses and the value of company stock given in lieu of cash), personal net
worth, and the fair market value of all assets, whether encumbered or not. Recipients will also consider the financial
condition of the applicant compared to the financial profiles of small businesses in the same primary industry classification,
or, if not available, in similar lines of business, which are not owned and controlled by socially and economically
disadvantaged individuals in evaluating the individual's access to credit and capital. The financial profiles that recipients
will compare include total assets, net sales, pre-tax profit, sales/working capital ratio, and net worth.
(D)Transfers within two years. (1) Except as set forth in paragraph (D)(2)of this appendix, recipients will attribute to
an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family
member, or to a trust, a beneficiary of which is an immediate family member, for less than fair market value, within two
years prior to a concern's application for participation in the DBE program, unless the individual claiming disadvantaged
status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education,
medical expenses, or some other form of essential support.
(2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that individual
to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays,
graduations, anniversaries, and retirements.
(3) In determining an individual's access to capital and credit, recipients may consider any assets that the individual
transferred within such two-year period described by paragraph (D)(1)of this appendix that are not considered in
evaluating the individual's assets and net worth (e.g., transfers to charities).
[64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 2003]
t Back to Top
Appendix F to Part 26—Uniform Certification Application Form
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[79 FR 59603, Oct. 2, 20141
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[79 FR 59617, Oct. 2, 20141
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Attachment 2
BIDDER'S INFORMATION SHEET
A. BIDDER'S CAPACITY: (Check One)
1. Individual ❑
2. Co-Partnership ❑
3. Corporation ❑
B. (IF ITEM 2 IS CHECKED, COMPLETE THE FOLLOWING)
State of
Names and Addresses of Partners
1.
2.
3.
4.
5.
C. (IF ITEM 3 IS CHECKED, COMPLETE THE FOLLOWING)
State of Incorporation
Names and Addresses of Officers:
President
Secretary
Treasurer
DBE Program 12 Waterloo Regional Airport
May 2017
Attachment 3
SYNOPSIS OF EXPERIENCE RECORD
(This synopsis must accompany Proposal Form.)
Name of Bidder
Business Address
Individual ( ) Partnership ( ) Corporation ( ) (Check One.)
Construction successfully completed within past five years similar in size, scope, and difficulty of
construction to the work bid upon.
Name of Location of Amount of
Name of Owner Project Prosect Contract
1
2
3
4
5
Number of Contract Days Actual Number of Days to
Allowed for Above Projects Complete above Project
1
2
3
4
5
(Signed)
Name of Company
(By)
(TITLE)
Date
DBE Program 13 Waterloo Regional Airport
May 2017
Attachment 4
IOWA DOT DBE DIRECTORY
See Attached.
DBE Program 14 Waterloo Regional Airport
May 2017
5
DBE Directory Listing
Firm Name: 1stAEROW Valuation Group, LLC Phone: 844-311-1511 Date Certified: 11/08/2016
Owner: Smedmore Bernard Cell: TSB Certified: False
Address: 2706 East 76th Place Fax: 773-437-3921 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60649 ACDBE: False
Web Site: www.lstaerow.com Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 531320
Work Tvpe: Real Estate Appraisal
Firm Name: 97 Grain &Trucking, LLC Phone: 217-430-9337 Date Certified: 07/29/2015
Owner: Jami Hocker Cell: 217-430-9337 TSB Certified: False
Address: Fax: 309-776-3383 SBA 8A Certified: False
Address cont'd: P.O. Box 143 Email:
City: Macomb State: IL Zip: 51455 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Street Address: 10060 E 350th Street, Colchester, IL 62326 Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Trucking
Firm Name: A&D Contracting, LLC Phone: 712-204-6916 Date Certified: 10/17/2014
Owner: Shelley Bahmer Cell: TSB Certified: False
Address: 1203 N Rustin Street Fax: 712-266-3264 SBA 8A Certified: False
Address cont'd: Email:
City: Sioux City State: IA Zip: 51105 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 237990, 238990, 488490
Work Tvpe: Bridge Approaches, Concrete (Driveways, Sidewalks, Misc. Flatwork), PCC Patching, PCC
Sidewalks; Recreational Trails; Curb & Gutters; and Snow Removal
Page 1 of 91
Firm Name: A.J.'s Trucking Phone: 309-721-2797 Date Certified: 12/06/2016
Owner: Sally J.Thorp Cell: TSB Certified: False
Address: 1332 US Hwy. 67 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Sherrard State: IL Zip: 61281 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight: Local Trucking - General Dump Truck Hauling (except used goods).
Firm Name: A.S.P. Industries, Inc. Phone: 585-254-9130 Date Certified: 10/25/2013
Owner: Suzanne M. Phillips Cell: TSB Certified: False
Address: 9 Evelyn Street Fax: 585-254-9139 SBA 8A Certified: False
Address cont'd: Email:
City: Rochester State: NY Zip: 14606 ACDBE: False
Web Site: www.aspindustries.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 332322
Work Tvpe: Sheet Metal Work Manufacturing
Firm Name: A+ Student Staffing Phone: 214-357-9500 Date Certified: 04/21/2016
Owner: Betsy Garner Cell: 214-455-5955 TSB Certified: False
Address: 4807 W. Lovers Lane, Suite 205 Fax: 214-357-0082 SBA 8A Certified: False
Address cont'd: Email:
City: Dallas State: TX Zip: 75209 ACDBE: False
Web Site: www.studentstaff.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 561320
Work Tvpe: Temporary Staffing for College Students
Firm Name: AC Iron, LLC Phone: 708-474-4766 Date Certified: 03/30/2017
Owner: Adrian Caballero Cell: 708-539-6507 TSB Certified: False
Address: 1938 177th St. Fax: 708-474-4764 SBA 8A Certified: False
Address cont'd: Email:
City: Lansing State: IL Zip: 60438 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238120
Work Tvpe:
Page 2 of 91
Firm Name: Access Control Co., Inc. Phone: 309-786-0220 Date Certified: 09/16/1991
Owner: Melissa Muskopf Cell: TSB Certified: False
Address: 511 44th Street Fax: 309-786-9537 SBA 8A Certified: False
Address cont'd: Email:
City: Rock Island State: IL Zip: 61201 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238990, 237310, 423390, 332322
Work Tvpe: Fencing, Guardrail, Security Partitions; Fencing Supplies which includes - Chain Link Fence,
Colored Chain Link Fence, Chain Link Fence Hardware; Guardrail Supplies which includes-
Guardrail Post, Guardrail, Guardrail Hardware
Firm Name: Accurate Group, Inc. Phone: 847-613-1100 Date Certified: 06/27/2016
Owner: Syed Hussaini Cell: 847-489-9400 TSB Certified: False
Address: 101 Schelter Road, Suite B 200 Fax: 847-613-1105 SBA 8A Certified: False
Address cont'd: Email:
City: Lincolnshire State: IL Zip: 60069 ACDBE: False
Web Site: www.accgi.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330, 541380, 541370, 561320
Work Tvpe: Engineering Construction Inspection; Material Testing Laboratory; Route Survey and Land
Survey; Information Technology Staffing
Firm Name: ACOT Associates Group, LLC Phone: 901-266-1653 Date Certified: 01/12/2016
Owner: Solomon Akinduro Cell: 901-490-7055 TSB Certified: False
Address: 5796 Shelby Oaks Drive, Suite 16A Fax: 901-373-8222 SBA 8A Certified: False
Address cont'd: Email:
City: Memphis State: TN Zip: 38134 ACDBE: False
Web Site: www.acotassociates.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541310, 541350, 236220, 541340, 541330, 237310, 236116, 237130, 237110, 425120
Work Tvpe: New Multifamily Housing Construction; Commercial & Institutional Building Construction; Water&
Sewer Line and Related Structures; Power and Communication Line & Related Structures;
Highway, Street, and Bridge Construction; Wholesale Trade Agents and Brokers; Architectural
Services; Drafting Services; Engineering Services; Building Inspection Services; Surveying &
Mapping Services
Page 3 of 91
Firm Name: Actuarial-Insurance Data Analyst Phone: 800-604-0841 Date Certified: 10/30/2015
Consulting, LLC
Owner: Moise J. Lubin Cell: 413-539-0478 TSB Certified: False
Address: 2601 Cartwright Rd., Suite D#394 Fax: 347-342-3853 SBA 8A Certified: False
Address cont'd: Email:
City: Missouri City State: TX Zip: 77459-2613 ACDBE: False
Web Site: www.aidac.com Ethnicitv: Black
Additional Info: Formal Business email address: moiselubin@aidac.com Certification TVDe: MBE
NAICS Codes: 524298, 541612
Work Tvpe: Provides Actuarial Consulting Services that includes Data Support Services to the Insurance and
Financial Sector, Utilizing Data Aggregation and Actuarial Software to Provide Solutions to
Complex Financial and Actuarial Data Analysis Problems on a Contract Basis
Firm Name: Advanced Air, Inc. Phone: 712-323-2173 Date Certified: 01/01/2006
Owner: Lisa M. LaMantia Cell: 402-689-7397 TSB Certified: False
Address: 101 McCandless Lane, Suite 1 Fax: 712-323-7209 SBA 8A Certified: False
Address cont'd: Email:
City: Council Bluffs State: IA Zip: 51503 ACDBE: True
Web Site: www.advancedaircb.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 488119
Work Tvpe: Fixed Base Operation Aircraft Charter, Rental, Maintenance, and Fuel; Lasergrade/PSI Computer
Testing; Calibration and Flight Training
Firm Name: Advanced Traffic Control, Inc. Phone: 319-396-5269 Date Certified: 12/31/2013
Owner: Vaugn Miller Cell: 515-777-4762 TSB Certified: False
Address: 98 W Cemetery Road, Fairfax, IA Fax: 319-396-0328 SBA 8A Certified: False
Address cont'd: P2§?§ox 8958 Email:
City: Cedar Rapids State: IA Zip: 52408 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238120
Work Tvpe: Traffic Control, Permanent and Temporary Pavement Markings, Traffic Signing, Temporary Barrier
Rail, Temporary Stop Lights, Flagging, Message Boards, Modular Glare Screen, Temporary
Floodlighting, and Temporary Lane Separator; Reinforcing Steel (Installation)
Page 4 of 91
Firm Name: Aerial Data Service, Inc. Phone: 918-622-4144 Date Certified: 01/25/2013
Owner: Regina M. Carter Cell: TSB Certified: False
Address: 2448 E. 81 st Street, STE. 5000 Fax: 918-622-4119 SBA 8A Certified: False
Address cont'd: Email:
City: Tulsa State: OK Zip: 74137 ACDBE: False
Web Site: www.aerialdata.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541370
Work Tvpe: Aerial Photography, Surveying, Mobile LiDAR, Digital Mapping
Firm Name: Aero Service Group, Inc. Phone: 952-922-8720 Date Certified: 03/16/2005
Owner: Cheng Lor Cell: 612-578-4520 TSB Certified: False
Address: 6121 Excelsior Blvd. Suite 210 Fax: 952-746-3312 SBA 8A Certified: False
Address cont'd: Email:
City: St. Louis Park State: MN Zip: 55416 ACDBE: True
Web Site: Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: MBE
NAICS Codes: 722511
Work Tvpe: Airport Concessionaire providing Food and Beverages at airport facilities
Firm Name: Aero Service Partners, LLC Phone: 952-922-8720 Date Certified: 09/18/2007
Owner: Cheng Lor Cell: TSB Certified: False
Address: 6121 Excelsior Blvd. Suite 210 Fax: 952-746-3312 SBA 8A Certified: False
Address cont'd: Email:
City: St. Louis Park State: MN Zip: 55416 ACDBE: True
Web Site: Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: MBE
NAICS Codes: 722511
Work Tvpe: Airport Concessionaire providing Food and Beverage Services
Firm Name: AG Construction, Inc. Phone: 712-490-5681 Date Certified: 12/31/2013
Owner: Alfredo Galvez Cell: TSB Certified: False
Address: 1507 Summit Street Fax: 712-239-0537 SBA 8A Certified: False
Address cont'd: Email:
City: Sioux City State: IA Zip: 51103 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238990, 238910, 561730
Work Tvpe: Misc. Concrete Paving, Concrete Box Culverts, Curbs & Gutters, Demolition, Retaining Walls,
Landscaping, PC Poured Walls, and Paved Sidewalks/Recreational Trails
Page 5 of 91
Firm Name: Agelix Consulting, LLC Phone: 913-293-8009 Date Certified: 09/29/2016
Owner: Abinash Parida Cell: 816-204-7812 TSB Certified: False
Address: 8500 W 110th, Suite 575 Fax: 913-800-7559 SBA 8A Certified: False
Address cont'd: Email:
City: Overland Park State: KS Zip: 66210 ACDBE: False
Web Site: www.agelixconsulting.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 511210, 541511, 541512, 541519, 541611
Work Tvpe: Primary business activity IT strategy and implementation, computer design services,
administrative management and general management consulting services
Firm Name: All Access Rigging Co. Phone: 412-877-9660 Date Certified: 05/27/2016
Owner: Amy Guzma Cell: 412-877-9660 TSB Certified: False
Address: 2511 Brodhead Road Fax: 866-491-2140 SBA 8A Certified: False
Address cont'd: Email:
City: Aliquippa State: PA Zip: 15001 ACDBE: False
Web Site: www.allaccessrigging.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238990, 541330
Work Tvpe: Provides access to infrastructures for inspection and repair purposes. Also provides maintenance
and protection of traffic services and bridge washing.
Firm Name: All Star Concrete, LLC Phone: 515-224-6394 Date Certified: 07/09/2014
Owner: Alejandro Vazquez-Morales Cell: TSB Certified: False
Address: 8527 University Blvd., Suite 7 Fax: 641-752-9225 SBA 8A Certified: False
Address cont'd: Email:
City: Clive State: IA Zip: 50325 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310
Work Tvpe: Concrete (Driveways, Sidewalks, Misc. Flatwork)
Page 6 of 91
Firm Name: All Traffic Data Services, Inc. Phone: 303-216-2439 Date Certified: 08/25/2015
Owner: Dawn Boivin Cell: 720-218-3742 TSB Certified: False
Address: 9660 West 44th Avenue Fax: 303-278-2681 SBA 8A Certified: False
Address cont'd: Email:
City: Wheat Ridge State: CO Zip: 80033 ACDBE: False
Web Site: www.alltrafficdata.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Traffic Studies & Plans; Transportation Engineering
Firm Name: American Class Taxi, Inc. Phone: 319-363-8294 Date Certified: 01/04/2010
Owner: Nazar Osman Cell: 319-651-4252 TSB Certified: False
Address: 3007 First Avenue SW Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Cedar Rapids State: IA Zip: 52405 ACDBE: False
Web Site: www.americanclasstaxi.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 485310
Work Tvpe: Ground Transportation Services
Firm Name: American Recycled Products Phone: 888-256-3699 Date Certified: 11/25/2004
Owner: Deborah Fox Cell: TSB Certified: False
Address: 720 Sutton Street Fax: 888-832-5411 SBA 8A Certified: False
Address cont'd: Email:
City: Lady Lake State: FL Zip: 32159 ACDBE: False
Web Site: www.americanrecycledproducts.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 423210, 423840, 423990, 424990
Work Tvpe: Furniture Merchant Wholesalers; Industrial Supplies Merchant Wholesalers; Other Miscellaneous
Durable Goods Merchant Wholesalers; Other Miscellaneous Nondurable Goods Merchant
Wholesalers
Page 7 of 91
Firm Name: American Surveying & Engineering, Phone: 312-277-2000 Date Certified: 09/08/1992
P.C.
Owner: Coventine Fidis Cell: TSB Certified: False
Address: 150 N. Wacker Drive, Suite 2650 Fax: 312-277-2002 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60606 ACDBE: False
Web Site: www.americansurvey.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 541370, 541330
Work Tvpe: Construction Engineer, Construction Inspection, Construction Management, Construction Survey,
Consulting Engineer, Geodetic Surveys, Highway Design, and Subsurface Utility Engineering
(SUE)
Firm Name: Andersen Concrete Pumping & Phone: 708-333-4433 Date Certified: 04/07/2017
Equipment Rental, Inc.
Owner: Joan E. Andersen Schmidt Cell: 708-829-9143 TSB Certified: False
Address: 60 E. Taft Dr. Fax: 708-333-4443 SBA 8A Certified: False
Address cont'd: Email:
City: South Holland State: IL Zip: 60473 ACDBE: False
Web Site: www.andersenpump.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238110, 238910
Work Tvpe: Concrete pumping (i.e., placement); Construction equipment(except crane) rental with operator
Firm Name: Anne Duffield Construction, Inc. Phone: 319-364-6474 Date Certified: 03/02/1992
Owner: Anne Duffield Cell: TSB Certified: False
Address: 1825 E Avenue NW Fax: 319-364-3938 SBA 8A Certified: False
Address cont'd: Email:
City: Cedar Rapids State: IA Zip: 52405 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 561730, 238910, 238990, 238190, 237990, 238120, 237110, 561990, 332618
Work Tvpe: Attenuators, Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork), Concrete
Barrier Rail, Concrete Pumping, Crash Cushions, Culvert Pipe, Dowels, Engineering Fabric,
Erosion Control (Seed, Sod, and Rip-Rap), Excavation, Fencing, Flowable Mortar, Geo Grid,
Guardrail, Landscaping (Trees and Shrubs), Mowing, Ornamental Rail, Paved
Sidewalk/Recreational Trails, Pavement Joints (Sealing, Sawing, and Routing), Pavement
Patching, Paving Baskets, Paving Subbase, Reinforcing Steel (Installation), Removals, Retaining
Walls, Shoulders (Granular), Shoulders (Paved), Storm Sewer/Intakes, Subdrains, Traffic Control,
and Tree and Stump Removal (Clearing and Grubbing)
Page 8 of 91
Firm Name: Anne Kustner Lighting Design, Ltd. Phone: 847-475-2010 Date Certified: 06/02/2015
Owner: Anne Kustner Haser Cell: TSB Certified: False
Address: 900 Isabella Street Fax: 847-475-3310 SBA 8A Certified: False
Address cont'd: Email:
City: Evanston State: IL Zip: 60201 ACDBE: False
Web Site: www.akld.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238210
Work Tvpe: Electrical Contractors and Other Wiring Installation; Lighting System Installation
Firm Name: Arcadian Engineering, LLC. Phone: 319-430-6007 Date Certified: 07/17/2015
Owner: Karin A. Kee Cell: TSB Certified: False
Address: 1330 295th Street NW Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Oxford State: IA Zip: 52322 ACDBE: False
Web Site: www.arcadianengineering.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 237110, 541690, 541320
Work Tvpe: Engineering firm specializing in Consulting services, Construction review of water, sewer line and
related structures, Hydrology and water resources engineering services (i.e., water resource
design and planning, and flood management), and Land use design services (i.e., complete
street, wetland, roadway and trail design).
Firm Name: Associated Engineering, Inc. Phone: 402-289-5040 Date Certified: 09/02/2008
Owner: Gautam (Tom) Medhi Cell: 402-850-9097 TSB Certified: False
Address: 2705 N. Main Street Fax: 402-289-5045 SBA 8A Certified: True
Address cont'd: Email:
City: Omaha State: NE Zip: 68022 ACDBE: False
Web Site: www.ae-pc.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330, 541370
Work Tvpe: Civil & Structural Engineering, Land Surveying; Surveying and Mapping (except Geophysical)
Services
Page 9 of 91
Firm Name: Astro Engineering & Manufacturing, Phone: 763-777-8087 Date Certified: 02/27/2014
Inc.
Owner: Suzanne Ross Cell: 800-959-0850 TSB Certified: False
Address: 11059 Lamont Ave. NE Fax: 763-777-8088 SBA 8A Certified: False
Address cont'd: Email:
City: Hanover State: MN Zip: 55341 ACDBE: False
Web Site: www.astroeng.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 332322, 332323
Work Tvpe: Sheet Metal Work Manufacturing, Ornamental and Architectural Metal Work Manufacturing
Specializing in: Ornamental and Architectural Metalwork Manufacturing. Railings for DOT, other
transportation, and commercial uses. Perforated wall and ceiling panels. Fabricated sheet metal
Firm Name: Atlantic Painting Co., Inc. Phone: 708-636-2040 Date Certified: 04/17/2017
Owner: Rozina J. Karnavas Cell: TSB Certified: False
Address: 10019 Southwest Highway Fax: 708-636-2442 SBA 8A Certified: False
Address cont'd: Email:
City: Oak Lawn State: IL Zip: 60453 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Co-Owner: Nicki J. Vessol, 50% (Caucasian Female) Certification Tvpe: WBE
NAICS Codes: 238320, 238990
Work TVpe: Painting (except roof) (contractors industrial and commercial)
Sandblasting, building exterior sandblasting.
Firm Name: Aviation Alliance, Inc. Phone: 817-498-0388 Date Certified: 12/19/1994
Owner: Shirley A. Roberts Cell: 817-307-3890 TSB Certified: False
Address: 101 Timberline Drive North Fax: 817-281-1867 SBA 8A Certified: False
Address cont'd: P.O. Box 799 Email:
City: Colleyville State: TX Zip: 76034-0799 ACDBE: False
Web Site: www.aviationallianceinc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 488119
Work Tvpe: Engineering Services; Other Airport Operations; Specializing in Airfield Electrical Design and
Navigational Aids (NAVAIDS) Installation Design; Also Provides Electrical Facility Assessments,
Specialty TERPS Analysis, Airport Planning, and Expert Witness/Investigative Services
Page 10 of 91
Firm Name: B & R Project Management, Inc. Phone: 303-304-2098 Date Certified: 09/03/2008
Owner: Barbara Coleman Cell: TSB Certified: False
Address: 7192 S. Perth Street Fax: 720-747-1001 SBA 8A Certified: False
Address cont'd: Email:
City: Aurora State: CO Zip: 80016 ACDBE: False
Web Site: www.br-om.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238290, 237990
Work Tvpe: Material Handling Equipment Installation; Project/Construction Management and Contract
Administration
Firm Name: Baseline Supply LLC Phone: 732-835-2080 Date Certified: 12/16/2015
Owner: Tracey Meents Cell: 917-301-1512 TSB Certified: False
Address: 65 Turnberry Drive Fax: 888-398-2080 SBA 8A Certified: False
Address cont'd: Email:
City: Monroe Township State: NJ Zip: 08831 ACDBE: False
Web Site: www.baselinesupply.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 423390, 423720, 423310, 424950, 423510, 423610, 423330, 423320, 423710, 423840
Work Tvpe: Supplier of Building and Construction Materials
Firm Name: Blackwell Construction, Inc. Phone: 515-710-2544 Date Certified: 01/11/2010
Owner: Pierre Blackwell Cell: 515-710-2544 TSB Certified: True
Address: 930 School Street (Zip 50309) Fax: 515-619-9105 SBA 8A Certified: False
Address cont'd: P.O. Box 8172 Email:
City: Des Moines State: IA Zip: 50301 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237110, 484220
Work Tvpe: Trucking and Weatherization
Firm Name: BMAKK Corporation Phone: 402-342-0200 Date Certified: 01/22/2016
Owner: Bennett Achigbu Cell: 402-880-8835 TSB Certified: False
Address: 1440 Read Street Fax: 402-342-0201 SBA 8A Certified: False
Address cont'd: Email:
City: Omaha State: NE Zip: 68112 ACDBE: False
Web Site: www.bmakk.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 423320, 484220
Work Tvpe: Aggregates;Crushing, Aggregates; Trucking and Hauling; Supplier/Manufacturer
Page 11 of 91
Firm Name: Bonnie's Barricades, Inc. Phone: 515-282-8877 Date Certified: 05/20/1985
Owner: Bonnie J. Ruggless Cell: TSB Certified: True
Address: 1547 Michigan Street Fax: 515-282-4620 SBA 8A Certified: False
Address cont'd: Email:
City: Des Moines State: IA Zip: 50314-3532 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 339950, 561990
Work Tvpe: Traffic Control and Surveillance; Manufacturer: Barricades & Signs; Supplier: Changeable
Message Signs
Firm Name: Boone Construction Co. of Missouri Phone: 573-474-1011 Date Certified: 05/08/1991
Owner: Jerry Jones Cell: TSB Certified: False
Address: 5611 Brown Station Road (65202) Fax: 573-474-1222 SBA 8A Certified: False
Address cont'd: P.O. Box 853 Email:
City: Columbia State: MO Zip: 65205 ACDBE: False
Web Site: Ethnicitv: Native American
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 327332, 561730, 238990, 238910, 237990
Work Tvpe: Bridges, Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork), Concrete
Barrier Rail, Concrete Box Culvert, Culvert Pipe, Erosion Control (Seed, Sod, and Rip-Rap),
Excavation, Guardrail, High Tension Guardrail, PC Paving, Paved Sidewalk/Recreational Trails,
Pavement Breaking, Pavement Joints (Sealing, Sawing, and Routing), Pavement Patching,
Paving Subbase, Reinforcing Steel (Installation), Shoulders (granular), Traffic Control; Broker:
Pipe, Steel, Structural Steel, Reinforcing Steel, Piling, Steel Baskets, and Saw Blades
Firm Name: Bumpy's Steel Erection, LLC Phone: 618-274-0105 Date Certified: 12/19/2013
Owner: Ashanti Mitchell Cell: 314-486-1195 TSB Certified: False
Address: 327 Missouri Avenue, Suite 520 Fax: 618-274-0289 SBA 8A Certified: False
Address cont'd: Email:
City: East St. Louis State: IL Zip: 62201 ACDBE: False
Web Site: www.bumpyssteel.com Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310
Work Tvpe: Structural Steel, Structural - Erection Steel, Reinforcing - Rebar Placement
Page 12 of 91
Firm Name: Cargo Transit, Inc. Phone: 828-645-9828 Date Certified: 06/04/2012
Owner: Lisa Fouts Cell: TSB Certified: False
Address: Fax: 828-645-9830 SBA 8A Certified: False
Address cont'd: P.O. Box 792 Email:
City: Weaverville State: NC Zip: 28787 ACDBE: False
Web Site: www.cargotransit.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 488510
Work Tvpe: Transportation Broker-Arranging for Transportation of Freight Only
Firm Name: Carlo Lachmansingh Sales, Inc. Phone: 612-827-2211 Date Certified: 02/22/2011
Owner: Carl Lachmansingh Cell: TSB Certified: False
Address: 4801 4th Avenue South Fax: 612-821-0161 SBA 8A Certified: True
Address cont'd: Email:
City: Minneapolis State: MN Zip: 55419 ACDBE: False
Web Site: www.carloelectrical.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 423610
Work Tvpe: Supplier of Electrical Apparatus and Equipment: Electrical Apparatus and Equipment Wiring
Supplies and Related Equipment Merchant Wholesaler
Firm Name: CDA Services, Inc. Phone: 973-227-5122 Date Certified: 02/01/2016
Owner: Elyce Lukowiak Cell: 201-306-1192 TSB Certified: False
Address: 98 Clinton Road Fax: 973-227-5132 SBA 8A Certified: False
Address cont'd: Email:
City: Fairfield State: NJ Zip: 07004 ACDBE: False
Web Site: www.cdaservicesinc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238210, 238220
Work Tvpe: Installation of Electronic& Product Equipment for Public Transportation, Buses, Light Rail,
Locomotives, Maintenance, Warranty, Modifications. Install & Repair HVAC on Buses, Rehab Rail
Stations, Hardware &Safety Fire Equipment, Mechanical Contractor
Page 13 of 91
Firm Name: Central Painting, Inc. Phone: 219-942-3623 Date Certified: 02/15/2010
Owner: Domina Vardaros Cell: TSB Certified: False
Address: 13900 Limerick Drive Fax: 219-940-9464 SBA 8A Certified: False
Address cont'd: Email:
City: St. John State: IN Zip: 46373 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238320, 562910
Work Tvpe: Industrial Bridge Painting, Cleaning, Coating, Blasting, and Metalizing; Lead
Removal/Sandblasting/Environmental Control
Firm Name: Centrex Electrical Supply Corp. Phone: 314-535-3900 Date Certified: 12/09/1991
Owner: Wilber A. Stuart II Cell: 800-783-0487 TSB Certified: False
Address: 3900 Washington Blvd. Fax: 314-535-4206 SBA 8A Certified: False
Address cont'd: P.O. Box 23219 Email:
City: St Louis State: MO Zip: 63156 ACDBE: False
Web Site: www.centrexelectric.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 423610
Work Tvpe: Supplier: Electrical Supplies and Equipment, Telecom & Data
Firm Name: CH Wilson Transport, Inc. Phone: 641-228-3384 Date Certified: 09/05/2013
Owner: Cindy Rippentrop Cell: 641-330-5084 TSB Certified: False
Address: 2333 Old Highway Road Fax: 641-228-7283 SBA 8A Certified: False
Address cont'd: Email:
City: Charles City State: IA Zip: 50616 ACDBE: False
Web Site: www.chwilson.biz Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Trucking - Liquid Hazmat Carrier, belly dumps and side dumps
Firm Name: Champion Painting Speciality Phone: 954-462-9079 Date Certified: 04/13/2017
Services Corp.
Owner: Carlos M. Hernandez Cell: 786-261-8536 TSB Certified: False
Address: 130 S.W. 22nd St. Fax: 954-462-9089 SBA 8A Certified: False
Address cont'd: Email:
City: Fort Lauderdale State: FL Zip: 33315 ACDBE: False
Web Site: www.champpainting.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238320, 562910
Work Tvpe: Painting and Wall Covering Contractors; Remediation Services
Page 14 of 91
Firm Name: Chenhall's Staffing Services, Inc. Phone: 563-386-3800 Date Certified: 06/07/2011
Owner: Robert T. Hickman Cell: TSB Certified: True
Address: 2119 E. 12th Street Fax: 563-386-3899 SBA 8A Certified: True
Address cont'd: Email:
City: Davenport State: IA Zip: 52803-3706 ACDBE: False
Web Site: www.chenhallstaffing.com Ethnicitv: Native American
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541612, 541214
Work Tvpe: Employment Services: Full Service Recruitment, HR Consulting and Payroll Transfer Firm;
Employment Services and Temporary Help Services; Human Resources and Executive Search
Consulting Services; and Payroll Services
Firm Name: Chicago Ornamental Iron, Inc. Phone: 773-321-9635 Date Certified: 04/25/2017
Owner: Johnathan Samek Cell: TSB Certified: False
Address: 1235-51 W. 47th Street Fax: 773-506-2235 SBA 8A Certified: True
Address cont'd: Email:
City: Chicago State: IL Zip: 60609 ACDBE: False
Web Site: www.coicompany.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238120, 238150, 238190, 332312, 332323
Work Tvpe: Metal fabrication;
Glass and glazing contractors;
Fabricated structural metal manufacturing;
Structural steel erecting and iron work contractor;
Ornamental metal work, decorative steel and wrought iron work installation
Firm Name: Choice Construction Companies, Phone: 262-703-5080 Date Certified: 04/04/2017
Inc.
Owner: Brian A. Mitchell Cell: 414-345-7070 TSB Certified: False
Address: N59 W14397 Bobolink Fax: 262-703-5090 SBA 8A Certified: False
Address cont'd: Email:
City: Menomonee State: WI Zip: 53051 ACDBE: False
Web Site: www.choice.construction Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238120, 238990
Work Tvpe: Highway, Street, and Bridge Construction; Structural Steel and Precast Concrete Contractors; All
Other Specialty Trade Contractors
Page 15 of 91
Firm Name: Classic Window Treatments, LLC Phone: 515-287-2426 Date Certified: 01/27/2011
Owner: Susan Genz Cell: TSB Certified: True
Address: 5225 Clearwater Dr. Fax: 515-287-3426 SBA 8A Certified: False
Address cont'd: Email:
City: Norwalk State: IA Zip: 50211 ACDBE: False
Web Site: www.classicwindow.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 337920, 423220, 314120
Work Tvpe: Manufacturer: Professional Custom Drapery Fabrication, Made to Order Window Treatments and
Bedding; Supplier/Reseller of Window Blinds and Shades
Firm Name: Clevenger Contractors, Inc. Phone: 217-754-3411 Date Certified: 04/11/2017
Owner: Misty L. Dahman Cell: 217-370-2880 TSB Certified: False
Address: 355 Naples Road Fax: 217-754-3537 SBA 8A Certified: False
Address cont'd: P.O. Box 19 Email:
City: Bluffs State: IL Zip: 62621 ACDBE: False
Web Site: www.clevengercontractors.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238110, 238990, 561730
Work Tvpe: Guardrail, miscellaneous concrete, fencing, seeding &sodding, and landscaping
Firm Name: Collins Concrete LTD Phone: 563-381-8199 Date Certified: 11/17/2003
Owner: Shane Hauman Cell: 563-209-7686 TSB Certified: True
Address: 111 Oak Street Fax: 563-381-8098 SBA 8A Certified: True
Address cont'd: P.O. Box 570 Email:
City: Buffalo State: IA Zip: 52728 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238910, 561730, 484220
Work Tvpe: Bridge Approaches, Catch Basin, Concrete (Driveways, Sidewalks, Misc. Flatwork), Demolition,
Erosion Control (Seed, Sod, and Rip-Rap), PC Paving, Pavement Patching, Silt Fence, and
Trucking
Page 16 of 91
Firm Name: Community CPA&Associates, Inc. Phone: 515-288-3188 Date Certified: 05/20/2010
Owner: Ying Sa Cell: TSB Certified: True
Address: 3816 Ingersoll Avenue Fax: 515-288-3370 SBA 8A Certified: False
Address cont'd: Email:
City: Des Moines State: IA Zip: 50312 ACDBE: False
Web Site: www.communitycpa.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541213
Work Tvpe: CPA Audits, Accounting, Payroll, Taxes, and Business Consultation
Firm Name: Community Design Group, Inc. Phone: 612-354-2901 Date Certified: 07/26/2013
Owner: Antonio M. Rosell Cell: TSB Certified: False
Address: 212 3rd Avenue North, Suite 515 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Minneapolis State: MN Zip: 55401 ACDBE: False
Web Site: www.c-d-g.org Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541320, 541330, 541820
Work Tvpe: Landscape Architectural Services; Public Relations Agencies, and Engineering Services; Urban
Planning and Civil Engineering Firm Specializing in pedestrian and Bicycle Planning, Community
Engagement(Bilingual)and Project Management
Firm Name: Compass Solutions, LLC Phone: 202-393-5454 Date Certified: 03/02/2016
Owner: Anthony Onyewuchi Cell: 202-393-5574 TSB Certified: False
Address: 1401 K Street NW, Suite 802 Fax: 202-448-1407 SBA 8A Certified: False
Address cont'd: Email:
City: Washington State: DC Zip: 20005 ACDBE: False
Web Site: www.compasscentral.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541511, 541513, 541519
Work Tvpe: Information Technology Consulting Services for Systems and Infrastructure
Page 17 of 91
Firm Name: Connetics Transportation Group, Phone: 678-461-0969 Date Certified: 09/08/2006
Inc.
Owner: Susan Rosales Cell: TSB Certified: False
Address: 570 Colonial Park Drive, Suite 302 Fax: 678-461-0970 SBA 8A Certified: False
Address cont'd: Email:
City: Roswell State: GA Zip: 30075 ACDBE: False
Web Site: www.ctgconsult.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541614
Work Tvpe: Mass Transportation Management Consulting Services, Process, Physical Distribution and
Logistics Consulting Services
Firm Name: Connico Incorporated Phone: 615-758-7474 Date Certified: 11/14/2013
Owner: Connie Gowder Cell: TSB Certified: False
Address: 2594 N. Mount Juliet Road Fax: 615-758-7477 SBA 8A Certified: False
Address cont'd: Email:
City: Mount Juliet State: TN Zip: 37122-3007 ACDBE: True
Web Site: www.connico.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541611, 541990, 236220, 541330
Work Tvae: Administrative Management and General Management Consulting Services; All Other
Professional, Scientific, and Technical Services; Commercial and Institutional Building
Construction; Engineering Services; Specialized work in the areas of: Consulting, project
management, cost estimating, scheduling, DBE plans, construction administration, independent
fee analysis
Firm Name: Contract Service Innovations, LLC Phone: 512-501-5455 Date Certified: 01/25/2016
Owner: Benjamin Sumpter II Cell: TSB Certified: False
Address: 1000 Heritage Center Circle Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Round Rock State: TX Zip: 78664 ACDBE: False
Web Site: www.csi-compliance.com Ethnicitv: Black
Additional Info: Certification Tvae: MBE
NAICS Codes: 541611, 541618, 541990, 611430
Work Tvpe: Professional and Management Development Consulting &Training
Page 18 of 91
Firm Name: Courtland LLC Phone: 763-567-2172 Date Certified: 05/17/2017
Owner: Julia Espey-Hornback Cell: 646-641-5896 TSB Certified: False
Address: 830 Tower Dr. Suite 150 Fax: 612-435-4158 SBA 8A Certified: False
Address cont'd: Email:
City: Medina State: MN Zip: 55340 ACDBE: False
Web Site: www.courtlandllc.net Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 423320, 423330, 423510, 424690, 424950, 424990
Work Tvpe: Involved in the sales of construction materials, concrete, rebar, dowel bars, piping 12 inches or
less including accessories and hydrants, ornamental railing, masonry, erosion control, paint,
roofing supplies, and cipp slip liner& resin.
Firm Name: Cromedy Construction Coporation Phone: 215-437-7606 Date Certified: 07/12/2016
Owner: Bill Cromedy Cell: TSB Certified: False
Address: 5702 Newtown Avenue Fax: 215-437-7655 SBA 8A Certified: False
Address cont'd: Email:
City: Philadelphia State: PA Zip: 19120 ACDBE: False
Web Site: www.cromedyconstruction.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 236118, 237110, 237130, 237310, 237990, 238140, 238160, 238210, 238220, 238290, 238310,
238320, 238330, 238910, 238990
Work Tvpe: Description: Residential Remodelers, Water& Sewer Line & Related Structures Construction,
Power& Communication Line & Related Structures Construction, Highway, Street& Bridge
Construction, Dredging, Brick Laying, Roof Painting, Spraying & Coating, Electrical Contractors &
Other Wiring Installation Contractors, Plumbing, Heating &Air-Conditioning Contractors, Boiler&
Pipe Installation, Drywall & Insulation Contractors, Painting &Wall Covering Contractors, Flooring
Contractors, Site Preparation Contractors, Paver& Brick Installation, Sheet Metal Work
Manufacturing, Landscaping Services
Firm Name: Crowley Construction Corp. Phone: 414-257-2141 Date Certified: 07/26/2013
Owner: Bessie Crowley Cell: TSB Certified: False
Address: 1353 N 68th Street Fax: 414-257-2141 SBA 8A Certified: False
Address cont'd: Email:
City: Milwaukee State: WI Zip: 53213 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238990
Work Tvpe: Pavement Marking; Airport Construction
Page 19 of 91
Firm Name: Curtis Contracting Corp. Phone: 319-848-5710 Date Certified: 05/15/1998
Owner: Paula Kelley Cell: TSB Certified: False
Address: 5806 Ely Road SW, Cedar Rapids Fax: 319-848-5715 SBA 8A Certified: False
Address cont'd: P.?�Nx 341 Email:
City: Ely State: IA Zip: 52227 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237310, 237990, 238910, 238990, 237110
Work Tvpe: Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork), PC Paving, Paved
Sidewalk/Recreational Trails, Pavement Breaking, Pavement Joints (Sealing, Sawing, and
Routing), Pavement Patching, Paving Baskets, Removals, and Storm Sewer/Intakes.
Firm Name: C-Wise Design and Consulting, LLC Phone: 319-621-4168 Date Certified: 09/15/2009
Owner: Martha Norbeck Cell: TSB Certified: False
Address: 906 S. 7th Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Iowa City State: IA Zip: 52240 ACDBE: False
Web Site: www.cwise.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 236210
Work Tvpe: Green Building Consulting, LEED Consulting; Green Building Design and Education
Firm Name: D&K Welding Services Inc. Phone: 314-939-1701 Date Certified: 03/30/2017
Owner: Dorrie Harris Cell: 314-581-4759 TSB Certified: False
Address: 125 Deer Haven P.O. Box C Fax: 314-939-1704 SBA 8A Certified: False
Address cont'd: Email:
City: Troy State: MO Zip: 63379 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Street Address: 5445 Telegraph Suite 101 St. Louis, MO 63129 Certification Tvge: WBE
NAICS Codes: 238190, 237310, 238120
Work Tvae: Other Foundation, Structure, and Building Exterior Contractors -Welding on Site Contractor;
Highway, Street, and Bridge Construction - Bridge Construction, Bridge Decking Construction;
Structural Steel and Precast Concrete Contractors
Page 20 of 91
Firm Name: D2K Traffic Equipment Design LLC Phone: 630-416-9700 Date Certified: 04/06/2017
Owner: Mark Long Cell: 630-488-1068 TSB Certified: False
Address: 1251 Frontenac Road, Suite 100 Fax: 630-839-7582 SBA 8A Certified: False
Address cont'd: Email:
City: Naperville State: IL Zip: 60563 ACDBE: False
Web Site: www.d2ktraffic.com Ethnicitv: Native American
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 561990
Work Tvpe: Traffic control surveillance
Pavement marking: removal
Pavement markers raised
Signing
Pavement marking: thermoplastic hand
Pavement marking: paint
Pavement marking: epoxy
Misc: preformed plastic pavement marking
Supplier: pavement marking materials
Supplier: materials: traffic control
Traffic control
Firm Name: Dan Ash Trucking, Inc. Phone: 309-792-5272 Date Certified: 03/02/1992
Owner: Debra Wernick Cell: 309-314-2800 TSB Certified: False
Address: 1801 2nd Avenue N Fax: 309-792-3787 SBA 8A Certified: False
Address cont'd: Email:
City: Silvis State: IL Zip: 61282 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight (except Used Goods)Trucking, Local
Firm Name: Davidson Trucking, Inc. dba Phone: 815-384-3123 Date Certified: 04/26/2017
Davidson Construction Supply
Owner: Kama Gross Cell: 815-739-5384 TSB Certified: False
Address: 155 E. SR 38 Fax: 815-384-4701 SBA 8A Certified: False
Address cont'd: PO Box 67 Email:
City: Creston State: IL Zip: 60113 ACDBE: False
Web Site: www.davidsonsupply.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 325520, 423320, 423510, 484220
Work Tvpe: Supplier: pavement marking materials; Materials: misc. -joint sealants; Materials: misc. Cement
products;
Supplier: materials: reinforcing steel; Trucking
Page 21 of 91
Firm Name: Davis Freight Management, Inc. Phone: 716-902-4244 Date Certified: 01/16/2013
Owner: Wendy Davis Schlabach Cell: TSB Certified: False
Address: 13238 Broadway Fax: 716-902-4243 SBA 8A Certified: False
Address cont'd: Email:
City: Alden State: NY Zip: 14004 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220, 493110, 484121, 488510, 541614
Work Tvpe: Freight Forwarding and Warehousing
Firm Name: Delivery& Distribution Solutions, Phone: 630-537-1544 Date Certified: 10/25/2013
LLC
Owner: Denis Monroe Cell: TSB Certified: False
Address: 16W251 S Frontage Road Fax: 630-590-5894 SBA 8A Certified: False
Address cont'd: Email:
City: Burr Ridge State: IL Zip: 60527 ACDBE: False
Web Site: www.deliveryanddistribution.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 492210
Work Tvae: LOCAL MESSENGERS AND LOCAL DELIVERY (Providing courier services for same day and
next day delivery)
Firm Name: DeLong Construction, Inc. Phone: 319-653-3334 Date Certified: 08/30/2010
Owner: Dana DeLong-Patterson Cell: 319-461-2522 TSB Certified: True
Address: 1320 N 8th Avenue Fax: 319-653-3351 SBA 8A Certified: False
Address cont'd: P.O. Box 488 Email:
City: Washington State: IA Zip: 52353 ACDBE: False
Web Site: www.delonginc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 327332, 238110, 238910, 237110, 238990, 561730, 238990, 484220
Work Tvpe: Concrete (Driveways, Sidewalks, and Misc. Flatwork), Culvert Pipe, Flowable Mortar, Geo Grid,
Grading, Paving Subbase, Polymer Grid, Shoulders (granular), Subdrains, Wetland Mitigation,
Storm Sewer/Intakes, Water Mains, Demolition, Excavation, Removals, Tree and Stump
Removal (Clearing and Grubbing), Rip Rap, Trucking, Erosion Control, Landscaping, Mowing
Page 22 of 91
Firm Name: DES Wholesale, LLC d/b/a Phone: 678-828-4305 Date Certified: 07/05/2016
Diversified Energy Supply
Owner: allicon Sheffield de Aguero Cell: TSB Certified: False
Address: 12600 Deerfield Parkway, Suite 100 Fax: 678-826-0742 SBA 8A Certified: False
Address cont'd: Email:
City: Milton State: GA Zip: 30004 ACDBE: True
Web Site: www.diversifiedenergysupply.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 221210, 424720, 425120
Work Tvpe: Natural Gas Distribution; Petroleum and Petroleum Products Merchant Wholesalers (Except Bulk
Stations and Terminals); Wholesale Trade Agents and Brokers
Firm Name: d'Escoto, Inc. Phone: 312-787-0707 Date Certified: 10/13/2014
Owner: Federico J. d'Escoto Cell: 773-640-0440 TSB Certified: False
Address: 420 N Wabash, Suite 200 Fax: 312-787-7322 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60611 ACDBE: False
Web Site: www.descotoinc.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 236210, 236220, 237110, 237990, 541330, 237310
Work Tvoe: Construction management, industrial building (except warehouses), Construction management,
commercial and institutional building, Construction management, water and sewage treatment
plant, Construction management, highway, road, street and bridge, Construction management,
mass transit, Construction management, outdoor recreation facility, Construction management,
tunnel.
Firm Name: DND Electric, Inc. Phone: 630-585-0933 Date Certified: 04/10/2017
Owner: David DeLeon Cell: 312-208-6060 TSB Certified: False
Address: 1111 E. Touchy Ave. #260 Fax: 630-585-0314 SBA 8A Certified: False
Address cont'd: Email:
City: Des Plaines State: IL Zip: 60018 ACDBE: False
Web Site: www.dndelectric.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 237130, 238210
Work Tvpe: Fiber optic cable transmission line construction; Pole line construction Substation and switching
station, power transmission line, construction; Transformer station and substation, electric power,
construction; Underground cable (e.g., cable television, electricity, telephone) laying; Utility line
(i.e., communication, electric power), construction; Electrical contractors
Page 23 of 91
Firm Name: Donovan Enterprises, Inc. Phone: 320-281-2580 Date Certified: 12/15/2016
Owner: Colleen Donovan Cell: 320-267-8041 TSB Certified: False
Address: Fax: 320-281-2588 SBA 8A Certified: False
Address cont'd: P.O. Box 171 Email:
City: Rockville State: MN Zip: 56369 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220, 423320
Work Tvpe: Specialized Freight Trucking (except used goods) and Sand & Gravel Sales.
Firm Name: Doon Technologies, Inc. Phone: 732-404-1334 Date Certified: 01/16/2013
Owner: Meenu Gupta Cell: 908-313-0003 TSB Certified: False
Address: 60 Erik Drive Fax: 732-404-1335 SBA 8A Certified: False
Address cont'd: Email:
City: Fords State: NJ Zip: 08863 ACDBE: False
Web Site: www.doontec.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541690, 541511, 541519, 561311, 541512
Work Tvpe: Information Technology Staffing and Consulting; Staff Augmentation
Firm Name: Dormark Construction Co. Phone: 515-986-4270 Date Certified: 06/02/1983
Owner: Timothy Bayse Cell: TSB Certified: True
Address: 3310 SW Brookside Drive Fax: 515-986-9573 SBA 8A Certified: False
Address cont'd: P.O. Box 530 Email:
City: Grimes State: IA Zip: 50111-0530 ACDBE: False
Web Site: www.dormark.com Ethnicitv: Asian-Pacific
Additional Info: Additional e-mail addresses:james@dormark.com and build@dOft&R0 Mnn Tvpe: MBE
NAICS Codes: 237310, 238110, 237990, 238990, 238120
Work Tvpe: Attenuators, Bridges, Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork),
Concrete Barrier Rail, Crash Cushions, Dowels (Drill & Epoxy), Flowable Mortar, Geo Grid,
Paved Sidewalk/Recreational Trails, Pavement Joints (Sealing, Sawing, and Routing), Paving
Baskets, Reinforcing Steel (Installation), Removals, Shoulders (Paved), and Temporary Barrier
Rail
Page 24 of 91
Firm Name: Dynamix Engineering, Ltd. Phone: 614-443-1178 Date Certified: 01/14/2016
Owner: Eugene Griffin Cell: 614-306-3871 TSB Certified: False
Address: 855 Grandview Avenue, 3rd FL Fax: 614-443-1594 SBA 8A Certified: False
Address cont'd: Email:
City: Columbus State: OH Zip: 43215 ACDBE: False
Web Site: www.dynamix-ltd.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330, 541690, 541512
Work Tvpe: Engineering Services; Other Scientific and Technical Consulting Services; Computer Systems
Design Services
Firm Name: E&K Retail Airport Concessions, Phone: 816-651-1125 Date Certified: 09/12/2016
LLC
Owner: Ellitt Threat Cell: 816-651-1125 TSB Certified: False
Address: 3704 West 120th Street Fax: 913-387-4000 SBA 8A Certified: False
Address cont'd: Email:
City: Leawood State: KS Zip: 66209 ACDBE: True
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 711320, 722410, 722513
Work Tvpe: Primary business activity includes booking entertainment in airports and comedy clubs corp
events, and management of coffee and yogurt shops
Firm Name: E&K Retail, Inc. Phone: 815-651-1125 Date Certified: 07/08/2016
Owner: Elliott Threatt Cell: 815-651-1125 TSB Certified: False
Address: 3704 West 120th Street Fax: 913-387-4000 SBA 8A Certified: False
Address cont'd: Email:
City: Leawood State: KS Zip: 66209 ACDBE: True
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 424490, 446191, 722515
Work Tvpe: Primary business activity is retail sales and concessions - Other Grocery and Related Products
Merchant Wholesalers, Food (Health) Supplemental Stores, and Snack and Nonalcoholic
Beverage Bars
Page 25 of 91
Firm Name: EarthView Environmental, Inc. Phone: 319-358-2542 Date Certified: 04/14/2006
Owner: Judith E. Joyce Cell: 319-330-3833 TSB Certified: True
Address: 310 2nd Street Fax: 319-358-2562 SBA 8A Certified: False
Address cont'd: Email:
City: Coralville State: IA Zip: 52241 ACDBE: False
Web Site: www.eveinc.consulting Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541620
Work Tvpe: Environmental Consulting Services and Compliance, Natural /Cultural Resources, Water
Resources, GIS Mapping and Modeling, LiDAR, Archaeology, Threatened and Endangered
Species, Scientific and Technical Consulting Services, Wetland Mitigation, Wetland Delineation,
Natural Resource Planning, Prairie and Woodland Management, Environmental Permitting,
Wetland Banking, Geoarchaeology and Geomorphology, Prescribed Fires, Watershed Planning
and Stormwater Management, Stream Studies and Stream Bank Restoration
Firm Name: Eb & Flow Custom Erosion Control Phone: 660-216-1694 Date Certified: 06/01/2015
Owner: Sally Ebling Cell: 660-216-1694 TSB Certified: False
Address: RR 3, Box 267B Fax: 660-883-5542 SBA 8A Certified: False
Address cont'd: Email:
City: Memphis State: MO Zip: 63555 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 561730, 238990
Work Tvpe: Landscaping Services - Erosion Control, Seed and Mulch; All Other Specialty Trade Contractors-
Fencing Installation
Firm Name: Educators 4 Education Phone: 215-792-3171 Date Certified: 05/13/2016
Owner: Anthy Singleton Cell: 215-816-5674 TSB Certified: False
Address: 527 Primos Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Folcroft State: PA Zip: 19032 ACDBE: False
Web Site: www.educators4education.org Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 611710
Work Tvpe: Educational and Professional Development Training
Page 26 of 91
Firm Name: Electrical Services International, Phone: 954-282-9571 Date Certified: 06/14/2016
LLC
Owner: Dale R. Donovan Cell: 678-522-0445 TSB Certified: False
Address: 3616 SW 90 Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Miramar State: FL Zip: 33025 ACDBE: False
Web Site: www.electricalservices-int.com Ethnicitv: Black
Additional Info: Certification TVDe: MBE
NAICS Codes: 541611, 541618, 541990
Work Tvpe: Project Management General Management Consulting
Firm Name: Electronic Technology, Inc. Phone: 913-962-8083 Date Certified: 09/20/2013
Owner: Barbara Carr Cell: TSB Certified: False
Address: 5700 Merriam Drive Fax: 913-631-1055 SBA 8A Certified: False
Address cont'd: Email:
City: Merriam State: KS Zip: 66203 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541519
Work Tvpe: Other Computer Related Services- Business activity includes computer networkings -fiber low
voltage cabling, wireless networking (ITS - camera systems)
Firm Name: Elite Parking Services of America, Phone: 904-297-4437 Date Certified: 10/19/2015
Inc.
Owner: Dane Grey Cell: 954-732-6286 TSB Certified: False
Address: 76 S. Laura Street, Suite 1702 Fax: 904-352-1831 SBA 8A Certified: False
Address cont'd: Email:
City: Jacksonville State: FL Zip: 32202 ACDBE: True
Web Site: www.eliteparkingsoa.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 485310, 485991, 561210, 561720, 561790, 624120, 812930
Work Tvpe: Taxi Service; Special Needs Transportation; Facilities Support Services; Janitorial Services; Other
Services to Buildings and Dwellings; Services for the Elderly and Persons with Disabilities;
Parking Lots and Garages
Page 27 of 91
Firm Name: Ellana, Inc. Phone: 212-971-0936 Date Certified: 02/04/2013
Owner: Ella Bereznitsky Cell: TSB Certified: False
Address: 32 Broadway, Suite 801 Fax: 212-361-6169 SBA 8A Certified: False
Address cont'd: Email:
City: New York State: NY Zip: 10004 ACDBE: False
Web Site: www.ellana.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541611, 611410
Work Tvpe: Construction Cost Estimating and Professional Training for Cost Estimating and Construction
Management
Firm Name: Enjoi Transportation LLC Phone: 313-758-1000 Date Certified: 01/24/2017
Owner: Paulette Hamilton Cell: 248-703-8019 TSB Certified: False
Address: 1545 Clay Suite#1 Fax: 313-758-1001 SBA 8A Certified: False
Address cont'd: Email:
City: Detroit State: MI Zip: 48211 ACDBE: False
Web Site: www.enjoitrans.com Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 485991, 488999, 541614
Work Tvpe: Special Needs Transportation, All other Support Activities for Transportation, Process, Physical
Distribution, and Logistics Consulting Services
Firm Name: EnviroNet, Inc. Phone: 563-323-2262 Date Certified: 05/15/2013
Owner: Molly (Mary E. Arp) Newell Cell: 563-340-2440 TSB Certified: False
Address: 2312 East 11th Street Fax: 563-323-7797 SBA 8A Certified: False
Address cont'd: Email:
City: Davenport State: IA Zip: 52803 ACDBE: False
Web Site: www.environetmidwest.com Ethnicitv: Caucasian
Additional Info: Physical Address of Business: 1225 East River Drive, Davenport,(3ArsII&1Adpn Tvpe: WBE
NAICS Codes: 541620
Work Tvpe: Environmental Consulting and Regulatory Compliance Services for Public, Private, Non-Profit
Entities and Government Agencies: Services such as, Environmental Property Assessment, Risk
Assessments, Site Remediation, Asbestos Inspections Mold Inspections, and Hazardous Waste
Audits & Compliance Assistance
Page 28 of 91
Firm Name: Environmental Planning Strategies, Phone: 563-332-6870 Date Certified: 04/14/2010
Inc.
Owner: Judith Lee Cell: TSB Certified: True
Address: 4621 Kelling Street Fax: 563-332-0931 SBA 8A Certified: False
Address cont'd: Email:
City: Davenport State: IA Zip: 52806 ACDBE: False
Web Site: www.jlee-eps.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541620
Work Tvpe: Environmental Planning Consulting Services, such as: National Environmental Policy Act
Consulting, Training, Public Involvement, Communication, Public Relations, Transportation
Planning, Environmental Document Review—including Feasibility Studies, such as: Incorporation
of Crosscutting Laws, Environmental Conflict Resolution, CWA, 4(f), NHPA, ESA, and SAFETEA
— LU Regulations
Firm Name: ePATHUSA, Inc. Phone: 515-974-6778 Date Certified: 02/01/2016
Owner: Anitha Timiri Gopalakrishnan Cell: TSB Certified: True
Address: 1075 Jordan Creek Parkway, Suite Fax: 630-884-3700 SBA 8A Certified: False
Address cont'd: 295 Email:
City: West Des Moines State: IA Zip: 50266 ACDBE: False
Web Site: www.epathusa.net Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541511, 541512, 541513, 541519
Work Tvpe: Application, Database and Web page design services; Commercial Off The Self
Integration; QA and Maintenance; Architecture Solutions; Legacy Systems Assessment
and Migration; Computer disaster recovery services or software installation services; On-site
management and operation of clients' computer systems and/or data processing facilities
Firm Name: ESP Enterprises, Inc. Phone: 281-444-2377 Date Certified: 12/07/2010
Owner: Steve Phelan Cell: TSB Certified: False
Address: 12423 Cutten Road, Suite B Fax: 888-868-7694 SBA 8A Certified: False
Address cont'd: Email:
City: Houston State: TX Zip: 77066 ACDBE: False
Web Site: www.espenterprisesinc.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 517919, 561320
Work Tvpe: Telecommunication Equipment Installation; Fare Collection Equipment Installation and
Maintenance, and Temporary Help Services
Page 29 of 91
Firm Name: Everlights, Inc. Phone: 773-734-9873 Date Certified: 05/04/2017
Owner: Kelly Gallagher Cell: 708-878-9030 TSB Certified: False
Address: 8027 Lawndale Ave. Fax: 773-734-9874 SBA 8A Certified: False
Address cont'd: Email:
City: Skokie State: IL Zip: 60076 ACDBE: False
Web Site: www.everlights.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 562111, 423610
Work Tvpe: Specialty: Recyclable material collection services and Recyclable material hauling
Specialty: Light bulbs merchant wholesalers and Lighting fixtures, electric, merchant wholesalers
(STOCKING)
Firm Name: Five23 Group d/b/a Lumenor Phone: 404-551-4357 Date Certified: 01/07/2016
Consulting Group
Owner: Bridgette Karra Cell: 404-509-3055 TSB Certified: False
Address: 115 S Smead Court Fax: 404-348-4829 SBA 8A Certified: False
Address cont'd: Email:
City: Roswell State: GA Zip: 30076 ACDBE: False
Web Site: www.lumenorconsulting.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541511, 541512, 541519, 541611, 541613, 541614, 541618, 541690, 541910, 611420, 611430
Work Tvpe: Custom Computer Programming Services; Computer Systems Design Services; Other Computer
Related Services; Administrative Management and General Management Consulting Services;
Marketing Consulting Services; Process, Physical Distribution, and Logistics Consulting Services;
Other Management Consulting Services; Other Scientific and Technical Consulting Services;
Marketing Research and Public Opinion Polling; Computer Training; Professional and
Management Development Training
Firm Name: Flenker Land Architecture Phone: 563-225-2255 Date Certified: 04/13/2011
Consultants, LLC
Owner: Meg K. Flenker Cell: 563-270-3236 TSB Certified: False
Address: 29476 240th Avenue Fax: 563-225-2254 SBA 8A Certified: False
Address cont'd: Email:
City: Long Grove State: IA Zip: 52756 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541320
Work Tvpe: Architecture: Landscape Architecture; Land Planning; Wetland Delineation; Design, Monitoring &
Permitting; Graphic Design; Storm Water Quality& Erosion Control Planning & Design
Page 30 of 91
Firm Name: FluidClarity, Ltd. Phone: 708-383-3500 Date Certified: 07/16/2009
Owner: Marion E. Kessy Cell: 708-945-0351 TSB Certified: False
Address: 1144 W. Lake St., Suite 303 Fax: 708-383-3549 SBA 8A Certified: True
Address cont'd: Email:
City: Oak Park State: IL Zip: 60301 ACDBE: False
Web Site: www.fluidclarity.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330
Work Tvpe: Civil Engineering Consulting Services, Feasibility Studies, Design and Planning Services
Firm Name: G & L Rebar LLC Phone: 405-794-2200 Date Certified: 07/26/2013
Owner: Melinda Garza Cell: 405-664-7192 TSB Certified: False
Address: 14408 Almond Valley Drive Fax: 405-794-2201 SBA 8A Certified: False
Address cont'd: Email:
City: Oklahoma City State: OK Zip: 73165 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238120
Work Tvpe: Reinforcing Steel Placement (Labor ONLY)
Firm Name: G5 Tek Solutions, LLC Phone: 404-374-6350 Date Certified: 01/25/2013
Owner: Terri Whitfield Cell: 770-889-4929 TSB Certified: False
Address: 4485 Tench Road, Suite 2321 Fax: 866-369-7389 SBA 8A Certified: False
Address cont'd: P.O. Box 1443 Email:
City: Suwanee State: GA Zip: 30024 ACDBE: False
Web Site: www.g5tek.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 238210, 812990
Work Tvpe: Telecommunications Equipment and Wiring; Telephone and Telephone Equipment Installation,
Administration & Support of Solutions for Inmate Telecommunications Systems
Firm Name: Gandhi and Associates, Inc. Phone: 773-774-5910 Date Certified: 03/31/2005
Owner: P. K. Gandhi Cell: TSB Certified: False
Address: 6035 N. Northwest Hwy., Suite 306 Fax: 773-774-3815 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60631 ACDBE: False
Web Site: Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330
Work Tvpe: Consulting Engineering Services in Civil, Electrical, and Mechanical Engineering
Page 31 of 91
Firm Name: Geo Services, Inc. Phone: 630-305-9186 Date Certified: 09/10/2002
Owner: Julian Rueda Cell: 630-921-9186 TSB Certified: False
Address: 805 Amherst Court, Suite 204 Fax: 630-355-2838 SBA 8A Certified: False
Address cont'd: Email:
City: Naperville State: IL Zip: 60565-3448 ACDBE: False
Web Site: www.geoservicesinc.net Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 238910, 541380, 541690
Work Tvpe: Borings for Building Construction, Core Drilling and Test Borings; Soils Test Drilling and Test
Borings for Construction, Materials Testing, Laboratory Services; Geotechnical Environmental,
Construction Inspection and Construction QA/QC
Firm Name: GIA Group Phone: 763-783-7487 Date Certified: 06/23/2014
Owner: Joseph Smith, Jr. Cell: TSB Certified: False
Address: 2751 Hennepin Ave S. Suite, 18 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Minneapolis State: MN Zip: 55408 ACDBE: False
Web Site: www.giallcservices.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 561210, 541611, 525110, 236115, 236116, 236220, 237110, 237310, 541618
Work Tvpe: Construction Management- Single-Family Building, Multi-Family Building, commercial and
Institutional Building, Water and Sewer Line, Highway, Road, Street, and Bridge, and Facilities
Support Services; Professional Consulting - Infrastructure Pension Funds, Administrative
Management& General Management Consulting Services, and Other Management Consulting
Services, Managerial Training, Technical Training
Firm Name: Global Gateway Concessions North Phone: 904-297-4437 Date Certified: 02/25/2016
America, LLC
Owner: Dane Grey Cell: TSB Certified: False
Address: 76 S. Laura Street, Suite 1702 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Jacksonville State: FL Zip: 32202 ACDBE: True
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541611, 541618
Work Tvpe: Airport Concessions -Administrative Management and General Management Consulting
Services and Other Management Consulting Services
Page 32 of 91
Firm Name: GM Contracting, Inc. Phone: 507-726-6433 Date Certified: 04/25/2013
Owner: Suzanne Harazin Cell: TSB Certified: False
Address: 19810 515th Avenue Fax: 507-726-6399 SBA 8A Certified: False
Address cont'd: P.O. Box 736 Email:
City: Lake Crystal State: MN Zip: 56055 ACDBE: False
Web Site: www.gmcontractinginc.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237110
Work Tvpe: Water and Sewer Line and Related Structures Construction
Firm Name: Gonzalez Transport, LLC Phone: 402-689-9013 Date Certified: 09/06/2016
Owner: Jesus Gonzalez Cell: 402-682-1662 TSB Certified: False
Address: 4223 Seward Street Fax: 402-513-6500 SBA 8A Certified: False
Address cont'd: Email:
City: Omaha State: NE Zip: 68111 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification TVDe: MBE
NAICS Codes: 484220, 484230, 484110, 484121
Work Tvpe: Dry Bulk Trucking/Dump Trucking, Local; Dry Bulk Carrier, Truck, Long Distance; General Freight
Trucking, Local; General Freight Trucking, Long Distance
Firm Name: Groundswell Consulting, LLC Phone: 785-312-0373 Date Certified: 12/01/2015
Owner: Lisa Koch Cell: 785-312-0373 TSB Certified: False
Address: 810 Pennsylvania, Suite 222 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Lawrence State: KS Zip: 660644 ACDBE: False
Web Site: www.groundswellconsulting.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541614
Work Tvpe: Process, Physical Distribution and Logistics Consulting Services- Primary Business Activity is
Transportation Planning Consultant
Page 33 of 91
Firm Name: Hard Rock Sawing & Drilling Phone: 715-799-3823 Date Certified: 02/05/2014
Specialists Co.
Owner: Mary Dvoratchek Cell: 414-379-2032 TSB Certified: False
Address: N628 S E Bass Ike Rd. Fax: 715-831-7840 SBA 8A Certified: False
Address cont'd: P.O. Box 718 Email:
City: Keshena State: WI Zip: 54135 ACDBE: False
Web Site: www.hardrocksawanddriI1.com Ethnicitv: Native American
Additional Info: Certification TVDe: WBE
NAICS Codes: 238990
Work Tvpe: All Other Specialty Trade Contractors - Specialty: Sawing & Drilling: Core Drilling, Electric
Sawing, Wall Sawing & Slab Sawing
Firm Name: HB Software Solutions Phone: 978-379-0010 Date Certified: 01/20/2016
Owner: Himanshu Bhatnagar Cell: 978-580-9065 TSB Certified: False
Address: 1075 Westford St., Stuie 304 Fax: 978-379-0014 SBA 8A Certified: False
Address cont'd: Email:
City: Lowell State: MA Zip: 01851 ACDBE: False
Web Site: www.hbssonline.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvoe: MBE
NAICS Codes: 541512
Work TVDe: Software Products, Software Services, Application Service Provisioning for the Transportation
Industry and VOIP Systems
Firm Name: Heritage Landscape Design, Inc. Phone: 309-797-9900 Date Certified: 01/21/2014
Owner: Jamie Lewis Cell: TSB Certified: False
Address: 2728 41 st Street Fax: 309-797-6564 SBA 8A Certified: False
Address cont'd: P.O. Box 1137 Email:
City: Moline State: IL Zip: 61265 ACDBE: False
Web Site: www.heritagelandscapedesign.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237310, 541320, 561730
Work Tvae: Clearing and Grubbing, Excavating, & Grading; Misc. Landscape Design; Landscaping
Page 34 of 91
Firm Name: Hg Consult, Inc. Phone: 816-256-5153 Date Certified: 12/15/2010
Owner: Earl J. Harrison, Jr. Cell: 816-918-1114 TSB Certified: False
Address: 10512 N. Euclid Avenue Fax: 816-734-9109 SBA 8A Certified: False
Address cont'd: Email:
City: Kansas City State: MO Zip: 54155 ACDBE: False
Web Site: www.hgcons.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330, 541310, 541620
Work Tvpe: Engineering Services - Civil Engineering Design Services, Roadway Design, General Drainage,
Consulting Services, Public Involvement, Transportation Analysis; Architectural Services;
Environmental Consulting Services
Firm Name: Highliner Consulting Group, LLC Phone: 800-735-1841 Date Certified: 07/19/2016
Owner: Paul Johnson Cell: 907-440-7285 TSB Certified: False
Address: 255 E. Fireweed Ln., Ste. 102 Fax: 866-412-2971 SBA 8A Certified: False
Address cont'd: Email:
City: Anchorage State: AK Zip: 99503 ACDBE: False
Web Site: www.highlinerconsulting.com Ethnicitv: Hispanic
Additional Info: Paul Johnson Ext. 501 Certification Tvpe: MBE
NAICS Codes: 541611, 541690
Work Tvpe: Business Consulting and Business Management
Firm Name: HR Consultants, Inc. Phone: 814-266-3818 Date Certified: 07/20/2016
Owner: Jonna Contacos-Sawyer Cell: 814-341-6878 TSB Certified: False
Address: 160 JARI Drive, Suite 180 Fax: 814-266-0189 SBA 8A Certified: False
Address cont'd: Email:
City: Johnstown State: PA Zip: 15904 ACDBE: False
Web Site: www.hrconsults.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541612, 541611, 541219, 611430, 611710
Work Tvpe: Human resources consulting services including benefits and compensation; employee
assessment; personnel management. Administrative management and general management
consulting services including strategic planning. Other Accounting Services including payroll
services, human resource technical assistance. Professional and management development
training including short duration courses and seminars. Education support services including
education testing evaluation
Page 35 of 91
Firm Name: HRV Conformance Verification Phone: 412-299-2000 Date Certified: 01/09/2017
Associates, Inc.
Owner: Rochelle Stachel Cell: 412-600-6136 TSB Certified: False
Address: 420 Rousser Road, Suite 400 Fax: 412-299-2007 SBA 8A Certified: False
Address cont'd: Email:
City: Moon Township State: PA Zip: 15108 ACDBE: False
Web Site: www.hrvinc.com Ethnicitv: Caucasian
Additional Info: Certification TVDe: WBE
NAICS Codes: 236220, 237110, 237130, 237310, 237990, 541990
Work Tvpe: Construction management and materials and contruction inspection services.
Firm Name: I&A Construction, LLP Phone: 712-301-7234 Date Certified: 08/23/2013
Owner: Alejandro Frias Cell: 712-577-7246 TSB Certified: True
Address: 1007 Court Street(51107) Fax: SBA 8A Certified: False
Address cont'd: P.O. Box 934 Email:
City: Sioux City State: IA Zip: 51102 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Other Owner: Israel Frias Certification Tvpe: MBE
NAICS Codes: 237310, 237990, 237110
Work Tvpe: Bridge Approaches, Catch Basins, Curb and Gutter, Concrete (Driveways, Sidewalks, Misc.
Flatwork), Pavement Patching, Recreational Trails, Retaining Walls, Shoulders (Paved), and
Storm Sewer/Intakes
Firm Name: Illumination Arts, LLC Phone: 973-771-1556 Date Certified: 10/14/2008
Owner: Faith E. Baum Cell: TSB Certified: False
Address: 650 Bloomfield Avenue, Suite 101 Fax: 973-954-4683 SBA 8A Certified: False
Address cont'd: Email:
City: Bloomfield State: NJ Zip: 07003 ACDBE: False
Web Site: www.illuminationarts.com Ethnicitv: Caucasian
Additional Info: Prefer email communications Certification Tvpe: WBE
NAICS Codes: 541310
Work Tvpe: Architectural Lighting Design Services with a particular niche in Aesthetic Lighting for Signature
Bridges. Participation in community design presentations for bridge projects, Sustainable
Lighting, LEEd Lighting Design, Lighting Consulting, Energy Efficient Lighting Design.
Page 36 of 91
Firm Name: Images, Inc. Phone: 630-449-7876 Date Certified: 11/13/2015
Owner: Tracy Morse Cell: 312-498-4274 TSB Certified: False
Address: 1250 E. Diehl Road, Suite 401 Fax: 630-449-7876 SBA 8A Certified: False
Address cont'd: Email:
City: Naperville State: IL Zip: 60563 ACDBE: False
Web Site: www.imagesinc.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541613, 541820
Work Tvpe: Marketing Consulting Services; Misc. Public Relations, Public Involvement
Firm Name: IMEX Cargo, LLC Phone: 617-718-4639 Date Certified: 02/27/2017
Owner: Michelle DeFronzo Cell: TSB Certified: False
Address: Fax: 877-515-1215 SBA 8A Certified: False
Address cont'd: PO Box 627 Email:
City: Revere State: MA Zip: 02151 ACDBE: True
Web Site: http://www.imexcargo.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 488510, 488991, 488999
Work Tvpe: General Sales Agent, Freight Forwarding/3rd Party Logistics; Providing Logistics and Supply
Chain Solutions, Freight Transportation Arrangement Preparing goods for transportation (i.e.,
crating, packing).
Firm Name: In Situ Archaeological Consulting, Phone: 952-658-8891 Date Certified: 06/14/2016
LLC
Owner: Abraham Ledezma Cell: 218-790-0690 TSB Certified: False
Address: 2225 Manuela Drive Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Chaska State: MN Zip: 55318 ACDBE: False
Web Site: www.insitucrm.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541720, 541690, 541360
Work Tvpe: Consulting Firm Offering Archaeological Research, Site Delineation and Evalution, Geophysical
Survey, Cultural/Historical Preservation, Cultural Resource Management 106 Compliance
Page 37 of 91
Firm Name: Independent Public Advisors, LLC Phone: 515-259-8193 Date Certified: 09/08/2014
Owner: Tionna Pooler Cell: 515-988-2732 TSB Certified: True
Address: 8805 Chambery Blvd., Suite 300 Fax: 55-259-8193 SBA 8A Certified: False
Address cont'd: #114 Email:
City: Johnston State: IA Zip: 50131 ACDBE: False
Web Site: www.independentpublicadvisors.com Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541611
Work Tvpe: Management Consulting Services - Financial Advisory Services provided to Municipal
Governments
Firm Name: Industrial Fence, Inc. Phone: 773-521-9900 Date Certified: 04/12/2017
Owner: Miguel A. Saltijeral Cell: 773-617-9734 TSB Certified: False
Address: 1300 Kilbourn Avenue Fax: 773-521-9904 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60623 ACDBE: False
Web Site: www.industrialfenceinc.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 332312
Work Tvpe: Fabrication of chain link temporary fence, guardrails, ornamental railings and miscellaneous
metals; Guardrail installation.
Firm Name: Intelligent Design & Construction Phone: 708-445-7537 Date Certified: 11/08/2016
Solutions, LLC
Owner: Geraldine Ryan, P.E. Cell: TSB Certified: False
Address: 200 W. Adams St., Ste. 1825 Fax: 708-445-7538 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60606 ACDBE: False
Web Site: www.idcs-llc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Electrical Engineering
Page 38 of 91
Firm Name: Interra, Inc. Phone: 630-754-8700 Date Certified: 04/11/2017
Owner: Sanjeevareddy Bandi Cell: 630-675-1369 TSB Certified: False
Address: 600 Territorial Drive, Suite G Fax: 630-754-8705 SBA 8A Certified: False
Address cont'd: Email:
City: Bolingbrook State: IL Zip: 60440 ACDBE: False
Web Site: www.interraservices.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330, 541360, 541380
Work Tvpe: Aeronautics: construction inspection; QA Aggregate/HMA/PCC; QA HMA&Aggregate
Construction Inspection; General Geotechnical Services; Subsurface Explorations; Structure
Geotechnical Reports; Misc: Material Testing
Firm Name: Interstate Sealant& Concrete, Inc. Phone: 262-547-6316 Date Certified: 06/05/2007
Owner: Cheryl A. Sment Cell: 414-688-3115 TSB Certified: False
Address: S40 W24211 Rockwood Way Fax: 262-547-6844 SBA 8A Certified: False
Address cont'd: Email:
City: Waukesha State: WI Zip: 53189 ACDBE: False
Web Site: www.interstatesealant.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238110, 238990, 238390
Work Tvpe: Pavement Joints (Sealing, Sawing, and Routing), Spall Repair, and/or Patching, PCC Buildings,
Epoxy Crack/Sealing
Firm Name: Intueor Consulting, Inc. Phone: 949-753-9011 Date Certified: 06/06/2016
Owner: Viender Mididaddi Cell: 949-466-5663 TSB Certified: False
Address: 7700 Irvine Center Drive, Suite 470 Fax: 510-899-0440 SBA 8A Certified: False
Address cont'd: Email:
City: Irvine State: CA Zip: 92618 ACDBE: False
Web Site: www.intueor.com Ethnicitv: Subcontinent
Asian
Additional Info: Other Owner: Sreenivasulu Malireddy Certification Tvpe: MBE
NAICS Codes: 541519, 541618, 541611, 541512, 541511, 541330
Work Tvpe: Business Administration; Management Information Systems; Traffic Engineer; Feasibility Studies;
Engineering; Consultant, Engineering; Architectural Engineer; Civil Engineering; Safety Studies;
Mechanical Engineers; Computer Programming; Integrated Systems & CAD/CAM Systems;
Management& Public Relations
Page 39 of 91
Firm Name: Iowa-Counts Phone: 319-493-5454 Date Certified: 12/02/2016
Owner: Safiah Elahi Cell: TSB Certified: False
Address: 625 Shirley Street Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Cedar Falls State: IA Zip: 50613 ACDBE: False
Web Site: www.lowa-Counts.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Traffic engineering consulting services: Traffic data collection (e.g., intersection turning
movements, speed measurements, queuing, corner sight distance measurements, collection of
pedestrian, bicycle, and commercial or personal vehicle raw data, and extracting traffic data from
videos).
Firm Name: Iron Works Rebar, Inc. Phone: 402-873-3583 Date Certified: 08/30/2002
Owner: Devin Santana Cell: 402-297-3019 TSB Certified: False
Address: a/k/a Iron Works, Inc. Fax: 402-873-3581 SBA 8A Certified: False
Address cont'd: 212 South 6th Street Email:
City: Nebraska City State: NE Zip: 68410 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238120, 237310, 238110
Work Tvpe: Reinforcing Steel (Installation); Pavement Patching, Misc. Concrete (Flatwork); Poured Concrete
Foundation and Structure Contractors
Firm Name: Isthmus Engineering, Inc. Phone: 612-306-5774 Date Certified: 11/25/2013
Owner: Katherine Toghramadjian Cell: TSB Certified: False
Address: 10951 Flanders Court NE Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Blaine State: MN Zip: 55449 ACDBE: False
Web Site: www.isthmusengineering.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541512
Work Tvpe: Engineering Services - Civil Engineering; Computer Systems Design Services-
Microstation/Geopak Design, Support and Training Services
Page 40 of 91
Firm Name: J & J Boring, Inc. Phone: 636-566-6766 Date Certified: 06/27/2013
Owner: Jennifer Bouquet Cell: 314-249-5141 TSB Certified: False
Address: 41 Cardinal Hill Road Fax: 636-668-6816 SBA 8A Certified: False
Address cont'd: P.O. Box 357 Email:
City: Winfield State: MO Zip: 63389 ACDBE: False
Web Site: www.jjboring.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238910, 237110, 237990
Work Tvpe: Site Preparation Contractors - Horizontal Boring and Construction; Water and Sewer Line and
Related Structures Construction; Other Heavy and Civil Engineering Construction
Firm Name: J. D. Donovan, Inc. Phone: 320-251-1213 Date Certified: 02/22/1995
Owner: Joan Donovan Cell: 320-267-8041 TSB Certified: False
Address: Fax: 320-251-3220 SBA 8A Certified: False
Address cont'd: P.O. Box 7368 Email:
City: St. Cloud State: MN Zip: 56302 ACDBE: False
Web Site: www.jddonovan.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Trucking (Liquid Asphalt Tankers only)
Firm Name: J. L. Brown Contracting, Inc. Phone: 314-770-9066 Date Certified: 07/26/2013
Owner: Jimmie Brown Cell: TSB Certified: False
Address: 5141 N Hanley Road Fax: 314-770-9082 SBA 8A Certified: False
Address cont'd: Email:
City: Berkley State: MO Zip: 63134 ACDBE: False
Web Site: www.jIbrowncontracting.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238990, 238140, 238130, 238350, 238330, 238320, 238160, 238170, 238310, 238110, 238120
Work Tvpe: All Other Specialty Trade Contractors-Asphalting, Residential & Commercial Driveway and
Parking Area; Masonry Contractors - Brick Veneer, Installation; Framing Contractors; Finish
Carpentry Contractors - Cabinet Work, Carpentry Work(Except Framing), Finish Carpentry,
Window& Door Installation; Flooring Contractors; Painting and Wall Covering Contractors-
Painting (Except Roof) Contractors; Roofing Contractors; Siding Contractors; Drywall and
Insulation Contractors; Poured Concrete Foundation and Structure Contractors- Foundation,
Building, Poured Concrete, Contractors; Structural Steel and Precast Concrete Contractors; Site
Preparation Contractors- Demolition, Building and Structure; Other Waste Collection - Brush
Collection Services, Brush Hauling, Brush Removal Services, Dump Trucking or Rubble or Brush
with Collection or Disposal
Page 41 of 91
Firm Name: J.A. Watts, Inc. Phone: 312-997-3720 Date Certified: 07/24/2013
Owner: Julie A. Watts Cell: TSB Certified: False
Address: 940 West Adams Street, Suite 400 Fax: 312-997-3726 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60607 ACDBE: True
Web Site: www.jwincorporated.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 236210, 236220, 237310, 237990, 541330, 541611, 541990
Work Tvpe: Construction management, industrial building (except warehouses); Construction management,
commercial and institutional building; Construction management, highway, road, street and
bridge; Construction management, mass transit; Civil engineering services; Construction
engineering services; Electrical engineering services; Engineering consulting services
Firm Name: J+M Civil Design, LLC Phone: 309-798-4821 Date Certified: 06/10/2014
Owner: Bryce A. Johnson Cell: 563-349-0953 TSB Certified: True
Address: 2550 Middle Road, Suite 300 Fax: 563-445-2308 SBA 8A Certified: False
Address cont'd: Email:
City: Bettendorf State: IA Zip: 52722 ACDBE: False
Web Site: www.jmcivildesign.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541330, 541820
Work Tvpe: Civil Engineering Transportation Design Services, such as: Civil Engineering Design; Urban
Street, Rural Roadway, and Highway Design, Drainage Design, Erosion Control Plans, Storm
Water Pollution Prevention Plans (SWPPP), Storm Water Detention; Trails; ADA Accessibility;
Route Planning, County and Township Roadway Reconstruction/Rehabilitation; Coordination with
Permitting Agencies and Funding Agencies; Project Reports; Public Involvement; Pavement
Rehabilitation, Pavement Design; Streetscaping; Cost Estimating; and Roadway Realignment
Firm Name: Jacobsen Daniels Associates, LLC Phone: 734-971-3200 Date Certified: 01/17/2013
Owner: Darryl H. Daniels Cell: TSB Certified: False
Address: 121 Pearl Street Fax: 734-971-3204 SBA 8A Certified: False
Address cont'd: Email:
City: Ypsilanti State: MI Zip: 48197 ACDBE: True
Web Site: www.jacobsendaniels.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541618, 541330, 541614, 453220, 561110
Work Tvpe: Other Management Consulting Services (Airport Planning Consulting); Traffic Engineering
Consulting Services; Transportation Management Consulting Services ; Gift, Novelty, and
Souvenir Stores; Management Services (Retail/Airport Concessions)
Page 42 of 91
Firm Name: James Enterprise, Inc. Phone: 402-432-6740 Date Certified: 06/24/2008
Owner: James C. James, Jr. Cell: TSB Certified: False
Address: 7000 Whitewater Lane Fax: 402-742-9113 SBA 8A Certified: False
Address cont'd: Email:
City: Lincoln State: NE Zip: 68521-8999 ACDBE: False
Web Site: www.jamesenterpriseinc.net Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Trucking
Firm Name: Jamico, Inc. Phone: 402-209-9900 Date Certified: 04/21/2016
Owner: Rebecca Oberle Cell: 402-209-5014 TSB Certified: False
Address: Fax: 402-874-9127 SBA 8A Certified: False
Address cont'd: P.O. Box 697 Email:
City: Nebraska City State: NE Zip: 68410 ACDBE: False
Web Site: www.jamicoconstruction.com Ethnicitv: Native American
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237310, 238910, 238990
Work Tvpe: Guardrail and Fence
Firm Name: JC Supply& Manufacturing Phone: 909-373-1773 Date Certified: 09/05/2013
Owner: Connie Lightcap Cell: 951-265-8999 TSB Certified: False
Address: a/k/a Lightcap Industries, Inc. Fax: 909-373-1785 SBA 8A Certified: False
Address cont'd: 1612 S. Cucamonga Avenue Email:
City: Ontario State: CA Zip: 91761 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 332312, 423390
Work Tvpe: Wholesale Broker of Construction Materials, Fabricated Structural Metal Products
Firm Name: JCM &Associates, Inc. Phone: 800-543-3732 Date Certified: 05/19/2014
Owner: Jose Cornejo Cell: 323-726-9040 TSB Certified: False
Address: 5443 E Washington Blvd. Fax: 323-726-8643 SBA 8A Certified: False
Address cont'd: Email:
City: Commerce State: CA Zip: 90040 ACDBE: True
Web Site: www.bluegooseuniforms.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 315990, 448190
Work Tvpe: Apparel &Accessories Manufacturing and Misc. Fabricated Textile Products Manufacturing
Page 43 of 91
Firm Name: JMS Communications & Research Phone: 941-748-1950 Date Certified: 06/02/2015
Owner: Jill Schultz Cell: 941-932-1544 TSB Certified: False
Address: 108 47th St. Ct. NW Fax: 941-747-9031 SBA 8A Certified: False
Address cont'd: Email:
City: Bradenton State: FL Zip: 34209 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541613, 541820
Work Tvpe: Marketing Consulting Services; Public Relations Agencies
Firm Name: J-Tec Metal Products, Inc. Phone: 630-875-1300 Date Certified: 04/19/2017
Owner: Jesus Garza Cell: N/A TSB Certified: False
Address: 1320 W. Ardmore Ave. Fax: 630-875-1200 SBA 8A Certified: False
Address cont'd: Email:
City: Itasca State: IL Zip: 60143 ACDBE: False
Web Site: www.j-tecmetal.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 332322
Work Tvpe: Sheet metal fabrication of cabinets, doors, chassis and brackets
Firm Name: Justine Woodard McKnight Phone: 410-507-3582 Date Certified: 02/14/2008
Owner: Justine McKnight Cell: TSB Certified: False
Address: Archeobotanical Consultant Fax: 410-729-5782 SBA 8A Certified: False
Address cont'd: 708 Fair Castle Avenue Email:
City: Severna Park State: MD Zip: 21146 ACDBE: False
Web Site: www.archeobotany.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541690, 541711
Work Tvpe: Other Scientific and Technical Consulting Services-Specifically: Historic Landscape Assessment,
Paleoethnol botanical Analysis, Vegetative/Physiographic Survey; Research and Development in
Biotechnology- Specifically: Archeobotanical Consultant
Page 44 of 91
Firm Name: K&S Engineers, Inc. Phone: 219-924-5231 Date Certified: 04/25/2017
Owner: Dibakar Sundi Cell: 219-677-2821 TSB Certified: False
Address: 9715 Kennedy Avenue Fax: 219-924-5271 SBA 8A Certified: False
Address cont'd: Email:
City: Highland State: IN Zip: 46322 ACDBE: False
Web Site: www.kandsengineers.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238910, 541380
Work Tvpe: Drilling caissons; Geotechnical engineering, soil borings, Soil,Concrete &Asphalt Testing
Firm Name: Kansas City Testing and Phone: 913-321-8100 Date Certified: 12/14/2015
Engineering LLC
Owner: Elisabeth DeCoursey Cell: 913-908-6296 TSB Certified: False
Address: 1308 Adams Street Fax: 913-321-8181 SBA 8A Certified: False
Address cont'd: Email:
City: Kansas City State: KS Zip: 66103 ACDBE: False
Web Site: www.kctesting.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541350, 541380, 541620, 541690
Work Tvpe: Engineering Consulting for Environmental, Geo Technical, and Construction Materials
Firm Name: Kaskaskia Engineering Group, LLC Phone: 618-233-5877 Date Certified: 05/10/2010
Owner: Geri E. Boyer Cell: TSB Certified: False
Address: 208 East Main St., Suite 100 Fax: 618-233-5977 SBA 8A Certified: False
Address cont'd: Email:
City: Belleville State: IL Zip: 62220 ACDBE: False
Web Site: www.kaskaskiaeng.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 561730, 238990, 238910, 237110, 541330, 237990
Work Tvpe: Construction Work Types: Concrete (Driveways, Sidewalks, Misc. Flatwork), Erosion Control
(Seed, Sod, and Rip-Rap), Excavation, Grading, Landscaping, Storm Sewer/Intakes, and
Subdrains; Professional Engineering Services Specializing in: Construction Engineer(Freeways,
Roads &Streets, Location and Design Studies - Rehabilitation, Reconstruction/Major
Rehabilitation, New Construction/Major Reconstruction); Airport (Aeronautical Planning & Special
Services); Traffic Engineering (Traffic Signals, Location Drainage Studies, Traffic Studies, Safety
Studies, and Feasibility Studies); Environmental (Hydraulic Reports -Waterways Typical &
Waterways Complex, Environmental Assessment(EA), Environmental Impact Studies (EIS));
Geotechnical (General Geotechnical Services, Complex Geotechnical/Major Foundation,
Subsurface Explorations, Structure Geotechnical Reports); and Construction Inspection
Page 45 of 91
Firm Name: Kassis Enterprises, Inc. dba as Phone: 712-251-5559 Date Certified: 07/12/2016
Stamp Shop Central
Owner: Linda Kassis Cell: TSB Certified: False
Address: 520 Eden Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Sioux City State: IA Zip: 51105 ACDBE: False
Web Site: www.StampShopCentral.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 339940
Work Tvpe: Making and selling pre-inked rubber stamps and notary journals/record books.
Firm Name: Kates Detective & Security Services Phone: 773-436-3788 Date Certified: 03/13/2013
Agency and Special Events
Services, Inc.
Owner: William Kates Cell: TSB Certified: False
Address: 7810 S. Claremont Avenue Fax: 773-436-3949 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60620 ACDBE: True
Web Site: www.katesdectiveagency.com Ethnicitv: Black
Additional Info: Other Owner: Gladys Kates Certification Tvpe: WBE
NAICS Codes: 561611, 561612
Work Tvpe: Investigation Services- Specifically: Private Detective Agency; Security Guards and Patrol
Services - Specifically: Private Security Contractor
Firm Name: KB Environmental Sciences, Inc. Phone: 727-578-5152 Date Certified: 08/29/2007
Owner: L. Carrol Fowler Cell: 727-776-4766 TSB Certified: False
Address: 9500 Koger Blvd. Suite 211 Fax: 727-578-5210 SBA 8A Certified: False
Address cont'd: Email:
City: St. Petersburg State: FL Zip: 33702 ACDBE: False
Web Site: www.kbenv.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541620
Work Tvpe: Consultant in the areas of: Transportation related Air Quality and Noise, Hazardous Materials,
and Industrial Hygiene
Page 46 of 91
Firm Name: KCOM Transport Services, Inc Phone: 260-745-0520 Date Certified: 01/23/2017
Owner: Michelle Rouseff-Kemp Cell: 260-438-3151 TSB Certified: False
Address: 1021 East Wallace Street Fax: 260-744-4283 SBA 8A Certified: False
Address cont'd: Email:
City: Fort Wayne State: IN Zip: 46803 ACDBE: False
Web Site: www.kcomenvironmental.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 238910, 562211, 562219, 562910, 484220
Work Tvpe: Site Preparation Contractors, Hazardous Waste Treatment and Disposal, Other Nonhazardous
Waste Treatment and Disposal, Remediation Services, and Specialized Freight(except Used
Goods)Trucking, Local
Firm Name: Kendrick& Kendrick Construction, Phone: 763-482-0718 Date Certified: 06/09/2015
LLC
Owner: Lenfield Kendrick Cell: 248-914-5136 TSB Certified: False
Address: 11670 Fountains Drive Fax: 763-445-2501 SBA 8A Certified: False
Address cont'd: Email:
City: Maple Grove State: MN Zip: 55369 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 238910
Work Tvpe: Site Preparation, Clean Up, Demolition, Concrete Flat Work, and Concrete Removal
Firm Name: KFH Group, Incorporated Phone: 301-951-8660 Date Certified: 12/11/2013
Owner: Sue Knapp Cell: TSB Certified: False
Address: 4920 Elm Street, Suite 350 Fax: 301-951-0026 SBA 8A Certified: False
Address cont'd: Email:
City: Bethesda State: MD Zip: 20814 ACDBE: False
Web Site: www.kfhgroup.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541611, 541613, 541614
Work Tvpe: Engineering Services - Specifically: Transportation Consulting Services; Administrative
Management and General Management Consulting Services; Marketing Consulting Services-
Specifically: Transportation Marketing and Market Research; Process, Physical Distribution, and
Logistics Consulting Services - Specifically: Transportation Management Consulting Services
Page 47 of 91
Firm Name: Kim Construction Company, Inc. Phone: 708-754-1181 Date Certified: 02/22/2012
Owner: Kim A. Vallow Cell: 708-878-7520 TSB Certified: False
Address: 3142 Holeman Fax: 708-754-1183 SBA 8A Certified: False
Address cont'd: P.O. Box 276 Email:
City: Steger State: IL Zip: 60475 ACDBE: False
Web Site: www.kimconstruction.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237110
Work TVDe: Storm Sewer/Intakes and Water Mains
Firm Name: Kivindyo Engineering Services, LLC Phone: 314-623-8942 Date Certified: 10/16/2015
Owner: Clement M. Kivindyo Cell: 314-623-8942 TSB Certified: False
Address: 4579 Laclede Avenue, #366 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Saint Louis State: MO Zip: 63108 ACDBE: False
Web Site: www.keservicesstl.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330
Work Tvpe: Engineering Services - Utility Coordination; Management for Civil Engineering Projects
Firm Name: KL Engineering, Inc. Phone: 608-663-1218 Date Certified: 07/19/2016
Owner: Kim M. Lobdell Cell: 608-444-0073 TSB Certified: False
Address: 5950 Seminole Centre Ct., Suite 200 Fax: 608-663-1226 SBA 8A Certified: False
Address cont'd: Email:
City: Madison State: WI Zip: 53711 ACDBE: False
Web Site: www.klengineering.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237310, 541330, 541340, 541370, 541611, 541620
Work Tvpe: Consultant, Lighting/Signals, Survey, Other Miscellaneous, Design Engineering, and
Environmental Services
Page 48 of 91
Firm Name: KLI, Inc. Phone: 630-213-1282 Date Certified: 07/01/2002
Owner: Lisa Jurgens Carso Cell: TSB Certified: False
Address: 304 Roma Jean Parkway Fax: 630-213-1297 SBA 8A Certified: False
Address cont'd: Email:
City: Streamwood State: IL Zip: 60107 ACDBE: False
Web Site: www.kli-inc.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 334418, 334419
Work Tvpe: Assembly Test of Electronic Electrical Sub-Assemblies, Components to PC Assemblies,
Functional Testing of Printed Circuit Assemblies; Wire Stripping Termination, Harness Assembly,
Cable Assembly
Firm Name: Koppel Fabrication, Inc. Phone: 660-335-4601 Date Certified: 04/19/2017
Owner: Carrie Guier Cell: 816-564-2927 TSB Certified: False
Address: 10262 Hwy 127 Fax: 660-335-0114 SBA 8A Certified: False
Address cont'd: Email:
City: Sweet Springs State: MO Zip: 65351 ACDBE: False
Web Site: koppelfab.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 332323
Work Tvpe: Highway, Street, and Bridge Construction - Railing for Aesthetics/Guardrail on Highway& Bridges
Ornamental and Architectural Metal Work Manufacturing
Firm Name: KSO Metalfab, Inc. Phone: 630-372-1200 Date Certified: 02/19/2013
Owner: Dora Kuzelka Cell: 630-779-0755 TSB Certified: False
Address: 250 Roma Jean Pkwy. Fax: 630-372-1251 SBA 8A Certified: False
Address cont'd: Email:
City: Streamwood State: IL Zip: 60107 ACDBE: False
Web Site: www.kso.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 332312, 332313, 332119
Work Tvpe: Plate Work and Fabricated Structural Product Manufacturing - Precision Metal Fabrication;
Forging and Stamping - Prototype Design and Assembly
Page 49 of 91
Firm Name: Lakeside Engineers, LLC Phone: 262-789-8200 Date Certified: 02/03/2012
Owner: Kelly Langer Cell: TSB Certified: False
Address: 909 N. Mayfair Road, Suite 100 Fax: 262-789-8207 SBA 8A Certified: False
Address cont'd: Email:
City: Wauwatosa State: WI Zip: 53226 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Transportation Engineering Design and Transportation Construction Management
Firm Name: Larry's Landscaping Phone: 319-241-0122 Date Certified: 08/03/2011
Owner: Larry Eason Cell: TSB Certified: True
Address: 3218 Castle Dr. SW Fax: 319-265-1930 SBA 8A Certified: False
Address cont'd: Email:
City: Cedar Rapids State: IA Zip: 52404 ACDBE: False
Web Site: www.larryslawncareandsnowplowing.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 561730, 237990
Work Tvpe: Landscaping (Trees and Shrubs), Mowing, Snow Removal, and Tree and Stump Removal
(Clearing and Grubbing); Retaining Walls
Firm Name: Leader Construction Company Phone: 515-988-8988 Date Certified: 03/17/2009
Owner: Robert Leader Cell: TSB Certified: False
Address: 1540 Thompson Avenue Fax: 515-265-2525 SBA 8A Certified: False
Address cont'd: Email:
City: Des Moines State: IA Zip: 50316 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 237990
Work Tvpe: Concrete (Driveways, Sidewalks, Misc. Flatwork), Paved Sidewalks/Recreational Trails,
Pavement Patching, and Retaining Walls
Page 50 of 91
Firm Name: Leslie Saunders Insurance Agency, Phone: 813-949-8964 Date Certified: 07/16/2008
Inc.
Owner: Leslie Saunders Cell: 813-503-7387 TSB Certified: False
Address: 1535 Dale Mabry, Suite 101 Fax: 813-949-9655 SBA 8A Certified: False
Address cont'd: Email:
City: Lutz State: FL Zip: 33548 ACDBE: True
Web Site: www.lesliesaunders.com Ethnicitv: Caucasian
Additional Info: Certification TVDe: WBE
NAICS Codes: 488190, 524210, 524298, 541613, 611430
Work Tvpe: Other Support Activities for Air Transportation, Insurance Agencies and Brokerages, All Other
Insurance Related Activities, Marketing Consulting Services, Professional and Management
Development Training
Firm Name: Lin Engineering, Ltd. Phone: 217-679-2928 Date Certified: 11/06/2007
Owner: Paul B. Lin Cell: 630-323-5168 TSB Certified: False
Address: 3261 S. Meadowbrook Rd., Suite Fax: 217-679-2736 SBA 8A Certified: False
Address cont'd: 500 Email:
City: Springfield State: IL Zip: 62711 ACDBE: False
Web Site: www.lineng.com Ethnicitv: Asian-Pacific
Additional Info: 2nd address: 576 Oakmont Lane, Westmont, IL 60559; Fax: 630-3bb ifidgdon Tvae: MBE
NAICS Codes: 541330, 541370
Work Tvpe: Consulting Engineering Services: Bridge Design & Rehabilitation, Highway Studies & Design,
Traffic Engineering, Surveying, Hydraulic Design
Firm Name: LM Eaton Trucking LLC Phone: 507-838-9563 Date Certified: 01/18/2017
Owner: Melissa Eaton Cell: TSB Certified: False
Address: 29311 170th ST. Fax: 507-835-4100 SBA 8A Certified: False
Address cont'd: Email:
City: Waseca State: MN Zip: 56093 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Lindsey Eaton co-owner. Certification Tvpe: WBE
NAICS Codes: 484220, 541614
Work Tvpe: Trucking of Aggregate, Sand, Gravel, Hot Mix, Heavy Haul, Hauling For Road Construction,
Dump Truck.
Page 51 of 91
Firm Name: Longhouse Inventory Solutions, LLC Phone: 918-342-3127 Date Certified: 02/06/2013
Owner: Jami Jones Cell: 918-691-1660 TSB Certified: False
Address: 2301 EI Anderson Blvd. (Zip 74017) Fax: 918-342-2453 SBA 8A Certified: False
Address cont'd: P.O. Box 1212 Email:
City: Claremore State: OK Zip: 74018 ACDBE: True
Web Site: Ethnicitv: Native American
Additional Info: Certification Tvoe: WBE
NAICS Codes: 332439, 423990
Work TVDe: Airport Concessionaire: Supplier: Child Safety Seats; Car Seat Storage Bags; Vinyl Tags;
Security Loops; Dapple Cleaner; Locking Clips; Specialty Sign Bases and Trolley Frames;
Miscellaneous Accessories; Manufacturer of Security Key Drops
Firm Name: LT Leon Associates, Inc. Phone: 515-422-7016 Date Certified: 09/11/2009
Owner: Luis Leon Cell: 515-865-7722 TSB Certified: True
Address: 500 East Locust Street, Suite 400 Fax: SBA 8A Certified: True
Address cont'd: Email:
City: Des Moines State: IA Zip: 50309 ACDBE: False
Web Site: www.Itleon.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 541330, 541320, 221310, 541340, 541340
Work TVDe: Civil Engineering; Environmental Engineering; Consulting, Planning, Design; Water Resources;
Stream and River Restoration; Dam Mitigation; Watershed Planning; Floodplain Mapping;
Hydraulic/Hydrologic Analysis; Sustainable Stormwater Management; Site Development; ADA
Accessibility; Regulatory Permitting; SWPPP Management; Construction Observation;
Construction Administration; LEED Project Areas: Road Corridors, Transit, Airports, Rail, Trails,
Watersheds and Drainage, Utility Systems
Page 52 of 91
Firm Name: Luther's Supply Company, LLC Phone: 314-385-6499 Date Certified: 11/12/2014
Owner: Luther Boykins Cell: 314-458-1503 TSB Certified: False
Address: 4135 Shreve Avenue Fax: 314-385-9117 SBA 8A Certified: False
Address cont'd: Email:
City: Saint Louis State: MO Zip: 63115 ACDBE: False
Web Site: www.luthersupplyllc.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 561990, 332996, 423610, 423320, 423720, 424310, 424610, 423510, 237110, 237990
Work Tvpe: Fabricated Pipe and Pipe Fitting Manufacturing; All Other Support Services - Specialty (Cloth
cutting/bolting or winding for the trade); Electrical Apparatus and Equipment, Wiring Supplies, and
Related Equipment Merchant Wholesalers; Brick, Stone, and Related Construction Material
Merchant Wholesalers; Plumbing and Heating Equipment and Supplies (Hydronics) Merchant
Wholesalers; Piece Goods, Notions, and Other Dry Goods Merchant Wholesalers - Fabric Textile
(Lateral) Merchant Wholesaler and Supplier- Specialty (Resin); Plastics Materials and Basic
Forms and Shapes Merchant Wholesalers- Specialty(Resin); Metal Service Centers and Other
Metal Merchant Wholesalers - Specialty(Metal Pipe and Cast Iron Pipe); Water and Sewer Line
and Related Structures Construction - Reconstruction, repair& rehabilitation; Other Heavy and
Civil Engineering Construction - Projects involving water resources & horizontal drilling (e.g.
sewer, pipeline, cable installation)
Firm Name: MA Rebar Services, Inc. Phone: 773-475-7842 Date Certified: 03/23/2017
Owner: Theresa Kern Cell: 312-320-1100 TSB Certified: False
Address: 1415 W. 37th St. Suite 205 West Fax: 773-940-2312 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60609 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310
Work Tvpe: Steel, Reinforcing-Rebar Placement
Firm Name: Mac's Fence, Inc. Phone: 913-287-6173 Date Certified: 09/06/2016
Owner: Chad Bell Cell: 913-515-9234 TSB Certified: False
Address: 6037 Speaker Road Fax: 913-287-7274 SBA 8A Certified: False
Address cont'd: Email:
City: Kansas City State: KS Zip: 66111 ACDBE: False
Web Site: www.Macsfence.com Ethnicitv: Native American
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238990
Work Tvpe: Fence Installation, Sales, Bridge Railing/Handrails, and Retaining Walls
Page 53 of 91
Firm Name: Malarkey Consulting, Inc. Phone: 610-326-0205 Date Certified: 06/16/2014
Owner: Ann M. Tomalavage Cell: 610-405-9423 TSB Certified: False
Address: 1429 Shaner Drive Fax: 610-326-0530 SBA 8A Certified: False
Address cont'd: Email:
City: Pottstown State: PA Zip: 19465 ACDBE: False
Web Site: www.malarkey.us Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541618, 541620, 611430
Work Tvpe: Project Management Consulting; Leed Consulting; Project Management Training
Firm Name: Marcres Manufacturing, Inc. Phone: 847-439-1808 Date Certified: 07/29/2013
Owner: Marlene Palmer Cell: TSB Certified: False
Address: 600 W. Carboy Rd. Fax: 847-439-0553 SBA 8A Certified: False
Address cont'd: Email:
City: Mt. Prospect State: IL Zip: 60056 ACDBE: False
Web Site: www.marcres.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 332322
Work Tvpe: Sheet Metal Fabrication
Firm Name: Maria Hanft Interior Design, LLC Phone: 952-920-8547 Date Certified: 06/18/2015
Owner: Maria Hanft Cell: 952-500-2757 TSB Certified: False
Address: 3400 Huntington Ave. South Fax: 952-927-8069 SBA 8A Certified: False
Address cont'd: Email:
City: St. Louis Park State: MN Zip: 55416 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541410
Work Tvpe: Interior Design Services
Firm Name: Marr Arnold Planning, LLC Phone: 515-231-0344 Date Certified: 09/30/2011
Owner: Summer Marr Cell: TSB Certified: False
Address: 1328 California Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Ames State: IA Zip: 50014 ACDBE: True
Web Site: Ethnicitv: Caucasian
Additional Info: Other Owner: Sarah Arnold Certification Tvpe: WBE
NAICS Codes: 488190, 541611
Work Tvpe: Airport Consulting Services, Transportation Planning, Airport Related Services, Public
Involvement, and Research; Administrative Management and General Management Consulting
Services
Page 54 of 91
Firm Name: Marshall Construction, Inc. Phone: 479-369-2268 Date Certified: 08/09/1994
Owner: Janet Marshall Cell: TSB Certified: False
Address: 10245 Locust Mountain Road Fax: 479-369-2268 SBA 8A Certified: False
Address cont'd: Email:
City: Mountainburg State: AR Zip: 72946 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238120
Work Tvpe: Bridges, Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork), and
Shoulders (granular); Reinforcing Steel (Installation)and Steel Erection
Firm Name: Martinez Geospatial, Inc. Phone: 651-686-8424 Date Certified: 12/20/1983
Owner: Anthony Martinez Cell: 888-290-1127 TSB Certified: False
Address: 2915 Waters Road, Suite 100 Fax: 651-686-8389 SBA 8A Certified: False
Address cont'd: Email:
City: Eagan State: MN Zip: 55121 ACDBE: False
Web Site: www.mtzgeo.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541512, 541370, 541614, 541330, 518210, 561499, 541513, 541511, 541922
Work Tvpe: Consulting Engineer, Soft copy photogrammetry, Digital Topographic/Planimetric Mapping,
Analytical Triangulation, Digital Orthopotography, CADD Reprographics Full Scanning Service,
Consulting &Training; Digital Photogrammetric Mapping; 3D Spatial Modeling &Visualization;
Airport Obstruction Analysis Surveys
Firm Name: Mary A. Lynch Phone: 817-478-3308 Date Certified: 11/21/2011
Owner: Mary A. Lynch Cell: TSB Certified: False
Address: 5719 Overridge Drive Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Arlington State: TX Zip: 76017-1139 ACDBE: True
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 488119, 541611, 541613, 488190, 541618
Work Tvpe: Air Transportation Consulting, such as: Other Airport Operations; Administrative Management and
General Management Consulting Services; Marketing Consulting Services; Other Supportive
Activities for Air Transportation; and Other Management Consulting Services
Page 55 of 91
Firm Name: MDE, LLC dba McDermott Phone: 563-583-4633 Date Certified: 05/01/2017
Excavating
Owner: Tara Duggan Cell: 414-731-0414 TSB Certified: False
Address: 14407 Hwy 20 W Fax: 563-583-5858 SBA 8A Certified: False
Address cont'd: Email:
City: Dubuque State: IA Zip: 50003 ACDBE: False
Web Site: www.mcdermottexcavating.com Ethnicitv: Caucasian
Additional Info: Certification TVDe: WBE
NAICS Codes: 238910, 484220
Work Tvpe: General contracting in excavation trade. Services include residential and commercial site work,
trucking, utility excavation and demolition
Firm Name: Media Link, Inc. Phone: 309-786-5142 Date Certified: 04/08/2016
Owner: Natalie Linville-Mass Cell: 565-326-2522 TSB Certified: False
Address: 1902 17th Street Fax: 309-786-5143 SBA 8A Certified: False
Address cont'd: Email:
City: Rock Island State: IL Zip: 61201 ACDBE: False
Web Site: www.medialinkinc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541613, 541810, 541820
Work Tvpe: Marketing Consulting Services; Advertising; Misc: Public Relations
Firm Name: Mid States Rebar and Supply, LLC Phone: 319-364-6474 Date Certified: 04/22/2013
Owner: Anne Duffield Cell: 319-310-5761 TSB Certified: True
Address: a/k/a Anne Duffield Construction, Fax: 319-364-3938 SBA 8A Certified: False
Address cont'd: 11M5 E Avenue NW Email:
City: Cedar Rapids State: IA Zip: 52405 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Shop Address: 3221 73rd Street, Atkins, IA 52206 Certification Tvae: WBE
NAICS Codes: 331110, 331221, 332312, 423930, 424310, 424690, 424610, 423390
Work Tvpe: Manufacturer/Supplier: Epoxy and Black Reinforcing Steel, Dowels, Paving (CD) Baskets,
Dowels, Reinforcing Epoxy Steel, Reinforcing Black Steel, ADA Pads, and Epoxy Products;
Wholesaler: Recyclable Materials Merchant Wholesaler, Fabric/Textile Merchant Wholesaler,
Other Chemical and Allied Products Merchant Wholesaler, Plastic Material/Basic Forms/Shapes
Merchant Wholesaler, and Other Construction Materials Merchant Wholesaler
Page 56 of 91
Firm Name: Midwest Construction Services & Phone: 636-337-7290 Date Certified: 11/13/2013
Products, LLC
Owner: Cindy Thorne Cell: TSB Certified: False
Address: 13219 State Road CC Fax: 636-586-7290 SBA 8A Certified: False
Address cont'd: Email:
City: DeSoto State: MO Zip: 63020 ACDBE: False
Web Site: www.buildmidwest.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 425120, 423990, 561730
Work Tvpe: Wholesale Trade Agents and Brokers- Commercial and Industrial Electrical Safety Consulting
and Training and a Distributor of Safety Equipment; Other Miscellaneous Durable Goods
Merchant Wholesalers; Landscaping Services-Tree Removal, tree planting and seeding
Firm Name: Midwest Contractors, Inc. Phone: 319-266-2528 Date Certified: 05/09/1994
Owner: Dorinda Pounds Cell: TSB Certified: False
Address: 706 West 1st Street Fax: 319-268-2036 SBA 8A Certified: False
Address cont'd: P.O. Box 279 Email:
City: Cedar Falls State: IA Zip: 50613 ACDBE: False
Web Site: www.midwestcontractors.org Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238990, 561990
Work Tvpe: Asphalt Paving, Bridge Approaches, Concrete (Driveways, Sidewalks, and Misc. Flatwork), PC
Paving, Paved Sidewalk/Recreational Trails, Pavement Joints (Sealing, Sawing, and Routing),
Pavement Patching, Paving Baskets, and Traffic Control
Firm Name: Monoko, LLC Phone: 727-940-3244 Date Certified: 11/14/2013
Owner: Keri Monokandilos Cell: TSB Certified: False
Address: 1037 Peninsula Avenue Fax: 727-279-8795 SBA 8A Certified: False
Address cont'd: Email:
City: Tarpon Springs State: FL Zip: 34689-2125 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238320
Work Tvpe: Painting and Wall Covering Contractors (Bridge Painting)
Page 57 of 91
Firm Name: Moriarty Scheduling Services, LLC Phone: 612-886-1324 Date Certified: 09/22/2015
Owner: Betsy Moriarty Cell: 507-438-8856 TSB Certified: False
Address: 4915 36th Avenue South Fax: SBA 8A Certified: False
Address cont'd: P.O. Box 17412 Email:
City: Minneapolis State: MN Zip: 55417 ACDBE: False
Web Site: www.moriartyscheduling.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541611, 541990
Work Tvpe: Moriarty scheduling utilizes the critical path method (CPM)to provide scheduling services and
support to a variety of disciplines, at various stages during a project, as well as performing
contractor/third party reviews for the owner; Support and training are also available to clients
working to develop their own internal scheduling resources
Firm Name: MPS Engineers, P.C. Phone: 515-221-9832 Date Certified: 07/30/2002
Owner: Umesh G. Shetye Cell: 515-681-7215 TSB Certified: True
Address: 1444 Illinois Street Fax: 515-222-2625 SBA 8A Certified: False
Address cont'd: Email:
City: Des Moines State: IA Zip: 50314 ACDBE: False
Web Site: Ethnicitv: Subcontinent
Asian
Additional Info: Additional Cell #: 515-681-7218 Certification Tvpe: MBE
NAICS Codes: 237310, 237110, 238910, 561730, 238990, 484220
Work Tvpe: Concrete (Driveways, Sidewalks, Parking Lots, and Misc. Flatwork), Utilities (Water and Sewer),
and Wetland Mitigation; Demolition, Excavation, Site Grading; Erosion Control (Seed, Sod, and
Rip-Rap); Trucking
Firm Name: MTC Moreno's Inc. Phone: 815-703-1082 Date Certified: 04/06/2017
Owner: Humberto Moreno Cell: TSB Certified: False
Address: 2804 Foliage Lane Fax: 815-516-0174 SBA 8A Certified: False
Address cont'd: Email:
City: Rockford State: IL Zip: 61109 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight (except Used Goods)Trucking, Local
Page 58 of 91
Firm Name: Multitech Group, Inc. Phone: 817-496-5500 Date Certified: 03/11/2016
Owner: Ora J. Joiner Cell: 817-673-7053 TSB Certified: False
Address: 3711 W. Green Oaks Blvd., Suite C Fax: 817-496-5538 SBA 8A Certified: False
Address cont'd: Email:
City: Arlington State: TX Zip: 76016 ACDBE: False
Web Site: www.multitechgroupinc.com Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238290
Work Tvpe: Installation, Maintenance and Repair of Conveyor Systems for Airports
Firm Name: NASHnal Soil Testing, LLC Phone: 630-780-5201 Date Certified: 02/02/2016
Owner: Umar T. Ahmad Cell: 314-587-5391 TSB Certified: False
Address: 1707 Quincy Avenue, Unit 151 Fax: 630-429-9099 SBA 8A Certified: False
Address cont'd: Email:
City: Naperville State: IL Zip: 60540 ACDBE: False
Web Site: www.nstengr.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541380, 541330
Work Tvpe: Testing Laboratories - Specialty: Geotechnical Testing, Concrete Testing, Soil Testing, and
Asphalt Testing; Engineering Services- Specialty: Structural Steel Inspection, Field Inspection,
Fire-Proofing Testing, Parking and Roadway Inspections, Geotechnical Investigation, and
Engineering Inspections
Firm Name: NovaRest, Inc. Phone: 520-908-7246 Date Certified: 04/30/2013
Owner: Donna Novak Cell: TSB Certified: False
Address: 156 W. Calle Guija, Suite 200 Fax: 772-673-0318 SBA 8A Certified: False
Address cont'd: Email:
City: Sahuarita State: AZ Zip: 85629 ACDBE: False
Web Site: www.novarest.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541618
Work Tvpe: Actuarial Consulting
Page 59 of 91
Firm Name: OEL Construction Services, Inc. Phone: 641-868-2222 Date Certified: 05/06/2009
Owner: Jennifer Ingledue Cell: 641-751-9371 TSB Certified: True
Address: 1306 River Road S Fax: 888-522-9307 SBA 8A Certified: False
Address cont'd: Email:
City: Steamboat Rock State: IA Zip: 50672 ACDBE: False
Web Site: www.oelconstruction.com Ethnicitv: Caucasian
Additional Info: Additional Cell #: 641-751-9361 Certification TVDe: WBE
NAICS Codes: 237310, 238990, 561730, 237990
Work Tvpe: Bridge Approaches, Concrete (Driveways, Sidewalks, Misc. Flatwork), Curb and Gutter, Erosion
Control (Seed, Sod, and Rip-Rap) PC Poured Walls, Pavement Joints (Sealing, Sawing, and
Routing), Pavement Patching, Paving Baskets, Retaining Walls, and Signing
Firm Name: OHM Concession Group LLC Phone: 314-209-9200 Date Certified: 07/01/2016
Owner: Milan Patel Cell: 314-280-5111 TSB Certified: False
Address: 10812 Saint Charles Rock Rd. Fax: 314-209-9201 SBA 8A Certified: False
Address cont'd: Email:
City: Saint Louis State: MO Zip: 63074 ACDBE: True
Web Site: www.ohmgroup.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541618, 722513, 453998, 722515, 722511, 454210
Work Tvpe: Other Management Consulting Services; Limited-Service Restaurants; All Other Miscellaneous
Store Retailers (except Tobacco Stores)- Retail of Spa Concession Products; Snack and
Nonalcoholic Beverage Bars; Full-Service Restaurants; Vending Machine Operators
Firm Name: Omni Elevator Company, Inc. Phone: 410-363-4222 Date Certified: 02/12/2013
Owner: Margaret B. Bess Cell: 410-340-2826 TSB Certified: False
Address: 3722 Ashley Way Fax: 410-363-8842 SBA 8A Certified: False
Address cont'd: Email:
City: Owings Mills State: MD Zip: 21117 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238290, 238290
Work Tvpe: Other Building Equipment Contractors and Other Scientific and Technical Consulting Services,
specifically: Elevator and Escalator Inspections
Page 60 of 91
Firm Name: One on 1 Accounting & Consulting Phone: 717-831-8899 Date Certified: 01/30/2015
Services, LLC
Owner: Angela Huyghue Cell: 571-264-3360 TSB Certified: False
Address: 131 Throne Avenue Fax: 866-936-0043 SBA 8A Certified: False
Address cont'd: Email:
City: York State: PA Zip: 17402 ACDBE: False
Web Site: www.yorkbookkeeping.com Ethnicitv: Native American
Additional Info: Certification TVDe: WBE
NAICS Codes: 541219, 541611
Work Tvpe: Bookkeeping services including payables, receivables, billing, payroll and data entry.
Administrative and general management consulting services
Firm Name: Otero Trucking LLC Phone: 952-367-7578 Date Certified: 03/28/2017
Owner: Jaime Otero Cell: 952-367-7578 TSB Certified: False
Address: 18249 Kerrville Trail Fax: 952-758-4691 SBA 8A Certified: False
Address cont'd: Email:
City: Lakeville State: MN Zip: 55044 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Co-owner Sonia Otero Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight (except Used Goods)Trucking, Local
Firm Name: P.J.R. &Associates, Inc. Phone: 618-426-3325 Date Certified: 05/06/2009
Owner: Jaime Lodge Cell: 618-534-1756 TSB Certified: False
Address: 4883 Rock Crusher Road Fax: 618-426-3713 SBA 8A Certified: False
Address cont'd: P.O. Box 9 Email:
City: Campbell Hill State: IL Zip: 62916 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification TVDe: WBE
NAICS Codes: 237310
Work Tvpe: Steel, Structural - Erection Steel, Reinforcing - Rebar Placement Welding
Page 61 of 91
Firm Name: Paco Construction, LLC Phone: 515-240-0625 Date Certified: 11/09/2006
Owner: Gustavo Z. Villarreal Cell: TSB Certified: True
Address: 9410 SE 56th Avenue Fax: 515-966-2291 SBA 8A Certified: False
Address cont'd: Email:
City: Runnells State: IA Zip: 50237 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238910, 561730, 237990, 484220
Work Tvpe: Asphalt Paving, Asphalt Services Misc., Concrete (Driveway, Sidewalks, Misc. Flatwork),
Demolition, Erosion Control (Seed, Sod, and Rip-Rap), Guardrail, Landscaping (Trees and
Shrubs), Milling, Paved Sidewalk/Recreational Trails, Removals, Retaining Walls, and Trucking
Firm Name: Parking Lot Specialties, LLC Phone: 515-262-1155 Date Certified: 04/11/2017
Owner: Richard R. Brown Cell: 515-210-6206 TSB Certified: False
Address: 600 Holcomb Suite A Fax: 515-262-4575 SBA 8A Certified: False
Address cont'd: P.O. Box 35702, Zip Code 50315 Email:
City: Des Moines State: IA Zip: 50313 ACDBE: False
Web Site: www.parkinglotspecialties.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238990, 561790, 237310
Work Tvpe: Cleaning-parking lots and streeets, ADA Parking Street Signage, Hauling Material, Install Parking
Blocks, Sandblasting, Concrete Repair. Striping/Pavement Marking,
Firm Name: Pat Noyes &Associates Phone: 303-440-8171 Date Certified: 04/21/2014
Owner: Pat Noyes Cell: TSB Certified: False
Address: 1566 County Road 83 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Boulder State: CO Zip: 80302 ACDBE: False
Web Site: www.patnoyes.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541320, 541330, 541614, 541820, 541910
Work Tvpe: Traffic Incident Management, Public Involvement; Neighborhood Traffic Management
Page 62 of 91
Firm Name: Peachtree Telecommunications Phone: 770-242-1970 Date Certified: 03/01/2005
International, LLC
Owner: Sandra Kay Stewart Cell: 770-317-2855 TSB Certified: False
Address: 11465 Johns Creek Pkwy., Suite 350 Fax: 770-242-0818 SBA 8A Certified: False
Address cont'd: Email:
City: Duluth State: GA Zip: 30097 ACDBE: False
Web Site: www.peachtreetelecom.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 236210, 237130, 237310, 238210, 423610, 541618
Work Tvpe: Prefabricated Industrial Building (except Warehouses) Erection; Power& Communication Line &
Related Structures Construction; Highway, Street, and Bridge Construction; Electrical Contractors
and Other Wiring Installation Contractors; Electrical apparatus and Equipment, Wiring Supplies,
and Related Equipment Merchant Wholesalers; Telecommunications Management Consulting
Services -Work Descriptions: Fiber Optic System; Highway Signs; Lighting Standards and
Luminaires; Misc. Drainage Structures; Prestressed Concrete Bridge Members; Traffic Control
Traffic Signal Installation
Firm Name: Perkins & Perkins Construction Phone: 402-208-8587 Date Certified: 01/17/2013
Owner: Michael A. Perkins Cell: 402-612-1356 TSB Certified: False
Address: 3223 North 45th Street Fax: 402-457-6181 SBA 8A Certified: False
Address cont'd: Email:
City: Omaha State: NE Zip: 68104 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 236210, 237310, 237990, 238910, 561730
Work Tvpe: Building Construction, Concrete Flatwork, Landscaping, Pavement Patching, Demolition, and
Retaining Walls
Firm Name: Phalanx Consulting and Solutions, Phone: 443-910-1800 Date Certified: 05/03/2017
LLC
Owner: Correy Thomas Cell: 443-910-1800 TSB Certified: False
Address: 5101 Starting Gate Dr. Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Upper Marlboro State: MD Zip: 20772 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541511, 541512, 541519, 541611
Work Tvpe: Custom computer programming services
Computer systems design services
Other computer related services
(specifically software installation and disaster recovery)
Administrative management and general management consulting services
Page 63 of 91
Firm Name: Phoenix Corp. of the Quad Cities Phone: 309-523-3687 Date Certified: 02/21/1997
Owner: Marjorie Volrath Cell: TSB Certified: False
Address: 23821 66th Avenue North Fax: 309-523-3752 SBA 8A Certified: False
Address cont'd: P.O. Box 129 Email:
City: Port Byron State: IL Zip: 61275-9616 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 237310, 238910, 561730, 237990, 484220
Work Tvpe: Concrete Barrier Rail, Demolition, Erosion Control (Seed, Sod, and Rip-Rap), Excavation,
Grading (Including Drainage, Sewer, and Water), Pavement Breaking, Paving Subbase,
Shoulders (granular), Tree and Stump Removal (Clearing and Grubbing), and Trucking
Firm Name: Pizano Trucking, Inc. Phone: 309-314-8493 Date Certified: 02/19/1993
Owner: Roberto Pizano Cell: TSB Certified: False
Address: 3916 233rd Street North Fax: 309-523-3435 SBA 8A Certified: False
Address cont'd: Email:
City: Port Byron State: IL Zip: 61275 ACDBE: False
Web Site: www.pizanotrucking.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight (except Used Goods)Trucking, Local
Firm Name: Precision Demolition Phone: 309-236-3090 Date Certified: 11/02/2015
Owner: Cassandra Steffen Cell: TSB Certified: False
Address: 14701 308th Street North Fax: 309-654-2479 SBA 8A Certified: False
Address cont'd: Email:
City: Hillsdale State: IL Zip: 61257 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310
Work Tvpe: Excavating & Grading; Demolition; Clearing and Grubbing.
Page 64 of 91
Firm Name: PREMIERE Consulting Group Phone: 443-650-8274 Date Certified: 04/23/2015
Owner: Alvin Aalim Turner Cell: 240-495-3505 TSB Certified: False
Address: 503 Potomac Valley Drive Fax: 443-381-0717 SBA 8A Certified: False
Address cont'd: Email:
City: Fort Washington State: MD Zip: 20744 ACDBE: True
Web Site: www.premierecg.com Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 541611
Work Tvpe: Administrative Management and General Management Consulting Services - Specifically:
Consulting for Public and Private Parking and Fare Collection Systems
Firm Name: Premium Transit Services, Inc. Phone: 574-231-9698 Date Certified: 01/16/2013
Owner: Andrew Brown Cell: 574-876-0454 TSB Certified: False
Address: 1415 Riding Mall East, South Bend, Fax: 574-231-9985 SBA 8A Certified: False
Address cont'd: P46.6964 2496 Email:
City: South Bend State: IN Zip: 46680 ACDBE: False
Web Site: www.premiumtransit.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 423860
Work Tvpe: Railroad equipment and supplies; Transit bus & rail after-market parts.
Firm Name: Prime Focus, LLC Phone: 920-217-7222 Date Certified: 08/24/2011
Owner: Elizabeth Ogard Cell: TSB Certified: False
Address: 918 Fox River Drive Fax: 920-983-8428 SBA 8A Certified: False
Address cont'd: Email:
City: De Pere State: WI Zip: 54115 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541613
Work Tvpe: Transportation Consulting (Freight, Economic Analysis, Facility Design, Demand Assessments);
Marketing and Brochure Design; Marketing Consulting Services
Page 65 of 91
Firm Name: Professional Engineering Services, Phone: 952-456-6707 Date Certified: 03/21/2017
LTD
Owner: Ann M. Johnson, PE Cell: 612-275-8190 TSB Certified: False
Address: 4210 Park Glen Road Fax: SBA 8A Certified: False
Address cont'd: Email:
City: St. Louis Park State: MN Zip: 55416 ACDBE: False
Web Site: www.peservicemn.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Engineering Services: Roadway Design and Construction, Surveying, Civil Engineering, Technical
Writing , Inspection and Training
Firm Name: Progressive Industries, Inc. Phone: 773-763-9566 Date Certified: 04/14/2010
Owner: Valerie O'Donnell Cell: TSB Certified: False
Address: 4131 W. Belmont Ave. Unit C Fax: 773-763-9587 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60641 ACDBE: False
Web Site: www.pii-chicago.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 423450
Work Tvpe: Broker in the areas of Medical, Janitorial, and Industrial Products
Firm Name: PSA Constructors, Inc. Phone: 407-898-9119 Date Certified: 12/30/2015
Owner: Patrick Aliu Cell: 940-312-9992 TSB Certified: False
Address: 1516 E. Hillcrest St., Suite 310 Fax: 407-898-9077 SBA 8A Certified: False
Address cont'd: Email:
City: Orlando State: FL Zip: 32803 ACDBE: False
Web Site: www.psaonline.com Ethnicitv: Black
Additional Info: Office in Texas: Certification Tvpe: MBE
2730 N. Stemmons Frwy., Suite 400W
Dallas, TX 75207
NAICS Codes: 236220, 541340, 541690
Work Tvpe: Commercial and Institutional Building Construction; Drafting Services; Other Scientific and
Technical Consulting Services
Page 66 of 91
Firm Name: Quercus Consulting, Inc. Phone: 312-622-6265 Date Certified: 11/26/2013
Owner: Grace Rink Cell: TSB Certified: False
Address: 3335 West Berteau Avenue Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60618 ACDBE: True
Web Site: www.quercusconsult.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541620, 541712
Work Tvpe: Environmental Consultant Services specializing in Green/Sustainable Building Consulting;
Research and Development in the Physical, Engineering, and Life Sciences (except
Biotechnology) specializing in Research
Firm Name: Quest Corporation of American, Inc. Phone: 866-662-6273 Date Certified: 01/16/2013
Owner: Sharlene Lairscey Cell: 813-926-2942 TSB Certified: False
Address: 17220 Camelot Court, Land O Fax: 923-926-2962 SBA 8A Certified: False
Address cont'd: 4M(7S 94hW&%Ivd., Ste. 242 Email:
City: Tampa State: FL Zip: 33624 ACDBE: False
Web Site: www.qcausa.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541611, 541820
Work Tvpe: Consultants, Public Relations; Full service communication firm that specializes in marketing,
advertising, public relations, public information, aviation services, graphics design and web site
design and maintenance
Firm Name: Quigg Engineering Inc. Phone: 217-670-0563 Date Certified: 07/24/2013
Owner: Lori L. Quigg Cell: 217-473-6110 TSB Certified: False
Address: 2351 S. Dirksen Parkway Fax: 217-679-2204 SBA 8A Certified: False
Address cont'd: Email:
City: Springfield State: IL Zip: 62703 ACDBE: False
Web Site: www.quiggengineering.com Ethnicitv: Caucasian
Additional Info: Branch Office in Iowa: 5402 Victoria Avenue, Davenport, IA 5280Eertification Tvpe: WBE
NAICS Codes: 541330, 237110, 541320, 541370, 541620
Work Tvpe: Hydraulic Reports- Pump Stations; Landscape Architecture; Engineering Services -Aeronautics:
Construction Inspection, Traffic Signals; Waterways: Typical, Pump Stations, Construction
Inspection; Aeronautics: Design, Freeways, Highway Structure: Simple, Highway Structure:
Typical, Roads and Streets, Location Drainage, Studies: Traffic, Reconstruction/Major
Rehabilitation, Rehabilitation; Aeronautics: Planning & Special Services; Surveying; Sanitary
Engineering, Environmental Assessment
Page 67 of 91
Firm Name: R.A. Seaton Contractor Services, Phone: 818-520-4812 Date Certified: 01/30/2017
L.L.C.
Owner: Rebecca A. Seaton Cell: TSB Certified: False
Address: 1467 McKinley Ave. Fax: 815-547-7776 SBA 8A Certified: False
Address cont'd: Email:
City: Belvidere State: IL Zip: 61008 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 327320, 425120, 484220
Work Tvpe: Supplier Concrete, Pipe - Non-Stocking Distributor, and Local Trucking (except used goods).
Firm Name: R.A.E. Rebar, Inc. Phone: 402-533-2903 Date Certified: 11/24/2003
Owner: Herta Bouvia Cell: 402-306-0867 TSB Certified: False
Address: 15398 County Rd. 18 Fax: 402-426-2906 SBA 8A Certified: False
Address cont'd: Email:
City: Blair State: NE Zip: 68008 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 238120
Work Tvpe: Reinforcing Steel (installation/supply) and Steel Erection-Girders only (Installation/labor only)
Firm Name: R.M. Chin and Associates, Inc. Phone: 312-595-2000 Date Certified: 11/20/2015
Owner: Eileen Chin Cell: 312-961-1564 TSB Certified: False
Address: 500 W. 18th Street, Suite 200 Fax: 312-644-0999 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60616 ACDBE: True
Web Site: www.rmchin.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237110, 237130, 237310, 237990, 541330, 541340, 541350, 541511, 541512, 541519, 541611,
541820
Work Tvpe: Water and Sewer Line and Related Structures Construction; Power and Communication Line and
Related Structures Construction; Highway, Street, and Bridge Construction; Other Heavy and
Civil Engineering Construction; Engineering Services; Drafting Services; Building Inspection
Services; Computer Systems Design and Related Services; Computer Systems Design and
Related Services; Computer Systems Design and Related Services; Management Consulting
Services; Public Relations Agencies - Specialty work in the areas of: Engineering Services and
Consulting; Construction Inspection Services; Professional Design firm; Construction Project
Management Services; Real Estate Development; Environmental Consulting
Page 68 of 91
Firm Name: RAKS Fire Sprinkler, LLC dba RAKS Phone: 601-261-0820 Date Certified: 06/02/2015
Corp, LLC
Owner: Romero Ali Cell: 334-202-0322 TSB Certified: False
Address: 215 Mobile Street(Zip 39401 Fax: 601-255-1373 SBA 8A Certified: False
Address cont'd: P.O. Box 16812 Email:
City: Hattiesburg State: MS Zip: 39404 ACDBE: False
Web Site: www.raksfiresprinkler.com Ethnicitv: Black
Additional Info: Certification TVDe: MBE
NAICS Codes: 238220
Work Tvpe: Plumbing, Heating, and Air-Conditioning Contractors, Fire Sprinkler System Installation and
Maintenance
Firm Name: RAMMS Construction LLC Phone: 641-691-6584 Date Certified: 02/15/2010
Owner: Miguel Chavarria Cell: TSB Certified: True
Address: Fax: SBA 8A Certified: False
Address cont'd: P.O. Box 582 Email:
City: Marshalltown State: IA Zip: 50158 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238990, 237990
Work TVDe: Bridge Approaches, Concrete (Driveways, Sidewalks, Misc. Flatwork), Curb & Gutter, PC Poured
Walls, and Recreational Trails
Firm Name: Risk Management Solutions of Phone: 312-960-6200 Date Certified: 09/22/2015
America, Inc.
Owner: Bennie Jones Cell: TSB Certified: False
Address: 309 W. Washington St., Suite 200 Fax: 312-960-1920 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60606 ACDBE: False
Web Site: www.rmsoa.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 524210, 524291, 524292, 524298
Work Tvpe: Insurance Brokerages; Claims Adjusting, Insurance; Third Party Administration of Insurance and
Pension Funds; All other Insurance Related Activities
Page 69 of 91
Firm Name: River Bend Enterprises, L.C. Phone: 641-435-2436 Date Certified: 11/15/1988
Owner: Cindy Shoemaker Cell: TSB Certified: True
Address: 3000 Asherton Avenue Fax: 641-435-2436 SBA 8A Certified: False
Address cont'd: P.O. Box 307 Email:
City: Nashua State: IA Zip: 50658 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220, 423320
Work Tvpe: Trucking; Manufacturer: Aggregates; Supplier: Aggregates; Broker: Aggregates
Firm Name: RL Controls, LLC Phone: 781-932-3349 Date Certified: 02/10/2016
Owner: Lena R. Walsh Cell: 617-771-6167 TSB Certified: False
Address: 2-G Gill Street Fax: 781-932-3359 SBA 8A Certified: False
Address cont'd: Email:
City: Woburn State: MA Zip: 01801 ACDBE: False
Web Site: www.rl controls.corn Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541380, 425120, 541614, 811213, 237130, 238210, 334220, 423690, 488210
Work Tvpe: Component Level Repair Back Shop that Focuses on Transit Vehicle Systems, Infrastructure, and
Right of Way to include Power, Telematics, Communication, Information Solutions and Legacy or
Obsolete Equipment. Additional Services includes Engineering, Repair, Installation, Manufacture
and Support of these systems and LVPS, Propulsion & Control, HVAC, Vital & Signal Equipment,
Control, Communication and WAP Requirements; Brokers of MRO Material
Firm Name: Robinson Engineering Company, Phone: 319-334-7211 Date Certified: 05/22/2012
Inc.
Owner: Monica Smith Cell: 563-920-5382 TSB Certified: True
Address: 322 1st Street East Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Independence State: IA Zip: 50644 ACDBE: False
Web Site: www.robinsoneng-ia.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541370
Work Tvpe: Engineering - Civil, Transportation, Surveying, and Storm Water Design, Surveying and Mapping
(Except Geophysical) Services
Page 70 of 91
Firm Name: ROC Equipment, LLC Phone: 801-214-6126 Date Certified: 06/08/2015
Owner: Vanessa Lucido Cell: 801-913-2834 TSB Certified: False
Address: 2065 W. Parkway Blvd., West Valley, Fax: 801-214-6144 SBA 8A Certified: False
Address cont'd: bT08tbUb143 Email:
City: Salt Lake City State: UT Zip: 84110 ACDBE: False
Web Site: www.rocequipment.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 532412, 423830, 811310
Work Tvpe: Construction, Mining, and Forestry Machinery and Equipment Rental and Leasing; Industrial
Machinery and Equipment Merchant Wholesalers; Commercial and Industrial Machinery and
Equipment Repair and Maintenance
Firm Name: Rock On Enterprises, Inc. Phone: 320-230-2998 Date Certified: 11/22/2010
Owner: Krystal Vierkant Cell: TSB Certified: False
Address: 3100 7th Street South Fax: 320-230-2912 SBA 8A Certified: False
Address cont'd: Email:
City: Waite Park State: MN Zip: 56387 ACDBE: False
Web Site: www.rockontrucks.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220
Work Tvpe: Trucking
Firm Name: Rock On Trucks, Inc. Phone: 320-230-2998 Date Certified: 11/22/2010
Owner: Krystal Vierkant Cell: TSB Certified: False
Address: 3100 7th Street South Fax: 320-230-2912 SBA 8A Certified: False
Address cont'd: Email:
City: Waite Park State: MN Zip: 56387 ACDBE: False
Web Site: www.rockontrucks.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 484220, 541614
Work Tvpe: Truck Trailer Rental and Truck Brokering
Page 71 of 91
Firm Name: Rockette Trucking & Construction Phone: 563-933-2035 Date Certified: 11/18/1987
Ltd.
Owner: Connie J. Ross-Steger Cell: 563-920-4027 TSB Certified: True
Address: 16553 East Mission Road Fax: 563-933-2094 SBA 8A Certified: False
Address cont'd: Email:
City: Strawberry Point State: IA Zip: 52076 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification TVDe: WBE
NAICS Codes: 237310, 561730, 238910, 484220
Work Tvpe: Asphalt Services Misc., Culvert Pipe, Erosion Control (Seed, Sod, and Rip-Rap), Excavation,
Paved Sidewalk/Recreational Trails, Pavement Breaking, Paving Baskets, Paving Subbase,
Shoulders (granular), Subdrains, Tree and Stump Removal (Clearing and Grubbing), and
Trucking
Firm Name: Rosales + Partners, Inc. Phone: 617-247-7499 Date Certified: 12/14/1999
Owner: Miguel Rosales Cell: TSB Certified: False
Address: 37 Newbury Street, 6th Floor Fax: 617-247-7139 SBA 8A Certified: False
Address cont'd: Email:
City: Boston State: MA Zip: 02116 ACDBE: False
Web Site: www.rosalespartners.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541310, 541320
Work Tvpe: Architectural Services: Specializing in Aesthetic Conceptual Design of Bridges; Facilitators for
Community Participation in the Design of Bridges and Transportation Facilities
Firm Name: Royal Crane Service, Inc. Phone: 708-974-0832 Date Certified: 06/03/2009
Owner: John Mooncotch, Jr. Cell: TSB Certified: False
Address: Fax: 708-974-0865 SBA 8A Certified: False
Address cont'd: P.O. Box 1858 Email:
City: Bridgeview State: IL Zip: 60455 ACDBE: False
Web Site: www.royalcrane.us Ethnicitv: Hispanic
Additional Info: Street Address is: 9635 Harlem Ave., Chicago Ridge, IL 60415 Certification Tvoe: MBE
NAICS Codes: 532412, 484220
Work Tvpe: Construction Work Type: Trucking ; Construction Equipment Rental: 8 Ton - 250 ton Hydraulic
Cranes and Heavy Equipment Rental
Page 72 of 91
Firm Name: Rupert Construction Co. Phone: 402-397-2320 Date Certified: 03/02/1992
Owner: Matthew Rupert Cell: TSB Certified: False
Address: 2212 N 91st Plaza Fax: 402-397-2493 SBA 8A Certified: False
Address cont'd: Email:
City: Omaha State: NE Zip: 68134 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 327332, 238910, 238110, 237990, 238990, 238120, 237110, 561730, 484220
Work Tvpe: Asphalt Services Misc., Attenuators, Bridges, Bridge Approaches, Concrete (Driveways,
Sidewalks, and Misc. Flatwork), Concrete Barrier Rail, Concrete Box Culvert, Culvert Pipe,
Demolition, Excavation, Flowable Mortar, Guardrail, PC Paving, Paved Sidewalk/Recreational
Trails, Pavement Breaking, Pavement Joints (Sealing, Sawing, and Routing), Pavement
Patching, Paving Baskets, Paving Subbase, Reinforcing Steel (Installation), Removals,
Shoulders (granular), Steel Erection, Storm Sewer/Intakes, Subdrains, Tree and Stump Removal
(Clearing and Grubbing), and Trucking
Firm Name: S. Crider Construction & Supply Co. Phone: Date Certified: 12/09/2014
Owner: Stefan K. Crider, Sr. Cell: 217-779-3350 TSB Certified: False
Address: 529 Woodbridge Drive Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Quincy State: IL Zip: 62301 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Other owner: Valerie J. Crider Certification Tvpe: MBE
NAICS Codes: 237310, 238110, 238120
Work Tvpe: Curb & Gutter, Sidewalks; Miscellaneous Concrete; Steel, Reinforcing - Rebar Placement
Firm Name: Sambatek, Inc. Phone: 763-476-6010 Date Certified: 06/28/2011
Owner: Sirish Samba Cell: 763-259-6667 TSB Certified: False
Address: 12800 Whitewater Drive, Suite 300 Fax: 763-476-8532 SBA 8A Certified: False
Address cont'd: Email:
City: Minnetonka State: MN Zip: 55343 ACDBE: True
Web Site: www.sambatek.com Ethnicitv: Subcontinent
Asian
Additional Info: Second Location: 2401 46th Avenue SE, Suite 202, Mandan, ND66fi nation Tvpe: MBE
NAICS Codes: 541330, 541370, 541611, 541820, 541620, 541340
Work Tvpe: Civil Engineering, Land Planning, Land Surveying, Civil Engineering Land Planning Land
Surveying, Environmental and Waste Water Treatment Consulting Services, Graphical
Information Systems Drafting Services Energy Services Erosion Control Contract Administration
and Construction Inspection Services and Community Engagement
Page 73 of 91
Firm Name: Sandy's Sign Shop Phone: 641-394-6083 Date Certified: 11/15/2005
Owner: Sandy Boeding Cell: TSB Certified: False
Address: 2540 205th Street Fax: 641-394-4399 SBA 8A Certified: False
Address cont'd: Email:
City: New Hampton State: IA Zip: 50659 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541850
Work Tvpe: Commercial Custom Signage; Vehicle and Vinyl Graphics
Firm Name: Savant Consulting, Inc. Phone: 949-782-5298 Date Certified: 12/03/2013
Owner: Paul Jones Cell: TSB Certified: False
Address: 12 Santa Catrina Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Rancho Santa State: CA Zip: 92688 ACDBE: False
Web Site: W*W.*0*likeasavant.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541511, 541512, 541513, 541519, 541614
Work Tvpe: Custom Computer Programming Services; Computer Systems Design Services; Computer
Facilities Management Services; Other Computer Related Services; Process, Physical
Distribution, and Logistics Consulting Services
Firm Name: Saxton Inc. Design Group Phone: 515-244-6116 Date Certified: 04/04/2014
Owner: Kim Augspurger Mescher Cell: 319-730-0136 TSB Certified: True
Address: 108 3rd Street, Suite 100 Fax: 319-365-2316 SBA 8A Certified: False
Address cont'd: Email:
City: Des Moines State: IA Zip: 50309 ACDBE: False
Web Site: saxtoninc.com Ethnicitv: Caucasian
Additional Info: Also have location in Cedar Rapids, 600 3rd Street SE Studio 30(!(&dtkWtftpTdtdA 5242
NAICS Codes: 238390, 423210
Work Tvpe: Furniture Merchant Wholesaler and Modular Furniture System Installation
Firm Name: SE4 Trucking Inc. Phone: 815-814-4083 Date Certified: 04/06/2017
Owner: Sergio Esquivel Cell: 815-814-4083 TSB Certified: False
Address: 1010 Yellowstone Lane Fax: 815-943-9393 SBA 8A Certified: False
Address cont'd: Email:
City: Harvard State: IL Zip: 60033 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Dump trucking (e.g., gravel, sand, top soil)
Page 74 of 91
Firm Name: Shelter Design Group, Inc. Phone: 404-759-7882 Date Certified: 01/07/2015
Owner: Terrence Charles Cell: TSB Certified: False
Address: 880 Wolf Ridge Road Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Hiawatha State: IA Zip: 52233 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541310
Work Tvpe: Architectural Services
Firm Name: Simplex Construction Supplies, Inc. Phone: 763-398-0040 Date Certified: 04/29/2014
Owner: Sarah Bazey Cell: TSB Certified: False
Address: 9020 West 35W Service Drive Fax: 763-398-0039 SBA 8A Certified: False
Address cont'd: Email:
City: Blaine State: NE Zip: 55449 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 424990, 423810, 424610, 424690, 423320, 423990, 444190, 423330, 423390, 424720
Work Tvpe: Business Description: Supplier of Concrete Related Products, Portland Cement, Sealers and
Joint Materials, Dowel Bars, and Retro Fittings; Other Miscellaneous Nondurable Goods
Merchant Wholesalers; Construction and Mining (except Oil Well) Machinery and Equipment
Merchant Wholesalers; Plastics Materials and Basic Forms and Shapes Merchant Wholesalers;
Other Chemical and Allied Products Merchant Wholesalers; Brick, Stone, and Related
Construction Material Merchant Wholesalers; Other Miscellaneous Durable Goods Merchant
Wholesalers; Other Building Material Dealers; Roofing, Siding, and Insulation Material Merchant
Wholesalers; Other Construction Material Merchant Wholesalers; Petroleum and Petroleum
Products Merchant Wholesalers (except Bulk Stations and Terminals)
Firm Name: Singh &Associates, Inc. Phone: 312-629-0240 Date Certified: 07/27/1992
Owner: S. Singh Rikhiraj Cell: TSB Certified: False
Address: 230 W. Monroe Street, Suite 1400 Fax: 312-629-8449 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60606 ACDBE: False
Web Site: www.singhinc.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541330
Work Tvpe: Design and Construction Management Services in Civil, Structural, Mechanical, Electrical, and
Environmental Engineering. Specializing in transportation planning, highways and bridge design,
traffic signals, roadway lighting, hydraulic/drainage studies, and site development
Page 75 of 91
Firm Name: Siva Corrosion Services, Inc. Phone: 610-692-6551 Date Certified: 01/29/2016
Owner: Siva Venugopalan Cell: 610-348-8976 TSB Certified: False
Address: 1313 Wilmington Pike, Suite 2B Fax: SBA 8A Certified: False
Address cont'd: Email:
City: West Chester State: PA Zip: 19382 ACDBE: False
Web Site: www.sivacorrosion.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541690
Work Tvpe: Consultant- Evaluation of Concrete Materials & Corrosion Control Designs
Firm Name: Southeast Bridge FL Corp Phone: 727-940-3401 Date Certified: 03/07/2017
Owner: Michael Tsalickis Cell: TSB Certified: False
Address: 38856 US 19 North Fax: 727-940-3431 SBA 8A Certified: False
Address cont'd: Email:
City: Tarpon Springs State: FL Zip: 34689 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238320
Work Tvpe: Sandblasting and painting of structural steel (Bridges, Tanks)
Firm Name: Southeast Constructors, Inc. Phone: 515-657-6140 Date Certified: 04/18/2016
Owner: Perlla Esturilho Cell: 754-234-9944 TSB Certified: False
Address: 1022 27th Street Fax: 515-608-4600 SBA 8A Certified: True
Address cont'd: Email:
City: Des Moines State: IA Zip: 50311 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: WBE
NAICS Codes: 236220, 237310, 238910, 238110
Work Tvpe: GENERAL CONTRACTOR, Concrete Services, Sidewalks, Ramps, Parking Lots, Demolition,
Erosion Control
Page 76 of 91
Firm Name: Spencer Management, LLC. Phone: 402-201-8246 Date Certified: 11/29/2016
Owner: Justin Moore Cell: TSB Certified: False
Address: Fax: SBA 8A Certified: False
Address cont'd: P.O. Box 111623 Email:
City: Omaha State: NE Zip: 68111 ACDBE: False
Web Site: www.spencermanagement.org Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238110, 238910
Work Tvpe: • Concrete paving (i.e., highway, road, street, public sidewalk)
• Poured Concrete Foundation and Structure Contractors
• Site Preparation Contractors
Firm Name: Standard Contracting, Inc. Phone: 651-463-2510 Date Certified: 08/25/2015
Owner: Rebecca Seidenkranz Cell: 612-850-2955 TSB Certified: False
Address: 23870 Conrad Avenue Fax: 651-463-2525 SBA 8A Certified: False
Address cont'd: P.O. Box 250 Email:
City: Hampton State: MN Zip: 55031 ACDBE: False
Web Site: www.stanconinc.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 562998, 561730, 541330, 238910, 237310, 541620, 238110, 237110, 484220
Work Tvpe: Excavation, Earthwork, Small Concrete and Bituminous, Erosion Control, Hydroseeding,
Sweeping Swppp Consulting and Maintenance, Ground Thaw, Storm Sewer and Cleaning and
Dump Truck Hauling
Firm Name: Steel Rebar Manufacturing LLC dba Phone: 618-875-9125 Date Certified: 04/03/2017
SRM Construction Material and
Supply
Owner: Donald Johnson Cell: 618-920-2748 TSB Certified: False
Address: 4926 Church Road Fax: 618-875-1354 SBA 8A Certified: False
Address cont'd: Email:
City: Centreville State: IL Zip: 62207 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238110, 238120, 332312, 484220, 541320, 541712
Work Tvpe: MISCELLANEOUS CONCRETE
STEEL, REINFORCING - REBAR PLACEMENT (VERTICAL); FABRICATED STRUCTURAL
METAL MANUFACTURING; READY MIX CONCRETE DELIVERY; URBAN PLANNING;
RESEARCH
Page 77 of 91
Firm Name: Stonebrooke Engineering, Inc. Phone: 952-402-9202 Date Certified: 06/24/2015
Owner: Brenda Arvidson Cell: TSB Certified: False
Address: 12279 Nicollet Avenue Fax: 952-403-6803 SBA 8A Certified: False
Address cont'd: Email:
City: Burnsville State: MN Zip: 55337 ACDBE: False
Web Site: www.stonebrookeengineering.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541370, 541330, 237310, 541430
Work Tvpe: Civil Engineering Firm Specializing in Transportation Planning, Environmental, Water Resources,
ADA Evals, Planning, & Design; Highway, Roundabout, Municipal, Site, Signal Design
Firm Name: Strawn Construction Services, Inc. Phone: 712-259-4793 Date Certified: 09/27/2016
Owner: Terry Strawn Cell: TSB Certified: False
Address: Fax: 712-276-7571 SBA 8A Certified: False
Address cont'd: PO Box 2402 Email:
City: Sioux City State: IA Zip: 51106 ACDBE: False
Web Site: Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 237310, 238990, 237990
Work Tvpe: Concrete paving (i.e., highway, road, street, public sidewalk);
Paving, residential and commercial driveway and parking lot; and
Park ground and recreational open space improvement construction.
Firm Name: Surface Prep & Maintenance Phone: 775-823-7882 Date Certified: 03/30/2016
Owner: Ann M. Church Cell: 775-815-0525 TSB Certified: False
Address: 240 Linden Street, Suite D Fax: 775-358-7362 SBA 8A Certified: False
Address cont'd: Email:
City: Reno State: NV Zip: 89502 ACDBE: False
Web Site: www.surfaceprepnevada.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237310, 238990
Work Tvpe: Asphalt Sealing, Line Striping, and Crack Filling - Runway, Airport, Line Painting (e.g. striping);
Asphalt Coating and Sealing, Residential and Commercial Parking Lot and Driveway; Driveway
Paving or Sealing; Parking Lot Paving and Sealing
Page 78 of 91
Firm Name: Surfacers, Inc. Phone: 309-523-9401 Date Certified: 04/14/2010
Owner: Debra Klavon Cell: TSB Certified: False
Address: 1004 Rose Hill Road Fax: 309-523-3972 SBA 8A Certified: False
Address cont'd: P.O. Box 219 Email:
City: Port Byron State: IL Zip: 61275 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Other Owner: Tammy Tegeler Certification Tvpe: WBE
NAICS Codes: 237310, 484220
Work Tvpe: Asphalt Services Misc. (Installation of Road Fabric) and Trucking
Firm Name: Swift& Swift, LLC Phone: 563-505-0661 Date Certified: 04/10/2015
Owner: Andray Swift Cell: TSB Certified: True
Address: 1903 Walling Ct. Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Davenport State: IA Zip: 52803 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238130, 236118, 238390
Work Tvpe: Carpentry, General Construction (renovations), Weatherization
Firm Name: Tallgrass Archaeology LLC Phone: 319-354-6722 Date Certified: 04/12/2017
Owner: Leah Rogers Cell: 515-554-4194 TSB Certified: True
Address: 2460 S. Riverside Dr. Fax: 319-354-6722 SBA 8A Certified: False
Address cont'd: Email:
City: Iowa City State: IA Zip: 52246-5855 ACDBE: False
Web Site: www.tallgrassarchaeology.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541720, 541620
Work Tvpe: Cultural resource surveys and management, e.g., archaeology, architectural history and history of
federal, state and local government, to meet Section 106 requirements, and preparation of
historic preservation studies.
Firm Name: Tara Erosion Control, LLC Phone: 563-568-2665 Date Certified: 11/06/2000
Owner: Signe C. Buege Cell: TSB Certified: True
Address: 1231 Hwy. 9 Fax: 563-568-5052 SBA 8A Certified: False
Address cont'd: Email:
City: Lansing State: IA Zip: 52151 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 561730, 238990
Work Tvpe: Erosion Control (Seed, Sod, and Rip-Rap), Fencing, and Landscaping (Trees and Shrubs)
Page 79 of 91
Firm Name: Taylor Construction, Inc. Phone: 563-921-2315 Date Certified: 12/15/1995
Owner: Lois V. Taylor Cell: 563-543-4217 TSB Certified: True
Address: 7314 Columbus Street Fax: 563-921-3845 SBA 8A Certified: False
Address cont'd: P.O. Box 110 Email:
City: New Vienna State: IA Zip: 52065 ACDBE: False
Web Site: www.taylorconstr.com Ethnicitv: Caucasian
Additional Info: Additional e-mail address: tmeyer@taylorconstr.com Certification Tvoe: WBE
NAICS Codes: 237310, 238120, 327332, 238910, 238110, 237990, 561730
Work TVDe: Bridges, Bridge Approaches, Bridge Beams (Set), Concrete (Driveways, Sidewalks, and Misc.
Flatwork), Concrete Barrier Rail, Concrete Box Culvert, Culvert Pipe, Demolition, Excavation,
Flowable Mortar, Guardrail, PC Paving, Paved Sidewalk/Recreational Trails, Reinforcing Steel
(Installation), Removals, Steel Erection, Tree and Stump Removal (Clearing and Grubbing)
Firm Name: TCW Construction, Inc. Phone: 402-475-5030 Date Certified: 03/17/2008
Owner: Joseph Delgado Cell: 402-430-7327 TSB Certified: False
Address: 141 M Street Fax: 402-475-5049 SBA 8A Certified: False
Address cont'd: Email:
City: Lincoln State: NE Zip: 68508 ACDBE: False
Web Site: www.tcwconstruction.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 237310, 238910, 327332, 238990, 236220, 237990, 238120, 237110
Work Tvpe: Concrete (Driveways, Sidewalks, Misc. Flatwork), Concrete Crushing, Culverts, Curb and Gutter,
Demolition, Excavation, General Construction (Building Trades), Grading, PC Paving, Paved
Sidewalk/Recreational Trails, Reinforcing Steel (Installation), Shoulders (Granular), and Storm
Sewer/Intakes
Page 80 of 91
Firm Name: Technique Concrete Construction, Phone: 678-949-9476 Date Certified: 05/09/2017
LLC
Owner: Billy Freeman Jr. Cell: 404-304-5967 TSB Certified: False
Address: 3556 Calumet Road Fax: 678-818-4657 SBA 8A Certified: False
Address cont'd: Email:
City: Decatur State: GA Zip: 30032 ACDBE: False
Web Site: www.techniqueconcrete.com Ethnicitv: Black
Additional Info: Physical Address: 944 Astor Avenue Forest Park, GA 30297 Certification Tvpe: MBE
NAICS Codes: 236116, 236220, 237310, 238110, 238190, 238320, 238910, 238990, 327320, 484220, 562910
Work Tvpe: New multifamily housing construction (except operative builders);
Commercial and institutional building construction;
Highway, street, and bridge construction;
Poured concrete foundation and structure contractors;
Other foundation, structure, and building exterior contractors;
Painting and wall covering contractors;
Site preparation contractors;
All other specialty trade contractors;
Ready-mix concrete manufacturing;
Specialized freight (except used goods)trucking, local;
Remediation Services
Firm Name: Terminal Exchange Phone: 617-731-6319 Date Certified: 01/15/2014
Owner: Sankaran (GP) Ganapathi Cell: TSB Certified: False
Address: a/k/a First World USA, Inc. Fax: 617-277-1984 SBA 8A Certified: False
Address cont'd: 163 Amory Street Email:
City: Brookline State: MA Zip: 02446 ACDBE: False
Web Site: www.terminal.com Ethnicitv: Subcontinent
Asian
Additional Info: Certification Tvpe: MBE
NAICS Codes: 423430, 541511
Work Tvpe: IT Computer Equipment Sales, IT Computer Consulting and Maintenance Services
Firm Name: TerraTec Engineering, LLC. Phone: 262-377-9905 Date Certified: 06/16/2016
Owner: Linda K. Johnson Cell: 262-391-9844 TSB Certified: False
Address: W67 N222 Evergreen Blvd., Suite Fax: 262-375-1958 SBA 8A Certified: False
Address cont'd: 205 Email:
City: Cedarburg State: WI Zip: 53012 ACDBE: False
Web Site: www.terrateceng.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Environmental and Geotechnical Engineering (studies, surveys, site analysis); Railroad
Engineering and Construction Services; Roadway Design
Page 81 of 91
Firm Name: The 106 Group Ltd. Phone: 651-290-0977 Date Certified: 10/14/2008
Owner: K. Anne Ketz Cell: TSB Certified: False
Address: 1295 Bandana Blvd., Suite 335 Fax: 651-290-0979 SBA 8A Certified: False
Address cont'd: Email:
City: St. Paul State: MN Zip: 55102 ACDBE: False
Web Site: www.106group.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541720
Work Tvpe: Consulting Services: Archaeology, Cultural Resource Management, Historic Preservation
Consulting, Interpretive Planning, and Tribal Consultation
Firm Name: The Forrest Group, LLC. Phone: 619-808-9798 Date Certified: 02/27/2017
Owner: Allen Forrest Cell: TSB Certified: False
Address: 7083 N. Curson Ave., Suite 9 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Los Angeles State: CA Zip: 90046 ACDBE: True
Web Site: http://tfgla.com Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 541810, 512110, 541613, 541840, 541850, 541860, 541870, 541910, 561599, 711130, 711320,
711510, 812990
Work Tvpe: Misc Personal Services; Producers, Orchestras, Entertainers; Travel Service; Motion Picture &
Video Tape Production; Advertising;
Firm Name: The Hoosier Company, Inc. Phone: 317-872-8125 Date Certified: 07/15/2015
Owner: Cheryl P. Melancon Cell: 317-517-0707 TSB Certified: False
Address: 5421 W 86th Street Fax: 317-872-7183 SBA 8A Certified: False
Address cont'd: P.O. Box 681064 Email:
City: Indianapolis State: IN Zip: 46268 ACDBE: False
Web Site: www.hoosierco.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238210, 237310, 238990, 238110, 423410, 423390, 423990
Work Tvpe: Electrical Contractors & Other Wiring Installation - Highway Signage, Signals, Lighting
Installation, Runway Lighting, Communication Equipment and Installation, Intelligent
Transportation System equipment; Highway, Street, and Bridge Construction - Guardrail,
Concrete, Construction Management; All Other Specialty Trade Contractors- Fence installation;
Poured Concrete Foundation & Structures Contractor- Sidewalks, Curbs, and Steps;
Photographic Equipment and Supplies Merchant Wholesalers - Highway and Transportation
Related Cameras; Other Construction Material Merchant Wholesalers - Fence, Guardrail; Other
Miscellaneous Durable Goods Merchant Wholesalers - Impact Attenuators, Delineators, Posts
Page 82 of 91
Firm Name: The Wells Resource, LLC Phone: 402-556-4504 Date Certified: 06/14/2016
Owner: Paula B. Wells Cell: 402-658-5202 TSB Certified: False
Address: 3919 Curring Street Fax: 402-933-3506 SBA 8A Certified: False
Address cont'd: Email:
City: Omaha State: NE Zip: 68131 ACDBE: False
Web Site: www.wellsresourcellc.com Ethnicitv: Caucasian
Additional Info: Certification Tvoe: WBE
NAICS Codes: 541330
Work Tvpe: Engineering Services
Firm Name: Thornton Rave Steel Fabrication, Phone: 309-451-4660 Date Certified: 11/10/2016
LLC.
Owner: Joe Thornton, Jr. Cell: TSB Certified: False
Address: 118 Merle Ln. Fax: 309-451-4662 SBA 8A Certified: False
Address cont'd: Email:
City: Normal State: IL Zip: 61761 ACDBE: False
Web Site: http://www.trsfab.com/ Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 332312
Work Tvpe: Fabricated Structural Metal Manufacturing Supplier: Structural Steel Fabrication
Firm Name: Tiedt Nursery, Ltd. Phone: 319-352-0418 Date Certified: 01/14/1992
Owner: Vallarie I. Holm Cell: TSB Certified: True
Address: 2419 E. Bremer Avenue Fax: 319-352-0400 SBA 8A Certified: False
Address cont'd: Email:
City: Waverly State: IA Zip: 50677 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 561730, 238990, 237990
Work Tvpe: Erosion Control (Seed, Sod, Mat, and Silt Fence), Fencing, Herbicide Application; Landscaping
(Trees and Shrubs), Mowing, and Retaining Walls; Supplier: Trees, Shrubs, Seed, Fertilizer,
Erosion Control Products, Plastic Tubing, and Fencing
Page 83 of 91
Firm Name: Toole Design Group, LLC Phone: 301-927-1900 Date Certified: 02/13/2013
Owner: Jennifer Toole Cell: TSB Certified: False
Address: 8484 Georgia Avenue, Suite 800 Fax: 301-927-2800 SBA 8A Certified: False
Address cont'd: Email:
City: Silver Spring State: MD Zip: 20190 ACDBE: False
Web Site: www.tooledesign.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541990
Work Tvpe: Engineering Services, specifically: Related to Bicycle and Pedestrian Planning and Design
Services and All Other Professional, Scientific, and Technical Services Transportation Planning
Services Related to Bicycle and Pedestrian Planning and Design Services, specifically: Technical
Writing Related Publications Dealing with Bicycle and Pedestrian Education
Firm Name: Toppert Jetting Service, Inc Phone: 309-755-0600 Date Certified: 01/19/2017
Owner: Debra Hansen Toppert Cell: 309-314-5947 TSB Certified: False
Address: 1350 10th Street Fax: 309-755-1966 SBA 8A Certified: False
Address cont'd: P.O. Box 838 Email:
City: East Moline State: IL Zip: 61244 ACDBE: False
Web Site: www.toppert.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237110, 237310, 238910, 238990, 561730, 561790, 562112
Work Tvpe: Sewer/Water Maintenance; Pavement Marking: Removal; Hydro-Excavation; Graffiti Removal
Hydroblasting, Sweeping,& Power Vacuuming; Vegetation Spraying; Power Washing;
Containment And Removal Of Hazardous Waste.
Firm Name: Transcend Spatial Solutions, LLC Phone: 941-359-9697 Date Certified: 03/30/2012
Owner: Connie Gurchiek Cell: TSB Certified: False
Address: 2970 University Parkway, Suite 201 Fax: 941-203-3070 SBA 8A Certified: False
Address cont'd: Email:
City: Sarasota State: FL Zip: 34243 ACDBE: False
Web Site: www.transcendspatial.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541512
Work Tvpe: Providing spatial information technology services including geographic information systems
(GIS), transportation, database, and software development consulting ( Computer Systems
Design and Related Services)
Page 84 of 91
Firm Name: Transit Auto Parts, LLC Phone: 888-744-7590 Date Certified: 07/03/2014
Owner: Michael A. Hernandez Cell: 773-899-3485 TSB Certified: False
Address: 3712 N Broadway#352 Fax: 888-744-7593 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60613 ACDBE: False
Web Site: www.transitautoparts.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 423120, 423130
Work Tvpe: Motor vehicle parts and accessories, new, merchant wholesalers (NON STOCKING
DISTRIBUTOR); Motor vehicle tire and tube merchant wholesalers (NON STOCKING
DISTRIBUTOR); Tire tubes, motor vehicle, merchant wholesalers (NON STOCKING
DISTRIBUTOR)
Firm Name: TranSmart Technologies, Inc. Phone: 608-268-3911 Date Certified: 11/19/2001
Owner: Jing (Connie) Li Cell: 608-273-4740 TSB Certified: False
Address: 15 Ellis Potter Court Fax: 608-273-4783 SBA 8A Certified: True
Address cont'd: Email:
City: Madison State: WI Zip: 53711 ACDBE: False
Web Site: www.trafficonline.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541340, 541370, 541511, 541620, 541820
Work Tvpe: Transportation Consulting Services: Computer Software, Intelligent Transportation Systems (ITS),
Traffic Engineering, Highway Engineering, Corridor Studies, Transportation Planning, Transit
Systems, Environmental Assessment, Public Involvement, Geographic Information Systems
(GIS), Computer Aided Design (CAD), and Information Technology
Firm Name: TransSolutions, LLC Phone: 817-359-2950 Date Certified: 01/06/2016
Owner: Belinda Hargrove Cell: 817-307-9081 TSB Certified: False
Address: 14600 Trinity Bvld, Suite 200 Fax: 817-359-2959 SBA 8A Certified: False
Address cont'd: Email:
City: Fort Worth State: TX Zip: 76155 ACDBE: False
Web Site: www.transsolutions.com Ethnicitv: Caucasian
Additional Info: gbender@transsolutions.com Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Traffic Engineering Consulting Services
Page 85 of 91
Firm Name: TransTrack Systems, Inc. Phone: 562-987-4755 Date Certified: 04/01/2014
Owner: Mary Sue O'Melia Cell: TSB Certified: False
Address: 265 Belmont Avenue Fax: 962-987-4756 SBA 8A Certified: False
Address cont'd: Email:
City: Long Beach State: CA Zip: 90803 ACDBE: False
Web Site: www.transtrack.net Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541511, 541512, 541611
Work Tvpe: Custom Computer Programming Services; Computer Systems Design Services; Administrative
Management& General Management Consulting Services
Firm Name: Trinity Technology Services, Inc. Phone: 708-596-7400 Date Certified: 05/15/2015
Owner: George Kinnison Cell: 708-207-7157 TSB Certified: False
Address: 539 W Taft Drive Fax: 708-596-1020 SBA 8A Certified: False
Address cont'd: Email:
City: South Holland State: IL Zip: 60473 ACDBE: False
Web Site: trinitytechservices.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 238210, 238220
Work Tvpe: Electrical Contractors and Other Wiring Installation Contractors specifically low voltage electrical
work (installation and testing) Security and fire system (testing maintenance); Plumbing, Heating,
and Air-Conditioning Contractors (temperature control systems maintenance)
Firm Name: Two Buffalo Construction Inc. Phone: 612-432-0057 Date Certified: 10/13/2014
Owner: K. Larry Knudsen Cell: 612-432-0057 TSB Certified: False
Address: 8051 N. Tamiami Trail, STE E-7 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Sarasota State: FL Zip: 34243 ACDBE: False
Web Site: www.twobuffalo.com Ethnicitv: Native American
Additional Info: Certification Tvpe: MBE
NAICS Codes: 444190, 423330
Work Tvpe: Residential Roofing, Siding, Chimney Restoration, Gutters, Flat Roofs, Windows and Doors,
Commercial Flat Roofs
Page 86 of 91
Firm Name: Tyler Communication, Inc. Phone: 404-923-0038 Date Certified: 01/25/2013
Owner: Dr. Tony Tyler Cell: TSB Certified: False
Address: 780 Morosogo Drive, Suite 14366 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Atlanta State: GA Zip: 30324 ACDBE: False
Web Site: www.tylercommunications.net Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 561110, 611430, 561990, 611420, 611513, 611691, 611710
Work Tvpe: Office Administrative Services; All Other Support Services; Computer Training; Professional and
Management Development Training; Apprenticeship Training; Exam Preparation and Tutoring;
and Educational Support Services
Firm Name: Urban GIS, Inc. Phone: 312-624-8152 Date Certified: 02/04/2014
Owner: Keith A. Searles Cell: TSB Certified: False
Address: 1143 W Rondell Place, Suite 301 Fax: 877-815-4450 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60607 ACDBE: False
Web Site: www.urbangis.com Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541690, 541712
Work Tvpe: Other Architectural Services - Specialty: Architectural Services; Research and Development in
the Physical, Engineering, and Life Sciences (except Biotechnology) - Specialty: Research
Firm Name: Utility Sales and Supply, Inc. Phone: 612-385-7529 Date Certified: 03/28/2017
Owner: Tiffany Imker Cell: 651-335-0925 TSB Certified: False
Address: 23230 W. Thomess Blvd. Suite 3 Fax: 763-287-0514 SBA 8A Certified: False
Address cont'd: Email:
City: Loretto State: MN Zip: 55357 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 221310, 237110, 332322, 332323, 423390
Work Tvpe: FIRM THAT MANUFACTURES AND SELLS ORNAMENTAL RAILING, PIPE RAILINGS, AND
CONTROL STRUCTURES. SALES OF OTHER SPECIALTY METAL PRODUCTS:
MANHOLE/CATCH BASIN, CAST IRON TRUNCATED DOMES, STEEL CASING PIPE, CAST
IRON TREE GRATES. SALES OF UNDERGROUND UTILITY PRODUCTS FOR THE WATER
AND WASTEWATER INDUSTRY.
Page 87 of 91
Firm Name: V Technologies Phone: 704-528-0620 Date Certified: 05/15/2013
Owner: Vicky Dohrer Cell: 970-946-9287 TSB Certified: False
Address: 133 Atwell Drive Fax: 704-528-0620 SBA 8A Certified: False
Address cont'd: Email:
City: Statesville State: NC Zip: 28677 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 238210, 561621
Work Tvpe: Electrical Contractors and Other Wiring Installation Contractors; Security Systems Services
(Except Locksmiths)
Firm Name: Valley Illuminators Phone: 253-833-3016 Date Certified: 08/22/2006
Owner: Polly Valley Cell: TSB Certified: False
Address: Fax: 253-735-5414 SBA 8A Certified: False
Address cont'd: P.O. Box 64095 Email:
City: Tacoma State: WA Zip: 98464 ACDBE: True
Web Site: www.valleyilluminators.com Ethnicitv: Caucasian
Additional Info: Street address: 2201 West Valley Hwy NW, Unit C, Auburn, WA,9&ilfllcation Tvpe: WBE
NAICS Codes: 335129, 423990
Work Tvpe: Manufacturer, wholesaler, and retailer of FAA certified & compliant products for airports,
residential, commercial, & marinas such as metal signs-one or double sided with reflective
sheeting. Aluminum reflectors for airports runways, taxiways, thresholds, heliports, docks, pilings,
telephone poles, &driveway entrances. All weather wind socks. Light fixtures that meet NASAO/
IES lighting specs.
Firm Name: Vireo Phone: 816-756-5690 Date Certified: 09/08/2009
Owner: Patti Banks Cell: 816-777-3001 TSB Certified: False
Address: a/k/a Patti Banks Associates Fax: 816-756-1606 SBA 8A Certified: False
Address cont'd: 929 Walnut, Suite 700 Email:
City: Kansas City State: MO Zip: 64106 ACDBE: False
Web Site: www.bevireo.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541320
Work Tvpe: Landscape Architecture, Community Planning, and Natural Resource Planning
Page 88 of 91
Firm Name: Visage Production, Inc. Phone: 405-607-8722 Date Certified: 09/19/2016
Owner: Annette D. Colbert-Latham Cell: TSB Certified: False
Address: 6303-Waterford Boulevard, Suite Fax: SBA 8A Certified: False
Address cont'd: 235 Email:
City: Oklahoma State: OK Zip: 73118 ACDBE: False
Web Site: www.visagefilmstudios.com Ethnicitv: Black
Additional Info: Certification Tvpe: WBE
NAICS Codes: 512110, 541430, 541810, 541820
Work Tvpe: Film and Television Production, Advertising Agency
Firm Name: Vistara Construction Services, Inc. Phone: 312-986-8660 Date Certified: 12/30/2015
Owner: Bina Nair Cell: 312-404-9540 TSB Certified: False
Address: 728 West Jackson Blvd., Suite 526 Fax: SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60661 ACDBE: False
Web Site: www.vistara.com Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 236220
Work Tvpe: Construction management
Addition, alteration and renovation general contractors, commercial and institutional building.
Firm Name: Wapsi Valley Archaeology, Inc. Phone: 319-462-4760 Date Certified: 08/21/2012
Owner: Nurit G. Finn Cell: TSB Certified: False
Address: 126 East Main Street Fax: 319-462-3954 SBA 8A Certified: False
Address cont'd: P.O. Box 244 Email:
City: Anamosa State: IA Zip: 52205 ACDBE: False
Web Site: www.wapsivalleyarch.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541990
Work Tvpe: Archaeology and Architectural History, such as: Cultural Resources Services including
Archaeology and Architectural History Services, and Research
Firm Name: Watco Construction, Inc. Phone: 319-233-7481 Date Certified: 06/04/2002
Owner: Patricia J. Kimball Cell: 319-230-1724 TSB Certified: False
Address: 2920 Texas Street Fax: 319-233-8953 SBA 8A Certified: False
Address cont'd: P.O. Box 904 Email:
City: Waterloo State: IA Zip: 50704 ACDBE: False
Web Site: Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 237110
Work Tvpe: Storm Sewer/Intakes, Subdrains, and Water Mains
Page 89 of 91
Firm Name: Wynndalco Enterprises, LLC Phone: 312-256-9090 Date Certified: 02/27/2017
Owner: David R. Andalcio Cell: TSB Certified: False
Address: 55 W Wacker Drive 9th Floor Fax: 312-256-9091 SBA 8A Certified: False
Address cont'd: Email:
City: Chicago State: IL Zip: 60601 ACDBE: False
Web Site: www.wynndalco.com Ethnicitv: Hispanic
Additional Info: Certification Tvpe: MBE
NAICS Codes: 541512, 541330
Work Tvpe: IT Deployment, System Integration, IT Training, Wireless Networks, IT Project Management and
Database Development, Engineering Services
Firm Name: YSJ International Consulting, LLC Phone: 608-438-7070 Date Certified: 10/07/2014
Owner: Yiying Xiong Cell: TSB Certified: False
Address: Fax: SBA 8A Certified: False
Address cont'd: P.O. Box 46211 Email:
City: Madison State: WI Zip: 53744 ACDBE: False
Web Site: Ethnicitv: Asian-Pacific
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330
Work Tvpe: Engineering Services - Bridge & River Hydraulics; Stormwater System Management; Drainage &
Floodplain Studies; GIS Applications; Civil Engineering Project Management; Dan and
Hydropower Engineering
Firm Name: YTT Design Solutions, LLC Phone: 319-429-7625 Date Certified: 08/23/2013
Owner: Lisa S. Burch Cell: 319-210-0422 TSB Certified: False
Address: 260 33rd Avenue SW, Suite 1 Fax: 319-429-7625 SBA 8A Certified: False
Address cont'd: Email:
City: Cedar Rapids State: IA Zip: 52404 ACDBE: False
Web Site: www.yttdesign.com Ethnicitv: Caucasian
Additional Info: Certification Tvpe: WBE
NAICS Codes: 541330, 541380, 541512, 541820
Work Tvpe: Civil Engineering, Consulting Engineer, Highway Design, LEED Consulting, Sustainable Storm
Water Management ; Computer Aided Design (CAD)and Information Technology; Geotechnical
Services; and Communications, Public Relations, and Public Involvement
Page 90 of 91
Firm Name: Zade Trucking LLC Phone: 618-272-4250 Date Certified: 03/31/2017
Owner: Dana Howard Cell: 618-779-1070 TSB Certified: False
Address: 2010 Martin Luther King Dr. Fax: 618-482-4640 SBA 8A Certified: False
Address cont'd: Email:
City: East St. Louis State: IL Zip: 62205 ACDBE: False
Web Site: Ethnicitv: Black
Additional Info: Certification Tvpe: MBE
NAICS Codes: 484220
Work Tvpe: Specialized Freight (except Used Goods)Trucking, Local
Firm Name: Zia Engineering & Environmental Phone: 575-532-1526 Date Certified: 12/15/2005
Consultants, LLC
Owner: Edward H. Martinez Cell: TSB Certified: False
Address: 201 North Church Street, Suite 300 Fax: 575-532-1587 SBA 8A Certified: False
Address cont'd: Email:
City: Las Cruces State: NM Zip: 88001 ACDBE: False
Web Site: www.ziaeec.com Ethnicitv: Hispanic
Additional Info: Certification Tvoe: MBE
NAICS Codes: 541330, 541370, 541513, 541620, 541690, 541720, 238220, 541512
Work Tvpe: Civil Design, Hydrology/Hydraulics, Environmental Services and Compliance, Remediation,
Facilities Support, Natural/Cultural Resources, Land Survey/GIS, Air Quality, Water Resources,
Solid Waste, and Information Technology
Firm Name: Zoie, LLC dba Dana Howard Phone: 618-857-8444 Date Certified: 03/27/2017
Construction
Owner: Dana Howard Cell: 618-779-1070 TSB Certified: False
Address: 2010 Martin Luther King Dr. Fax: 618-482-4640 SBA 8A Certified: False
Address cont'd: Email:
City: East St. Louis State: IL Zip: 62205 ACDBE: False
Web Site: www.zoiellc.com Ethnicitv: Black
Additional Info: Certification Tvoe: MBE
NAICS Codes: 237310, 237990, 238110, 238910
Work Tvpe: Curb & Gutter, Sidewalks; Aggregate Bases and Surfaces; Demolition-Construction; Clearing and
Grubbing-Construction; Excavating & Grading-Construction; Drainage, Misc. Concrete; Misc:
Riprap & Other Erosion Control
Page 91 of 91
Attachment 5
CERTIFIED MBE/WBE CONTRACTORS—WATERLOO COMMUNITY DEVELOPMENT BOARD
See Attached.
DBE Program 15 Waterloo Regional Airport
May 2017
CERTIFIED
MBE / WBE CONTRACTORS
CITY OF WATERLOO, IOWA
CONTRACT COMPLIANCE OFFICE
Community Development Board
Carnegie Annex, Suite 202
620 Mulberry Street
Waterloo,Iowa 50703
City WEB Site: www.ci.waterloo.ia.us
Contract Compliance
WEB Site
for listing updates: http://www.wplwloo.lib.ia.us/contracteompliance/
Contact: Rudy Jones, Community Development Director
Email: rudy.iones(&waterloo-ia.or2
Phone: (319) 291-4429
Fax: (319) 291-4431
MBE/WBE Certified Contractors List
Page 1 of 4
CERTIFIED MBE CONTRACTORS
CARTER ELECTRIC
725 Adams Street
Waterloo, IA 50703
Phone: (319) 232-9808
Pager: (319) 235-4021
Contact: Derrick Carter
Specializing in:
ELECTRICAL CONTRACTOR
CULPEPPER ELECTRIC
1731 Cottage Grove Avenue
Waterloo, IA 50707
Phone: (319) 235-0885
Fax: (319)236-8177
Contact: Martin Culpepper
Certified: City of Waterloo Certified MBE, Licensed Electrician
Specializing in:
ELECTRICAL CONTRACTOR
DANIELS HOME IMPROVEMENT
339 Albany Street
Waterloo, IA 50703
Phone: (319) 961-1659
Contact: Sammy Daniels
Specializing in:
ALL TYPES OF CONCRETE FLA TWORK, POURED WALLS—ALL TYPES, FOOTINGS, LIGHT
DEMOLITION
D.C. CORPORATION
426 Beech Street
Waterloo, IA 50703
Phone: (319)493-2542
FAX: (319)236-0515
Contact: Terry Phillips
Certified: City of Waterloo Certified MBE, Iowa DOT, TSB Certified
Specializing in:
COMMERCIAL AND RESIDENTIAL DEMOLITION, CONCRETE PAVING, DRIVEWAYS,
TRUCKING (ALL TYPES), GENERAL CONSTRUCTION
MBE/WBE Certified Contractors List
Page 2 of 4
GREER'S WORKS
2003 Plainview Street
Waterloo, IA 50703
Phone: (319) 233-4701
Contact: Willie Greer
Specializing in:
DRIVEWAYS, SIDEWALKS, CARPENTRY, ROOFING, GENERAL CONSTRUCTION
OLD GREER'S WORKS
2309 Springview Street
Waterloo, IA 50707
Phone: (319) 233-2150
Contact: David L. Greer, Sr.
Specializing in:
ROOFING& GENERAL CONSTRUCTION
QUICK CONSTRUCTION
217 Bates Street
Waterloo, IA 50703
Phone: (319) 215-4166
Contact: Leroy Harrington
Specializing in:
ALL TYPES OF CONCRETE FLA TWORK AND GENERAL CONSTRUCTION
D & D CONSTRUCTION
1124 West Donald Street
Waterloo, IA 50703
Phone: (319) 961-4208
Contact: Darrell E. Caldwell, Sr.
Specializing in:
ROOFING AND GENERAL CONSTRUCTION
E. CASTRO ROOFING
702 Riehl Street
Waterloo, IA 50701
Phone: (319) 215-5683
Contact: Emillio Castro
Specializing in:
ROOFING, SIDING, GENERAL CONSTRUCTION
MBE/WBE Certified Contractors List
Page 3 of 4
CERTIFIED WBE CONTRACTORS
ATLAS PAINTING, INC.*
911 Sycamore Street
P.O. BOX 65
Waterloo, IA 50704
Phone: (319) 232-9164
Specializing in:
COMMERCIAL AND INDUSTRIAL PAINTING
WATCO CONSTRUCTION, INC.*
2920 Texas Street
Waterloo, IA 50702
Phone: (319) 233-7481
Certified: City of Waterloo WBE
Contact: Patricia J. Kimball
Specializing in:
STORM SEWER, INLETS, DRAIN TILE, WATER MAIN, SANITARY SEWER, INTAKE
STR UCTURES
PETERMAN & HAES CARPET ONE*
4003 University
Waterloo, IA 50701
Phone: (319) 233-6131
Fax: (319)233-6133
Certified: City of Waterloo WBE
Email: JR11486(a,cfu.net
Contact: Carol Reese
Specializing in:
FLOOR COVERING
*DENOTES WOMEN BUSINESS ENTERPRISE
MBE/WBE Certified Contractors List
Page 4 of 4
Attachment 6
DBE GOAL METHODOLOGY FOR FY-2017/2018/2019
WATERLOO REGIONAL AIRPORT
WATERLOO, IOWA
Section 26.45: Overall DBE 3-Year Goal Methodology
Name of Recipient: City of Waterloo, Iowa
Goal Period: FY-2017-2018-2019—October 1, 2016, through September 30, 2019
Anticipated FAA AIP-Assisted Contract Amounts Based on Current ACIP:
FY-2017 --- $2,828,021.20
FY-2018 --- $1,098,314.40
FY-2019 --- $1,161,993.60
Total: $5,088,329.20
DBE 3-Year Overall Goal: 7.33% for Rehabilitation Projects.
Total Dollar Amount to be Expended on DBEs: It is anticipated that $372,975 will be expended on
DBEs over the next three fiscal years.
Describe the Number and Type of Projects that the Airport Anticipates Awarding:
1. FY2017 projects include one (1) pavement rehabilitation project for Taxiway C and one (1)
rehabilitation project for Runway 12-30.
2. FY2018 projects include two (2) pavement rehabilitation projects consisting of Terminal Apron
Phase 4 and Taxiway B, from Runway 18-36 to "Y" intersection.
3. FY2019 projects include one (1) pavement rehabilitation project for Taxiway B, from Runway 6-24
to Runway 18-36.
Market Area: The market area is generally the standard metropolitan statistical area consisting of Black
Hawk County, Grundy County and Bremer County, Iowa.
Step 1. Analysis: Actual Relative Availability of DBEs
The Iowa DOT DBE Directory(http://www.iowadot.gov/civiIrights/dbe program.html)was used to
determine the number of DBEs within the market area, and the US Census Bureau Data
(http://factfinder.census.gov/faces/nav/isf/pages/searchresults.xhtml?refresh=t)was used to determine
the total number of firms within the various NAICS categories as defined below.
NAICS Type of Work Total DBE's Total All Firms
237 Heavy and Civil Engineering Construction 3 28
54133 Engineering Services 0 18
Total 3 46
DBE Program 16 Waterloo Regional Airport
May 2017
The Iowa DOT certified DBE firms in the market area consist of the following:
1. Midwest Contractors, Inc., a heavy highway construction company specializing in full-depth and
partial-depth patching, small paving projects, and approaches to bridges.
2. Tiedt Nursery & Forestry Services, Ltd., a heavy highway construction company specializing in
erosion control and landscaping.
3. Watco Construction, Inc., a heavy highway construction company specializing is storm sewer,
subdrains and water mains.
The base figure was determined for the relative availability of DBEs.
The base figure for the relative availability of DBE's was calculated as follows:
Base figure = Ready, Willing and Able DBEs
All Firms Ready, Willing and Able
The base figure was determined for each fiscal year by the following:
Base Figure = Heavy/Highway x Ready, Willing, Able DBE Heavy/Highway
Total funds Ready, Willing, Able Heavy/Highway
+ Engineer x Ready, Willing, Able DBE Engineering
Total Funds Ready, Willing, Able Engineering
2017 Base Figure = $2,516,021/$2,828,021 x 3/28 + $312,000/$2,828,021 x 0/18
= 0.8897 (.1071) + 0.1103 (0.0000) = 9.53%
2018 Base Figure = $870,459/$1,098,314 x 3/28 + $227,855/$1,098,314 x 0/18
= 0.7925 (0.1071) + 0.2075 (0.0000) = 8.49%
2019 Base Figure = $666,560/$1,161,994 x 3/28 + $495,434/$1,161,994 x 0/18
= 0.5736 (0.1071) + 0.4264 (0.0000) = 6.14%
To determine a base figure for rehabilitation projects anticipated to be accomplished in FY2017, FY2018
and FY2019, the base figures for each year were averaged:
(2017 (9.53%) + 2018 (8.49%) + 2019 (6.14%))/3 = 8.05%
The data source or demonstrable evidence used to derive the numerator was the Iowa Department of
Transportation 2017 DBE Directory. DBE listed firms within the three-county area of the Waterloo-Cedar
Falls, Iowa, Metropolitan Statistical Area. See above table.
The data source or demonstrable evidence used to derive the denominator was the 2015 County
Business Patterns for the Waterloo-Cedar Falls, Iowa, Metropolitan Statistical Area. The data identified is
for Heavy and Civil Engineering Construction (NIACS Code 237), and Engineering Services (NIACS
Code 54133). See above table.
Step 2. Analysis: Adjustment to Step 1 base figure to make it more precise.
DBE Program 17 Waterloo Regional Airport
May 2017
After calculating a base figure of the relative availability of DBEs, evidence was examined to determine
what adjustment(if any)was needed to the base figure in order to arrive at the overall goal.
The data used to determine the adjustment to the base figure for rehabilitation projects was the median of
historical DBE accomplishments, which ranges from 2.23% to 9.09% as follows:
FY12—Rehabilitation of Airfield Lighting Vault:
Construction Cost= $889,553, Engineering Cost= $212,500, and DBE Participation = $66,747
For a Total DBE Participation of 6.06%
FY12—Rehabilitation of Taxiway E:
Construction Cost= $990,681, Engineering Cost= $158,219, and DBE Participation = $104,446
For a Total DBE Participation of 9.09%
FY13—Rehabilitation of Taxiway B:
Construction Cost= $545,807, Engineering Cost= $83,800, and DBE Participation = $57,025.00
For a Total DBE Participation of 9.06%
FY15—Rehabilitation of Taxiway A East:
Bid Cost = $861,209, Engineering Cost = $216,600, and DBE Participation = $24,000.00
For an Estimated DBE Participation of 2.23%
Based on this historical data, the average DBE participation for Rehabilitation projects has been 6.61%
for the four(4) projects completed in the last 4-years.
To arrive at an overall goal, we added our Step 1 base figure with our Step 2 adjustment figure and then
averaged the total, arriving at an overall goal of 7.33% for rehabilitation projects.
We feel this adjusted goal figure will accurately reflect DBE participation that can be achieved for the type
of project work being awarded during FY 2017/2018/2019.
In order to achieve the greatest level of DBE participation, each project will be evaluated for DBE
participation potential prior to advertising for bids. If these percentages can be adjusted upward on a
case-by-case basis, they will.
Further, there are no applicable disparity studies for the local market area or recent legal case information
available from the State of Iowa to show any evidence of barriers to entry or competitiveness of DBEs in
Waterloo or Black Hawk, Grundy, or Bremer Counties.
Breakout of Estimated Race-Neutral (RN) and Race-Conscious (RC) Participation. 26.51(b)(1-9)
The Board will meet the maximum feasible portion of its overall goal by using race-neutral means of
facilitating DBE participation. The Board uses the following race-neutral means to increase DBE
participation:
• Provides DBE directories to all potential prime contractors.
• Offers instructions and clarifications on bid specifications, general bidding requirements, and our
procurement policy and procedures to small businesses, as requested.
• Maintains a file of bid documents from past procurements and permit DBEs and other small
business firms to review and evaluate these documents.
• When requested, conducts debriefing sessions to explain why certain bids were unsuccessful.
• Provides information on certification procedures, subcontracting, and bonding requirements to all
small businesses.
• Places bid notices in local newspapers and with trade associations.
DBE Program 18 Waterloo Regional Airport
May 2017
• Makes bid specifications available to DBE contractor associations and technical assistance
agencies.
• Provides DBEs and DBE organizations with lists of majority firms bidding as prime contractors, as
requested.
We estimate that, in meeting our overall goal of 7.33% for rehabilitation projects, we will obtain 0.61%
from race-neutral participation and 6.72% through race-conscious measures. This breakout is based on
the fact that the average DBE accomplishments for the construction projects in FY 2013/FY2014/FY2015
exceeded the DBE program goal of 6.0%, which is evidence of race-neutral participation. The difference
between the DBE program goal in the average final participation for this group of rehabilitation projects
was 0.61%, which represents the race-neutral participation.
The Board will adjust the estimated breakout of race-neutral and race-conscious participation, as needed,
to reflect actual DBE participation, and we will track and report race-neutral and race-conscious
participation separately. For reporting purposes, race-neutral DBE participation includes, but is not
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 a 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.
Public Participation
Consultation: Section 26.45(g)(1)
The Board will submit its overall 3-year goal to FAA by August 1 of each year as required.
The 3-year goal information will be provided to the Office of Community Development; to the Mayor's
Advisory Committee for Minority, Female, and Disadvantage Business Enterprise; and will be posted on
the website for the City of Waterloo prior to being acted upon by the Waterloo Regional Airport Board.
The goal information will then be presented to the City Council for public hearing and consideration.
Following the consultation, a notice will be published in the Waterloo-Cedar Falls Courier of the proposed
overall goal, informing the public that the proposed goal and its rationale are available for inspection
during normal business hours at the Airport Administration Building for 30 days following the date of the
notice, and informing the public that the Board and FAA-DOT will accept comments on the goals for 45
days from the date of the notice. Normally, this notice will be issued by June 1 of each year. The notice
must include addresses to which comments may be sent and addresses where the proposal may be
reviewed.
Our overall goal submission to FAA-DOT will include a summary of information and comments received
during this public participation process and Board responses, if any.
A Sample of the Public Notice Language is as follows:
DBE Program 19 Waterloo Regional Airport
May 2017
PUBLIC NOTICE
3-Year DBE Goal for FAA AIP Construction Projects
at the
Waterloo Regional Airport
Waterloo, Iowa
The City of Waterloo and the Waterloo Regional Airport Board hereby announces its three-year overall
goal for federal fiscal years 2017/2018/2019 of 7.33% for Disadvantaged Business Enterprise (DBE)
participation on airport construction projects. The proposed goal and rationale are available for
inspection between 8:00 a.m. and 5:00 p.m., Monday through Friday, at the office of the Airport
Director, Waterloo Regional Airport, 2790 Livingston Lane, Waterloo, Iowa, 50703, for 30 days from the
date of this publication.
Comments on the DBE goals will be accepted for 45 days from the date of this publication and can be
sent to the following:
Mr. Keith Kaspari
Director of Aviation
Waterloo Regional Airport
2790 Livingston Lane
Waterloo Iowa 50703
or
Mr. Rudy D. Jones, Director
Waterloo Community Development Office
620 Mulberry Street, Suite 202
Waterloo, Iowa 50703
or
Ms. Ofelia Medina
FAA Western-Pacific Regional Office
P.O. Box 92007, AWP-9
Los Angeles, California 90009-2007
DBE Program 20 Waterloo Regional Airport
May 2017
Contract Goals
The Board will use contract goals to meet any portion of the overall goal that the Board does not project
being able to meet using RN means. Contract goals are established so that, over the period to which the
overall goal applies, they will cumulatively result in meeting a portion of the Board's overall goal that is not
projected to be met through the use of RN means.
The Board will establish contract goals only on those FAA AIP-assisted contracts that have
subcontracting possibilities. The Board will not establish a contract goal on every such contract, and the
size of the contract goals will be adapted to the circumstances of each such contract (e.g., type and
location of work and availability of DBEs to perform the particular type of work).
We will express our contract goals as a percentage of the total amount of a FAA AIP-assisted contract.
DBE Program 21 Waterloo Regional Airport
May 2017
Attachment 7
Forms for Demonstration of Good Faith Efforts
UTILIZATION STATEMENT
Disadvantage Business Enterprise
The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following
manner. (Please mark the appropriate box)
❑ The bidder/offeror is committed to a minimum of % DBE utilization
on this contract.
❑ The bidder/offeror, while unable to meet the DBE goal of %, hereby
commits to a minimum of % DBE utilization on this contract and
also submits documentation, as an attachment, demonstrating good faith
efforts (GFE).
The undersigned hereby further assures that the information included herein is true and correct, and that
the DBE firm(s) listed herein have agreed to perform a commercially useful function in the work items
noted for each firm. The undersigned further understands that no changes to this statement may be made
without prior approval from the Civil Rights Staff of the Federal Aviation Administration.
Bidder's/Offeror's Firm Name
Signature Date
DBE UTILIZATION SUMMARY
Contract Amount DBE Amount Contract
Percentage
DBE Prime Contractor $ x 1.00 = $
DBE Subcontractor $ x 1.00 = $
DBE Supplier $ x 0.60 = $ %
DBE Manufacturer $ x 1.00 = $
Total Amount DBE $
DBE Goal $
Note: If the total proposed DBE participation is less than the established DBE goal, Bidder must provide written
documentation of the good faith efforts as required by 49 CFR Part 26.
DBE Program 22 Waterloo Regional Airport
May 2017
Attachment 7 Cont.
LETTER OF INTENT
Disadvantage Business Enterprise
(This page shall be submitted for each DBE firm)
Bidder/Offer: Name:
Address:
City: State: Zip:
DBE Firm: DBE Firm:
Address:
City: State: Zip:
DBE Contact Person: Name: Phone: ( )
DBE Certifying Agency: Expiration Date:
Each DBE Firm shall submit evidence(such as a photocopy)of
their certification status.
Classification: ❑Prime Contractor El Subcontractor ❑Joint Venture
1:1 Manufacturer ❑Supplier
Work item(s)
to be performed Description of Work Item Quantity Total
by DBE
The bidder/offeror is committed to utilizing the above-named DBE firm for the work described
above. The estimated participation is as follows:
DBE contract amount: $ Percent of total contract: %
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)
Note: In the event the bidder/offeror does not receive award of the prime contract, any and all
representations in this Letter of Intent and Affirmation shall be null and void.
DBE Program 23 Waterloo Regional Airport
May 2017