Monthly Business Meeting AGENDA

WINCHESTER REGIONAL AIRPORT 491 AIRPORT ROAD

WINCHESTER, VIRGINIA 22602 (540) 662-5786

Monthly Business Meeting AGENDA

The Winchester Regional Airport Authority will meet in the Terminal Building Conference Room, Thursday, June 8, 2017, at 5:00 p.m. Gene Fisher, Chairman, Presiding

1. Open Meeting

2. Approve Meeting Agenda

3. Approve Minutes

April 13, 2017, WRAA Business Meeting May 11, 2017, WRAA Business Meeting – No Quorum

4. Comments – Audience

5. Chairman – Opening Remarks 6. Committee Reports

a. Financial Report – Secretary/Treasurer – J.J. Smith

April 2017 Financial Report May 2017 Financial Report

b. Building/Lease – Paul Anderson

Corporate Hangar Rate Structure Recommendation

c. Minimum Standards/Personnel/Security – David Reichert

d. Marketing/Development – Bill Pifer

7. Comments – Executive Director

Adopt – FY 2017 DBE Program

8. Comments – Board Members

9. Adjourn

Winchester Regional Airport Authority 6/05/2017Run: 1:51PM General Ledger Balance Sheet Report

As Of: 5/31/2017All Departments Consolidated

1Page:

Assets 1,991.0810171010.0010 County Operating Cash 500.0010171011.0000 Petty Cash

28,515.9410171080.0050 Inventory - Jet-A 28,826.2010171080.0060 Inventory - Avgas 1,110.1910171082.0000 Inventory - Merchandise 620.4610171083.0000 Inventory - Oil 633.2510171084.0000 Inventory - Automobile Gas/Airport Use 1,450.1710171085.0000 Inventory - Diesel Airport Use 981.0810171090.0020 Pre-Paid Fire Insurance 508.5010171090.0050 Pre-Paid Motor Vehicle Insurance 43.0010171090.0070 Pre-Paid Public Officials Risk Ins

3,083.3410171090.0080 Pre-Paid General Libility Insurance 202.0910171094.0000 Prepaid Postage

44,107.1010171153.0001 Oper Accounts Receivable 18,430.3810171153.0020 ACH CC Payment (9,978.00)10171153.4901 Oper Revenue Due From Frederick County (3,307.38)10171153.4902 Oper Revenue Due From City Of Winchester 50,471.0010172002.0000 VRS - Deferred Outflow 65,835.2410851010.0010 County Capital Cash

4,316,311.2510851100.0000 Construction In Progress 33,825,879.5510851200.0010 Fixed Assets (12,451,065.84)10851200.0020 Less Accumulated Depreciation 25,925,148.60Total Assets:

Liabilities 18,094.0320172020.0000 Accounts Payable - Operating Fund 23,381.3120172020.0010 Accts Payable Credit Card Charges

334,106.5820172021.0010 Wachovia Loan - VRA 73,861.1820172094.6100 Accrued Leave - PTO & IDA 5,650.3920172094.6200 Accrued Leave - Fringes 27,157.0020172201.0000 VRS - Deferred Inflow

181,119.0020172202.0000 VRS - Pension Liability 15.1620172804.0000 Virginia State Sales Tax

13,652.6020852020.0000 Accounts Payable - Capital Fund 44,850.7030000000.0000 Current Earnings

25,203,260.6530000001.0000 Retained Earnings 25,925,148.60Total Liabilities And Equity:

Notes:All Departments Consolidated.

Winchester Regional Airport Authority 6/05/2017Run: 1:51PM General Ledger Standard Income Report

1 of 2

For The Period: 7/01/2016 Through: 5/31/2017Selected Departments Consolidated

Page:

Income 5/31/2017 MTD Year-To-Date

State Operating Reimbursement 10,765.8240172404 0.00Sale - Fuel 675,986.9640174500 67,154.70Sale - Merchandise 450.5640174502 219.15Sale - Oil 606.7840174503 55.97Rental Income 388,153.5940174600 31,424.00Income - Land Leases 55,706.0040174601 17,935.00Special & Misc Fees 13,561.2340174617 2,099.52Facility & Service Fees 16,210.0040174618 2,935.00Miscellaneous Revenue 21,069.0940174899 22.29Operating Appropriations 146,139.6240174900 13,285.42

Total Income: 135,131.05 1,328,649.65

Expense 5/31/2017 MTD Year-To-Date

Cost - Fuel 364,304.8154140000 35,390.80Cost - Merchandise 436.6754140002 195.94Cost - Oil 466.0554140003 42.71Accrued Salaries 7,258.3561000000 0.00Salaries 446,170.7061001000 41,188.10Overtime Pay 14,392.3261005001 1,396.31Holiday Worked Pay 5,273.4261005002 0.00Accrued Leave - Fringe Benefit Expense 555.2662000000 0.00FICA 34,436.4562001000 3,145.88VSRS 39,496.1262002000 3,789.32Hospital/Medical Plans 82,024.2562005000 7,923.86Group Life Insurance 5,623.8662006000 539.56Short/Long Disab - 041 FLT - Carlson 316.5262008000 33.76Worker's Compensation 14,426.7962011000 1,322.24Professional Svcs - Other 26,610.4063002000 110.00Outside Repairs & Maint Vehicle/Equip 5,736.6763004001 0.00Repair - Blgs & Grounds Outside Repairs 937.1063004003 0.00Maintenance Contracts 6,300.4063005000 0.00State Funded Maintenance Contracts 3,200.0063005001 1,100.00Advertising 611.2063007000 0.00Contractual Services 24,051.9163010000 2,687.56Electrical Services 48,846.6765101000 0.00Heating Service 5,533.4565102000 120.23Water & Sewer Services 2,400.7365103000 253.21Postage Meter Expense 213.9465204001 7.90Telephones/Internet/TV Cable Expense 6,760.5665204002 578.92Fire/Property Insurance 10,791.9265302000 981.08Motor Vehicle Insurance 5,593.5065305000 508.50Public Officials Liability Ins 473.0065307000 43.00General Liability Insurance 16,958.3365308000 1,541.66Office Supplies & Computers 3,343.4865401000 160.37Janitorial Supplies 931.5465405000 0.00Repair/Maint Parts & Supplies 4,712.5265407000 188.35State Reimb - Repairs/Maint/Supplies 1,588.5265407001 0.00Vehicle/Equip - Parts/Supplies 8,226.4865408000 984.50Airport Vehicle Fuel 6,740.1865408001 473.85

Winchester Regional Airport Authority 6/05/2017Run: 1:51PM General Ledger Standard Income Report

2 of 2

For The Period: 7/01/2016 Through: 5/31/2017Selected Departments Consolidated

Year-To-Date 5/31/2017 MTD

Page:

Employee Uniforms 835.7965410000 50.24Operational Expense 4,687.3965413000 27.34Line Service Equipment 1,205.1665413001 291.15Security Materials & Supplies 176.8165413002 0.00Travel Expenses 3,807.4565506000 349.00Promotional Fund Expenses 14,997.5065715000 176.00Dues & Membership 1,663.1565801000 440.00Va Sales Tax Paid 40.0565804000 0.00Snow Removal Contingency Fund 4,097.6265806000 0.00Unemployment Claim 406.4075810000 0.00Lease/Rent Of Equipment 27,518.6279001000 2,349.41Loan - VRA Bond 15,357.8679101000 787.46

Total Expense: 109,178.21 1,280,537.87

Net Income: 25,952.84 48,111.78

Notes:Report Period: 7/01/2016 - 5/31/2017Selected Departments Consolidated: WINCHESTER AVIATION

alamm

Typewritten Text

65101000 - Electric - Estimated $4,200.00

Winchester Regional Airport Authority 6/05/2017 Page: 1 of 2Run: 1:52PM General Ledger Two-Year Income Report

For the Current-Year Period: 7/01/2016 Through: 5/31/2017Selected Departments Consolidated

Gain (Loss)Year-To-Date TotalsCurrent Month Totals Gain (Loss)Last Year vs Last YearLast Year This Year vs Last Year This Year

Income40172404 State Operating Reimbursement -100.0% 65.8% 254.93 0.00 (254.93) 6,492.65 10,765.82 4,273.1740174500 Sale - Fuel 23.1% -0.8% 54,538.20 67,154.70 12,616.50 681,262.05 675,986.96 (5,275.09)40174502 Sale - Merchandise --.-% 79.0% 0.00 219.15 219.15 251.65 450.56 198.9140174503 Sale - Oil 70.7% -10.2% 32.78 55.97 23.19 675.70 606.78 (68.92)40174600 Rental Income -12.4% -1.7% 35,885.00 31,424.00 (4,461.00) 394,871.00 388,153.59 (6,717.41)40174601 Income - Land Leases 18.2% 12.3% 15,168.00 17,935.00 2,767.00 49,607.00 55,706.00 6,099.0040174617 Special & Misc Fees 71.9% 41.9% 1,221.62 2,099.52 877.90 9,554.35 13,561.23 4,006.8840174618 Facility & Service Fees 40.4% -29.2% 2,090.00 2,935.00 845.00 22,910.00 16,210.00 (6,700.00)40174899 Miscellaneous Revenue -96.0% 249.5% 553.21 22.29 (530.92) 6,027.65 21,069.09 15,041.4440174900 Operating Appropriations 90.0% -3.9% 6,990.58 13,285.42 6,294.84 151,991.40 146,139.62 (5,851.78)

0.4%15.8%Total Income: 116,734.32 18,396.73 135,131.05 1,323,643.45 1,328,649.65 5,006.20

Expense54140000 Cost - Fuel 47.1% 5.1% 24,057.05 35,390.80 11,333.75 346,670.04 364,304.81 17,634.7754140002 Cost - Merchandise 2667.5% 105.3% 7.08 195.94 188.86 212.66 436.67 224.0154140003 Cost - Oil 77.1% -7.8% 24.12 42.71 18.59 505.30 466.05 (39.25)61000000 Accrued Salaries -100.0% --.-% 1,490.07 0.00 (1,490.07) (1,463.31) 7,258.35 8,721.6661001000 Salaries 7.8% 4.8% 38,211.22 41,188.10 2,976.88 425,675.20 446,170.70 20,495.5061005001 Overtime Pay 30.4% -0.6% 1,070.65 1,396.31 325.66 14,484.21 14,392.32 (91.89)61005002 Holiday Worked Pay --.-% -0.1% 0.00 0.00 0.00 5,280.73 5,273.42 (7.31)62000000 Accrued Leave - Fringe Benefit Expense -100.0% --.-% 113.99 0.00 (113.99) (111.94) 555.26 667.2062001000 FICA 8.4% 4.8% 2,901.19 3,145.88 244.69 32,870.52 34,436.45 1,565.9362002000 VSRS -6.5% -11.1% 4,054.20 3,789.32 (264.88) 44,445.68 39,496.12 (4,949.56)62005000 Hospital/Medical Plans 21.6% 14.7% 6,513.92 7,923.86 1,409.94 71,517.72 82,024.25 10,506.5362006000 Group Life Insurance 18.7% 12.0% 454.72 539.56 84.84 5,019.19 5,623.86 604.6762008000 Short/Long Disab - 041 FLT - Carlson 111.3% 890.4% 15.98 33.76 17.78 31.96 316.52 284.5662011000 Worker's Compensation 0.2% -3.0% 1,319.35 1,322.24 2.89 14,872.96 14,426.79 (446.17)63002000 Professional Svcs - Other -72.5% -9.2% 400.00 110.00 (290.00) 29,317.00 26,610.40 (2,706.60)63004001 Outside Repairs & Maint Vehicle/Equip --.-% 72.1% 0.00 0.00 0.00 3,332.79 5,736.67 2,403.8863004003 Repair - Blgs & Grounds Outside Repairs --.-% -13.7% 0.00 0.00 0.00 1,086.05 937.10 (148.95)63005000 Maintenance Contracts --.-% -9.6% 0.00 0.00 0.00 6,966.40 6,300.40 (666.00)63005001 State Funded Maintenance Contracts --.-% 6.4% 0.00 1,100.00 1,100.00 3,007.60 3,200.00 192.4063007000 Advertising --.-% --.-% 0.00 0.00 0.00 0.00 611.20 611.2063010000 Contractual Services 9.3% -25.9% 2,458.66 2,687.56 228.90 32,461.95 24,051.91 (8,410.04)

Winchester Regional Airport Authority 6/05/2017 Page: 2 of 2Run: 1:52PM General Ledger Two-Year Income Report

For the Current-Year Period: 7/01/2016 Through: 5/31/2017Selected Departments Consolidated

Gain (Loss)Year-To-Date TotalsCurrent Month Totals Gain (Loss)Last Year vs Last YearLast Year This Year vs Last Year This Year

65101000 Electrical Services -100.0% -15.0% 4,264.01 0.00 (4,264.01) 57,445.10 48,846.67 (8,598.43)65102000 Heating Service 1.1% 23.1% 118.96 120.23 1.27 4,495.24 5,533.45 1,038.2165103000 Water & Sewer Services 1.5% -2.2% 249.36 253.21 3.85 2,453.55 2,400.73 (52.82)65204001 Postage Meter Expense -55.7% 12.7% 17.85 7.90 (9.95) 189.79 213.94 24.1565204002 Telephones/Internet/TV Cable Expense -5.4% 0.8% 612.23 578.92 (33.31) 6,705.67 6,760.56 54.8965302000 Fire/Property Insurance 0.0% 0.0% 981.08 981.08 0.00 10,791.92 10,791.92 0.0065305000 Motor Vehicle Insurance 0.3% 0.3% 507.00 508.50 1.50 5,577.00 5,593.50 16.5065307000 Public Officials Liability Ins 0.0% 0.0% 43.00 43.00 0.00 473.00 473.00 0.0065308000 General Liability Insurance 0.0% 0.0% 1,541.66 1,541.66 0.00 16,958.33 16,958.33 0.0065401000 Office Supplies & Computers 14.9% -52.5% 139.57 160.37 20.80 7,032.76 3,343.48 (3,689.28)65405000 Janitorial Supplies --.-% 2.2% 0.00 0.00 0.00 911.69 931.54 19.8565407000 Repair/Maint Parts & Supplies -19.7% -13.3% 234.60 188.35 (46.25) 5,437.96 4,712.52 (725.44)65407001 State Reimb - Repairs/Maint/Supplies --.-% --.-% 0.00 0.00 0.00 0.00 1,588.52 1,588.5265408000 Vehicle/Equip - Parts/Supplies 499.7% 8.2% 164.16 984.50 820.34 7,603.67 8,226.48 622.8165408001 Airport Vehicle Fuel -5.2% -21.3% 499.98 473.85 (26.13) 8,559.67 6,740.18 (1,819.49)65410000 Employee Uniforms --.-% 265.9% 0.00 50.24 50.24 228.40 835.79 607.3965413000 Operational Expense -78.4% 281.6% 126.57 27.34 (99.23) 1,228.51 4,687.39 3,458.8865413001 Line Service Equipment --.-% 13.0% 0.00 291.15 291.15 1,066.71 1,205.16 138.4565413002 Security Materials & Supplies --.-% -79.6% 0.00 0.00 0.00 867.86 176.81 (691.05)65506000 Travel Expenses --.-% 104.2% 0.00 349.00 349.00 1,864.72 3,807.45 1,942.7365715000 Promotional Fund Expenses -59.7% 105.3% 437.00 176.00 (261.00) 7,304.90 14,997.50 7,692.6065801000 Dues & Membership --.-% 20.6% 0.00 440.00 440.00 1,379.00 1,663.15 284.1565804000 Va Sales Tax Paid --.-% 15.9% 0.00 0.00 0.00 34.56 40.05 5.4965806000 Snow Removal Contingency Fund --.-% -24.1% 0.00 0.00 0.00 5,400.38 4,097.62 (1,302.76)75810000 Unemployment Claim --.-% --.-% 0.00 0.00 0.00 0.00 406.40 406.4079001000 Lease/Rent Of Equipment 0.0% -1.5% 2,349.41 2,349.41 0.00 27,933.49 27,518.62 (414.87)79101000 Loan - VRA Bond -52.4% -23.3% 1,653.46 787.46 (866.00) 20,035.64 15,357.86 (4,677.78)

3.4%12.5%Total Expense: 97,032.10 12,146.11 109,178.21 1,238,162.23 1,280,537.87 42,375.64

-43.7%31.7%Net Income: 19,702.22 6,250.62 25,952.84 85,481.22 48,111.78 (37,369.44)

Notes:Report Period: 7/01/2016 - 5/31/2017Selected Departments Consolidated: WINCHESTER AVIATION

AP100D 5/16/2017 COUNTY OF FREDERICK VA. A/PCHECK REGISTER BY DEPARTMENT- 4-017-081090 TIME- 11:07:08 PAGE 1 ActPd - 2017/05

AIRPORT AUTHORITY

P.O. VENDOR INVOICE CHECK A/P ACCOUNT DISCOUNT NET CHECK

NO. NO. VENDOR NAME NO. DATE ACCRL NO. AMOUNT AMOUNT NO. DESCRIPTION BATCH

---- ------ ----------- ------- ------- ----- ------- -------- ------ ----- ----------- -----

00000 004447 J & J JANITORIAL & 171040 5/16/2017 4017-081090-3010-000-000- .00 1,698.33 9495 OTHER CONTRACTUAL SERVICES 21507

CHECK TOTAL 1,698.33

00000 007984 RUSSELLS ROOFING COMPANY 2177 5/16/2017 4017-081090-3004-000-003- .00 325.55 9535 REPAIR & MAINTENANCE BLDG.&GROUNDS 21507

CHECK TOTAL 325.55

CLASS TOTAL 2,023.88


AIRPORT AUTHORITY



---- ------ ----------- ------- ------- ----- ------- -------- ------ ----- ----------- -----

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-3010-000-000- .00 233.48 9565 OTHER CONTRACTUAL SERVICES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5101-000-000- .00 2,701.60 9565 ELECTRICAL SERVICES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5101-000-000- .00 2,670.67 9565 ELECTRICAL SERVICES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5103-000-000- .00 61.63 9565 WATER & SEWAGE SERVICES 21511




00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5204-000-002- .00 504.10 9565 TELEPHONE 21511



00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5401-000-000- .00 70.42 9565 OFFICE SUPPLIES 21511








00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5405-000-000- .00 106.36 9565 JANITORIAL SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5405-000-000- .00 61.67 9565 JANITORIAL SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5407-000-000- .00 13.50 9565 REPAIR AND MAINTENANCE SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5407-000-001- .00 1,588.52 9565 STATE - PARTS AND SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5408-000-000- .00 19.38 9565 VEHICLE AND POWERED EQUIP SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5408-000-001- .00 601.79 9565 VEHICLE GAS-AIRPORT USE 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5413-000-000- .00 36.21 9565 OTHER OPERATING SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5413-000-000- .00 50.97 9565 OTHER OPERATING SUPPLIES 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5506-000-000- .00 140.01 9565 TRAVEL 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5506-000-000- .00 146.01 9565 TRAVEL 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-5715-000-000- .00 40.00 9565 PROMOTIONAL FUND 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-9001-000-000- .00 165.41 9565 LEASE/RENT OF EQUIPMENT 21511

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4017-081090-9001-000-000- .00 84.00 9565 LEASE/RENT OF EQUIPMENT 21511




AIRPORT AUTHORITY



---- ------ ----------- ------- ------- ----- ------- -------- ------ ----- ----------- -----

00000 003596 EASTERN AVIATION FUELS CF2749919 5/30/2017 4017-081090-5414-000-000- .00 267.90 9578 MERCHANDISE FOR RESALE 21512

00000 003596 EASTERN AVIATION FUELS 2741168 5/30/2017 4017-081090-5414-000-000- .00 16,426.51 9578 MERCHANDISE FOR RESALE 21512

00000 003596 EASTERN AVIATION FUELS R2747598 5/30/2017 4017-081090-9001-000-000- .00 2,100.00 9578 LEASE/RENT OF EQUIPMENT 21512


00000 005693 REZIN INC 3671 5/30/2017 4017-081090-3002-000-000- .00 110.00 9589 PROFESSIONAL SERVICES 21512

CHECK TOTAL 110.00



AIRPORT AUTHORITY CAPITAL PROJECTS



---- ------ ----------- ------- ------- ----- ------- -------- ------ ----- ----------- -----

00000 007822 BANK OF AMERICA N A 04/28/2017 5/23/2017 4085-081030-3002-000-000- .00 9,975.54 9565 PROFESSIONAL SERVICES-OTHER 21511




AIRPORT AUTHORITY CAPITAL PROJECTS



---- ------ ----------- ------- ------- ----- ------- -------- ------ ----- ----------- -----

22016 003802 DELTA AIRPORT CONSULTANTS CA-7-15012 5/30/2017 4085-081030-8801-000-336- .00 5,866.90 9579 NORTH SIDE CONNECTOR CONSTRUCTION 21512


22076 010261 RINKER DESIGN ASSOCIATES 829034 5/30/2017 4085-081030-8801-000-170- .00 132.23 9609 LAND ACQ BUFFLICK PARCEL 64 A 70 21512

CHECK TOTAL 132.23

00000 005880 BLUE RIDGE APPRAISAL CO 0070857 5/30/2017 4085-081030-8801-000-166- .00 400.00 693455 LAND ACQ BUFFLICK PARCEL 64 A 66 21512

CHECK TOTAL 400.00

00000 010100 APPLIED PAVEMENT 5194 5/30/2017 4085-081030-3002-000-000- .00 1,015.00 693459 PROFESSIONAL SERVICES-OTHER 21512



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WINCHESTER REGIONAL AIRPORT

491 Airport Road Winchester, VA 22602

DISADVANTAGED BUSINESS ENTERPRISE PLAN

Adopted: ________________, 2017

2

POLICY STATEMENT Section 26.1, 26.23 Objectives/Policy Statement The Winchester Regional Airport Authority owner of the Winchester Regional Airport has established a Disadvantaged Business Enterprise (DBE) Program in accordance with regulations of the U.S. Department of Transportation (DOT), 49 CFR Part 26. The Winchester Regional Airport Authority has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the Winchester Regional Airport Authority has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the Winchester Regional Airport Authority to ensure that DBEs as defined in Part 26, have an equal opportunity to receive and participate in DOT–assisted contracts. It is also our policy:

1. To ensure nondiscrimination in the award and administration of DOT- assisted contracts;

2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;

3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law;

4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs;

5. To help remove barriers to the participation of DBEs in DOT assisted contracts; 6. To promote the use of DBEs in all types of federally-assisted contracts and

procurement activities; 7. To assist the development of firms that can compete successfully in the market

place outside the DBE Program; and 8. To provide appropriate flexibility to recipients of Federal financial assistance in

establishing and providing opportunities for DBEs. Serena R. Manuel, Executive Director has been delegated as the DBE Liaison Officer. In that capacity, Serena R. Manuel, Executive Director 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 Winchester Regional Airport Authority in its financial assistance agreements with the Department of Transportation. Winchester Regional Airport Authority has disseminated this policy statement to the Winchester Regional Airport Authority and all of the components of our organization. We have distributed this statement to DBE and non-DBE business communities that perform work for us on DOT-assisted contracts. The distribution was accomplished by publication on the Airport web page. _____________________________________ ________________ Executive Director, Winchester Regional Airport Date

3

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 Winchester Regional Airport Authority is the recipient of Federal airport funds authorized by 49 U.S.C. 47101, et seq. Section 26.5 Definitions The Winchester Regional Airport Authority will use terms in this program that have the meaning defined in Section 26.5. Section 26.7 Non-discrimination Requirements The Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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) We will report DBE participation to DOT/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 firm information either on the FAA DBE Contractor’s Form or other similar format. We will begin using the revised Uniform Report of DBE Awards or Commitments and Payments for reporting FY 2015 reports due December 1, 2015.

Bidders List: 26.11(c) The Winchester Regional Airport Authority 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 our DOT-assisted

4

contracts for use in helping to set our overall goals. The bidders list will include the name, address, DBE and non-DBE status, age of firm, and annual gross receipts of firms. We will collect this information in the following ways: See attached sample form Attachment 3 which will be included in the specifications for the project.

Section 26.13 Federal Financial Assistance Agreement The Winchester Regional Airport Authority has signed the following assurances, applicable to all DOT-assisted contracts and their administration: Assurance: 26.13(a) - Each financial assistance agreement the Winchester Regional Airport Authority signs with a DOT operating administration (or a primary recipient) will include the following assurance:

The Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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.). [Note: This language is to be used verbatim, as it is stated in 26.13(a).]

Contract Assurance: 26.13b – The Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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.[Note: This language is to be used verbatim, as it is stated in 26.13(b)]

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SUBPART B - ADMINISTRATIVE REQUIREMENTS Section 26.21 DBE Program Updates The Winchester Regional Airport Authority is required to have a DBE program meeting the requirements of this part as it will receive grants for airport planning or development and will award prime contracts, cumulative total value of which exceeds $250,000 in FAA funds in a federal fiscal year. We are not eligible to receive DOT financial assistance unless DOT has approved our DBE program and we are in compliance with it and this part. We will continue to carry out our program until all funds from DOT financial assistance have been expended. We do not have to submit regular updates of our program, as long as we remain in compliance. However, we will submit significant changes in the program for approval. 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: Serena R. Manuel Executive Director, Winchester Regional Airport 491 Airport Road, Winchester, VA 22602 (540) 662-5786 E-mail Address: [email protected] In that capacity, the DBELO is responsible for implementing all aspects of the DBE program and ensuring that the Winchester Regional Airport Authority complies with all provision of 49 CFR Part 26. The DBELO has direct, independent access to the President of the Winchester Regional Airport Authority concerning DBE program matters. An organization chart displaying the DBELO’s position in the organization is found in Attachment 1 to this program. The DBELO is responsible for developing, implementing and monitoring the DBE program, in coordination with other appropriate officials. The DBELO has a staff of two (2) to assist in the administration of the program. The duties and responsibilities include the following:

1. Gathers and reports statistical data and other information as required by DOT. 2. Reviews third party contracts and purchase requisitions for compliance with

this program. 3. Works with all departments to set overall annual goals. 4. Ensures that bid notices and requests for proposals are available to DBEs in

a timely manner.

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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 Winchester Regional Airport Authority progress toward attainment and identifies ways to improve progress.

7. Participates in pre-bid meetings. 8. Advises the CEO\governing body on DBE matters and achievement. 9. Determine contractor compliance with good faith efforts. 10. Provides DBEs with information and assistance in preparing bids, obtaining

bonding and insurance. 11. Provides outreach to DBEs and community organizations to advise them of

opportunities. Section 26.27 DBE Financial Institution It is the policy of the Winchester Regional Airport Authority to investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in the community, to make reasonable efforts to use these institutions, and to encourage prime contractors on DOT-assisted contracts to make use of these institutions. At this time there are no financial institutions owned and controlled by socially and economically disadvantaged individuals located in the Winchester, Virginia area. Section 26.29 Prompt Payment Mechanisms The Winchester Regional Airport Authority has established, as part of its 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. We will ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. We will use one of the following methods to comply with this requirement:

(3) 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.

Winchester Regional Airport Authority will consider a subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the Winchester Regional Airport Authority. When Winchester Regional Airport Authority 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.

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Winchester Regional Airport Authority will provide appropriate means to enforce the requirements of this section. There are many methods available to insure compliance with Part 26 by all participants. These means include:

The most important is Section 18.2-213.1 of the Code of Virginia which provides that it is a Class I misdemeanor if a contractor fraudulently obtains certification as a DBE or willfully makes false statements or willfully obstructs an investigation. The Class 1 misdemeanor is the highest class and its penalties include imprisonment.

The Airport Authority has competent counsel to bring any necessary action against a contractor that violates 49 CFR Part 26.

The Winchester Regional Airport Authority will include the following clause in each DOT-assisted prime contract:

The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than thirty (30) days from the receipt of each payment the prime contractor receives from Winchester Regional Airport Authority. The prime contractor agrees further to return retainage payments to each subcontractor within thirty (30) days after the subcontractor’s work is satisfactorily completed. Any delay or postponement of payment from the above referenced timeframe may occur only for good cause following written approval of the Winchester Regional Airport Authority. This clause applies to both DBE and non-DBE subcontractors.

The Winchester Regional Airport Authority has also established, as part of our DBE program, the following mechanisms to ensure prompt payment: (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. Monitoring Payments to DBEs We will require prime contractors to maintain records and documents of payments to DBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of the Winchester Regional Airport Authority or DOT. 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.

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Section 26.31 Directory The Winchester Regional Airport Authority uses the State of Virginia DBE directory, maintained by the State. The directory lists the firm’s name, address, phone number, and the type of work the firm has been certified to perform as a DBE. In addition, the directory lists each type of work for which a firm is eligible to be certified by using the most specific NAICS code available to describe each type of work. The Directory may be found at http://egov1.virginia.gov/dbecert.html. Section 26.33 Over-concentration Winchester Regional Airport Authority has not identified that over-concentration exists in the types of work that DBEs perform. Section 26.35 Business Development Programs Winchester Regional Airport Authority has not established a business development program. Section 26.37 Monitoring and Enforcement Mechanisms The Winchester Regional Airport Authority will take the following monitoring and enforcement mechanisms to ensure compliance with 49 CFR Part 26.

1. We will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.107.

2. We will implement similar action under our own legal authorities, including

responsibility determinations in future contracts. Attachment 7 lists the regulation, provisions, and contract remedies available to us in the events of non-compliance with the DBE regulation by a participant in our DBE Program.

3. We will implement a monitoring and enforcement mechanism to ensure that work committed to DBEs at contract award or subsequently (i.e., as the result of modification to the contract) is actually performed by the DBEs to which the work was committed.

4. We will implement a monitoring and enforcement mechanism that will include written certification that we have reviewed contracting records and monitored work sites for this purpose. This will be accomplished by airport staff:

http://egov1.virginia.gov/dbecert.html

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a. Reviewing bid package documentation. b. Reviewing monthly reports regarding DBE participation. c. Monitor progress payments to DBE’s through reports from prime contractors. d. Monitor work performed by DBE’s through on site visits.

5. We will implement a mechanism that will provide for a running tally of actual DBE

attainments (e.g., payment actually made to DBE firms), including a means of comparing these attainments to commitments. In our reports of DBE participation to DOT, we will show both commitments and attainments, as required by the DOT uniform reporting form.

Section 26.39 Fostering small business participation. The Winchester Regional Airport Authority has created a Small Business 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. The Winchester Regional Airport Authority small business element is incorporated as Attachment 9 to this DBE Program. We will actively implement the program elements to foster small business participation; doing so is a requirement of good faith implementation of our DBE program. SUBPART C – GOALS, GOOD FAITH EFFORTS, AND COUNTING Section 26.43 Set-asides or Quotas The Winchester Regional Airport Authority does not use quotas in any way in the administration of this DBE program.

Section 26.45 Overall Goals The Winchester Regional Airport Authority will establish an overall DBE goal covering a three-year federal fiscal year period if we anticipate awarding DOT/FAA funded prime contracts the cumulative total value of which exceeds $250,000 during any one or more of the reporting fiscal years within the three-year goal period. In accordance with Section 26.45(f) the Winchester Regional Airport Authority will submit its Overall Three-year DBE Goal to FAA by August 1st as required by the established schedule below.

Airport Type Region Date Due (Goal Period)

Next Goal Due (Goal Period)

Non-Primary (GAs, Relievers and State DOTs)

Alaskan, Eastern, & Great Lakes

August 1, 2016 (2017/2018/2019)

August 1, 2019 (2020/2021/2022)

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The DBE goals will be established in accordance with the 2-step process as specified in 49 CFR Part 26.45. If the Winchester Regional Airport Authority does not anticipate awarding DOT/FAA funded prime contracts the cumulative total value of which exceeds $250,000 during any of the years within the three-year reporting period, we will not develop an overall goal; however, this DBE Program will remain in effect and the Winchester Regional Airport Authority will seek to fulfill the objectives outlined in 49 CFR Part 26.1.

(c) Step 1. The first step is to determine the relative availability of DBEs in the market area, “base figure”. We will use DBE Directories and Census Bureau Data, and Bidders List as a method to determine our base figure. The second step is to adjust the “base figure” percentage from Step 1 so that it reflects as accurately as possible the DBE participation the recipient would expect in the absence of discrimination based on past participation, a disparity study and/or information about barriers to entry to past competitiveness of DBEs on Contracts.

If we use a bidders list, we will do the following: 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, we will establish a mechanism (documented in our goal submission) to directly capture data on DBE and non-DBE prime and subcontractors that submitted bids or quotes on our DOT-assisted contracts. Any methodology we choose will be based on demonstrable evidence of local market conditions and be designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in our market. We understand that 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 (above), is not an acceptable alternative means of determining the availability of DBEs.

(d) Step 2. Once we have calculated a base figure, we will examine all of the evidence available in our jurisdiction to determine what adjustment, if any, is needed to the base figure to arrive at our overall goal. If the evidence does not suggest an adjustment is necessary, then no adjustment shall be made.

26.45 (g)(1) In establishing the overall goal, the Winchester Regional Airport Authority will provide for consultation and publication. This includes consultation with minority, women’s and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the Winchester Regional Airport Authority efforts to establish a level playing field for the participation of DBEs. The consultation will include a scheduled, direct, interactive exchange (e.g., a face-to-face meeting, video conference,

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teleconference) with as many interested stakeholders as possible focused on obtaining information relevant to the Winchester Regional Airport Authority goal setting process, and it will occur before we are required to submit our goal methodology to the operating administration for review pursuant to paragraph (f) of this section. We will document in our goal submission the consultation process that we engaged in. Notwithstanding paragraph (f)(4) of this section, we will not implement our proposed goal until we have complied with this requirement. In addition, the Winchester Regional Airport Authority will publish a notice announcing our proposed overall goal before submission to the operating administration on August 1st. The notice will be posted on our official internet web site. If the proposed goal changes following review by the operating administration, the revised goal will be posted on our official internet web site. We will inform the public that the proposed overall goal and its rationale are available for inspection during normal business hours at our principal office and that the Winchester Regional Airport Authority and DOT/FAA will accept comments on the goals for 30 days from the date of the notice. Notice of the comment period will include the addresses to which comments may be sent (including offices and websites) where the proposal may be reviewed. The public comment period will not extend the August 1st deadline. The public comment period will be published on the Winchester Regional Airport website. Our Overall Three-Year DBE Goal submission to DOT/FAA will include a summary of information and comments received, if any, during this public participation process and our responses. We will begin using our overall goal on October 1 of the reporting period, unless we have received other instructions from DOT. Section 26.45 (e) - Project Goals If permitted or required by the FAA Administrator we will express our overall goals 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. A project goal is an overall goal, and must meet all the substantive and procedural requirements of this section pertaining to overall goals. A project goal covers the entire length of the project to which it applies. The project goal should include a projection of the DBE participation anticipated to be obtained during each fiscal year covered by the project goal. The funds for the project to which the project goal pertains are separated from the base from which your regular overall goal, applicable to contracts not part of the project covered by a project goal, is calculated. If we establish a goal on a project basis, we will begin using our goal by the time of the first solicitation for a DOT-assisted contract for the project.

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Section 26.45(f) - Prior Operating Administration Concurrent The Winchester Regional Airport Authority understands that we are not required to obtain prior operating administration concurrence with our overall goal. However, if the operating administration’s review suggests that our overall goal has not been correctly calculated or that our method for calculating goals is inadequate, the operating administration may, after consulting with us, adjust our overall goal or require that we do so. The adjusted overall goal is binding. In evaluating the adequacy or soundness of the methodology used to derive the overall goal, the U.S. DOT operating administration will be guided by the goal setting principles and best practices identified by the Department in guidance issued pursuant to § 26.9. A description of the methodology to calculate the overall goal and the goal calculations can be found in Attachment 5 to this program. Section 26.47 Failure to meet overall goals. The Winchester Regional Airport Authority 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 Winchester Regional Airport Authority 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;

Section 26.51(a-c) Breakout of Estimated Race-Neutral & Race-Conscious

Participation (a) The Winchester Regional Airport Authority will meet the maximum feasible portion of its 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. 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.

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(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.

The breakout of estimated race-neutral and race-conscious participation can be found in Attachment 5 to this program. Section 26.51(d-g) Contract Goals The Winchester Regional Airport Authority will arrange 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. If our approved projection under paragraph (c) of this section estimates that we can meet our entire overall goal for a given year through race-neutral means, we will implement our program without setting contract goals during that year, unless it becomes necessary in order meet our overall goal.

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We will establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities. We need not establish a contract goal on every such contract, and the size of contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work, availability of DBEs to perform the particular type of work). We will express our contract goals as a percentage of the total amount of a DOT-assisted contract. Section 26.53 Good Faith Efforts Procedures Demonstration of good faith efforts (26.53(a) & (c)) The obligation of the bidder/offeror is to make good faith efforts. The bidder/offeror can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. Examples of good faith efforts are found in Appendix A to Part 26. The Executive Director of the Winchester Regional Airport 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 Responsible. We 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(b)) In our solicitations for DOT/FAA-assisted contracts for which a contract goal has been established, we will 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

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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) We will require that the bidder/offeror present the information required by paragraph (b)(2) of this section: No later than 5 days after bid opening as a matter of responsibility;

Administrative reconsideration (26.53(d)) Within seven (7) business days of being informed by Winchester Regional Airport Authority that it is not responsible because it has not documented sufficient good faith efforts, a bidder/offeror may request administrative reconsideration. Bidder/offerors should make this request in writing to the following reconsideration official: Sharon Kibler, Assistant Finance Director, Frederick County, 107 N. Kent St. 3rd Floor, Winchester, VA 22601, (540) 667-0370. The reconsideration official will not have played any role in the original determination that the bidder/offeror did not document sufficient good faith efforts. As part of this reconsideration, the bidder/offeror will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder/offeror will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do. We will send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to the Department of Transportation. Good Faith Efforts procedures in situations when there are contract goals (26.53(f)(g)) We will include in each prime contract a provision stating:

The contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the contractor obtains your written consent as provided in this paragraph 26.53(f); and That, unless our consent is provided under this paragraph 26.53(f), the contractor shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE.

We will require the contractor that is 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.

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In this situation, we will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. We will require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph (b)(2) of this section (or an approved substitute DBE firm) without our prior written consent. This includes, but 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. We will provide such written consent only if we agree, for reasons stated in our concurrence document, that the prime contractor has good cause to terminate the DBE firm. For purposes of this paragraph, good cause includes the following circumstances:

(1) The listed DBE subcontractor fails or refuses to execute a written contract; (2) The listed DBE subcontractor fails or refuses to perform the work of its

subcontract in a way consistent with normal industry standards. Provided however, that good cause does not exist if the failure or refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or discriminatory action of the prime contractor;

(3) The listed DBE subcontractor fails or refuses to meet the prime contractor’s reasonable, non-discriminatory bond requirements.

(4) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;

(5) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment proceedings pursuant to 2 CFR Parts 180, 215 and 1,200 or applicable state law;

(6) We have determined that the listed DBE subcontractor is not a responsible contractor;

(7) The listed DBE subcontractor voluntarily withdraws from the project and provides to us written notice of its withdrawal;

(8) The listed DBE is ineligible to receive DBE credit for the type of work required; (9) A DBE owner dies or becomes disabled with the result that the listed DBE

contractor is unable to complete its work on the contract; (10) Other documented good cause that we have determined compels the

termination of the DBE subcontractor. Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the 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.

Before transmitting to us 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 us, of its intent to request to terminate and/or substitute, and the reason for the request.

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The prime contractor must give the DBE five days to respond to the prime contractor’s notice and advise us and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why we should not approve the prime contractor’s action. If required in a particular case as a matter of public necessity (e.g., safety), we may provide a response period shorter than five days. In addition to post-award terminations, the provisions of this section apply to pre-award deletions of or substitutions for DBE firms put forward by offerors in negotiated procurements. The Winchester Regional Airport Authority 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. 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 that we established for the procurement. The good faith efforts shall be documented by the contractor. If we request documentation from the contractor under this provision, the contractor shall submit the documentation to us within seven (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. We will 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 that we deem appropriate if the prime contractor fails to comply with the requirements of this section. If the contractor fails or refuses to comply in the time specified, our contracting office will issue an order stopping all or part of payment/work until satisfactory action has been taken. If the contractor still fails to comply, the contracting officer may issue a termination for default proceeding. Sample Bid Specification:

The requirements of 49 CFR Part 26, Regulations of the U.S. Department of Transportation, apply to this contract. It is the policy of the Winchester Regional Airport Authority to practice nondiscrimination based on race, color, sex, or national origin in the award or performance of this contract. All firms qualifying under this solicitation are encouraged to submit bids/proposals. Award of this contract will be conditioned upon satisfying the requirements of this bid specification. These requirements apply to all bidders/offerors, including those who qualify as a DBE. A DBE contract goal of ____ percent as determined in the goal calculation Attachment 5 has been established for this contract. The bidder/offeror shall make good faith efforts, as defined in Appendix A, 49 CFR Part

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26 Attachment 1, to meet the contract goal for DBE participation in the performance of this contract.

The bidder/offeror will be required to submit the following information: (1) the names and addresses of DBE firms that will participate in the contract; (2) a description of the work that each DBE firm will perform. To count toward meeting a goal, each DBE firm must be certified in a NAICS code applicable to the kind of work the firm would perform on the contract; (3) the dollar amount of the participation of each DBE firm participating; (4) Written documentation of the bidder/offeror’s commitment to use a DBE subcontractor whose participation it submits to meet the contract goal; and (5) 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; (6) if the contract goal is not met, evidence of good faith efforts.

Section 26.55 Counting DBE Participation We will count DBE participation toward overall and contract goals as provided in 49 CFR 26.55. We will not count the participation of a DBE subcontract toward a contractor’s final compliance with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE. If the firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time of the execution of the contract, we will not count the firm’s participation toward any DBE goals, except as provided for in 26.87(j). SUBPART D – CERTIFICATION STANDARDS Section 26.61 – 26.73 Certification Process Winchester Regional Airport Authority will use the certification standards of Subpart D of Part 26 to determine the eligibility of firms to participate as DBEs in DOT-assisted contracts. To be certified as a DBE, a firm must meet all certification eligibility standards as setforth by the Virginia Department of Small Business and Supplier Diversity. For information about the certification process, firms may contact: Serena R. Manuel Executive Director, Winchester Regional Airport 491 Airport Road, Winchester, VA 22602 (540) 662-5786 E-mail Address: [email protected] Or

mailto:[email protected]

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Virginia Department of Minority Business Enterprise 1111 East Main Street, Suite 300 Richmond, VA 23219 Phone: (804) 786-6585 http://egov1.virginia.gov/dbecert.html Certification application forms and documentation requirements are found in Attachment 8 to this program. SUBPART E – CERTIFICATION PROCEDURES Section 26.81 Unified Certification Programs Winchester Regional Airport Authority uses the directory administered by the State of Virginia. The UCP will meet all of the requirements of this section. SUBPART F – COMPLIANCE AND ENFORCEMENT Section 26.109 Information, Confidentiality, Cooperation and intimidation or retaliation We will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law such as:

The Freedom of Information Act: The Federal statutes (Exemption 4) allows for exemption from public disclosure of trade secrets and commercial or financial information.

The Virginia Public Procurement Act: allows for an exemption from the public disclosure of trade secrets or proprietary information.

The Airport Authority has the capacity to bring actions under the Virginia Public Procurement Act.

Notwithstanding any provision of Federal or state law, we will not release any information that may reasonably be construed as confidential business information to any third party without the written consent of the firm that submitted the information. This includes applications for DBE certification and supporting information. However, we will transmit this information to DOT in any certification appeal proceeding under § 26.89 of this part or to any other state to which the individual’s firm has applied for certification under § 26.85 of this part. All participants in the 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


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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). The Winchester Regional Airport Authority, contractor, or any other participant in the program will not intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or privilege secured by this part or because the individual or firm has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. If we violate this prohibition, we are in noncompliance with this part.

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ATTACHMENTS Attachment 1 Regulations: 49 CFR Part 26 or website link Attachment 2 Organizational Chart Attachment 3 Bidder’s List Collection Form Attachment 4 DBE Directory or link to DBE Directory Attachment 5 Overall Goal Calculations Attachment 6 Demonstration of Good Faith Efforts or Good Faith Effort Plan - Forms 1

& 2 Attachment 7 DBE Monitoring and Enforcement Mechanisms Attachment 8 DBE Certification Application Form Attachment 9 Small Business Element Program Attachment 10 Teleconference Notice for goal setting input

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ATTACHMENT 1 49 CFR Part 26, can be accessed at the following website: http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl

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ATTACHMENT 2 Organizational Chart

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ATTACHMENT 3 Bidder’s List Collection Form (SAMPLE BIDDERS LIST COLLECTION FORM)

Firm Name Firm Address/ Phone #

DBE or Non-DBE Status (verify via State’s UCP Directory)

Age of Firm Annual Gross Receipts

Less than 1 year 1- 3 years 4-7 years 8-10 years More than 10 years

Less than $500K $500K - $1 million $1-2 million $2-5 million Greater than $5 million











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ATTACHMENT 4 The Virginia DBE Directory can be found at the following:



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ATTACHMENT 5

Section 26.45: Overall DBE Three-Year Goal Methodology Name of Recipient: Winchester Regional Airport Authority owner of the Winchester Regional Airport Goal Period: FY-2017-2018-2019 – October 1, 2016 through September 30, 2019 DOT-assisted contract amount: FY-2017 $___________ FY-2018 $___________ FY-2019 $270,000

Total $270,000 Overall Three-Year Goal: 3.8%, to be accomplished through 3.8% RC and 0.0% RN Total dollar amount to be expended on DBE’s: $10,125.00 [multiply goal % x DOT-assisted amount] Describe the Number and Type of Contracts that the airport anticipates awarding: Contracts Fiscal Year #1 1. Clearing & Grubbing - $140,000 2. 3. Contracts Fiscal Year #2 1.No Project Planned 2. 3. Contracts Fiscal Year #3 1.Relocate Taxiway “A” Phase 1 (Design) - $270,000 2. 3. Airport Local Market Area

City of Winchester Warren County Frederick County Shenandoah County

Clarke County Loudoun County Step 1. 26.45(c) Actual relative availability of DBE’s Determine the base figure for the relative availability of DBEs. The base figure for the relative availability was calculated as follows:

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NAICS Type of Work Total DBE’s Total All Firms 541370 Surveying 0 21 541380 Geotechnical 1 4 541330 Engineering 0 201 Total 1 226

Divide the total number of DBE’s by the total number of All Firms = base figure for each contract. (Weighting is not mandatory, but is encouraged for a more accurate base figure). Base figure = 226 of all firms ready, willing and able. The data source or demonstrable evidence used to derive the numerator was: Virginia DBE Directory The data source or demonstrable evidence used to derive the denominator was: U.S. Census Business Pattern Data Step 2. 26.45(d): Adjustments to Step 1 base figure. 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. An examination of the anticipated contracts for each fiscal year, the availability of the DBE firms by trade classification and the volume of work performed by DBE firms over previous years. Fiscal Year #1 For FY-2017, we anticipate the award of the following:

Contract Name Trade Description NAICS Description NAICS Trade ($) Census Directory DBE (%) (= G/F)

DBE ($) (= E x H)

Total Contract #

Total Contract #

Total FY-2017

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Fiscal Year #2 For FY-2018, we anticipate the award of the following:

Contract Name Trade Description NAICS Description NAICS Trade ($) Census Directory DBE (%)

(= G/F) DBE ($) (= E x H)

Total Contract #

Total Contract #

Total FY-2017 Fiscal Year #3 For FY-2019, we anticipate the award of the following:

Contract Name Trade Description NAICS Description NAICS Trade ($) Census Directory DBE (%) (= G/F)

DBE ($) (= E x H)

Relocate Taxiway “A” Design

Surveying Surveying 541370 40,500 21 0 0 0

Geotechnical Geotechnical 541380 40,500 4 1 25% 10,125

Design Engineering 541330 189,000 201 0 0 0

Total Contract #1 (*weighted goal) 270,000 $10,125

Total Contract #1 270,000 3.8% $10,125

Total FY-2019 Past History Participation

FY Total Grant $ Amount DBE Goals Accomplishments Type of work RC RN Total RC RN Total FY 14 171,000 6.30 6.30 5.01 5.01 Conduct E.A.

FY 15 247,500 6.70 6.70 0.0 0.0 Construct Taxiway

FY 16 3,260,700 6.70 6.70 6.42 6.42 Construct Taxiway Arranging this historical data from low to high, (0.00%, 05.01%, 6.42%) the median is 5.01%.

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The proposed Overall DBE Goals are as follows:

Fiscal Year #1 – 0.0% Fiscal Year #2 – 0.0% Fiscal Year #3 – 3.8%

Our proposed overall three-year goal will be reflected as (option 1- an average of the three years). Examples:

– Year 1 Goal = 0.0% – Year 2 Goal = 0.0% – Year 3 Goal = 3.8%

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 3.8% We feel this adjusted goal figure will accurately reflect DBE participation that can be achieved for the type of work being awarded during this three-year period. Breakout of Estimated “Race and Gender Neutral” (RN) and “Race and Gender Conscious” (RC) Participation. 26.51(b) (1-9) The recipient will meet the maximum feasible portion of its overall goal by using RN means of facilitating DBE participation arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitates DBE, and other small businesses, participation;

1. Providing assistance in overcoming limitations such as inability to obtain bonding or financing;

2. Providing technical assistance and other services; 3. Carrying out information and communications programs on contracting procedures

and specific contract opportunities; 4. Implementing a supportive services program to develop and improve immediate and

long-term business management, record keeping, and financial and accounting capability for DBE’s and other small businesses;

5. Providing services to help DBE’s 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;

6. Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low;

7. Ensuring distribution of DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors;

8. Assist DBE’s and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media;

The recipient estimates that in meeting its overall goal 3.8%, it will obtain 0.0% from RN participation and 3.8% through RC measures. This breakout is based on:

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The Recipient has a history of DBE participation but not over-achievement of goals to reference and expects to obtain its DBE participation through the use of DBE contract goals or a conscious effort to obtain DBE participation. Additionally, with the upcoming project we feel that there is a good change of meeting our proposed goal. Therefore, we are applying the entire goal of 3.8% to race-conscious participation.

The Winchester Regional Airport Authority will adjust the estimated breakout of RN and RC DBE participation as needed to reflect actual DBE participation (see Section 26.51(f)) and track and report RN and RC participation separately. For reporting purposes, RN DBE participation includes, but is not necessarily limited to, the following: DBE participation through a prime contract obtained 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). In establishing the overall goal, the Winchester Regional Airport Authority provided for consultation and publication. This included consultation with minority, women’s and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the Winchester Regional Airport Authority efforts to establish a level playing field for the participation of DBEs. The consultation included a scheduled, direct, interactive exchange (teleconference) Attachment 10 with as many interested stakeholders as possible focused on obtaining information relevant to the Winchester Regional Airport Authority goal setting process, and it occurred before we were required to submit our goal methodology to the operating administration for review pursuant to paragraph (f) of this section. Notwithstanding paragraph (f)(4) of this section, we will not implement our proposed goal until we have complied with this requirement. The Winchester Regional Airport Authority submits its overall DBE three-year goal to DOT on August 1 as required by the set schedule. Before establishing the overall goal, the Winchester Regional Airport Authority consulted with: Winchester Chamber of Commerce, Virginia Contractors Association, State of Virginia Minority Business Development Office, without limiting consultation to these persons or groups, to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the Winchester Regional Airport Authority efforts to establish a level playing field for the participation of DBEs. Following the consultation, we published a notice on the Winchester Regional Airport web site 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 Winchester Regional Airport Authority and DOT will accept comments on the goals for 30 days from the date of the notice. No comments have been received.

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Sample Public Notice Language:

PUBLIC NOTICE The Winchester Regional Airport Authority hereby announces its fiscal years 2017 through 2019 goal of 4.0% for Disadvantaged Business Enterprise (DBE) airport construction Contracts. The proposed goals and rationale is available for inspection between 8:00 a.m. and 5:00 p.m., Monday through Friday at the airport located at 491 Airport Road, Winchester, VA 22602 for 30 days from the date of this publication. Comments on the DBE goal will be accepted for 30 days from the date of this publication and can be sent to the following:

Serena R. Manuel Executive Director, Winchester Regional Airport 491 Airport Road, Winchester, VA 22602 (540) 662-5786 E-mail Address: [email protected]

AND

Alexander Horton FAA Western-Pacific Regional Office P.O. Box 92007, AWP-9

Los Angeles, CA 90009-2007 (310) 725-3947 E-mail Address: [email protected] Contract Goals The Winchester Regional Airport Authority will use contract goals to meet any portion of the overall goal that the recipient does not project being able to meet using RN means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the recipient’s overall goal that is not projected to be met through the use of RN means. The Winchester Regional Airport Authority will establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities. It need 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 DBE’s to perform the particular type of work). We will express our contract goals as a percentage of the Federal share of a DOT-assisted contract.



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ATTACHMENT 6 Demonstration of Good Faith Efforts - Forms 1 & 2 [Forms 1 and 2 should be provided as part of the solicitation documents.] FORM 1: DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION

The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following manner (please check the appropriate space):

_____ The bidder/offeror is committed to a minimum of ____ % DBE utilization on this contract.

_____ The bidder/offeror (if unable to meet the DBE goal of ____%) is committed to a minimum of ____% DBE utilization on this contract and should submit documentation demonstrating good faith efforts. Name of bidder/offeror’s firm: ______________________________________ State Registration No. ____________________ By ___________________________________ ______________________ (Signature) Title

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FORM 2: LETTER OF INTENT Name of bidder/offeror’s firm: _______________________________ Address: ________________________________________________ City: _____________________________ State: _______ Zip: ______ Name of DBE firm: ________________________________________ Address: _________________________________________________ City: ________________________________State: _______ Zip: _____ Telephone: ___________________ Description of work to be performed by DBE firm:

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - The bidder/offeror is committed to utilizing the above-named DBE firm for the work described above. The estimated dollar value of this work is $ ___________. Affirmation The above-named DBE firm affirms that it will perform the portion of the contract for the estimated dollar value as stated above and that the firm is DBE certified to perform the specific trades. By ______________________________ Date:_________________________ (Signature) ______________________________

(Title) If 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. Submit this page for each DBE subcontractor.

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ATTACHMENT 7 DBE Monitoring and Enforcement Mechanisms The Winchester Regional Airport Authority has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following:

1. Breach of contract action, pursuant to the terms of the contract; 2. Breach of contract action, pursuant to Section 18.2-213.1 of the Code of Virginia;

In addition, the Federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, including, but not limited to, the following:

1. Suspension or debarment proceedings pursuant to 49 CFR Part 26 2. Enforcement action pursuant to 49 CFR Part 31 3. Prosecution pursuant to 18 USC 1001.

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ATTACHMENT 8 DBE Certification Application Form (New form October 2, 2014) follows this page The following web sites contain the application for DBE certification. In order to be sure of using the most current application form it is suggested that these sites be utilized. State of Virginia: http://egov1.virginia.gov/dbecert.html Federal DOT: https://www.transportation.gov/civil-rights/disadvantaged-business-enterprise


https://www.transportation.gov/civil-rights/disadvantaged-business-enterprise

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Commonwealth of Virginia

Unified Certification Program Disadvantaged Business Enterprise Program

49 C.F.R. Part 26

Uniform Certification Application

ROADMAP FOR APPLICANTS

(1) Should I apply?

o Is your firm at least 51%-owned by a socially and economically disadvantaged individual(s) who also

controls the firm?

o Is the disadvantaged owner a U.S. citizen or lawfully admitted permanent resident of the U.S.?

o Size standard and does not exceed $20.41 million in gross annual receipts?

o Is your firm organized as a for-profit business?

If you answered "Yes" to all of the questions above, you may be eligible to participate in the

U.S. DOT DBE program.

(2) Be sure to attach all of the required documents listed in the Documents Check List at the end of

this form with your completed application.

(3) Where can I find more information?

o U.S. DOT - http://osdbuweb.dot.gov/business/dbe/index.html (this site provides useful links to the

rules and regulations governing the DBE program, questions and answers, and other pertinent

information)

o SBA - http://www.ntis.gov/naics (provides a listing of NAICS codes) and

http://www.sba.gov/size/indextableofsize.html (provides a listing of NAICS codes)

o 49 CFR Part 26 (the rules and regulations governing the DBE program)

Under Sec. 26.107 of CFR Part 26, dated February 2, 1999, if at any time, the Department or a recipient has reason to believe that

any person or firm has willfully and knowingly provided incorrect information or made false statements, the Department may

initiate suspension or debarment proceedings against the person or firm under 49 CFR Part 29, Governmentwide Debarment and

Suspension (nonprocurement) and Governmentwide Requirements for Drug-free Workplace (grants), take enforcement action

under 49 CFR Part 31, Program Fraud and Civil Remedies, and/or refer the matter to the Department of Justice for criminal

prosecution under U.S.C.1001, which prohibits false statements in Federal programs.

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ATTACHMENT 9 Small Business Element 1. Objective/Strategies As part of this program element we have adopted the following strategies:

(1) 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.

(2) On prime contracts not having DBE contract goals, requesting 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.

2. Definition DBE firms should be identified in the Small Business element of the recipient’s DBE

program as eligible for the program unless there is a DBE micro-Small Business Program element in place.

By definition a “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).”.

Size standard should be consistent with 49 CFR 26.5 and must be no larger than the Small Business Administration’s size standards. DBE firms and small firms eligible for the program should be similarly sized to reduce competitive conflict between DBE and non-DBE firms.

Personal Net Worth standards – should be consistent with 49 CFR Part 26 thresholds.

3. Verification We will diligently attempt to minimize fraud and abuse in the SB element of its DBE

program by verifying program eligibility of firms. 4. Monitoring/Record Keeping

To monitor the SB element information will be gathered during the bidding process and records maintained in those project files.

5. Implementation Timeline

We have previously established a SB element as required. 6. Assurance

The following assurances are Included: 1. assurance that the program is authorized under state law; 2. assurance that certified DBEs that meet the size criteria established under the

program are presumptively eligible to participate in the program; 3. assurance that there are no geographic preferences or limitations imposed on any

federally assisted procurement included in the program;

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4. assurance that there are no limits on the number of contracts awarded to firms participating in the program but that every effort will be made to avoid creating barriers to the use of new, emerging, or untried businesses; and

5. assurance that aggressive steps will be taken to encourage those minority and women owned firms that are eligible for DBE certification to become certified.

6. assurance that the program is open to small businesses regardless of their location.

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ATTACHMENT 10 Teleconference Notice for goal setting Notice was sent to the following offices prior to submitting the final goal percentage. None responded to the invitation for the teleconference.

Monthly Business Meeting AGENDA

Documents

Transcript of Monthly Business Meeting AGENDA