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U.S. DOT Uniform DBE / ACDBE Certification Application • Page 1 of 15 OMB APPROVAL NO: 2105-0510 Expiration Date: 10/31/2021 Appendix F UNIFORM CERTIFICATION APPLICATION DISADVANTAGED BUSINESS ENTERPRISE (DBE) / AIRPORT CONCESSION DISADVANTAGED BUSINESS ENTERPRISE (ACDBE) 49 C.F.R. Parts 23 and 26 Roadmap for Applicants 1. Should I apply? You may be eligible to participate in the DBE/ACDBE program if: • The firm is a for-profit business that performs or seeks to perform transportation related work (or a concession activity) for a recipient of Federal Transit Administration, Federal Highway Administration, or Federal Aviation Administration funds. • The firm is at least 51% owned by a socially and economically disadvantaged individual(s) who also controls it. • The firm’s disadvantaged owners are U.S. citizens or lawfully admitted permanent residents of the U.S. • The firm meets the Small Business Administration’s size standard and DBE/ACDBE size standards— https://www.transportation.gov/DBEsizestandards 2. How do I apply? First time applicants for DBE certification must complete and submit this certification application and related material to the certifying agency in your home state and participate in an on-site interview conducted by that agency. The attached document checklist can help you locate the items you need to submit to the agency with your completed application. If you fail to submit the required documents, your application may be delayed and/or denied. Firms already certified as a DBE do not have to complete this form, but may be asked by certifying agencies outside of your home state to provide a copy of your initial application form, supporting documents, and any other information you submitted to your home state to obtain certification or to any other state related to your certification. 3. Where can I send my application? [INSERT UCP PARTICIPATING MEMBER CONTACT INFORMATION] 4. Who will contact me about my application and what are the eligibility standards? A transportation agency in your state that performs certification functions will contact you. The agency is a member of a statewide Unified Certification Program (UCP), which is required by the U.S. Department of Transportation. The UCP is a one-stop certification program that eliminates the need for your firm to obtain certification from multiple certifying agencies within your state. The UCP is responsible for certifying firms and maintaining a database of certified DBEs and ACDBEs, pursuant to the eligibility standards found in 49 C.F.R. Parts 23 and 26. 5. Where can I find more information? U.S. DOT—https://www.transportation.gov/civil-rights (This site provides useful links to the rules and regulations governing the DBE/ACDBE program, questions and answers, and other pertinent information) SBA—Small Business Size Standards matched to the North American Industry Classification System (NAICS): http://www.census.gov/eos/www/naics/ and http://www.sba.gov/content/table-small-business-size-standards. In collecting the information requested by this form, the Department of Transportation (Department) complies with the provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a). The Privacy Act provides comprehensive protections for your personal information. This includes how information is collected, used, disclosed, stored, and discarded. Your information will not be disclosed to third parties without your consent. The information collected will be used solely to determine your firm's eligibility to participate in the Department's Disadvantaged Business Enterprise Program as defined in 49 C.F.R. §26.5 and the Airport Concession Disadvantaged Business Enterprise Program as defined in 49 C.F.R. §23.3. You may review DOT’s complete Privacy Act Statement in the Federal Register published on April 11, 2000 (65 FR 19477). Under 49 C.F.R. §26.107, dated February 2, 1999 and January 28, 2011, 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 2 C.F.R. Parts 180 and 1200, No procurement Suspension and Department, take enforcement action under 49 C.F.R. Part 31, Program Fraud and Civil Remedies, and/or refer the matter to the Department of Justice for criminal prosecution under 18 U.S.C. 1001, which prohibits false statements in Federal programs. U.S. DOT Uniform DBE / ACDBE Certification Application • Page 2 of 15 INSTRUCTIONS FOR COMPLETING THE DISADVANTAGED BUSINESS ENTERPRISE (DBE) AIRPORT CONCESSIONS DISADVANTAGED BUSINESS ENTERPRISE (ACDBE) UNIFORM CERTIFICATION APPLICATION NOTE: All participating firms must be for-profit enterprises. If your firm is not for profit, then you do NOT qualify for the DBE/ACDBE program and should not complete this application. If you require additional space for any question in this application, please attach additional sheets or copies as needed, taking care to indicate on each attached sheet/copy the section and number of this application to which it refers. Section 1: CERTIFICATION INFORMATION A. Basic Contact Information (1) Enter the contact name and title of the person completing this application and the person who will serve as your firm's contact for this application. (2) Enter the legal name of your firm, as indicated in your firm’s Articles of Incorporation or charter. (3) Enter the primary phone number of your firm. (4) Enter a secondary phone number, if any. (5) Enter your firm’s fax number, if any. (6) Enter the contact person's email address. (7) Enter your firm’s website addresses, if any. (8) Enter the street address of the firm where its offices are physically located (not a P.O. Box). (9) Enter the mailing address of your firm, if it is different from your firm’s street address. B. Prior/Other Certifications and Applications (10) Check the appropriate box indicating whether your firm is currently certified in the DBE/ACDBE programs, and provide the name of the certifying agency that certified your firm. List the dates of any site visits conducted by your home state and any other states or UCP members. Also provide the names of state/UCP members that conducted the review. (11) Indicate whether your firm or any firms owned by the persons listed has ever been denied certification as a DBE/ACDBE, 8(a), or Small Disadvantaged Business (SDB) firm, or state and local MBE/WBE firm. Indicate if the firm has ever been decertified from one of these programs. Indicate if the application was withdrawn or whether the firm was debarred, suspended, or otherwise had its bidding privileges denied or restricted by any state or local agency, or Federal entity. If your answer is yes, identify the name of the agency, and explain fully the nature of the action in the space provided. Indicate if you have ever appealed this decision to the Department and if so, attach a copy of USDOT’s final agency decision(s). Section 2: GENERAL INFORMATION A. Business profile: (1) Give a concise description of the firm’s primary activities, the product(s) or services the company provides, or type of construction. If your company offers more than one product/service, list primary product or service first (attach additional sheets if necessary). This description may be used in our UCP online directory if you are certified as a DBE. (2) If you know the appropriate NAICS Code for the line(s) of work you identified in your business profile, enter the codes in the space provided. (3) State the date on which your firm was established as stated in your firm’s Articles of Incorporation or charter. (4) State the date each person became a firm owner. (5) Check the appropriate box describing the manner in which you and each other owner acquired ownership of your firm. If you checked “Other,” explain in the space provided. (6) Check the appropriate box that indicates whether your firm is “for profit.” If you checked “No,” then you do NOT qualify for the DBE/ACDBE program and should not complete this application. All participating firms must be for-profit enterprises. Provide the Federal Tax ID number as stated on your firm’s Federal tax return. (7) Check the appropriate box that describes the type of legal business structure of your firm, as indicated in your firm’s Articles of Incorporation or similar document. If you checked “Other,” briefly explain in the space provided. (8) Indicate in the spaces provided how many employees your firm has, specifying the number of employees who work on a full-time, part-time, and seasonal basis. Attach a list of employees, their job titles, and dates of employment, to your application. (9) Specify the firm’s gross receipts for each of the past three years, as stated in your firm’s filed Federal tax returns. You must submit complete copies of the firm’s Federal tax returns for each year. If there are any affiliates or subsidiaries of the applicant firm or owners, you must provide these firms’ gross receipts and submit complete copies of these firm(s) Federal tax returns. Affiliation is defined in 49 C.F.R. §26.5 and 13 C.F.R. Part 121. B. Relationships and Dealings with Other Businesses (1) Check the appropriate box that indicates whether your firm is co-located at any of its business locations, or whether your firm shares a telephone number(s), a post office box, any office space, a yard, warehouse, other facilities, any equipment, financing, or any office staff and/or employees with any other business, organization or entity of any kind. If you answered “Yes,” then specify the name of the other firm(s) and fully explain the nature of your relationship with these other businesses by identifying the business or person with whom you have any formal, informal, written, or oral agreement. Provide an explanation of any items shared with other firms in the space provided. (2) Check the appropriate box indicating whether any other firm currently has or had an ownership interest in your firm at present or at any time in the past. If you checked yes, please explain. (3) Check the appropriate box that indicates whether at present or at any time in the past your firm: (a) ever existed under different ownership, a different type of ownership, or a different name; (b) existed as a subsidiary of any other firm; (c) existed as a partnership in which one or more of the partners are/were other firms; (d) owned any percentage of any other firm; and (e) had any subsidiaries of its own. (f) served as a subcontractor with another firm constituting more than 25% of your firm’s receipts. If you answered “Yes” to any of the questions in (3)(a-f), you may be asked to explain the arrangement in detail. Section 3: MAJORITY OWNER INFORMATION Identify all individuals or holding companies with any ownership interest in your firm, providing the information requested below (if your firm has more than one owner, provide completed copies of this section for each owner): A. Identify the majority owner of the firm holding 51% or more ownership interest (1) Enter the full name of the owner. (2) Enter his/her title or position within your firm. (3) Give his/her home phone number. (4) Enter his/her home (street) address. (5) Indicate this owner’s gender. (6) Identify the owner’s ethnic group membership. If you checked “Other,” specify this owner’s ethnic group/identity not otherwise listed. (7) Check the appropriate box to indicate whether this owner is a U.S. citizen or a lawfully admitted permanent resident. If this owner is neither a U.S. citizen nor a lawfully admitted permanent resident of the U.S., then this owner is NOT eligible for certification as a DBE owner. (8) Enter the number of years during which this owner has been an owner of your firm. (9) Indicate the percentage of the total ownership this person holds and the date acquired, including (if appropriate), the class of stock owned. (10) Indicate the dollar value of this owner’s initial investment to acquire an ownership interest in your firm, broken down by cash, real estate, equipment, and/or other investment. Describe how you acquired your business and attach documentation substantiating this investment. B. Additional Owner Information (1) Describe the familial relationship of this owner to each other owner of your firm and employees. (2) Indicate whether this owner performs a management or supervisory function for any other business. If you checked “Yes,” state the name of the other business and this owner’s function/title held in that business. (3) (a) Check the appropriate box that indicates whether this owner owns or works for any other firm(s) that has any relationship with your firm. If you checked “Yes,” identify the name of the other business, the nature of the business relationship, and the owner’s function at the firm. (b) If the owner works for any other firm, non-profit organization, or is engaged in any other activity more than 10 hours per week, please identify this activity. (4) (a) Provide the personal net worth of the owner applying for certification in the space provided. Complete and attach the accompanying “Personal Net Worth Statement for DBE/ACDBE Program Eligibility” with your application. Note, complete this section and accompanying statement only for each owner applying for DBE qualification (i.e., for each owner claiming to be socially and economically disadvantaged). (b) Check the appropriate box that indicates whether any trust has been created for the benefit of the disadvantaged owner(s). If you answered “Yes,” you may be asked to provide a copy of the trust instrument. (5) Check the appropriate to indicate whether any of your immediate family members, managers, or employees, own, manage, or are associated with another company. Immediate family member is defined in 49 C.F.R. §26.5. If you answered “Yes,” provide the name of each person, your relationship to them, the name of the company, the type of business, and whether they own or manage the company. Section 4: CONTROL A. Identify the firm’s Officers and Board of Directors (1) In the space provided, state the name, title, date of appointment, ethnicity, and gender of each officer. (2) In the space provided, state the name, title, date of appointment, ethnicity, and gender of each individual serving on your firm’s Board of Directors. (3) Check the appropriate box to indicate whether any of your firm’s officers and/or directors listed above performs a management or supervisory function for any other business. If you answered “Yes,” identify each person by name, his/her title, the name of the other business in which s/he is involved, and his/her function performed in that other business. (4) Check the appropriate box that indicates whether any of your firm’s officers and/or directors listed above own or work for any other firm(s) that has a relationship with your firm. (e.g., ownership interest, shared office space, financial investments, equipment leases, personnel sharing, etc.) If you answered “Yes,” identify the name of the firm, the individual’s name, and the nature of his/her business relationship with that other firm. B. Duties of Owners, Officers, Directors, Managers and Key Personnel (1), (2) Specify the roles of the majority and minority owners, directors, officers, and managers, and key personnel who are responsible for the functions listed for the firm. Submit résumés for each owner and non-owner identified below. State the name of the individual, title, race U.S. DOT Uniform DBE / ACDBE Certification Application • Page 3 of 15 and gender and percentage ownership if any. Circle the frequency of each person’s involvement as follows: “always, frequently, seldom, or never” in each area. Indicate whether any of the persons listed in this section perform a management or supervisory function for any other business. Identify the person, business, and their title/function. Identify if any of the persons listed above own or work for any other firm(s) that has a relationship with this firm (e.g. ownership interest, shared office space, financial investment, equipment, leases, personnel sharing, etc.) If you answered “Yes,” describe the nature of his/her business relationship with that other firm. C. Inventory: Indicate firm inventory in these categories: (1) Equipment and Vehicles State the make and model, and current dollar value of each piece of equipment and motor vehicle held and/or used by your firm. Indicate whether each piece is either owned or leased by your firm or owner, whether it is used as collateral, and where this item is stored. (2) Office Space State the street address of each office space held and/or used by your firm. Indicate whether your firm or owner owns or leases the office space and the current dollar value of that property or its lease. (3) Storage Space State the street address of each storage space held and/or used by your firm. Indicate whether your firm or owner owns or leases the storage space and the current dollar value of that property or its lease. Provide a signed lease agreement for each property. D. Does your firm rely on any other firm for management functions or employee payroll? Check the appropriate box that indicates whether your firm relies on any other firm for management functions or for employee payroll. If you answered “Yes,” you may be asked to explain the nature of that reliance and the extent to which the other firm carries out such functions. E. Financial / Banking Information State the name, City and State of your firm’s bank. Identify the persons able to sign checks on this account. Provide bank authorization and signature cards. Bonding Information. State your firm’s bonding limits both aggregate and project limits. F. Sources, amounts, and purposes of money loaned to your firm, including the names of persons or firms guaranteeing the loan. State the name and address of each source, the name of person securing the loan, original dollar amount and the current balance of each loan, and the purpose for which each loan was made to your firm. Provide copies of signed loan agreements and security agreements G. Contributions or transfers of assets to/from your firm and to/from any of its owners or another individual over the past two years: Indicate in the spaces provided, the type of contribution or asset that was transferred, its current dollar value, the person or firm from whom it was transferred, the person or firm to whom it was transferred, the relationship between the two persons and/or firms, and the date of the transfer. H. Current licenses/permits held by any owner or employee of your firm. List the name of each person in your firm who holds a professional license or permit, the type of permit or license, the expiration date of the permit or license, and issuing State of the license or permit. Attach copies of licenses, license renewal forms, permits, and haul authority forms. I. Largest contracts completed by your firm in the past three years, if any. List the name of each owner or contractor for each contract, the name and location of the projects under each contract, the type of work performed on each contract, and the dollar value of each contract. J. Largest active jobs on which your firm is currently working. For each active job listed, state the name of the prime contractor and the project number, the location, the type of work performed, the project start date, the anticipated completion date, and the dollar value of the contract. Section 5: AIRPORT CONCESSION (ACDBE) APPLICANTS Complete the entries in this section if you are applying for ACDBE certification. Indicate in Section A if you operate a concession at the airport, and/or supply a good or service to an airport concessionaire. Indicate in Section B whether the applicant firm owns or operates any off-airport locations, providing the type of business, lease information, address/location, and annual gross receipts generated. Provide similar information in section C for any airport concession locations the firm currently owns or operates. If the applicant firm has any affiliates, provide the requested information in Section D. Indicate whether the ACDBE firm is participating in any joint ventures, and if so, include the original and any amended joint venture agreements. AFFIDAVIT & SIGNATURE The Affidavit of Certification must accompany your application. Carefully read the attached affidavit in its entirety. Fill in the required information for each blank space, and sign and date the affidavit in the presence of a Notary Public, who must then notarize the form. U.S. DOT Uniform DBE / ACDBE Certification Application • Page 4 of 15  ____________________ _____________________ _____________________________________________ ________________________________________ ___________________________________ ( (____) _____ (_ _________________________________ _________________________________ ________________ ___________________ ______ ________ - ____ ________________ ___________________ ______ ________ - ____ ___) ______ - _____ - _____ ___ _____ _______ - ) _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ Section 1: CERTIFICATION INFORMATION A. Basic Contact Information I am applying for certification as  DBE ACDBE (1) Contact person and Title: (2) Legal name of firm: _________________________ (3) Phone #: (4) Other Phone #: (5) Fax #: (6) E-mail: (7) Firm Websites: (8) Street address of firm (No P.O. Box): City: County/Parish: State: Zip: (9) Mailing address of firm (if different): City: County/Parish: State: Zip: B. Prior/Other Certifications and Applications (10) Is your firm currently certified for any of the following U.S. DOT programs?  DBE  ACDBE Names of certifying agencies: _________________________________________________ ⊗ If you are certified in your home state as a DBE/ACDBE, you do not have to complete this application for other states. Ask your state UCP about the interstate certification process. List the dates of any site visits conducted by your home state and any other states or UCP members: Date ___/ ___/___ State/UCP Member: ____________ Date ___/ ___/___ State/UCP Member: _______________ (11) Indicate whether the firm or any persons listed in this application have ever been: (a) Denied certification or decertified as a DBE, ACDBE, 8(a), SDB, MBE/WBE firm? Yes No (b) Withdrawn an application for these programs, or debarred or suspended or otherwise had bidding privileges denied or restricted by any state or local agency, or Federal entity? Yes  No If yes, explain the nature of the action. (If you appealed the decision to DOT or another agency, attach a copy of the decision) Section 2: GENERAL INFORMATION A. Business Profile: (1) Give a concise description of the firm’s primary activities and the product(s) or service(s) it provides. If your company offers more than one product/service, list the primary product or service first. Please use additional paper if necessary. This description may be used in our database and the UCP online directory if you are certified as a DBE or ACDBE. (2) Applicable NAICS Codes for this line of work include: ______ ______ _______ _______ ________ ______ (3) This firm was established on ___/____/____ (4) I/We have owned this firm since: ____/____/____ U.S. DOT Uniform DBE / ACDBE Certification Application • Page 5 of 15 _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________       ________________________________________________       __________________________________________ ________ ________ ________ _________ _______ _____________ __________ _______ ______________ _________ _______ _____________ __________     ____________________________________________________________________             (5) Method of acquisition (Check all that apply): Started new business Bought existing business Inherited business Gifted Merger or consolidation Other (explain) (6) Is your firm “for profit”? Yes Federal Tax ID# ________________________ No→ ⊗ STOP! If your firm is NOT for-profit, then you do NOT qualify for this program and should not fill out this application. (7) Type of Legal Business Structure: (check all that apply): Sole Proprietorship Limited Liability Partnership Partnership Corporation Limited Liability Company Other, Describe (8) Number of employees: Full-time Part-time Seasonal Total (Provide a list of employees, their job titles, and dates of employment, to your application). (9) Specify the firm’s gross receipts for the last 3 years. (Submit complete copies of the firm’s Federal tax returns for each year. If there are affiliates or subsidiaries of the applicant firm or owners, you must submit complete copies of these firms’ Federal tax returns). Year Gross Receipts of Applicant Firm $ Gross Receipts of Affiliate Firms $ Year Gross Receipts of Applicant Firm $ Gross Receipts of Affiliate Firms $ Year Gross Receipts of Applicant Firm $ Gross Receipts of Affiliate Firms $ B. Relationships and Dealings with Other Businesses (1) Is your firm co-located at any of its business locations, or does it share a telephone number, P.O. Box, office or storage space, yard, warehouse, facilities, equipment, inventory, financing, office staff, and/or employees with any other business, organization, or entity? Yes No If Yes, explain the nature of your relationship with these other businesses by identifying the business or person with whom you have any formal, informal, written, or oral agreement. Also detail the items shared (2) Has any other firm had an ownership interest in your firm at present or at any time in the past? Yes No If Yes, explain (3) At present, or at any time in the past, has your firm: (a) Ever existed under different ownership, a different type of ownership, or a different name? Yes No (b) Existed as a subsidiary of any other firm? Yes No (c) Existed as a partnership in which one or more of the partners are/were other firms? Yes No (d) Owned any percentage of any other firm? Yes No (e) Had any subsidiaries? Yes No (f) Served as a subcontractor with another firm constituting more than 25% of your firm’s receipts? Yes No (If you answered “Yes” to any of the questions in (2) and/or (3)(a)-(f), you may be asked to provide further details and explain whether the arrangement continues). U.S. DOT Uniform DBE / ACDBE Certification Application • Page 6 of 15                      Section 3: MAJORITY OWNER INFORMATION A. Identify the majority owner of the firm holding 51% or more ownership interest. (1) Full Name: (2) Title: (3) Home Phone #: (4) Home Address (Street and Number): City: State: Zip: (5) Gender: Male Female (6) Ethnic group membership (Check all that apply): Black Hispanic Asian Pacific Native American Subcontinent Asian Other (specify) (7) U.S. Citizenship: U.S. Citizen Lawfully Admitted Permanent Resident (8) Number of years as owner: % Date acquired __________ (10) Initial investment to acquire ownership interest in firm: Type Dollar Value Cash $ Real Estate $_ Equipment $ Other $ Describe how you acquired your business: Started business myself. It was a gift from: I bought it from: I inherited it from: Other (Attach documentation substantiating your investment) B. Additional Owner Information (1) Describe familial relationship to other owners and employees: (2) Does this owner perform a management or supervisory function for any other business? Yes No If Yes, identify: Name of Business: Function/Title: (3)(a) Does this owner own or work for any other firm(s) that has a relationship with this firm? (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.) Yes No Identify the name of the business, and the nature of the relationship, and the owner’s function at the firm: (b) Does this owner work for any other firm, non-profit organization, or engage in any other activity more than 10 hours per week? If yes, identify this activity: (4)(a) What is the personal net worth of this disadvantaged owner applying for certification? $ (b)Has any trust been created for the benefit of this disadvantaged owner(s)? Yes No (If Yes, you may be asked to provide a copy of the trust instrument). (5) Do any of your immediate family members, managers, or employees own, manage, or are associated with another company? Yes No If Yes, provide their name, relationship, company, type of business, and indicate whether they own or manage the company: (Please attach extra sheets, if needed): U.S. DOT Uniform DBE / ACDBE Certification Application • Page 7 of 15 ______________________________ _________________________ ____________________________________________________________________________________________ ____________________________________________________________________________________________ ___________________________________________________________________________________________ ____________________________________________________________________________________________ ____________________________________________________________________________________________ ( ) _____ - ____________________ _____________________________________________________ ____________________ ________ _________ - ______ ___________________ _______ __________ _________ (9) Percentage owned: Class of stock owned: _________ ________ _________ _________ ____________________________ _____________________________ ____________________________ ______________________________________ __________________________________ _______________________________ ___________________________________________ ____________ ______________________ U.S. DOT Uniform DBE / ACDBE Certification Application • Page 8 of 15 ______________________________ _________________________ ____________________________________________________________________________________________ ____________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ ____________________________________________________________________________ ( ) _____ - __________________ _____________________________________________________ ____________________ ________ _________ - ______   _______ _________ ________       ___________________ _________ _________ _________ _________     ___________________________  ____________________________  ___________________________  _____________________________________   __________________________________ _______________________________   __________________________________________ ____________     _________________ ________________ Section 3: OWNER INFORMATION, Cont’d. A. Identify all individuals, firms, or holding companies that hold LESS THAN 51% ownership interest in the firm (Attach separate sheets for each additional owner) (1) Full Name: (2) Title: (3) Home Phone #: (4) Home Address (Street and Number): City: State: Zip: (5) Gender: Male Female (6) Ethnic group membership (Check all that apply) Black Hispanic Asian Pacific Native American Subcontinent Asian Other (specify) (7) U.S. Citizenship: U.S. Citizen Lawfully Admitted Permanent Resident (8) Number of years as owner: % Date acquired __________ (9) Percentage owned: Class of stock owned: (10) Initial investment to acquire ownership interest in firm: Type Dollar Value Cash $ Real Estate $ Equipment $ Other $ Describe how you acquired your business: Started business myself. It was a gift from: I bought it from: I inherited it from: Other (Attach documentation substantiating your investment) B. Additional Owner Information (1) Describe familial relationship to other owners and employees: (2) Does this owner perform a management or supervisory function for any other business? Yes No If Yes, identify: Name of Business: Function/Title: (3)(a) Does this owner own or work for any other firm(s) that has a relationship with this firm? (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.) Yes No Identify the name of the business, and the nature of the relationship, and the owner’s function at the firm: (b) Does this owner work for any other firm, non-profit organization, or is engaged in any other activity more than 10 hours per week? If yes, identify this activity: (4)(a) What is the personal net worth of this disadvantaged owner applying for certification? $ (b) Has any trust been created for the benefit of this disadvantaged owner(s)? Yes No (If Yes, you may be asked to provide a copy of the trust instrument). (5) Do any of your immediate family members, managers, or employees own, manage, or are associated with another company? Yes No If Yes, provide their name, relationship, company, type of business, and indicate whether they own or manage: (Please attach extra sheets, if needed): U.S. DOT Uniform DBE / ACDBE Certification Application • Page 9 of 15   __________________________________ _________________________________________________ ________________________________ ______________________________________________ __________________________________ _____________________________ _________________________________________________ ___ ______________________________________________   _______________________________ ____________________________________________________ __________________________________________________________________________ _______________________ ________________________ ______ ____________________________ _____________________________ _______ Section 4: CONTROL A. Identify your firm’s Officers and Board of Directors (If additional space is required, attach a separate sheet): Name Title Date Appointed Ethnicity Gender (1) Officers of the Company (a) (b) (c) (d) (2) Board of Directors (a) (b) (c) (d) (3) Do any of the persons listed above perform a management or supervisory function for any other business? Yes No If Yes, identify for each: Person: Title: Business: Function: Person: Title: Business: Function: (4) Do any of the persons listed in section A above own or work for any other firm(s) that has a relationship with this firm? (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.) Yes No If Yes, identify for each: Firm Name: Person: Nature of Business Relationship: B. Duties o f Owners, Officers, Directors, Managers, and Key Personnel 1. Complete for all Owners who are responsible for the following functions of the firm (Attach separate sheets as needed). A= Always F = Frequently S = Seldom N = Never Majority Owner (51% or more) Name: Title: Percent Owned:_ Minority Owner (49% or less) Name: Title: Percent Owned: Sets policy for company direction/scope of operations A F S N A F S N Bidding and estimating A F S N A F S N Major purchasing decisions A F S N A F S N Marketing and sales A F S N A F S N Supervises field operations A F S N A F S N Attend bid opening and lettings A F S N A F S N Perform office management (billing, accounts receivable/payable, etc.) A F S N A F S N Hires and fires management staff A F S N A F S N Hire and fire field staff or crew A F S N A F S N Designates profits spending or investment A F S N A F S N Obligates business by contract/credit A F S N A F S N Purchase equipment A F S N A F S N Signs business checks A F S N A F S N U.S. DOT Uniform DBE / ACDBE Certification Application • Page 10 of 15 _______________________________________________________________________________________________________ _________________________________________________________________________ ____________________________________________________________________________________________ ____________________________________________________________________________________________ ___________________________________________________________________________________________ ________________________ _________________________ _______________ _________________ ________________________ _________________________ _______________ _________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 2. Complete for all Officers, Directors, Managers, and Key Personnel who are responsible for the following functions of the firm. (Attach separate sheets as needed). A= Always F = Frequently S = Seldom N = Never Officer/Director/Manager/Key Personnel Name: Title: Race and Gender: Percent Owned: Officer/Director/Manager/ Key Personnel Name: Title: Race and Gender: Percent Owned: Sets policy for company direction/scope of operations A F S N A F S N Bidding and estimating A F S N A F S N Major purchasing decisions A F S N A F S N Marketing and sales A F S N A F S N Supervises field operations A F S N A F S N Attend bid opening and lettings A F S N A F S N Perform office management (billing, accounts receivable/payable, etc.) A F S N A F S N Hires and fires management staff A F S N A F S N Hire and fire field staff or crew A F S N A F S N Designates profits spending or investment A F S N A F S N Obligates business by contract/credit A F S N A F S N Purchase equipment A F S N A F S N Signs business checks A F S N A F S N Do any of the persons listed in B1 or B2 perform a management or supervisory function for any other business? If Yes, identify the person, the business, and their title/function: Do any of the persons listed above own or work for any other firm(s) that has a relationship with this firm? (e.g., ownership interest, shared office space, financial investments, equipment, leases, personnel sharing, etc.) If Yes, describe the nature of the business relationship: C. Inventory: Indicate your firm’s inventory in the following categories (Please attach additional sheets if needed):= 1. Equipment and Vehicles Make and Model Current Value Owned or Leased by Firm or Owner? Used as collateral? Where is item stored? 1. 2. 3. 4. 5. 6. 7. 8. 9. 2. Office Space Street Address Owned or Leased by Firm or Owner? Current Value of Property or Lease ____________________________________________________________________________________________ ____________________________________________________________________________________________ _________________________________ _________________________________ ______________________________________ _________________________________ _________________________________ ______________________________________ ______________________ _____________________ ___________________________________________________________________________________________ __________________________________________________________________________________________ ___________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ __________________________________________________________________________________________ 3. Storage Space (Provide signed lease agreements for the properties listed) Street Address Owned or Leased by Firm or Owner? Current Value of Property or Lease D. Does your firm rely on any other firm for management functions or employee payroll?   E. Financial/Banking Information (Provide bank authorization and signature cards) Name of bank: City and State: The following individuals are able to sign checks on this account: Name of bank: City and State: The following individuals are able to sign checks on this account: Bonding Information: If you have bonding capacity, identify the firm’s bonding aggregate and project limits: Aggregate limit $ Project limit $ F. Identify all sources, amounts, and purposes of money loaned to your firm including from financial institutions. Identify whether you the owner and any other person or firm loaned money to the applicant DBE/ACDBE. Include the names of any persons or firms guaranteeing the loan, if other than the listed owner. (Provide copies of signed loan agreements and security agreements). Name of Source Address of Source Name of Person Guaranteeing the Loan Original Amount Current Balance Purpose of Loan 1. 2. 3. G. List all contributions or transfers of assets to/from your firm and to/from any of its owners or another individual over the past two years (Attach additional sheets if needed): Contribution/Asset Dollar Value From Whom Transferred To Whom Transferred Relationship Date of Transfer 1. 2. 3. H. List current licenses/permits held by any owner and/or employee of your firm (e.g. contractor, engineer, architect, etc.)(Attach additional sheets if needed): Name of License/Permit Holder Type of License/Permit Expiration Date State 1. 2. 3. U.S. DOT Uniform DBE / ACDBE Certification Application • Page 11 of 15 U.S. DOT Uniform DBE / ACDBE Certification Application • Page 12 of 15 _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ _________________________________________________________________________________________________________ ______________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ I. List the three largest contracts completed by your firm in the past three years, if any: Name of Owner/Contractor Name/Location of Project Type of Work Performed Dollar Value of Contract 1. 2. 3. J. List the three largest active jobs on which your firm is currently working: Name of Prime Contractor and Project Number Location of Project Type of Work Project Start Date Anticipated Completion Date Dollar Value of Contract 1. 2. 3. Additional Information: SECTION 5 - AIRPORT CONCESSION (ACDBE APPLICANTS ONLY) A. I am applying for ACDBE certification to: (check all that apply) Operate a concession at an airport Supply a good or service to an airport concessionaire B. Does the applicant firm own/operate any off-airport locations? Yes No If Yes, identify the following Type of Business (e.g., F&B, News & Gift, Retail, Duty Free, Advertising, etc.) Lease Term (years) Lease Start Date Address / Location Annual Gross Receipts Generated C. Does the applicant firm currently own/operate any airport concession locations? Yes No If Yes, supply the following information: Airport Name Concession Type (e.g., F&B, News & Gift, Retail, Duty Free, Advertising, etc.) Number of Leases Number of Locations Annual Gross Receipts Generated Lease Type (e.g. Direct Lease, Subcontract Management Agreement, etc. enter all that apply to the leases listed) D. Does the applicant firm have any affiliates? Yes No If Yes, provide the following information concerning any locations owned/operated by affiliate firms. Airport Name Concession Type (e.g., F&B, News & Gift, Retail, Duty Free, Advertising, etc.) Number of Leases Number of Locations Annual Gross Receipts Generated Lease Type (e.g. Direct Lease, Subcontract Management Agreement, etc. enter all that apply to the leases listed) E. Is the ACDBE applicant firm a participant in any joint ventures? Yes No If Yes, attach all original and any amended Joint Venture Agreements and any amendments to the agreements. U.S. DOT Uniform DBE / ACDBE Certification Application • Page 13 of 15