Loading...
HomeMy WebLinkAboutElizabeth Field - DBE Goals - 1990-1994U.S. Department of Transportation Federal Aviation Administration December 13, 1994 Eastern Region Civil Rights Staff Mr. Thomas H. Wickham Supervisor Town of Southold Town Hall 53095 Main Road P.O. Box 117 9 Southold, New York 11971 Dear Mr. Wickham: REarm DEC 19 19% Town Clerk Southold Federal Building J.F. Kennedy International Airport Jamaica, New York 11430 We received your addendum transmitted to this office by letter dated November 22, 1994, indicating that an overall Disadvantaged Business Enterprise (DBE) goal for FAA - Assisted projects is not required at the Fishers Island - Elizabeth Field airport(s). Accordingly, we are approving your DBE program for the period October 1, 1994, through September 30, 1995. Please note that if, at any time during this period, you receive an FAA grant which requires you to set a DBE goal for FAA assisted projects, you must submit a revised program update to our office for approval, as soon as possible. Since an update of your DBE program is required annually, please submit your updated program no later than September 1, 1995, to ensure our timely review. Additionally, you are required to submit to our office a completed DOT Form 4630 "Report of DBE Goal Accomplishment," at the end of each fiscal year. A negative report is required if there were no contracting activities. Please note that, effective June 1, 1992, and in accordance with the requirements of 49 Code of Federal Regulations (CFR) Part 23, Subpart F section 23.93 (2)(C), sponsors of non primary airports are required to submit for our approval, only the single percentage goal for the FAA assisted projects. Therefore, a leasing goal for non primary airports is no longer required. 2 If we can be of further assistance, please feel free to contact me on (718) 553-1149. Sincerely, i@Iurray M. Gottlieb Airports External DBE Compliance Programs THOMAS H. WICKHAM SUPERVISOR November 22, 1994 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island - Elizabeth Field Town of Southold FY 95 Goal Update Dear Mr. Gottlieb: o��g�FFO(,�co✓ 0 NJ Ze Town Hall, 53095 Main Road P. O. Bog 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1889 The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island - Elizabeth Field is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 0% because the Town does not plan to award contracts that exceed the amount which requires the setting of a DBE goal during the goal period. Concession goals have not been established for the current three year period because as a general aviation airport, the Town of Southold is not required to comply with the requiremen of Subpart F, 49 CFR Part 23. If you require an rther information, please do not hesitate to contact us. Very truly your , u Mr. Thomas . Wickham Town Supervisor cc: Theresa M. Hopkins REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor Town of Southold, New York 2. Name of Airport Elizabeth Field - Fisher's Island 3. Name of Preparer Theresa M. Hopkins Telephone No. (315) 455-2000 4. Goal Period: From 10/01/93 To 9/30/94 5. Approved Overall DBE Goal 10 % 6. AIP Project: No.(s) 11. 10(b) Divided by 7(b) = 0 % = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ (7) Painting ........................ (8) Fencing ......................... (9) Other ........................... (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leasing ......................... (2) Purchasing ...................... Total............... ...................... 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number BlackAmericans ............................ Hispanic Americans ......................... NativeAmericans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ TotalDBE ....................................... $ Value Women Total DBE $ Value The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to C1MR and the DOT at the following addresses: Office of Management and Budget U.S. DOTOST/OSDBU, S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 s mo tie or ease of use by FAA Recipients.MM_9p_p_---.7o. - ..,res - M (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors ................... 0 $ 0 8. Total Prime Contracts Awarded to DBE's ............................. 0 0 9. Total Subcontracts Awarded to DBE's by non -DBE Prime Contractors... 0 $ 0 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 9.) ............................ 0 $ 0 11. 10(b) Divided by 7(b) = 0 % = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ (7) Painting ........................ (8) Fencing ......................... (9) Other ........................... (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leasing ......................... (2) Purchasing ...................... Total............... ...................... 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number BlackAmericans ............................ Hispanic Americans ......................... NativeAmericans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ TotalDBE ....................................... $ Value Women Total DBE $ Value The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to C1MR and the DOT at the following addresses: Office of Management and Budget U.S. DOTOST/OSDBU, S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 s mo tie or ease of use by FAA Recipients.MM_9p_p_---.7o. - ..,res - M UPDATED GOAL INFORMATION Airport Sponsor: Town of Southold Client No. 211 Associated City: Fishers Island, New York Name of Preparer: Theresa M. Hopkins Tel. No.: (315) 455-2000 Part I: Overall DBE Goal for FAA Assisted Projects Goal Period: 10/1/94 Thru 9/30/95 Check one: [ X ] An overall DBE construction goal is not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. [ ] An overall DBE goal is required. The DBE goal methodology is attached. (See attached Part I) Part II: Overall DBE Concession Goals and Methodology Goal Period: 10/1/94 Thru 9/30/97 Check one: [ X ] An overall DBE concession goal is not required because the airport sponsor is not listed as a primary airport and is, therefore, not required to comply with the requirements of Subpart F, 49 CRF Part 23. [ ] An overall DBE concession goal is required. The goal methodology is attached. (See attached Part II) PART I (Con't) Previous Year's Goals: DBE: 10% Previous Year's Accomplishments: DBE: 0% Explanation for Not Achieving Previous Year's Goals: No contracts were signed during the previous year's goal period. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: Goals are not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant. Narrative Description of Overall DBE Goal Methodology: (1) Recruiting Areas none (2) Additional Projects Expected during goal period none CSS Engineers, Inc. 1020 Seventh North Street, Liverpool, New York 13088-6199 (315) 457-6711 Fax (315) 457-9803 November 22, 1994 Mr. Thomas H. Wickham Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 ittaim Southold, NY 11971 NOV 2 8 1994 Re: Fisher's Island - Elizabeth Field to" M* endow FY 95 DBE Goal Update File: 211 Dear Mr. Wickham: In an effort to assist our airport clients with federal program requirements, we have prepared for your review a copy of the Town's DBE Goal Update which is required by the Federal Aviation Administration of federal funds recipients. If the information meets with your approval, please forward the entire package to Murray Gottlieb at the FAA Office of Civil Rights. A sample letter to be typed on official letterhead, and a mailing label to the Office of Civil Rights are enclosed for your convenience. If you have any questions or need additional information, please do not hesitate to contact us. Very truly yours, C&S ENGINEERS, INC. Theresa M. Hopkins Grants Administrator Enclosure November 22, 1994 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island - Elizabeth Field Town of Southold FY 95 Goal Update Dear Mr. Gottlieb: The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island - Elizabeth Field is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 0% because the Town does not plan to award contracts that exceed the amount which requires the setting of a DBE goal during the goal period. Concession goals have not been established for the current three year period because as a general aviation airport, the Town of Southold is not required to comply with the requirements of Subpart F, 49 CFR Part 23. If you require any further information, please do not hesitate to contact us. Very truly yours, Mr. Thomas H. Wickham Town Supervisor cc: Theresa M. Hopkins REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor Town of Southold, New York 2. Name of Airport Elizabeth Field - Fisher's Island 3. Name of Preparer Theresa M. Hopkins Telephone No. (315) 455-2000 4. Goal Period: From 10/01/93 To 9/30/94 5. Approved Overall DBE Goal 10-% 6. AIP Project No.(s) 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number $ Value BlackAmericans ............................ Hispanic Americans ......................... Native Americans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ Total DBE ....................................... The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to OMB and the DOT at the following addresses: Office of Management and Budget U.S. DOTOST/OSDBU, S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 As modified or ease of use by FAA Recipients. OMB Approv (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors ................... 0 $ 0 8. Total Prime Contracts Awarded to DBE's ............................. 0 0 9. Total Subcontracts Awarded to DBE's by non -DBE Prime Contractors... 0 $ 0 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 9.) ............................ 0 S 0 11. 10(b) Divided by 7(b) = 0 % = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number $ Value Women Total DBE Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ (7) Painting ........................ (8) Fencing ......................... (9) Other ........................... (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leasing ......................... (2) Purchasing ...................... Total .................................... 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number $ Value BlackAmericans ............................ Hispanic Americans ......................... Native Americans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ Total DBE ....................................... The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to OMB and the DOT at the following addresses: Office of Management and Budget U.S. DOTOST/OSDBU, S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 As modified or ease of use by FAA Recipients. OMB Approv REPORT OF DBE GOAL ACCOMPLISHMENTS (Instructions) DOT Form 4630 must be submitted annually be each sponsor having an approved DBE Program. The forms should be submitted to the FAA Regional Civil Rights Staff with the updated DBE goal information. The form should reflect contract awards that were made during the period covered by the sponsor's previously approved overall DBE goal. For some sponsors, this period may be the Federal fiscal year, while for others, a different 12 -month period. Some sponsors of more than one airport should submit a separate report for each obligated location. Use this form to report all FAA -assisted contract awards covered by the DBE program, including professional and consultant services, construction, supplies, and vehicles and equipment. DO NOT REPORT: (1) FAA -assisted contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIP); (3) AIP grant funds used for "force account" or for other noncontractual work. While land purchases are not reported, all other contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. Name of the Airport. 3. Names and telephone number of person who prepared report. 4. The beginning and ending dates of the goal period for which the report is submitted. 5. The sponsor's approved overall DBE goal for the period indicated in item 4. 6. The AIP project number(s) for the prime and subcontracts report in item 7 and item 9. 7. The total number and dollar value of all prime contracts awarded during the goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's. 9. The total number and dollar value of subcontracts awarded to DBE's by non - DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in 10(b) by the dollar value in 7(b) to obtain the actual DBE percentage participation for the goal period. 12. This is a breakout of the prime and subcontracts reported in item 10 by type of work performed by the DBE's. Indicate number and dollar value of awards to women -owned firms under category designated "Women." Indicate number and value of awards to all DBE firms, including women -owned, under category designated "Total DBE." If the contract involves more than one type of work, report only the predominant type based on cost. 13. This is a breakout of the prime and subcontract awards to DBE's reported in item 10 by the disadvantaged group of the firms' owners. The category "Other Disadvantaged" refers to DBE's owned and operated by individuals who have been determined by the sponsor on a case-by-case basis to be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in 49 CFR 23.62, as amended on October 21, 1987 and May 23, 1988. In the case of split ownership by two or more disadvantaged individuals, the DBE participation should be reported for the group which owns the largest share. If the ownership is equal, the DBE participation should be reported for the group which is listed first on the form. UPDATED GOAL INFORMATION Airport Sponsor: Town of Southold Client No. 211 Associated City: Fishers Island, New York Name of Preparer: Theresa M. Hopkins Tel. No.: (315) 455-2000 Part I: Overall DBE Goal for FAA Assisted Projects Goal Period: 10/1/94 Thru 9/30/95 Check one: [ X) An overall DBE construction goal is not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. [ ] An overall DBE goal is required. The DBE goal methodology is attached. (See attached Part I) Part II: Overall DBE Concession Goals and Methodology Goal Period: 10/1/94 Thru 9/30/97 Check one: [ X ] An overall DBE concession goal is not required because the airport sponsor is not listed as a primary airport and is, therefore, not required to comply with the requirements of Subpart F, 49 CRF Part 23. [ ] An overall DBE concession goal is required. The goal methodology is attached. (See attached Part II) PART I (Con't) Previous Year's Goals: DBE: 10'/ Previous Year's Accomplishments: DBE: 0% Explanation for Not Achieving Previous Year's Goals: No contracts were signed during the previous year's goal period. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: Goals are not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant. Narrative Description of Overall DBE Goal Methodology: (1) Recruiting Areas none (2) Additional Projects Expected during goal period none �1 r U.S. Department of Transportation Federal Aviation Administration Mr. Thomas H. Wickham Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. BOX 1179 Southold, New York 11971 Dear Mr. Wickham: Eastern Region Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 RECEIVED MAR 21994 Southold Town rlprk We received your addendum transmitted to this office by letter dated January 25, 1994, indicating that an overall Disadvantaged Business Enterprise (DBE) goal for FAA - Assisted projects is not required at the Fishers Island - Elizabeth Field airport(s). Accordingly, we are approving your DBE program for the period October 1, 1993 through September 30, 1994. Please note that if, at any time during this period, you receive an FAA grant which requires you to set a DBE goal for FAA assisted projects, you must submit a revised program update to our office for approval, as soon as possible. Since an update of your DBE program is required annually, please submit your updated program no later than September 1, 1994, to ensure our timely review. Additionally, you are required to submit to our office a completed DOT Form 4630 "Report of DBE Goal Accomplishments", at the end of each fiscal year. A negative report is required if there were no contracting activities. Please note that, effective June 1, 1992, and in accordance with the requirements of 49 Code of Federal Regulations (CFR) Part 23, Subpart F section 23.93 (2)(C), sponsors of non primary airports are required to submit for our approval, only the single percentage goal for the FAA assisted projects. Therefore, a leasing goal for non primary airports is no longer required. Page 2 If we can be of further assistance, please feel free to contact Murray Gottlieb of this office, on (718) 553-1149. Sincerely, Alan H. glipers in Civil Rights Officer THOMAS H. WICKHAM SUPERVISOR OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD January 25, 1994 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island - Elizabeth Field Town of Southold FY 94 Goal Update Dear Mr. Gottlieb: Town Hall, 53095 Main Road P. O. Box 1179 Southold, New York 11971 Telephone (516) 765 - 1800 Fax (516) 765 - 1823 The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island - Elizabeth Field is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 0% because the Town does not plan to award contracts that exceed the amount which requires the setting of a DBE goal during the goal period. Concession goals have not been established for the current three year period because as a general aviation airport, the Town of Southold is not required to comply with the requirements of Subpart F, 49 CFR Part 23. If you require y further information, please do not hesitate to contact us. Very truly y rs,6 / l c Mr. Thomas H. Wickham Town Supervisor cc: Sheila M. Farley REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor Town of Southold, New York 2. Name of Airport Elizabeth Field - Fisher's Island 3. Name of Preparer Sheila M. Parley Telephone No. (315) 455-7981 4. Goal Period: From 10/01/92 To 9/30/93 5. Approved Overall DBE Goal 10 % 6. AIP Project No.(s) _3-36-0029-08-93, 3-39-0029-07-92 11. 10(b) Divided by 7(b) = 17 % = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ 1 (7) Painting ........................ (8) Fencing ......................... (9) Other ........................... (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leasing ......................... (2) Purchasing ...................... Total .................................... 1 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number Black Americans ............................ 1 Hispanic Americans ......................... Native Americans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ Total DBE ...................................... 1 $ Value Women Total DBE $ Value $243,000 $243,000 $243,000 S243,000 The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to OMB and the DOT at the following addresses: Office of Management and Budget - - - U.S. DOTOST/OSDBU,. S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 As modified for ease of use by TAA Recipients. pprov 1) (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors ................... 3 S1,445,792 8. Total Prime Contracts Awarded to DBE's ............................. 0 0 9. Total Subcontracts Awarded to DBE's by non -DBE Prime Contractors... 1 S 243,000 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 9.) ............................ 1 S 243,000 11. 10(b) Divided by 7(b) = 17 % = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ 1 (7) Painting ........................ (8) Fencing ......................... (9) Other ........................... (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leasing ......................... (2) Purchasing ...................... Total .................................... 1 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number Black Americans ............................ 1 Hispanic Americans ......................... Native Americans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ Total DBE ...................................... 1 $ Value Women Total DBE $ Value $243,000 $243,000 $243,000 S243,000 The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to OMB and the DOT at the following addresses: Office of Management and Budget - - - U.S. DOTOST/OSDBU,. S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street, S.W. Washington, D.C. 20503 Washington, D.C. 20590 As modified for ease of use by TAA Recipients. pprov 1) s REPORT OF DBE GOAL ACCOMPLISHMENTS (Instructions) DOT Form 4630 must be submitted annually be each sponsor having an approved DBE Program. The forms should be submitted to the FAA Regional Civil Rights Staff with the updated DBE goal information. The form should reflect contract awards that were made during the period covered by the sponsor's previously approved overall DBE goal. For some sponsors, this period may be the Federal fiscal year, while for others, a different 12 -month period. Some sponsors of more than one airport should submit a separate report for each obligated location. Use this form to report all FAA -assisted contract awards covered by the DBE program, including professional and consultant services, construction, supplies, and vehicles and equipqtent. DO NOT REPORT: (1) FAA -assisted contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIP); (3) AIP grant funds used for "force account" or for other noncontractual work. While land purchases are not reported, all other contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. Name of the Airport. 3. Names and telephone number of person who prepared report. 4. The beginning and ending dates of the goal period for which the report is submitted. 5. The sponsor's approved overall DBE goal for the period indicated in item 4. 6. The AIP project number(s) for the prime and subcontracts report in item 7 and item 9. 7. The total number and dollar value of all prime contracts awarded during the goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's.. 9. The total number and dollar value of subcontracts awarded to DBE's by non - DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in 10(b) by the dollar value in 7(b) to obtain the actual DBE percentage participation for the goal period. 12. This is a breakout of the prime and subcontracts reported in item 10 by type of work performed by the DBE's. Indicate number and dollar value of awards to women -owned firms under category designated "Women." Indicate number and value of awards to all DBE firms, including women -owned, under category designated "Total DBE." If the contract involves more than one type of work, report only the predominant type based on cost. 13. This is a breakout of the prime and subcontract awards to DBE's reported in item 10 by the disadvantaged group of the firms' owners. The category "Other Disadvantaged" refers to DBE's owned and operated by individuals who have been determined by the sponsor on a case-by-case basis to be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in•49 CFR 23.62, as amended on October 21, 1987 and May 23, 1988. In the case of split ownership by two or more disadvantaged individuals, the DBE participation should be reported for the group which owns the largest share. If the ownership is equal, the DBE participation should be reported for the group which is listed first on the form. UPDATED GOAL INFORMATION Airport Sponsor: Town of Southold Client No. 211 Associated City: Fishers Island, New York Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Part I: Overall DBE Goal for FAA Assisted Projects Goal Period: 10/1/93 Thru 9/30/94 Check one: [ X ] An overall DBE construction goal is not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. [ J An overall DBE goal is required. The DBE goal methodology is attached. (See attached Part I) Part II: Overall DBE Concession Goals and Methodology Goal Period: 10/1/93 Thru 9/30/96 Check one: [ X ] An overall DBE concession goal is not required because the airport sponsor is not listed as a primary airport and is, therefore, not required to comply with the requirements of Subpart F, 49 CRF Part 23. [ J An overall DBE concession goal is required. The goal methodology is attached. (See attached Part II) PART I (Con't) Previous Year's Goals: DBE: 10'/ Previous Year's Accomplishments: DBE: 17% Explanation for Not Achieving Previous Year's Goals: Previous year's goals were exceeded. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: A goal of 10% is reasonable for Elizabeth Field. This airport is located on an island, with limited access- This makes competition difficult. Narrative Description of Overall' DBE Goal Methodology: (1) Recruiting Areas Long Island, New Jersey and coastal Connecticut (2) Additional Projects Expected During Goal Period: None JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER RECORDS MANAGEMENT OFFICER FREEDOM OF INFORMATION OFFICER OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE SOUTHOLD TOWN BOARD AT A REGULAR MEETING HELD ON JANUARY 25, 1994: RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Thomas Wickham to execute the Town's DBE (Disadvantaged Business Enterprise) Goal Update, which is required by the Federal Aviation Administration of federal funds recipients, with regard to Elizabeth Field Airport, Fishers Island, all in accordance with the recommendation of C&S Engineers, Inc., the Town's airport consultants. Judi<t— Southold �-T ry Town Cie January 26, 1994 January 7, 1994 Mr. Thomas H. Wickham Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 Southold, NY 11971 Re: Fisher's Island - Elizabeth Field FY -94 DBE Goal Update File: 211 Dear Mr. Wickham: CBS. Engineers, Inc. 1020 Seventh North Street, Liverpool, New York 13088-6199 (315) 457-6711 Fax (315) 457-9803 RECEIVED JAN 12 1994 Sou#ew town C"IO+ In an effort to assist our airport clients with federal program requirements, we have prepared for your review a copy of the Town's DBE Goal Update which is required by the Federal Aviation Administration of federal funds recipients. If the information meets with your approval, please forward the entire package to Murray Gottlieb at the FAA Office of Civil Rights. A sample letter to be typed on official letterhead, and a mailing label to the Office of Civil Rights are enclosed for your convenience. If you have any questions or need additional information, please do not hesitate to contact us. Very truly yours, C&S ENGINEERS, INC. Sheila M. Farley Grants Administrator SMF:cb Enclosure F - 1 CC) US Department of Transportation Federal Aviation Administration FjUN 1 7 1993 Mr. Scott L. Harris Supervisor Town of Southold Town Hall, 53095 Main Road PO Box 1179 Southhold, NY 11971 Dear Mr. Harris: Eastern Region Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 RECEIVED JUN 21 1993 Southold Town ri*.wk We received your addendum transmitted to this office by letter dated January 19, 1993, reflecting your overall Disadvantaged Business Enterprise (DBE) goal for FAA - assisted projects at the following airport(s): Percentage Goal for Airport(s) FAA Assisted Project(s) Fishers Island -Elizabeth Field 10% Your DBE Program is hereby approved for the period October 1992 through September 1993. Since an update of your DBE program is required annually, please submit your updated program no later than September 1, 1993, to ensure our timely review. As a reminder, the airport sponsor must ensure that when prime contractor(s) fail to meet the DBE goal(s), documentation showing good faith efforts must be provided to the sponsor. The suggested good faith efforts are listed in Appendix A of 49 CFR, Part 23. We would also like to remind you that only certified firms are eligible to participate as DBE's on FAA Assisted Projects. Consequently, the Schedule A or B submitted by the contractor(s)/ firm(s) should be carefully examined against the criteria in Section 23.51 and 23.53 of the regulations. Page 2 Please note that, effective June 1, 1992, and in accordance with the requirements of 49 Code of Federal Regulations (CFR) Part 23, Subpart F, Section 23.93 (2)(c), sponsors of non primary airports are required to submit for our approval, only the single percentage goal for the FAA assisted projects. Therefore, a leasing goal for non primary airports is no longer required. If we can be of further assistance, please feel free to contact Murray Gottlieb of this office on (718) 553-1149. Sincerely, Alan H. Sipe teinZ--- Civil Rights Officer SCOTT L. HARRIS SUPERVISOR FAX (516) 765 - 1823 TELEPHONE (516) 765 - 1800 OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD January 19, 1993 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island - Elizabeth Field Fishers Island, New York Dear Mr. Gottlieb: Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island - Elizabeth Field Airport is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 10% based on the contracts which are expected to be signed during the goal period. Concession goals have not been established for the current three year period due to lack of leasing facilities. If you require any further information, please do not hesitate to contact US. Very truly yours, Scott Louis Harris Supervisor Enclosures cc: Sheila M. Farley, CSS Engineers, Inc. JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER o��FfOIKcOG� OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE SOUTHOLD TOWN BOARD AT A REGULAR MEETING HELD ON JANUARY 19, 1993: RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott L. Harris to submit to the Federal Aviation Administration the annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island Elizabeth Field Airport, all in accordance with the plan as prepared by the Town's consultants, CSS Engineers, Inc. Judi T.�Terry Southold Town Clerk January 20, 1993 SAMPLE January 11, 1993 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island -Elizabeth Field Fishers Island, NY FY 93 Goal Update Dear Mr. Gottlieb: The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island -Elizabeth Field Airport is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 10% based on the contracts which are expected to be signed during the goal period. Concession goals have not been established for the current three year period due to lack of leasing facilities. If you require any further information, please do not hesitate to contact us. Very truly yours, Scott L. Harris Town Supervisor cc: Sheila M. Farley C(SS Engineers, Inc. 1020 Seventh North Street, Liverpool, New York 13088-6199 (315) 457-6711 Fax (315) 457-9803 January 11, 1993 Mr. Scott L. Harris Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 Southold, NY 11971 Re: Fishers Island -Elizabeth Field FY -93 DBE Goal Update File: 211 Dear Mr. Harris: Enclosed for your review is a copy of the Town of Southold's DBE Goal Update which is required by the Federal Aviation Administration of federal funds recipients. If the information meets with your approval, please forward the entire package to Murray Gottlieb at the FAA Office of Civil Rights. A sample letter to be typed on official letterhead, and a mailing label to the Office of Civil Rights are enclosed for your convenience. If you have any questions or need additional information, please do not hesitate to contact us. Very truly yours, C&S ENGINEERS, INC. ' I Sheila M. Farley Grants Administrator SMF: cb Enclosure cc: Mr. Phil Knauff T % REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor Town of Southold, NY 2. Name of Airport Fisher Island -Elizabeth Field 3. Name of Preparer Sheila M. Farley _Telephone No. (315) 455-7981 4. Goal Period: From 10/01/91 To 9/30/92 5. Approved Overall DBE Goal 10 % 6. AIP Project No.(s) 3-36-0029-05-92 & 3-36-0029-06-92 (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors ................... 3 $505,840 8. Total Prime Contracts Awarded to DBE's ............................. 0 0 9. Total Subcontracts Awarded to DBE's by non -DBE Prime Contractors... 2 S 4,190 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 9.) ............................ 2 S 4,190 11. 10(b) Divided by 7(b) = 1% = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number $ Value Women Total DBE Women Total DBE (a) Professional/Consultant Services..... (1) Engineering ..................... (2) Architectural ................... (3) Consultants ..................... (4) Testing ......................... (5) Other ........................... (b) Construction ........................ (1) Grading/Drainage ................ (2) Paving .......................... (3) Structures/Buildings ............ 1 1 S 1,868 S 1,868 (4) Landscaping ..................... (5) Electrical ...................... (6) Trucking ........................ (7) Painting ........................ (8) Fencing ......................... (9) Other' ...... (Barricades)......... 1 $ 2,322 (c) Supplies ............................ (1) Electrical ...................... (2) Other ........................... (d) Equipment ........................... (1) Leading ......................... (2) Purchasing ...................... Total .................................... 1 2 S 1,868 $ 4,190 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number $ Value Black Americans ............................ 1 $ 2,322 Hispanic Americans ......................... Native Americans ........................... Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ........ Other Disadvantaged ........................ Total DBE ....................................... 1 $ 2,322 The Public reporting burden for this collection of information is estimated to average on hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direction your comments to OMB and the DOT at the following addresses: Office of Management and Budget Paperwork Reduction Project (2105-0510) Washington, D.C. 20503 U.S. DOTOST/OSDBU, S-42 and 400 Seventh Street, S.W. Washington, D.C. 20590 case of use by FAA Recipients. uMts Approvai iNo. A UPDATED GOAL INFORMATION Airport Sponsor: TOWN OF SOUTHOLD Client No. 211. Airport Location: FISHERS ISLAND, NY Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Part I: Overall DBE Goal for FAA Assisted Projects Goal Period: 10/1/92 Thru 9/30/93 Check one: [ ] An overall DBE goal is not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. [XX] An overall DBE goal is required. The DBE goal methodology is attached. (See attached Part I) Part II: Overall DBE Concession Goals and Methodology Goal Period: 10/1/92 Thru 9/30/95 Estimated Date Date Description Gross Lease Lease % Joint Lessee of Lease Receipts Begins Expires MBE WBE Venture None Totals This Year's Overall DBE Concession Goals: DBE: 0% Narrative Description of Overall Goal Methodology: No leasing facilities current exist at Fishers Island -Elizabeth Field Airport, nor are leases expected to be signed during the current 3 year goal period. Previous Year's Overall DBE Concession Goals: DBE: 0% Previous Year's Actual DBE Participation: DBE: 0% PART I OVERALL DBE GOAL METHODOLOGY Airport Sponsor:Town of Southold, NY 211. Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/92 Thru 9/30/93 Overall DBE Goal: 10% Methodology for Establishing Overall Goal: Project Items $ Amount $ DBE Noncontractural $4,700 N/A Professional Services $172,982 $14,000 Construction $1,100,000 $115,000 --------------- ------------ TOTAL $1,272,982 $129,000 TOTAL NONCONTRACTURAL FOR GOAL PERIOD: $ Amount $ DBE Land $0 Administration $3,600 Advertising $1,100 --------------- TOTAL $4,700 N/A TOTAL PROFESSIONAL SERVICES FOR GOAL PERIOD: $ Amount $ DBE Planning $0 $0 Engineering Design $48,982 $0 Engineering Inspection $120,000 $10,000 Audit $4,000 $4,000 --------------- ------------ TOTAL $172,982 $14,000 CONSTRUCTION: RW 12-30 Overlay $ Amount $ DBE Site Preparation $50,000 $50,000 Paving $425,000 $0 Electrical $25,000 $0 Structures $0 $0 Miscellaneous $100,000 $15,000 --------------- ------------ TOTAL $600,000 $65,000 01/11/93 PART I (Con't) CONSTRUCTION: Runway 7-25 Overlay $ Amount Site Preparation $50,000 Paving $325,000 Electrical $25,000 Structures $0 Miscellaneous $100,000 --------------- TOTAL $500,000 CALCULATIONS: RW 12-30 Overlay Runway 7-25 Overlay Overall DBE Goal = $ Amount $667,000 $605,982 --------------- $1,272,982 $116,100 --------------- $1,145,684 01/11/93 $ DBE $50,000 $0 $0 $0 $0 ------------ $50,000 Federal $ DBE Share $72,000 X 90% $57,000 X 90% ------------ $129,000 10.13% PART I (Con't) Previous Year's Goals: DBE: 10% Previous Year's Accomplishments: DBE: 1% Explanation for Not Achieving Previous Year's Goals: Elizabeth Field is located on an island with limited access. This fact complicates the logistics of completing a construction project at the airport. See attached documentation of good faith efforts to enlist the interest of DBE firms. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: Goal for the current goal period has been increased above previous year's accomplishments. Narrative Description of Overall DBE Goal Methodology: (1) Recruiting Areas Long Island, New Jersey and coastal Connecticut (2) Additional Projects Expected during goal period No additional projects are expected to be started during the current goal period. DOCUMENTATION OF ACCOMPLISHMENTS AND/OR GOOD FAITH EFFORTS Airport Sponsor: Town of Southold, NY 211. Name of Preparer:Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/91 Thru 9/30/92 Project Title: Airfield Lighting, Visual Aids & Elec Vault Federal Share: 90% $ Prime $ DBE Design: Inspection: (C&S Engineers) $84,559 Construction: (Falvey Construction) $419,421 Doors & Hardware, Inc. $2,075 Selecto-Flash Safety Inc. $2,580 ------------- ---------- TOTAL $503,980 $4,655 Project Title: Runway 12-30 Overlay Federal Share: 90% $ Prime $ DBE Design: (C&S Engineers) $58,064 TOTAL Project Title: Federal Share: 90% Design: Inspection: Construction: TOTAL ACCOMPLISHMENT FOR GOAL PERIOD Total DBE x Federal Shares: Divided by Total Prime x Federal Shares: 01/11/93 ------------- ---------- $58,064 $0 $ Prime $ DBE ------------- ---------- $0 $0 $4,190 -------------= 1% $505,840 MAY -27-90 WED 1 3 e 4Ey FA L.VE:y CORP . P b L FALVEY CONSTRUCTION CORP. 12 FIRE TOWER ROAD P.Q. BOX 699 KILUNGWORTH, GT 06419 May 27, 1992 Calocerinos & Spina. P.C. 1020 7th North Street Liverpool. New York 130$9 Attention, Larry Cerretani Construction Supervisor Re: Airfield Lighting, Visual Aids & Electrical Building Elizabeth Field, Fishers Island, New York AIF Project No. 3-36-0029-04-91 NYSDOT Project No. 0913.04 Dear Gentlemen: TEL 203/663.1095 FAX 203/663-2719 In reference to the above -captioned project and the DBE goals in accordance with Section 70-27. Item I "Disadvantaged Business Enterprise Reauirema nts", ;lease be advised of the following, Falvey Construction Corporation has made every effort to utilize the required eleven per cent of DBEs. but has been unsuccessful. We used the New England Minority News and The Blue Book dated 1992 as sources to locate DBEs. The majority of the firms that we contacted were not interested in participating in the project or did not respond after receiving the hid package. The few that did respond had considerably higher prices. The geographic location of Fishers Island and the State of New York makes it nearly impos- sible to receive competitive prices from contractors on Long Island, This is due to the fact that Fishers Island is only accessible from New London, Connecticut. 77:erefora, most Qt the businesses contacted are In cent -al and eastern Connecticut. The following DBEs will be utilized. Doors & Hardware. Inc. n P. 0, Box 792 Old Saybrook, CT 06475-0792 Selecto-Flash Safety Inc. P. 0. Box 543 Fast Hanover, N3 07936 doors, frames & hardware barricades AN EQUAL OPJORTUNIT"f LVLOYER $2,075.00 $2,560.00 Extended Page 2. t Celocerinos & Spina Page 2 May 27, 1992 ht this time, we have been long awaiting quotes from two paving firms that are DBEs. The estimated amount of paving is approximately $15,000.00. Falvey Construction Corporation will inform Calocerinos & Spina as soon as a final decision is masse. If You have any questions or comments, please contact the writer at 203-663-1693. Very truly yours, ;;;z? " Mathew D. Falvey Manager MDF/nia cc: Charles McDermott - C&S Phil Knauff - F, I. Ferry Dist. Scott Ham s - Town of Southold File: FIAIR/FCC/CT-4/6C;1 VW3/Airport/goals,dbe Faxed this date Mailed via U3 Postal Service this date Mf2:4Y—29—'-?12 v= R L 1 5 : 35 Pt4L V E'ti^ CORP . F UNEY CONSTRUCTION CORP, P . 0 12 PRE?CWE;; POAO T6k, c"o-mea-169$ ? G, BOX 699 FAX 203/663-.^719 k l_l.lF.iGLVOP.rH, C" O6419 Vume Sotirce cffmynatm R-qu an.ne Julius Gt,n.caly:-, NFII 1 c2hod or, 4-24-92A 9.14artm, did rot return tail & Sa:t 'MAE) l.ft a m©ssare to call us RFU #i Stoninglon back ragarding F.I. project lLd_ Norwich, CT (203) 887 9(e! B Rodrigov/ ki ,-m 1\1F"AN call(;d on 4-24-92f) 9.10'am, returaCA call on 4-:4-9'" C onttnctor IMhF) thcv rcturncd call @9-,10 ):30am, said they were r:ul 23 Spruce St. lracrest'.d %yrwioit, <"r (203) 987.4074 Mika c:ttr,l_e -NL'MN r.aticd un 4-24.92. left a .Elate Gomez called back 4- Wtgontti mcisugc x call knack, F.C.C. 24.923nd said he wa. rA4al>i --;;rIt spcc. package 4-25.92. 411c.csted. no respo> z 4? Tillc, St. since spec. package sent. Nuw ,London, ( (203) -W, (11"25 NIVirut Yunitd4sar�, L'cc m4k. U, WN called on 4.24.92 ; Lee Mac said he waa A131?j 1 J:40asn, l:,C.L'. scat spcc. interested. no response 17 Fitch Ave, package 4 -Z5 -9A' since spec. package scat, (irufon, C'T (203) 441 0570 J Mil{:le: i; Nvint:. n RB .alk:: 4-24.92 F.C.C. sent J, Mitchell said she was very Scalia); t'�>mpanv spcc. package 4.25.92and intcrested J.W contacted (WHET.) gladly ans•hc^rd subsequent F-C.C, several Mmes w,' 532 Bul! t .,lt. i< ?, quesliuns, M. F. attcnd3 d yuestiocs. .1.M. r_questod rollart;l, t'"!' cin -site mctting wl J. M, S- on-site rrtecting. J.,M.said 1,201; 87-. lrtrtr 23.92 and went over job ir: she would definitely g. -It great detA. had" to us[FC.C.]. no resiiortse to date since that time. 117, i;5.a omllan,,, hB called a. -.d artan-cd for F.U"'. awaiting quote xcc;ing on 3 Scssa �,;iantic, ur (20;1 ;.3:t•2:1 MA r' , 29-92 FF' r t 1 3E. FAL— V E t-0RP 12 FiRF TCWt•A ROAD P 0 HCA 999 ,:it t ,;rwop N C7 06419 Ftuuin&C;oc rags: NC,X 1.1ittil(Ir Roofing Inc. (MBE) ?,!). Box 496 Ncw London, CT 2O31 442-6037 S,4-. Roolinst (din), t' ort;;an Court •.:iraton, CT (2;;3) 445• I i06 hurt Palh i aslin}r Conicany 104 �(srt Path R& madit;o,,, t't Painting. S.lin .;� +a+cauttina Cces�.ractc`�F: Company (WE17) 70 N. Plains Indu.rtria3 ilwy Wallingford, CT (20 3) •t84- 1997 P . 04 F,a f,V'K,Y CO NSTRt; C77ON CARP. TEL 24:31'663-1695 FAX 243/663.2719 NFNiN NFNIN NFMIN called on 4 -Z4 -92,U Ii:35a:rt. calicd on 4-24-92@ cne yA has been changed u, a *:nn- putbilshed number nhoaa # net in service cailed cr^. 4.24-922 1:34pm. phone # not in service 1'3 tt called cn 4-24-92, sent out Fpcc. package o,: same day. pricos from foceived quota me considcrtzbly highor then others rmAved by F,(- C. s_nt qu,ofc w•hir_h F.C.C. receival 4-3042 Mr -4Y-29-92 FRI 113:36 F A L V E Y CORP . t � P . 05 FAL VEY CONSTRUCTION CORP. 12 FIRE TOWEN MOAD TEL 203/663.169.5 P 0 FOX 699 FAX 203/043.2719 1.uNcmc;arH CT 06419 'rho following cluotc�., weir rccLivcc! from two subcontractors for painting, sawcutting, and Joint scaIiuf work. Brown's Striping Co. C:ommurcial Sealcoatiatg, inc. bi15 N. Cherry St. Ext. P.O, Box 407 Wallingford, CT 06491. Plaiavillc, CT 06062 WBE non • DBE Pains i nK S`i,2Gt' $B,ZUU SawcuttinG $7,053 $1,747 Suint Soling somou 52,400 111z:iY-,29-92 PR I 1 5 : 34 AL1-r'EY C0 RP P 0 1 FALVEY CONSTRUCTION CORP. '.2 FIRE TOWER ROAD P p. Boz 699 KILLINGWORTH CT C5419 May 29, 1992 Caiocer:noa & Qgina, P.C. 1020 7th North 2treet Liverpool, New York 13088 Attent+.nn: 1,arrY Cerretani Construction Supervisor Re: Air}le1G Lighting, Visua! Aids & Electrical building E1r2abeth Field, Fisners island, New York AIF Project No, 3-36--0029-04-91 NYSD"OT Pr029Ct No. 0913.04 Dear Gentlemen: TEL 2031663.1695 FAX 20316632719 In reference t�, the above -captioned project and the DBE goals In accordance with Section 79.22. !tem I "Disadvantaged Business Enterprise Requirements", Falvey Construction Corpora- t,on is submitting the attached information to substantiate the fact that t11is firm has made a good faith effort to meet the contract requirements. Please make nate of the number of call that we made with no response from the DEE firm. We find this to be very frustrating. The contractors that did respond were considerable higher as indicated on the attached information. If You ha,,e erly questions or need any further information, please do not hesitate to contact the writer. Very truly yours, r Mathew D. Falvey Manager MDF/n.ia Enclosures CC; Charles McDermott - CSS Phil Knauff - F.I. Ferry Dist. Scott Harris - Town of Southold F.1e: FIAIRP/FCC/CT-0/GC►1 VW3/contacta,DBE Faxed +.hi. date mailed U.S. IWLQYER rIAY— 29 — 92 F R I 1 5 : 35 FAL-VE`l CORP . P . Q 2 F.',,,S.vF,Y CONSTRU CTI(3N CORP. 12 HiAF. TOWS R ROAD TEL 203/683-1635 P O BOX 629 PAX 203/86,11-2719 Kit LINGWORTH. Cl 06419 l.t uC_n 4; NF.MN BB DBE IV1 R E u3 F Minority and Woman Contran-tors New England Minority News "-he B!uc Book Disabled Business Enterprise Minority cutiiness Enterprise Woman Business Enterprise Q; Lc (it' , lrintin May 20. 1.992 April 15, 1992 Mr. Philip Brito, Manager Federal Aviation Administration New York Airports District Office 181 South Franklin Avenue Room 305 Valley Stream, New York 11581 Re: Elizabeth Field - Fisher's Island Airfield Lighting, Visual Aids, and Electrical Building Engineering Design and Inspection Agreements File: 211.004 Dear Mr. Brito: Enclosed are engineering cost and work summaries for inspection services on the above referenced project. Two alternative summaries have been developed and are provided for your information. Alternate No. 1 assumes that we can recruit and employ a qualified local inspector for the project. Alternate No. 2 provides for a C&S inspector who would travel to the job site from Syracuse, New York each week. The proposed inspection fees for Alternate No. 1 and Alternate No. 2 are $67,561.00 and $84,559.00, respectively. The inspection fees as a percentage of the construction cost ($419,421.00) are higher than what would normally be considered reasonable. However, considering the average bid amount for construction of the project and the unique location of the Airport, the proposed inspection fees in our opinion are reasonable. Elizabeth Field is located on Fishers Island. The only scheduled ferry service available to the Island is provided by the Fisher's Island Ferry District out of New London, Connecticut. A one-way trip takes approximately 45 minutes. Since the Island contains no hotels, motels, or similar housing facilities, the inspector will be required to travel between New London and the Island each day. Seven contractors submitted bids (see attached bid tabulation sheet) for construction of the referenced project. Bid amounts ranged from a low of $419,421.00 to a high of $699,015.00, with an average bid amount of $595,483.00. Compared to the average bid amount, the total engineering fee (design plus inspection) as a percent of construction is approximately 21 % if a qualified local inspector is employed or 24% if a local inspector cannot be found and it is necessary for the firm to provide an inspector from the Syracuse office. In the past these percentage amounts have been considered reasonable. Mr. Philip Brito Page 2 April 15, 1992 We will keep you informed of our progress in recruiting a qualified local inspector. A Cost Plus Fixed Fee Agreement for Inspection Services for this project will be forwarded to your office upon completion of the recruiting process. If you need additional information or have any questions, please contact our office. Very truly yours; CALOCERINOS & SPINA ENGINEERS, P.C. �U James W. Leanao Project Engineer JWL:kal Enclosures cc: Mr. Scott L. Harris 0 Mr. Scott L. Harris Superintendent, Town of Southold Main Road Southold, New York 11971 Dear Mr. Harris: Elizabeth Field -Fishers Island Airport Airfield Lighting, Visual Aids & Electrical Building - Inspection Agreement AIP 3-36-0029-05-92 Reference is made to a letter from your consultant, Calocerinos and Spina (C & S), (copy sent to you), dated April 15, 1992, requesting our concurrence in their proposed inspection fees for the subject project. Their analysis for the two fee schedule alternatives was based on the fact that the airport .is remotely situated and a qualified inspector, with airport experience, may not be locally available. We have reviewed both alternatives and subsequent information provided by C & S with their letter of April 21, 1992, and concur in the fee schedule. However, it must be clearly understood that if the estimated eligible fee of - $84,559 (Alternative 2) will be funded, you must demonstrate that a good faith effort has been made to find a local qualified inspector so that the fee will be only $67,561, and all your efforts failed. We would also like to remind you that we did not received your application for the project until now, thus allowing us to accelerate the issuance of a grant agreement. Please expedite this application. If you have any questions, please call me at 516-295-9343. Sincerely, Dan Vornea Airport Engineer CALOCERINOS & SPINA MEMO TO: Division Managers FROM: BethAnne Stevenson RE: DBE/MBE Firms DATE: December 10, 1991 INTEROFFICE MEMO NOTE: The increased demand to utilize D/M/WBE-certified firms on many of our projects and the need to identify the quality firms that are available prompted a mailing to over 25 certified firms. With the help of Glenn Chouinard, I identified those firms that could join C&S in strategic alliance -type relationships. The response rate has been great, and we now have current information available on the following D/M/WBE firms. The following is a list of "new" firms with current information on file in Marketing: • D.K.I. Engineers, P.C. (DBE) - Trans/Survey • Diversified Technologies Corporation (DBE) - Trans/Survey • Fan, Rongved and Erikson (DBE) - A/E • Ewell W. Finley Partners, Inc. (MBE) - Struct/Civil/Env/Survey • I.J. Handa, P.C. (DBE) - Survey/Env/Trans • IMS Engineers, P.C. (DBE) - Env/Asbestos/Trans/Survey • S.Y. Kim Surveyor, P.C. (DBE) -Survey/Trans • L -C Associates, Inc. (DBE) - Trans/Survey/CI • Marques & Associates, P.C. (DBE) - Trans/Survey • N. Massand, P.C. (DBE) - Trans/Survey/CI • ODNY Inc. (D/WBE) - Env • Savin Engineers (MBE) - Trans/CI/Env • Shah Associates, P.C. (MBE) - Trans/Survey/Cl/Env/Mass Transit • Edward O. Watts, P.E., P.C. (DBE) - Asbestos/Trans We also have fairly current information on the D/W/MBE firms we regularly use. cc: O.B. MacMurray ELIZABETH FIELD AIRPORT IENGINEERIS OPINION OF IFALVEY CONSTRUCTION CORP. IFRUEAN UTILITIES, INC. FISHERS ISLAND, NEW YORK (CONSTRUCTION COST IP.O. BOX 699 118 FRUEAN WAY I AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICALOCERINOS & SPINA IKILLINGWORTH, CONNECTICUT 0641IS. YARMOUTH, MASSACHUSETTS 0261 FAA-AIP NO. 3-36-0029-04-91 (ENGINEERS, P.C. NYSDOT PROJECT NO. 0913.04 11020 SEVENTH NORTH STREET I I I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ILIVERPOOL, NEW YORK 13088 I I I ITEM FAA I I I UNIT I I UNIT I I UNIT I I NO. SPEC NOI DESCRIPTION I QUANTITY UNITS I PRICE I TOTAL I PRICE ( TOTAL I PRICE I TOTAL I 1 P-152 ICOMMON EXCAVATION, AREA NO.1 I 1 LS I $2,000.00 I $2,000.00 I $10,000.00 ( S10,000.00 I !2,500.00 I !2,500.00 I 2 P-152 IPAVEMENT EXCAVATION (BITUMINOUS CONCRETE) I 900 SY I $10.00 I $9,000.00 I 53.00 I $2,700.00 I $5.95 I $5,355.00 I 3 P-612 IFIELD OFFICE I 1 LS I $7,000.00 I $7,000.00 I $18,200.00 I $18,200.00 I $5,000.00 I $5,000.00 I 4 P-620 IRUNWAY PAINTING I 23,000 SF I 50.50 I $11,500.00 I $0.50 I 511,500.00 I $0.73 I $16,790.00 I 5 L-102 (ELECTRICAL BUILDING ELECTRICAL SERVICE ( 1 LS I $12,000.00 I $12,000.00 I $9,000.00 ( S9,000.00 ( S15,375.00 I $15,375.00 I 6 L-106 ISEGMENTED CIRCLE I 1 LS ( $12,000.00 I 512,000.00 I $15,300.00 I 515,300.00 i 510,450.00 I $10,450.00 I 7 L-107 ILIGHTED WIND CONE ( 1 LS I $6,000.00 I $6,000.00 I $16,700.00 I $16,700.00 I 58,495.00 I $8,495.00 I 8 L-108 ICABLE TRENCHING FOR THE INSTALLATION OF I ( I I I I I I I UNDERGROUND CABLE I 8,600 LF I 54.00 I $34,400.00 I $2.25 I $19,350.00 I $4.35 ( S37,410.00 I 9 L-108 IND. 8 AWG, 60OV, TYPE C SINGLE CONDUCTOR I I I I I I I I I UNDERGROUND CABLE INSTALLED IN TRENCH OR DUCTI 28,300 LF I $0.60 I 516,980.00 I $0.38 I $10,754.00 I $0.65 I $18,395.00 I 10 L-108 IND. 8 AWG, 5KV, TYPE C SINGLE CONDUCTOR I I I I I I I I I UNDERGROUND CABLE INSTALLED IN TRENCH OR DUCTI 12,900 LF I $0.70 I $9,030.00 I $0.38 I 54,902.00 I $0.65 I 58,385.00 I 11 L-108 IND. 8 AWG, BARE COPPER COUNTERPOISE WIRE I I I I I I I I INSTALLED IN TRENCH INCLUDING GROUNDING RODS I I I I I I I AND EXOTHERMIC CONNECTIONS I 9,500 LF I $0.75 I $7,125.00 I $0.28 I $2,660.00 I $0.80 I $7,600.00 12 L-109 (INSTALLATION OF AIRPORT ELECTRICAL I I I I I I I I BUILDING EQUIPMENT, IN PLACE I 1 LS I $30,000.00 I $30,000.00 I $30,000.00 I $30,000.00 I $59,250.00 I 559,250.00 13 L-110 I4 -WAY ELECTRICAL DUCT BANK, TYPE 1 j 700 LF j $50.00 I 535,000.00 j $55.00 I $38,500.00 j $82.50 j $57,750.00 14 L-110 I8 -WAY ELECTRICAL DUCT BANK, TYPE 1 I 200 LF I $65.00 I $13,000.00 ( $70.00 I $14,000.00 I $115.00 I $23,000.00 15 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I I I I I I I IN PAVEMENT I 3,000 LF I $14.00 I $42,000.00 ( $4.00 I $12,000.00 I $12.75 I $38,250.00 16 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I I I I I I I IN TURF I 270 LF I $12.00 I $3,240.00 I $2.00 I 5540.00 I $7.75 ( $2,092.50 17 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT REINSTALLE) I I I I I I I IN TURF I 190 LF ( $6.00 I $1,140.00 I $2.00 I $380.00 I 57.85 ( $1,491.50 18 L-112 (ELECTRICAL BUILDING I 1 LS I $30,000.00 I $30,000.00 I 540,000.00 I 540,000.00 I $63,780.00 I $63,780.00 19 L-115 (ELECTRICAL MANHOLE NO. 1 i 1 EACH I $6,000.00 I $6,000.00 I $12,250.00 I $12,250.00 I $7,295.00 I $7,295.00 20 L-115 IPULL BOX REINSTALLATION I 1 EACH ( $200.00 I 5200.00 I $500.00 I $500.00 I 51,190.00 I 51,190.00 page 1 ELIZABETH FIELD AIRPORT 1ENGINEER'S OPINION OF IFALVEY CONSTRUCTION CORP. IFRUEAN UTILITIES, INC. FISHERS ISLAND, NEW YORK lCONSTRUCTION COST 1P.0. BOX 699 118 FRUEAN WAY AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICALOCERINOS 8 SPINA IKILLINGWORTH, CONNECTICUT 06411S. YARMOUTH, MASSACHUSETTS 0261 FAA-AIP NO. 3-36-0029-04-91 (ENGINEERS, P.C. 1 NYSDOT PROJECT NO. 0913.04 11020 SEVENTH NORTH STREET I I 1 -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ILIVERPOOL, NEW YORK 13088 1 I ITEM FAA I I I UNIT 1 I UNIT I I UNIT 1 NO. SPEC NO) DESCRIPTION I QUANTITY UNITS I PRICE I TOTAL I PRICE I TOTAL I PRICE I TOTAL 1 ----------------------------------------------------------------------- 21 L-125 IMEDIUM INTENSITY RUNWAY EDGE LIGHTS, BASE I I I I MOUNTED, IN PAVEMENT ( 57 EACH I $600.00 1 $34,200.00 ( $315.00 1 517,955.00 I $565.00 I $32,205.00 22 L-125 IRUNWAY 25 THRESHOLD LIGHTS I 1 LS 1 $6,000.00 I $6,000.00 I $3,800.00 I $3,800.00 I $19,500.00 1 $19,500.00 1 23 L-125 (AIRPORT GUIDANCE SIGN NO.R-2-5, BASE 1 I I I I I I 1 I MOUNTED, IN PAVEMENT I 1 LS I $3,000.00 I $3,000.00 ( $2,655.00 I $2,655.00 I $2,450.00 1 $2,450.00 I 24 L-125 (AIRPORT GUIDANCE SIGN NO.R-2-19, BASE I ( I I I I I 1 I MOUNTED, IN PAVEMENT 1 1 LS I $3,000.00 1 $3,000.00 I $2,655.00 I $2,655.00 I $2,450.00 1 $2,450.00 1 25 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-3, BASE I I I I I I I 1 I MOUNTED, IN TURF I 1 LS I $3,000.00 I $3,000.00 I 52,400.00 I $2,400.00 I 51,875.00 I 51,875.00 I 26 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-19, BASE I MOUNTED, 1N TURF I 1 LS I $3,000.00 I $3,000.00 1 $2,400.00 I $2,400.00 1 51,875.00 I $1,875.00 I 27 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( I I I I I I 1 I RUNWAY 7 END 1 1 LS I $6,000.00 1 $6,000.00 i $8,250.00 I $8,250.00 I $9,3T8.00 1 $9,378.00 I 28 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( 1 I I RUNWAY 25 END I 1 LS I $6,000.00 I $6,000.00 I $8,250.00 I $8,250.00 I $9,378.00 I $9,378.00 I 29 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( 1 I I 1 I 1 I I RUNWAY 12 END 1 1 LS I $6,000.00 I $6,000.00 I $8,250.00 I $8,250.00 1 $9,378.00 1 $9,378.00 1 30 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( I 1 I 1 1 1 1 I RUNWAY 30 END I 1 LS I $6,000.00 I $6,000.00 I $8,250.00 I $8,250.00 I $9,378.00 I $9,318.00 31 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR 1 I SYSTEM, RUNWAY 7 END I 1 LS 1 $9,000.00 I $9,000.00 1 $9,580.00 I $9,580.00 I $12,850.00 I $12,850.00 I 32 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR I I 1 I 1 I SYSTEM, RUNWAY 25 END I 1 LS I $9,000.00 1 $9,000.00 1 $9,580.00 I $9,580.00 1 512,850.00 I $12,850.00 I 33 L-125 (GENERIC VISUAL APPROACH DESCENT INDICATOR 1 ( I 1 I 1 I 1 I SYSTEM, RUNWAY 12 END 1 1 LS I $9,000.00 I $9,000.00 I $9,580.00 1 $9,580.00 1 $12,850.00 1 $12,850.00 1 34 L-125 (GENERIC VISUAL APPROACH DESCENT INDICATOR I 1 1 1 I SYSTEM, RUNWAY 30 END I 1 LS I $9,000.00 I $9,000.00 I $9,580.00 I $9,580.00 ( $12,850.00 1 $12,850.00 35 L-125 IREMOVAL OF EXISTING RUNWAY EDGE LIGHTS I 1 LS I $2,000.00 I $2,000.00 I $7,500.00 I $7,500.00 1 $5,000.00 I $5,000.00 I . 36 M-100 IMAINTENANCE AND PROTECTION OF TRAFFIC I 1 LS I $3,000.00 I $3,000.00 ( $23,500.00 ( $23,500.00 1 $3,500.00 I $3,500.00 I page 2 ELIZABETH FIELD AIRPORT IENGINEERIS OPINION OF IFALVEY CONSTRUCTION CORP. IFRUEAN UTILITIES, INC. I FISHERS ISLAND, NEW YORK (CONSTRUCTION COST IP.O. BOX 699 118 FRUEAN WAY AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICALOCERINOS & SPINA IKILLINGWORTH, CONNECTICUT 0641IS. YARMOUTH, MASSACHUSETTS 0261 FAA-AIP NO. 3-36-0029-04-91 JENGINEERS, P.C. I NYSDOT PROJECT NO. 0913.04 11020 SEVENTH NORTH STREET -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- LIVERPOOL, NEW YORK 13088 ITEM FAA I I I UNIT I UNIT UNIT NO. SPEC NOI DESCRIPTION I QUANTITY UNITS I PRICE I TOTAL I PRICE I TOTAL I PRICE I TOTAL I 37 M-200 IMOBILIZATION ---------------------------------------------- I 1 LS I $16,185.00 I $16,185.00 I $16,000.00 I $16,000.00 I $15,890.00 I (15,890.00 I ----------- I BID ---------------- -------------- I I--------------I---------------I--------------i---------------I--------------i--------------- I I I $421,000.00 I I $419,421.00 I I I 5563,511.00 I I I (BID SECURITY I I I I ( I I I I I 5% BID BOND I I ( I 5% BID BOND I I I I* DENOTES BIDDER'S ERROR, THE CORRECTED VALUE ---------------------------------------------------------------------------------- I I I I I IS SHOWN. I I I I I I I I I CALOCERINOS AND SPINA ENGINEERS, P.C. --------------------------------------------------------------------------------------- I CERTI THAT THIS S A U ORRECT TABULATION OF BIDS RECEIVED MARCH 12, 1992. JOB NUMBER: 211.004.001 BID TABULATION SIMGNED:— DATE: 16-Mar-92 page 3 ELIZABETH FIELD AIRPORT ICARLIN CONTRACTING CO., INC. IDICIN ELECTRIC CO., INC. 1J.P. DALY & SONS, INC. I FISHERS ISLAND, NEW YORK 1454 BOSTON POST ROAD 1156 CROSS ROAD 188A BROOK AVENUE 1 AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING 1P.0. BOX 300 (WATERFORD, CONNECTICUT 06385 IDEER PARK, NEW YORK 11729 i FAA-AIP NO. 3-36-0029-04-91 IWATERFORD, CONNECTICUT 06385 1 I I NYSDOT PROJECT NO. 0913.04 1 I ( I I i I I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 1TEM FAA I I I UNIT I 1 UNIT I I UNIT 1 I NO. SPEC NOI DESCRIPTION 1 QUANTITY UNITS I PRICE I TOTAL 1 PRICE I TOTAL I PRICE 1 TOTAL 1 1 P-152 ICOMMON EXCAVATION, AREA NO.1 I 1 LS I $4,217.00 1 (4,217.00 I 58,360.00 ( S8,360,.00 1 $4,000.00 I $4,000.00 1 2 P-152 IPAVEMENT EXCAVATION (BITUMINOUS CONCRETE) I 900 SY I $35.00 I $31,500.00 I $15.89 I $14,301.00 * $14.00 I 512,600.00 I 3 P-612 IFIELD OFFICE I 1 LS I $3,650.00 1 $3,650.00 1 $7,000.00 I $7,000.00 ( $8,000.00 ( $8,000.00 I 4 P-620 IRUNWAY PAINTING I 23,000 SF ( $0.25 I $5,750.00 1 $0.69 I 515,870.00 * $0.58 I $13,340.00 I 5 L-102 (ELECTRICAL BUILDING ELECTRICAL SERVICE I 1 LS I 533,000.00 1 $33,000.00 I $6,520.00 I 56,520.00 I 518,100.00 i $18,100.00 I 6 L-106 ISEGMENTED CIRCLE 1 1 LS 1 $15,296.00 I $15,296.00 1 $17,297.50 1 517,297.50 1 511,700.00 I 511,700.00 1 7 L-107 ILIGHTED WIND CONE 1 1 LS I $5,556.00 I $5,556.00 1 $9,175.00 1 $9,175.00 1 58,200.00 1 $8,200.00 I 8 L-108 ICABLE TRENCHING FOR THE INSTALLATION OF I I I I I I I I UNDERGROUND CABLE I 8,600 LF 1 54.55 1 $39,130.00 1 $5.80 1 549,880.00 I $7.08 I 560,888.00 1 9 L-108 IND. 8 AWG, 60OV, TYPE C SINGLE CONDUCTOR I I I ( I I I I I UNDERGROUND CABLE INSTALLED 1N TRENCH OR DUCTI 28,300 LF 1 $0.51 1 $14,433.00 I $0.67 I $18,961.00 I $0.82 I 523,206.00 1 10 L-108 IND. 8 AWG, 5KV, TYPE C SINGLE CONDUCTOR I I I I I I I I I UNDERGROUND CABLE INSTALLED IN TRENCH OR DUCTI 12,900 LF 1 $0.68 1 58,772.00 1 $0.74 ( $9,546.00 I $0.95 I $12,255.00 I 11 L-108 IND. 8 AWG, BARE COPPER COUNTERPOISE WIRE I I I I I I I I INSTALLED 1N TRENCH INCLUDING GROUNDING RODS AND EXOTHERMIC CONNECTIONS 1 9,500 LF I $0.66 I $6,270.00 I 50.68 I $6,460.00 1 $1.49 I $14,155.00 1 12 L-109 11NSTALLATION OF AIRPORT ELECTRICAL I I I I I I I I I BUILDING EQUIPMENT, IN PLACE 1 1 LS I 535,273.00 I $35,273.00 1 $30,352.00 1 $30,352.00 1 $48,000.00 I 548,000.00 i 13 L-110 14 -WAY ELECTRICAL DUCT BANK, TYPE 1 1 700 LF I 572.00 I 550,400.00 1 $96.00 1 567,200.00 I 588.00 $61,600.00 14 L-110 18 -WAY ELECTRICAL DUCT BANK, TYPE 1 1 200 LF I 566.00 1 $13,200.00 I 5100.00 I 520,000.00 1 $165.00 I $33,000.00 I 15 L-110 12 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I I I I I I I 11N PAVEMENT 1 3,000 LF 1 $28.00 1 $84,000.00 I $20.68 I 562,040.00 1 $20.50 1 $61,500.00 I 16 L-110 12 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I I I I ( I I 11N TURF 1 270 LF 1 517.00 1 $4,590.00 1 $13.00 ( $3,510.00 1 514.50 I $3,915.00 I 17 L-110 12 -INCH DIAMETER RIGID STEEL CONDUIT REINSTALLEI I IN TURF 1 190 LF 1 $17.00 I $3,230.00 I 513.00 I $2,470.00 1 $14.20 1 S2,698.00 I 18 L-112 1ELECTRICAL BUILDING 1 1 LS I $45,000.00 1 $45,000.00 1 540,000.00 1 540,000.00 1 $33,800.00 I $33,800.00 I 19 L-115 (ELECTRICAL MANHOLE NO. 1 1 1 EACH 1 $3,566.00 I $3,566.00 1 $8,000.00 I $8,000.00 I $8,600.00 1 $8,600.00 1 _ 20 L-115 IPULL BOX REINSTALLATION 1 1 EACH 1 $1,841.00 1 $1,841.00 1 5250.00 1 5250.00 1 5600.00 1 $600.00 I page 4 ELIZABETH FIELD AIRPORT 1CARLIN CONTRACTING CO., INC. 1DICIN ELECTRIC CO., INC. 1J.P. DALY & SONS, INC. FISHERS ISLAND, NEW YORK 1454 BOSTON POST ROAD 1156 CROSS ROAD 188A BROOK AVENUE AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING 1P.0. BOX 300 1WATERFORD, CONNECTICUT 06385 1DEER PARK, NEW YORK 11729 1 FAA-AIP NO. 3-36-0029-04-91 1WATERFORD, CONNECTICUT 06385 1 1 1 NYSDOT PROJECT NO. 0913.04 1 I 1 i 1 I 1 I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ITEM FAA 1 1 1 UNIT 1 1 UNIT 1 1 UNIT i 1 NO. SPEC N01 DESCRIPTION 1 QUANTITY UNITS 1 PRICE 1 TOTAL 1 PRICE 1 TOTAL 1 PRICE 1 TOTAL 1 ---------------------------------------------------------------- ---------------- --------- - ---- - 21 L-125 1MEDIUM INTENSITY RUNWAY EDGE LIGHTS, BASE 1 1 1 1 1 1 1 1 1 MOUNTED, IN PAVEMENT 1 57 EACH 1 $600.00 1 $34,200.00 1 $957.00 1 $54,549.00 1 $870.00 1 $49,590.00 1 22 L-125 1RUNWAY 25 THRESHOLD LIGHTS 1 1 LS ( $8,800.00 1 $8,800.00 1 $8,161.00 ( $8,161.00 1 $9,000.00 1 $9,000.00 1 23 L-125 (AIRPORT GUIDANCE SIGN NO.R-2-5, BASE 1 1 1 1 1 1 1 1 I MOUNTED, IN PAVEMENT 1 1 LS 1 $2,500.00 1 $2,500.00 1 54,160.00 1 $4,160.00 1 $2,700.00 1 $2,700.00 1 24 L-125 (AIRPORT GUIDANCE SIGN NO.R-2-19, BASE 1 1 1 ( 1 1 1 1 1 MOUNTED, IN PAVEMENT 1 1 LS 1 $2,500.00 1 $2,500.00 1 54,160.00 1 $4,160.00 1 $2,700.00 1 $2,700.00 1 25 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-3, BASE 1 1 1 1 1 1 1 1 I MOUNTED, IN TURF 1 1 LS 1 52,500.00 1 $2,500.00 1 $4,160.00 1 54,160.00 1 52,700.00 1 52,700.00 1 26 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-19, BASE 1 1 1 1 1 1 1 1 1 MOUNTED, IN TURF 1 1 LS 1 52,500.00 1 52,500.00 1 54,160.00 1 $4,160.00 1 $2,700.00 1 52,700.00 27 L-125 1RUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,1 1 1 1 ( 1 ( 1 1 RUNWAY 7 END 1 1 LS 1 54,500.00 1 $4,500.00 i $12,030.00 1 512,030.00 i $8,800.00 i $8,800.00 1 28 L-125 1RUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,1 1 RUNWAY 25 END 1 1 LS 1 54,500.00 1 $4,500.00 1 512,030.00 1 512,030.00 1 58,800.00 1 $8,800.00 1 29 L-125 1RUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,1 ( 1 1 1 1 1 1 1 RUNWAY 12 END 1 -1 LS 1 $4,500.00 1 $4,500.00 1 512,030.00 1 512,030.00 1 58,800.00 1 $8,800.00 1 30 L-125 1RUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,1 1 1 1 1 1 1 1 1 RUNWAY 30 END 1 1 LS 1 $4,500.00 1 $4,500.00 1 512,030.00 1 512,030.00 1 $8,800.00 1 58,800.00 I 31 L-125 1GENERIC VISUAL APPROACH DESCENT INDICATOR 1 I 1 1 1 1 1 1 SYSTEM, RUNWAY 7 END 1 1 LS 1 $13,000.00 1 $13,000.00 1 512,720.00 1 $12,720.00 1 59,300.00 1 $9,300.00 1 32 L-125 1GENERIC VISUAL APPROACH DESCENT INDICATOR 1 1 1 1 1 1 1 1 1 SYSTEM, RUNWAY 25 END 1 1 LS 1 513,000.00 1 513,000.00 1 512,720.00 1 512,720.00 1 59,300.00 1 59,300.00 1 33 L-125 1GENERIC VISUAL APPROACH DESCENT INDICATOR 1 1 1 1 1 1 1 1 1 SYSTEM, RUNWAY 12 END 1 1 LS 1 513,000.00 i $13,000.00 1 $12,720.00 1 $12,720.00 1 $9,300.00 1 $9,300.00 1 34 L-125 1GENERIC VISUAL APPROACH DESCENT INDICATOR 1 1 1 1 1 1 1 1 1 SYSTEM, RUNWAY 30 END 1 1 LS 1 $13,000.00 1 $13,000.00 1 512,720.00 1 512,720.00 1 $9,300.00 1 59,300.00 1 35 L-125 1REMOVAL OF EXISTING RUNWAY EDGE LIGHTS ( 1 LS 1 57,500.00 1 57,500.00 1 52,300.00 1 52,300.00 1 57,700.00 1 $7,700.00 i 36 M-100 1MAINTENANCE AND PROTECTION OF TRAFFIC ( 1 LS 1 $31,000.00 1 $31,000.00 1 518,025.00 ( S18,025.00 1 $4,100.00 1 $4,100.00 1 page 5 ELIZABETH FIELD AIRPORT ICARLIN CONTRACTING CO., INC. IDICIN ELECTRIC CO., INC. 1J.P. DALY 8 SONS, INC. FISHERS ISLAND, NEW YORK 1454 BOSTON POST ROAD 1156 CROSS ROAD 188A BROOK AVENUE 1 AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING 1P.0. BOX 300 (WATERFORD, CONNECTICUT 06385 (DEER PARK, NEW YORK 11729 I FAA-AIP NO. 3-36-0029-04-91 (WATERFORD, CONNECTICUT 06385 i I NYSDOT PROJECT NO. 0913.04 I i 1 I I I 1 I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ITEM FAA I I I UNIT I I UNIT ( I UNIT 1 NO. SPEC NOI DESCRIPTION 1 QUANTITY UNITS I PRICE i TOTAL I PRICE I TOTAL I PRICE I TOTAL 1 37 M-200 IMOBILIZATION 1 1 LS I $28,826.00 I $28,826.00 I $12,000.00 I 512,000.00 I $23,700.00 I $23,700.00 I I- ITOTAL BID I--------------- I I I I I $599,000.00 i--------------I---------------I--------------I---------------I I I $607,867.50 * I $617,447.00 I I I 1BID SECURITY I I I I 1 I 5% BID BOND I I I I 5% BID BOND I I 1 1 5% BID BOND 1 I I i* DENOTES BIDDER'S ERROR, THE CORRECTED VALUE I I I IS SHOWN. I I I I I I I i I I I -------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------- CALOCERINOS AND SPINA ENGINEERS, P.C. I CER Y THAT THI IS A U D CORRECT TABULATION OF BIDS RECEIVED MARCH 12, 1992. JOB NUMBER: 211.004.001 BID TABULATION GNED: DATE: 16 -Mar -92 page 6 page 7 i - y �,1 ELIZABETH FIELD AIRPORT IPOWER LINE CONSTRUCTORS, INC. IFIREBIRD CONSTRUCTION CORP. FISHERS ISLAND, NEW YORK 124 ROBINSON ROAD, P.O. BOX 3851329 MIDDLE COUNTRY ROAD AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICLINTON, NEW YORK 13323-0385 ISMITHTOWN, NY 11787 FAA-AIP NO. 3-36-0029-04-91 NYSDOT PROJECT NO. 0913.04 I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ITEM FAA I I I UNIT UNIT UNIT NO. SPEC NO) DESCRIPTION QUANTITY UNITS PRICE TOTAL I PRICE TOTAL PRICE TOTAL 1 P-152 ICOMMON EXCAVATION, AREA NO.1 I 1 LS ( $5,000.00 I $5,000.00 $34,500.00 534,500.00 2 P-152 IPAVEMENT EXCAVATION (BITUMINOUS CONCRETE) 900 SY I 59.00 $8,100.00 I $6.00 I $5,400.00 I 3 P-612 IFIELD OFFICE 1 LS $4,000.00 $4,000.00 $5,000.00 $5,000.00 4 P-620 IRUNWAY PAINTING 23,000 SF 50.53 $12,190.00 $0.80 518,400.00 5 L-102 JELECTRICAL BUILDING ELECTRICAL SERVICE 1 LS 514,000.00 514,000.00 510,200.00 I 510,200.00 6 L-106 ISEGMENTED CIRCLE 1 LS 519,000.00 $19,000.00 520,000.00 520,000.00 7 L-107 ILIGHTED WIND CONE 1 LS $4,800.00 54,800.00 $5,100.00 55,100.00 8 L-108 ICABLE TRENCHING FOR THE INSTALLATION OF I I UNDERGROUND CABLE 8,600 LF $5.50 547,300.00 $10.00 586,000.00 9 L-108 [NO. 8 AWG, 60OV, TYPE C SINGLE CONDUCTOR I UNDERGROUND CABLE INSTALLED IN TRENCH OR DUCT 28,300 LF I $0.70 519,810.00 $1.10 I 531,130.00 I 10 L-108 IND. 8 AWG, 5KV, TYPE C SINGLE CONDUCTOR I UNDERGROUND CABLE INSTALLED IN TRENCH OR DUCTI 12,900 LF I $0.90 I 511,610.00 I 51.30 I 516,770.00 11 L-108 IND. 8 AWG, BARE COPPER COUNTERPOISE WIRE I I I I ( I I I INSTALLED IN TRENCH INCLUDING GROUNDING RODS I I I I I I AND EXOTHERMIC CONNECTIONS I 9,500 LF I 50.60 I 55,700.00 I 51.50 I $14,250.00 I I 12 L-109 INSTALLATION OF AIRPORT ELECTRICAL I I I I I I I I BUILDING EQUIPMENT, IN PLACE I 1 LS I 541,500.00 I 541,500.00 I 523,500.00 I 523,500.00 I I 13 L-110 I4 -WAY ELECTRICAL DUCT BANK, TYPE 1 I 700 LF 5109.00 I 576,300.00 I $100.00 I 570,000.00 14 L-110 I8 -WAY ELECTRICAL DUCT BANK, TYPE 1 I 200 LF ( S106.00 I $21,200.00 I $110.00 I $22,000.00 I I 15 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I IN PAVEMENT I 3,000 LF I $30.00 I $90,000.00 I 530.00 I $90,000.00 I I 16 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT INSTALLED I I I I I I I I IN TURF I 270 LF I 510.00 I' 52,700.00 I 532.00 I $8,640.00 I I 17 L-110 I2 -INCH DIAMETER RIGID STEEL CONDUIT REINSTALLEI I I I I I I I IN TURF I 190 LF I 59.00 I $1,710.00 I 518.00 I 53,420.00 I I 18 L-112 (ELECTRICAL BUILDING I 1 LS I 560,000.00 I $60,000.00 I 550,000.00 I $50,000.00 I I 19 L-115 (ELECTRICAL MANHOLE NO. 1 I 1 EACH I $7,200.00 I 57,200.00 I $4,500.00 I 54,500.00 I I 20 L-115 (PULL BOX REINSTALLATION I 1 EACH I 5900.00 I $900.00 ( S800.00 I 5800.00 I I page 7 ELIZABETH FIELD AIRPORT IPOWER LINE CONSTRUCTORS, INC. IFIREBTRD CONSTRUCTION CORP. FISHERS ISLAND, NEW YORK 124 ROBINSON ROAD, P.O. BOX 3851329 MIDDLE COUNTRY ROAD AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICLINTON, NEW YORK 13323-0385 ISMITHTOWN, NY 11787 ( I FAA-AIP NO. 3-36-0029-04-91 1 1 1 NYSDOT PROJECT NO. 0913.04 1 I I I I -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ITEM FAA I I I UNIT 1 1 UNIT 1 1 UNIT I 1 NO. SPEC NOI DESCRIPTION I QUANTITY UNITS 1 PRICE I TOTAL I PRICE 1 TOTAL 1 PRICE 1 TOTAL 1 -------------------------------------------------- -------- ---- ------------- ___-__-_xxaxaaxsaxxxxa____xaxxaxxa_____________xxaxxxaxxax_axxa== - ---- ---- 21 L-125 IMEDIUM INTENSITY RUNWAY EDGE LIGHTS, BASE I I I 1 1 I MOUNTED, IN PAVEMENT ( 57 EACH I $900.00 I $51,300.00 I $565.00 I !32,205.00 22 L-125 IRUNWAY 25 THRESHOLD LIGHTS 1 1 LS I $15,000.00 I $15,000.00 i $15,000.00 1 $15,000.00 1 1 23 L-125 1AIRPORT GUIDANCE SIGN NO.R-2-5, BASE 1 I MOUNTED, 1N PAVEMENT I 1 LS 1 $2,600.00 I $2,600.00 I $4,800.00 I $4,800.00 1 I 24 L-125 (AIRPORT GUIDANCE SIGN NO.R-2-19, BASE 1 1 1 1 1 I I 1 I MOUNTED, IN PAVEMENT I 1 LS 1 $2,600.00 I $2,600.00 I $4,800.00 I $4,800.00 25 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-3, BASE I I 1 I I I I 1 I MOUNTED, IN TURF 1 1 LS I 52,300.00 I $2,300.00 1 $4,800.00 I $4,800.00 26 L-125 (AIRPORT GUIDANCE SIGN NO.R-1-19, BASE I I ( I I I I 1 MOUNTED, IN TURF 1 1 LS 1 $2,300.00 I 52,300.00 I $4,800.00 I $4,800.00 27 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( I I I I I 1 I RUNWAY 7 END 1 1 LS I $12,000.00 I $12,000.00 I $7,500.00 1 $7,500.00 1 1 28 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( 1 1 1 I 1 1 I RUNWAY 25 END 1 1 LS I $12,000.00 I $12,000.00 I $7,500.00 1 $7,500.00 29 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( I I I 1 1 I RUNWAY 12 END 1 1 LS 1 $12,000.00 1 $12,000.00 1 $7,500.00 I $7,500.00 1 1 30 L-125 IRUNWAY END IDENTIFICATION LIGHT (REIL) SYSTEM,( I I I 1 1 I RUNWAY 30 END I 1 LS I $14,000.00 I $14,000.00 I $7,500.00 1 $7,500.00 1 1 31 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR I SYSTEM, RUNWAY 7 END I 1 LS ( $12,500.00 I $12,500.00 I $10,000.00 1 $10,000.00 1 32 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR 1 1 I I I I 1 I SYSTEM, RUNWAY 25 END I 1 LS I $12,500.00 I $12,500.00 I $10,000.00 1 $10,000.00 1 1 33 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR 1 ( I 1 1 1 1 I SYSTEM, RUNWAY 12 END I 1 LS i $12,500.00 I $12,500.00 I $10,000.00 I $10,000.00 1 34 L-125 IGENERIC VISUAL APPROACH DESCENT INDICATOR ( I I I I 1 I SYSTEM, RUNWAY 30 END 1 1 LS I $12,500.00 1 $12,500.00 I $10,000.00 I $10,000.00 i 1 35 L-125 IREMOVAL OF EXISTING RUNWAY EDGE LIGHTS 1 1 LS 1 $1,500.00 1 $1,500.00 I $2,000.00 I $2,000.00 I 36 M-100 IMAINTENANCE AND PROTECTION OF TRAFFIC I 1 LS 1 $6,500.00 I $6,500.00 I $15,000.00 1 $15,000.00 I 1 page 8 ELIZABETH FIELD AIRPORT IPOWER LINE CONSTRUCTORS, INC. IFIREBIRD CONSTRUCTION CORP. I I FISHERS ISLAND, NEW YORK 124 ROBINSON ROAD, P.O. BOX 3851329 MIDDLE COUNTRY ROAD I I AIRFIELD LIGHTING, VISUAL AIDS AND ELECTRICAL BUILDING ICLINTON, NEW YORK 13323-0385 ISMITNTOWN, NY 11787 1 1 FAA-AIP NO. 3-36-0029-04-91 I I I I NYSDOT PROJECT NO. 0913.04 1 I I I I I I i -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 1TEM FAA I I I UNIT I 1 UNIT I I UNIT I NO. SPEC NOI DESCRIPTION I QUANTITY UNITS 1 PRICE ( TOTAL I PRICE I TOTAL I PRICE 1 TOTAL 1 xxxxsxxxaxxxxxxxxxxxxsxxxxsxxxxsxxssxxxsxsxxsxxxsxxxxxxxxxsaxxxxxxxxxxxasxxsxsxxsxaxxasaaszazzzxasxxxxxxsxxxasxxxsxsxzazasss:sasaaasaazasxsszxsaaxxxsaaxx:zzszxz:xzxxxaasx 37 M-200 IMOBILIZATION I 1 LS I $25,000.00 1 $25,000.00 1 $26,000.00 I $26,000.00 ------------I----------------------------------------------I----------------1--------------I---------------1--------------I---------------I--------------1---------------1 ITOTAL BID I I ( $662,120.00 I 1 $699,015.00 I I I I 1BID SECURITY I I I I I I 5% BID BOND I I I I I 1 I 5% BID BOND I I I I 1* DENOTES BIDDER'S ERROR, THE CORRECTED VALUE I iI IS SHOWN. I I I I I I I I I I I I ----------------------------------------------------------------------------- - ----- ----------------`- --------------------------------------------------------------- CALOCERINOS AND SPINA ENGINEERS, P.C. JOB NUMBER: 211.004.001 BID TABULATION I CERTIFY %T THIS IS )�,TRU"ND CORRECT TABULATION OF BIDS RECEIVED MARCH 12, 1992. S14NED: � �` mow' y�� ��''�-�_ DATE: 16 -Mar -92 page 9 Syracuse, NY (315)457.6711 a (315)457-9803 FAX C sBuffalo, NY Engineers and Planners (716)847-1630 (716)847-1454 FAX . y y `E�IBIT "D" Definition of "Concession" The overall goals and the base from which the goals are calculated reflect only those agreements meeting the definition of a concession, as follows: A for-profit business enterprise, located at the airport, that is engaged in the sale of consumer products or services to the public under an agreement with the sponsor, another concessionaire, or the owner of a terminal, if other than the sponsor. Businesses which conduct an aeronautical activity are not considered concessionaires. Aeronautical activities include scheduled and nonscheduled air carriers, air taxis, air charters, and air couriers, in their normal passenger or freightcarrying capacities; fixed base operators, flight schools; and sky -diving, parachute -jumping, flying guide services, and helicopter or air tours. Examples of entities that do not meet the definition of a concession include suppliers, flight: kitchens and in-flight caterers servicing air carriers, government agencies, industrial plants, farm leases, individuals leasing hangar space, custodial and security contracts, individual taxis with permits, telephone and electric utilities, skycap services under contract with an air carrier, and managements contracts, for example, to operate a parking lot or a shuttle bus service.* A concession may be operated under various types of agreements, including: 1. A lease. 2. A sublease. 3. A permit. 4. A contract. * 5. Another instrument or arrangement. * Whether the operation of a parking facility constitutes a concession or a management contract, depends on the terms of the agreement. If the parking lot operator is a separate business enterprise, which will pay a portion of its gross receipts or a stipulated rent to the sponsor for leasing the parking lot space, its operation is a concession. If the sponsor simply hires a firm to operate the parking facilities and pays the salaries and other stipulated amount for such services, then the sponsor has executed a management contract rather than awarded a concession. * A "material amendment" is defined as a substantial change to the basic rights or obligations of the parties to a concession agreement. Examples of material amendments include an extension to the term not provided for in the original agreement or a substantial increase in the scope of the concession privilege. Examples of nonmaterial amendments include a change in the name of the concessionaire or a change to a payment due date. ** Additional sources of information on the availability of DBE's include FAA regional offices, other airport operators, and the Airport Minority Advisory Council (AMAC), which has published a Directory listing concessionaires. The AMAC Directory may be obtained by writing to AMAC, Attention: National Resource Directory, P.O. Box 310866, Atlanta, GA 30331. i Narrative description of overall Qoai metnodolocv. tii A-Quu «LY concessluu agreements to be awarded, reneged, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate proposed DBE contract goals. (4) Describe types of efforts the airport will make to meet overall goal. The City proposes to issue a request for competitive proposals (REP) for the operation of the food and beverage concession in the main terminal. A DBE goal of 12 percent, based on estimated gross receipts, will be included in the solicitation. The DHE will operate a snack bar immediately adjacent to.the main passenger holding area. To assist competitors in meeting the goal, the City will make available the ARRC National Resource Directory, as well as a listing of DBE firms in the metropolitan area that may be interested in this concession. Competitors also will be referred to the local minority Chamber of Commerce, the Women's Business Development Center, the Hispanic -American Business League, and other organizations. The City intends to solicit bids for 3 new car rental agreements, each having a term of 5 years. One of these is proposed as a DBE set-aside. To solicit interest in the set-aside, notices will be sent to over 75 persons and organizations in the metropolitan area and to DBE's operating car rental businesses throughout the country. The DBE set-aside is expected to generate at least $ 450„000 during the first year of operation. The City proposes to solicit bids for the ATM lease, which will expire this goal period. Based on our search in the metropolitan area and our review of source lists, we have been unable to locate a DHE firm capable of providing this service. : / Narrative description of overall coal methodolocv. (1) Identify concession agreements to be awarded, renewed, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate any proposed DBE contract goals. (4) Describe types of efforts the airport will make to meet overall goal. The City proposes to negotiate a five-year extension to the term of the news/general merchandise agreement. A DBE goal of 15 percent (estimated gross receipts) will be included as a condition of the extension. DBE participation will initially be in the form of a joint venture, with an aim to converting to a sublease at a later date. The current Concessionaire will be provided a list of interested DHE firms and may negotiate with these or any other firm it chooses. If the City cannot reach an agreement with the Concessionaire within 30 days of the lease expiration, a request for bids (RTB) will be issued specifying a DBE goal of 15 percent. The contract for the flower shop, currently held by a DHE firm, will expire this goal period. The City proposes to negotiate a 4 -year extension to the term and expects to reach an agreement with the incumbent firm. Narrative description of overall coal methodology. (1) Identify concession agreements to be awarded, renewed, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate proposed DBE contract goals. (4) Describe types of efforts the airport will make to meet overall goal. The contract for the vending machines will expire this period. However, there are no known DBE firms in the area to provide this service. In an effort to find qualified DBE's, we provided notice to the local Minority Chamber of Commerce, the Women's Business Development Center, the Hispanic -American Business League, and the State's Disadvantaged Business Development Council. In addition, we reviewed the State's DBE Directory. Two DHE firms that previously indicated an interest in providing this service were contacted, but neither is available to bid. Three firms, including two DBE's, have been located which have an interest operating the game room. The City is negotiating a lease with one of the DBE's. Based on the negotiations to date, we are projecting the award of concession to this firm. Previous year's overall DHE coal: Previous year's actual DBE participation: * Attach Accomplishment Report in the format of Appendix 4 Explanation for not achieving last year's coal (if applicable): 2 in the r,^ ADVERTISE PROPOSED PROJECTS AND DOCUMENT ALL EFFORTS The FAA Office of Civil Rights requires you to notify AMAC of projects to be bid. Keep copy of letter for justification. All requests for proposals that you mail regarding funded projects should go to AMAC. AIRPORT MINORITY ADVISORY COUNCIL Attn: Clara Axam, Chairman Tele: (404) 876-7500 600 West Peach Street - Suite 1550 Atlanta, Georgia 30308 AMAC HOTLINE Construction projects and requests for proposals for lease space will be recorded on the Hotline at no charge. Keep documentation of this advertisement for justification. To hear recording, hotline number is (818) 715-9181. Number is used by DBE firms from all states. Attn: Joan Woods Tele: (818) 888-4634 Fax: (818) 999-1237 Airport Minority Advisory Council 21241 Ventura Blvd., Suite 150 Woodland Hills, California 91364 REQUEST DOCUMENTATION OF EFFORTS FROM PRIME CONTRACTS NOTIFY TRADE JOURNALS NOTIFY LOCAL PROFESSIONAL, MINORITY, AND COMMUNITY ORGANIZATIONS Local Office of NYS Department of Economic Development Chamber of Commerce Small Business Association National Association for the Advancement of Colored People (NAACP) Urban League Affirmative Action Office NYS Division of Human Rights Small Business Development Center National Organization for Women (NOW) Women's Information Center Veteran's Administration Office Disabled in Action Disabled American Veterans National Council of Negro Women Professional Women's Club Association of Professional Managerial and Executive Women NYS Division of Veteran's Affairs Office of Minority Services sA uS.Department ° ty JUL 2 0 14 ? !� � of Transportation s Federal Aviation �, w AdminiStrotion subiect: ACTION: Transition to Subpart F, 49 CFR Part 23--Pr1mary Airports Memorandum Date: Re ^ I Reply to From: Assistant Administrator for Civil Rights, ACR -1 -4yL To: Regional Administrators ATTN: Civil Rights Officers i. J' In accordance with our memoranda of Jµhe Is guidance to assist primary'l'ports: Mfr requirements of Subpart F of t e:,DepartMei business enterprise (DBE) rule.,,. -The g>rfdl Incorporates many of your co"er ts, inclu< outlining a timetable for submission o1- DI plans, as well as a sample plan. TinOf'I Counsel and Airport Planning and Progra�tm�! In the guidance. 1992, attached <QYplyIng with the disadvantaged n e, which a sample letter concession es of the Chief ng have concurred We have adjusted the due date for submission of concession plans to August 15. We request that you make every effort to expeditiously transmit the attached material to primary airports in order that they can meet this time frame. Please use the attached listing of primary airport locations, as this is the most recent one. Shortly, we will. provide additional guidance to you concerning review and approval of concession plans. We also will send the floppy disc of the concession plan referenced In the attached sample letter.. Please contact Dave Micklin, of my staff, on (202) 267-3270 with any questions. 4 Leon C. Watkins Attachments Sample Letter Dear Airport Sponsor: On April 30, 1992, the U.S. Department of Transportation (DOT) published a final rule in the Federal Register amending 49 CFR Part 23, its disadvantaged business enterprise (DBE) regulation (57 F.R. 18400). The amendment (copy enclosed), which added a new Subpart F, establishes requirements for the participation of DBE firms in airport concessions. The amendment became effective on June 1, 1992. As you know, legislation has been introduced in Congress which may require amendments to Subpart F. As soon as the reauthorization bill is enacted, we will provide appropriate information. In the interim, the requirements in Subpart F apply. In particular, this new subpart applies to any sponsor that has received a grant for airport development after January 1988. Section 23.93(b) of the regulations requires primary airports to submit a written DBE concession plan to the Federal Aviation Administation (FAA) for review and approval. Sponsors of more than one primary airport need to submit a separate plan for each location that has received a grant for airport development subject to Subpart F. Your proposed plan(s) should be submitted to our office no later than August 15, 1992. Each plan must contain 3 overall DBE goals in accordance with the following guidelines. 1. If you currently have an approved overall leasing goal pursuant to Section 23.43(d), and the goal will not expire prior to September 30, the overall goals of your concession plan should cover the 12 -month periods beginning October 1, 1992; October 1, 1993; and October 1, 1994. 2. If you do not currently have an approved leasing goal, or if your approved goal will expire prior to September 30, the first overall goal in your concession plan will need to include that portion of August and September 1992 in which your leasing goal will not be in effect. For example, if your leasing goal expires on August 30, one goal in your plan may cover the 13 -month period beginning September 1, 1992, while the other two goals would cover the 12 -month periods beginning October 1, 1993, and October 1, 1.994. The legislation authorizing Subpart F will expire as of September 30, 1992. In the event that the legislation is not reauthorized, the FAA will not require concession plans to be implemented. If the legislation is reauthorized for a 2 -year, rather than a 3 -year period, concession plans will be amended to cover only two years. Enclosed is a sample DBE concession plan which we have prepared to assist you. A computer disc of this plan is available in Word Perfect 5.0 format. Simply call our office to request it. We wish to point out that the amendment to Part 23 does not affect the requirement to submit overall DBE goals for FAA -assisted contracting, specified in Subpart D. Please submit your overall goal, together with an appropriate methodology and DOT Form 4630 "'Report of DBE Goal Accomplishments" in accordance with previous instructions. Should you have any questions or desire additional informaiton, feel free to contact our office on Sincerely, Regional Civil Rights Officer Enclosures P The City of Pine Blu Airport, has develop of the U.S. Departme City has received a Improvement Program signed an assurance rJ INTRODUCTION ff, owner and operator of the Pine Bluff Municipal ed this DBE Concession Plan in accordance with regulations nt of Transportation (DOT) 49 CFR Part 23, Subpart F. The grant for airport development authorized under the Airport (AIP), and as a condition of the grant agreement, the City that it will comply with the provisions of Part 23. IP IDENTIFYING INFORMATION 1. Name of sponsor: City of Pine Bluff, Arizona 2. Address of sponsor: Main Terminal Building, Pine Bluff Municipal Airport, Pine Bluff Arizona 33333 3. Name of airport: Pine Bluff Municipal Airport 4. Name of contact person: Mary Smith 5. Telephone number: 6. Period covered by concession plan: From 10/1/92 Through 9/30/95 7. The overall DBE goals in this plan are calculated as a percentage of (check one): x estimated gross receipts from all concessions total number of concession agreements * * If this method has been used, attach required rationale with the initial submission of the plan. 8. Are any of the overall annual goals in this plan 10 percent or morel x Yes No If "No," attach required information. ii Reference: Section 23.89 Definitions 1. "Affiliation." See page 14 and Appendix 6. 2. "Concession."' See page 5. 3. "Concessionaire" means one who operates a concession. 4. "Disadvantaged business enterprise" or "DBE." See page 13. 5. "Material Amendment." See page 3. 6. "Small business concern." See page 13. 7. "Socially and economically disadvantaged individuals." See page 15. 8. "Sponsor" means the recipient of an FAA grant. Ei n Overall Annual Goals Reference: Section 23.95(a) and (b) The City of Pine Bluff (hereafter "the City") has established an overall goal for DBE participation in airport concessions for each 12 -month period covered by the plan. (Appendix 1) A single goal for DBE's is used for the overall goal. Separate MBE and NBE goals are not permitted. A methodology describes how the overall goals were derived. The methodology includes information on the concessions to be operated during each goal period and potential for DBE participation. For each concession agreement, the plan provides the information listed below. Any additional information requested by the FAA's Regional Civil Rights Officer also will be submitted. 1. Name of firm.. 2. Type of business (e.g. bookstore, car rental, baggage carts). 3. Beginning and expiration dates of agreement, including options to renew. 4. For new agreements, method to be used for solicitation (e.g. request for proposals, invitation for bids, etc.) 5. Dates that material amendments will be made to the agreement (if known). 6. Estimated gross receipts for each goal period established in the plan. 7. Identification of those concessionaires that have been certified as DBE's. 8. An indication of those concessions having potential for DBE participation. The methodology also includes a narrative description of the types of efforts the City intends to make to achieve the overall goals. Specific DBE contract goals have been established for particular concessions and are referenced in Appendix 1. The clause to be used in notifying competitors of the contract goal requirements is set forth in Appendix 2. In developing the overall goals, the City reviews concession opportunities that will occur during the goal period, including those arising -- 1. when a new concession agreement will be awarded; 2. when the City will exercise an option to renew an existing agreement; and E 3. when a material amendment* will be made to an existing agreement, to the extent these are known in advance. Potential for DBE participation in these are assessed, based on the following factors: 1. A projection of the number and types of agreements to be awarded and the number and types of DBE's likely to be available to compete for those agreements. 2. The past results of the City's efforts to contract with DBE's and the reasons for the high or low level of those results. The City makes appropriate efforts to locate and identify DBE's that may be interested in competing for the concessions. Notifications are sent, as appropriate, to business organizations, known DBE's, and firms that previously expressed an interest in operating a business at the airport. The City provides these firms with announcements of bids or proposals when they are issued by the airport authority. ** To the extent practicable, the City seeks to obtain DBE participation in all types of concession activities so that participation is not concentrated in one or a few categories to the exclusion of others. Overall annual goals may be set at a level exceeding 10 percent. *** * A "material amendment" is defined as a substantial change to the basic rights or obligations of the parties to a concession agreement. Examples of material amendments include an extension to the term not provided for in'the original agreement or a substantial increase in the scope of the concession privilege. Examples of nonmaterial amendments include a change in the name of the concessionaire or a change to a payment due date. ** Additional sources of information on the availability of DBE's include FAA regional offices, other airport operators, and the Airport Minority Advisory Council (AMAC), which has published a Directory listing concessionaires. The AMAC Directory may be obtained by writing to AMAC, Attention: National Resource Directory, P.O. Box 310866, Atlanta, GA 30331. 114 *** Further information on this provision is found in the preamble to the final rule which added Subpart F, found in Appendix 7 (pp. 18406-07) and in Appendix 3. 3 V Overall goals may be calculated by one of the two methods described below. (The City has used the first of these.) 1. Divide the estimated gross receipts to be earned by DBE's (dollars) by the estimated gross receipts to be earned by all concessions (dollars) operating at the airport during the goal period. Include existing agreements with DBE's and non -DBE's in the computation, together with any new ones forecast for the goal period. Overall DBE _ Goal Estimated Gross Receipts from DBE's ($) Estimated Gross Receipts from All Concessions ($) Where the terms of a concession agreement do not provide for the City to know the gross receipts, use net payment to the airport for such agreement(s) and combines these figures with the estimated gross receipts from remaining agreements, for purposes of this calculation. Indicate in the plan which agreements do not provide for the City to know the gross receipts. Use net payment to the airport for banks and banking services, including automated teller machines (ATM), and foreign currency exchanges. Exclude from the calculation any portion of a firm's estimated gross receipts that will not be generated by a concession activity. Example: A firm operates a restaurant in the airport terminal which services the travelling public and under the same lease agreement, provides in-flight catering service to air carriers. Include the projected gross receipts from the restaurant in the overall goal calculation, but exclude the gross receipts to be earned from the in-flight catering service. 2. Divide the estimated number of concession agreements to be operated by DBE's by the total estimated number of concession agreements that will operate at the airport during the goal period. Include existing agreements with DBE's and non -DBE's, together with any new ones forecast for the goal period, in the computation. The goal must reflect the projected number of concessions operating at the _conclusion of the goal period. Overall DBE _ Goal Estimated Number of DBE Concessions Total Number of Concessions 4 Definition of "Concession" The overall goals and the base from which the goals are calculated reflect only those agreements meeting the definition of a concession, as follows: A for-profit business enterprise, located at the airport, that is engaged in the sale of consumer products or services to the public under an agreement with the sponsor, another concessionaire, or the owner of a terminal, if other than the sponsor. Businesses which conduct an aeronautical activity are not considered concessionaires. Aeronautical activities include scheduled and nonscheduled air carriers, air taxis, air charters, and air couriers, in their normal passenger or freightcarrying capacities; fixed base operators, flight schools; and sky -diving, parachute -jumping, flying guide services, and helicopter or air tours. Appendix A to Subpart F (reproduced in Appendix 7, p. 18414) contains a listing of the types of businesses that are frequently operated as concessions. Examples of entities that do not meet the definition of a concession include suppliers, flight kitchens and in-flight caterers servicing air carriers, government agencies, industrial plants, farm leases, individuals leasing hangar space, custodial and security contracts, individual taxis with permits, telephone and electric utilities, skycap services under contract with an aix carrier, and managements contracts, for example, to operate a parking lot or a shuttle bus service.* A concession may be operated under various types of agreements, including: 1. A lease. 2. A sublease. 3. A permit. 4. A contract. 5. Another instrument or arrangement. * Whether the operation of a parking facility constitutes a concession or a management contract:, depends on the terms of the agreement. If the parking lot operator is a separate business enterprise, which will pay a portion of its gross receipts or a stipulated rent to the sponsor for leasing the parking lot space, its operation is a concession. If the sponsor simply hires a firm to operate the parking facilities and pays the salaries and other stipulated amount for such services, then the sponsor has executed a management contract rather than awarded, a concession. 5 ,f. DBE set -asides Reference: Section 23.95(c) Where not prohibited by state or local law, procedures for implementing DBE set -asides are required if the sponsor determines them to be necessary to meet the overall goals of the plan. A set-aside is defined as a procurement technique that limits consideration of bids or proposals to those submitted by DBE's. The plan must specify the concessions to be set-aside (if any). If a state or local law prohibits the sponsor from using set -asides to award concessions, a citation of the appropriate authority should be referenced in the plan. (The City of Pine Bluff proposes to use the set-aside mechanism to award one DBE car rental concession. Appendix 1 provides additional information.) Note: Unlike Section 23.45(k), which applies to DOT -assisted contracting, Subpart F does not specify competition requirements for the award of a concession through a set-aside. Any requirements for competition would be a matter of state or local law. 6 wr Accomplishments :in achieving DBE coals Reference: Section 23.95(d) Annual updates to the plan will include an analysis of accomplishments made to achieve the previous year's overall goal. The format in Appendix 4 is used to report accomplishments. Since the City has calculated its overall goals as a percentage of estimated gross receipts * from all concessions, actual DBE participation is computed as follows: Divide the gross receipts that certified DBE's earned (dollars) by the total gross receipts earned by all concessionaires during the goal period (dollars). Actual DBE _ Participation Gross Receipts Earned by Certified DBE's ($) Gross Receipts Earned by All Concessionaires ($) Example: The total sales from all concessions at the airport amounted to $9,746,500, while certified DBE's earned $550,700 of that amount. DBE participation is computed as follows: Actual DBE - Participation $ 550,700 $ 9,746,500 5.7% * If overall goals are calculated as a percentage of the total number of concession agreements, actual DBE participation is determined as follows: Divide the total number of certified DBE's operating at the airport at the conclusion of the goal period by the total number of concessionaires operating at that time. Actual DBE _ Participation Number of Certified DBE Concessionaires Total Number of Concessionaires Explanation for not achieving a coal Reference: Section'23.95(e) If the analysis of previous year accomplishments indicates that the overall goal was not met, the plan will include a statement of the reasons demonstrating why failure to meet the goal was beyond the City's control. If the FAA determines that the reasons given are not sufficient justification, or if the City does: not provide any reasons, the FAA may require implementation of appropriate remedial measures. Such measures may include an adjustment to the overall goals of the concession plan. 7 IP Obligations of concessionaires and competitors Reference: Section 23.103 The City is not required to modify or abrogate any concession agreement executed prior to the date it became subject to Subpart F (June 1, 1992, the effective date of the rule). When options to renew such agreements are exercised or when a material amendment is to be made, the City assesses potential for DBE participation and includes any opportunities in the goals, as discussed in the section on "Overall annual goals." The City may impose requirements on competitors -for concession agreements as a means of achieving the overall DBE goals or a portion of the goals, provided that the DBE participation specified in the solicitation or other request is an eligible arrangement. When a specific DBE contract goal is established, the City will include a clause in the solicitation notifying competitors of the DBE requirements. (Appendix 2) A competitor that fails to achieve the goal will be required to submit documentation demonstrating that it made all necessary and reasonable efforts in attempting to do so, or that it would not be economically feasible to enter into either a sublease, joint venture, partnership, or other qualifying arrangement. Subpart F, 49 CFR Part 23, and the authorizing legislation do not provide a legal basis for imposing more stringent standards on competitors or concessionaires than those stated in this section and in Appendix 2. The use of more stringent standards, e.g., an inflexible DBE goal that must be achieved, would bring the requirement under the purview of the U.S. Supreme Court ruling City of Richmond v. J.A. Croson Co.. Similarly, a requirement that the competitor provide financial or managerial assistance to a DBE would constitute a "local" program and thus, also exceed the authority of the Federal program. * The sole exception occurs when an airport desires a long-term, exclusive concession agreement. As a condition of FAA approval to enter such an agreement, the sponsor must provide a "plan to ensure adequate DBE participation" in accordance with Section 23.107 of Subpart F. Privately -owned terminal buildings Reference: Section 23.105 Concession contracts awarded by private owners of terminal buildings at the Pine Bluff Municipal Airport are covered by this plan. Currently, one terminal building at the Airport is privately owned. The City will levy the requirements on the! terminal owner by including a provision in the lease or by other appropriate means. This will be accomplished when the lease is renewed or amended for a material purpose. Since the lease was executed prior to the effective date of Subpart F, it is not subject to modification until that time. The City will then obtain DBE goals and other appropriate information from the owner and include these in the annual updates submitted to the FAA. Responsibility for all certifications, however, will remain with the City. 8 Rationale for calculating overall goals as percentage of the number of agreements * Reference: Section 23.99 Sponsors that propose to calculate the overall DBE goals as a percentage of the total number of concession agreements must include information with the plan demonstrating, that one of the factors listed below applies. Such information needs be provided only with the initial submission of the plan. 1. In order to achieve an overall DBE goal of 10 percent of the estimated gross receipts, a disproportionate percentage of forthcoming contracting - opportunities would need to be awarded to DBE's.-' This rationale may address a time period that extends beyond that covered by the sponsor's concession plan. 2. Other circumstances exist at the airport that do not make it feasible to use gross receipts as the basis for calculating the goals. * If the overall goals are calculated as a percentage of gross receipts, none of the information in this section should be included in the plan. When none of the overall annual goals is 10 percent or more * Reference: Section 23.101 Sponsors that request approval for a concession plan in which none of the overall annual DBE goals is 10 percent or more must include information on the following points. 1. The sponsor's efforts to locate DBE's in the relevant geographic area that are capable of operating the concessions that will become available. 2. The sponsor's efforts to notify DBE's of concession opportunities and to encourage these firms to compete. 3. Any consideration given by the sponsor, when practical, to structure contracting procedures, including methods of award, so as to facilitate DBE participation. For example, the sponsor may consider using competitive means to award a concession that otherwise would be renegotiated without competition. 4. If appropriate, an explanation why the nature of a particular concession makes DBE participation through a sublease, joint venture, partnership, or other arrangement not economically feasible. The requirements in Subpart F, 49 CFR Part 23, are not intended to cause prime concessionaires or other firms to alter their corporate structures or to change their forms of business, except, perhaps, in the case of an exclusive, long-term lease. (See discussion in preamble to final rule, found in Appendix 7, p. 18403.) * If one or more overall goals is at least 10 percent, none of the information in this section should be included with the plan. 7 It is possible that a sponsor would establish an overall goal of zero percent for a given period if there are no DBE concessions at the airport and no awards to DBE's are projected. Annual update The City will review and update this concession plan at least annually. Updated plans will include any required information that was not available when the previous submission was made. Updated plans will be submitted to the FAA 30 days prior to the beginning of the next goal period or at a time specified by the Regional Civil Rights Officer. Certification procedures Reference: Section 23.95(f) The City will count only firms that have been certified in accordance with this plan toward meeting the overall annual goals. Each business, including the DBE partner in a joint venture wishing to participate as a DBE in a concession at the Pine Bluff Municipal Airport, must complete and submit Schedule A to the City. Each business wishing to participate as a joint venture must, in addition, complete Schedule B. The schedule(s) must be signed and notarized by an authorized representative of the business. The City will not levy any fee in connection with an application for certification, as this would be prohibited by DOT regulations 49 CFR Part 21, effectuating Title VI of the Civil Rights Act of 1964. However, the City may require potential DBE firms to pay a fee for a business license required under state or local authority, provided that all firms, both DBE and non -DBE, are subject to this requirement. A firm seeking to be certified as a DBE is not required to submit Schedule A or B if any of the following applies: 1. The potential DBE states in writing that it has submitted the same information to or has been certified by the City, any element of the DOT (i.e., FAA, Federal Highway Administration, or the Federal Transit Authority) or another Federal agency that uses essentially the same definition and ownership and control criteria as the DOT. In this case, the potential DBE must obtain the information and certification (if made) from the other Federal agency and submit it to the City. The City may rely upon such a certification. * Where a Federal agency has collected such information but not made a determination concerning eligibility, the City will make its own determination based, on the information it has obtained from the other agency. * The purpose of this provision is to prevent duplication. Sponsors may give "full faith and credit" to these certifications. (Federal Recister, March 31, 1980, 45 F.R. 21182) While Part 23 does not specify procedures to be followed in the event that one of these certifications may be deficient, the FAA advises sponsors to refer such information to the DOT element or other Federal agency that granted the certification. 10 2. The potential DBE firm has been determined by the Small Business Administration to be owned and controlled by socially and economically disadvantaged individuals under Section 8(a) of the Small Business Act. However, a Section 8(a) firm is required to submit information that will enable the City to determine whether it meets the applicable size standard in Subpart F, Appendix A. (Appendix 5 provides information on Section 8(a) firms.) 3. The potential DBE has been certified under a different certification process approved by the DOT. In these instances, the firm must submit the information required by that process. (The FAA interprets this provision to allow a sponsor to. accept the certifications made by other DOT recipients. In these instances, the accepting agency assumes ultimate responsibility for the validity of the certification.) The City takes at least the following steps in determining whether a firm is an eligible DBE: 1. Obtain the resumes or work histories of the principal owners of the firm and personally interview these individuals. 2. Analyze the ownership of stock in the firm, if it is a corporation. 3. Analyze the bonding and financial capacity of the firm. 4. Determine the work history of the firm, including any concession contracts it may have received. 5. Obtain or compile a list of the licenses of the firm and its key personnel to perform the concession contracts it wishes to receive. 6. Obtain a statement from the firm of the type of concession it prefers to operate. On-site certification visits Prior to making a certification determination, the City performs an on-site visit to the offices of the firm and to any of its facilities that may be necessary to validate the certification information obtained from the firm. On-site visits are not mandatory but are conducted when needed to validate the information supplied by the applicant. 11 fff Precertification Subject to the conditions listed below, the City may implement a precertification process. Under these procedures, a firm applying for certification may be required to submit its Schedule A and/or B prior to when it is named as a potential DBE participant in a proposal or bid. This procedure allows the City to develop a listing or "pool" of certified DBE's, from which proposers or bidders may be required to select in an effort to meet specific contract goals. The City is not required to adopt precertification. It is fully acceptable to certify only those firms named in bids. Prior to employing precertification, the City will obtain written approval from the responsible FAA region. The conditions of FAA approval are listed below. Each will be addressed in any request made by the City. 1. The City must give potential DBE firms notice of the precertification procedures sufficiently in advance of awarding the concession agreement to allow for an eligibility determination. For example, if a sponsor ordinarily requires 4 Meeks to certify a firm, notice must be given at least 4 weeks in advance of the time proposals or bids are due. Such notices or advertisements must be provided in the geographical area in which the City seeks DBE firms. 2. Notification of precertification procedures must be included in the following mechanisms, as applicable: a. In notices announcing concession opportunities and in other outreach materials and presentations made by the City as part of its DBE concession plan. b. At pre -solicitation meetings for concession contracts and in the solicitation documents. c. In annual announcements specifically for the purpose of advising DBE's of the precertification requirement. * The FAA is aware of the language in Section 23.51(b), which states, "A business seeking certification as a DBE shall submit the required schedules with its bid or proposal for transmission to the contracting agency involved." (Emphasis added.) However, the FAA believes that Section 23.51(c) provides flexibility in the certification process and serves as a basis for allowing sponsors to employ precertification. Under Section 23.51(c), a sponsor may establish a different certification process if the DOT determines it to be as or more effective than the one required by the regulations. 12 DBE definition Reference: Section 23.89 Any firm applying for certification through submission of a Schedule A must meet the following definition of a DBE: A small business concern: 1. which is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals; and 2. whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. Determinations of business size Reference: Section 23.89 The first step in the certification process is to make a determination of business.size. If the applicant is not a "small business concern," it will not be certified, even though it may be owned and controlled by socially and economically disadvantaged individuals. Even a firm that is certified by the Small Business Administration (SBA) under its Section 8(a) program is not eligible to participate as a DBE if it does not meet the applicable size standard. (See Appendix 5 for further information on this.) A "small business concern" means a firm, including all its domestic and foreign affiliates, that meets the applicable size standard set forth in Appendix A to Subpart F (Page 18414 of final rule.) In making a size determination, all affiliates, regardless of whether organized for profit, must be included. In the event that at firm qualifies under this definition and subsequently exceeds the size standard after entering a concession agreement, it may continue to count as DBE participation until the current agreement, including the exercise of options, expires, provided that the firm otherwise remains *r eligible as a DBE. Any adjustments that the DOT makes to the size standards in Subpart F to account for inflation will be incorporated into this plan. A firm that was certified as a minority/woman/disadvantaged business enterprise (MBE/OBE/DBE) prior to June 1, 1992, pursuant to a requirement in 49 CFR Part 23.43(d), or to FAA guidance implementing Section 511(a)(17) of the Airport and Airway Improvement Act (ARIA) of 1982, as amended, that has exceeded the size standard, may be counted as DBE participation until the current agreement, including the exercise of options, expires, provided that the firm remains otherwise eligible. 13 The term "affiliation" has the same meaning as in regulations of the SBA, 13 CFR Part 121. * That definition is reproduced in Appendix 6. Except as otherwise provided in 13 CFR Part 121, concerns are affiliates of each other when, either directly or indirectly; 1. One concern controls or has the power to control the other, or 2. A third party or parties controls or has the power to control both, or 3. An "identity of interest" between or among parties exists such that affiliation may be found. In determining whether affiliation exists, consideration is given to all appropriate factors, including common ownership, common management, and contractual relationships. The applicable size standard in Subpart F is the one which most closely describes the work to be performed under the concession agreement. A size determination is based on the firm's status at the time of contract solicitation. Determinations of business size are reviewed annually as part of the recertification process. * While Subpart F incorporates the definition of "affiliates" from Part 121, it does not incorporate the size standards from those regulations. Authority to establish size standards was delegated to the DOT by Section 511(a)(17) of the AAIA. The text of Section 511(a)(17) appears in the preamble to the final rule, page 18400, attached as Appendix 7. 14 Socially and economically disadvantaced individuals Reference: Section 23.89 1. Any person having a current Section 8(a) certification from the Small Business Administration is considered to be socially and economically disadvantaged. 2. The City makes a "rebuttable presumption" that individuals in the following groups * who are citizens of the United States (of lawfully permanent residents) are socially and economically disadvantaged: a. Women; b. Black Americans, which includes persons having origins in any of the Black racial groups of Africa; c. Hispanic Americans, which includes persons of Mexican, Puerto Rican, Cuban, Central, or South American, or other Spanish or Portuguese culture or origin, regardless of race; d. Native Americans, which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; e. Asian -Pacific Americans, which includes persons whose origins are from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia, the Philippines, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palua), Republic of the Marshall Islands, Federated States of Micronesia, or the Commonwealth of the Northern Mariana Islands; and f. Asian -Indian Americans, which includes persons whose origins are from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal. g. Members of other groups found to be disadvantaged by the SBA under section 8(a) of the Small Business Act. * These groups were changed by an amendment to the SBA's regulations 13 CFR Part 124 published on August 21, 1989 (See Federal Recister at rf, 54 F.R. 34692.) The City generally assumes that business owners who fall into one of these groups are socially and economically disadvantaged. Their disadvantaged status generally will not be investigated, unless a third -party challenge is made. Page 16 provides information on challenges procedures. 3. The City also may determine, on a case-by-case basis, that other individuals are socially and economically disadvantaged. For example, a disabled Vietnam veteran, an Appalachian white male, or another individual may claim to be disadvantaged. If such individual requests that his or her firm be certified as a DBE, the City, as part of the certification process, will determine whether that individual is socially and economically disadvantaged under the criteria in Appendix C to Subpart D. These owners must demonstrate that their disadvantaged status arose from individual circumstances, rather than by virtue of membership in a group. 15 Challenae procedures Reference: Section 23.95(f)(5) Any third party may present evidence to the City challenging whether a firm's owners who are presumed to be socially and economically disadvantaged are truly disadvantaged. Individuals who have been certified under the SBA's Section 8(a) program, however, are not subject to these challenges. If a challenge is made to the owners of an 8(a) firm, the City will refer the information or question to the SBA for resolution. Neither the DOT nor any recipient may revoke a Section 8(a) certification of the SBA. (Appendix 5 provides an explanation concerning this.) When the City receives a written challenge to the disadvantaged status of a business owner that is certified or seeking certification, the City will make a determination of social and economic disadvantage. The City itself also may initiate an inquiry. Whenever a challenge is made, the City will observe the procedural guidelines in 49 CFR 23.69. 'These procedures are informal; strict rules of evidence do not apply. In making a determination, the City will use the standards set forth in Appendix C of Subpart D, 49 CFR Part 23. While a challenge is in progress, the presumption of social and economic disadvantage continues, and if the firm has been certified, it will continue to be eligible as a DBE. The City will not require firms applying for a routine certification or recertification to submit evidence of social and economic disadvantage. Such information may be required only when a third -party or the City has initiated a challenge. A final determination by the City in a challenge proceeding may be appealed to the Departmental Office of Civil Rights by the adversely affected party under the procedures of 49 CFR 23.55. (See page 20, "Certification Appeals.") Certification standards Reference: Section 23.95(8) The City uses the same standards as contained in Section 23.53 in determining whether a firm is owned and controlled by socially and economically disadvantaged individuals. Those standards are set forth below. 1. Bona fide membership in a group of socially and economically disadvantaged individuals must be established on the basis of the applicant's claim that he or she is a member of such group and is so regarded by that particular disadvantaged community. However, the City is not required to accept the claim if it is determined to be invalid. Proof of ancestry alone is not conclusive evidence of membership in a group of socially and economically disadvantaged individuals. The fact that a person's grandfather or other relative belonged to one of these groups does not necessarily qualify the applicant as a member for purposes of DBE certification. 16 If the individual has not held himself or herself out to be a member of the community of disadvantaged individuals, has not acted as a member of that community, and would not be identified by persons in the population at large as a member of the group, the individual is not considered as belonging to that disadvantaged group for purposes of DBE certification. 2. An eligible DBE must be an independent business. The ownership and control by disadvantaged persons must be real, substantial, and continuing and must go beyond the Pro forma ownership of the firm as reflected in its ownership documents. The disadvantaged owners must enjoy the customary incidents of ownership and must share in the risks and profits commensurate with their ownership interests, as demonstrated by an examination of the substance rather than form of arrangements. Recognition of the business as a separate entity for tax or corporate purposes is not necessarily sufficient for recognition as a DBE. In determining whether a potential DBE is an independent business, the City considers all relevant factors, including the date the business was established, the adequacy of its resources for the work of the contract, and the degree to which financial, equipment leasing, and other relationships with non -DBE firms vary from industry practice. 3. The disadvantaged owners must also possess the power to direct or cause the direction of the management and day-to-day, as well as major decisions on matters of management, policy, and operations. The firm must not be subject to any formal or informal restrictions which limit the customary discretion of the disadvantaged owners. There must not be restrictions through, for example, bylaw provisions, partnership agreements, or charter requirements for cumulative voting rights or otherwise that prevent the disadvantaged owners, without the cooperation or vote of any owner who is not socially and economically disadvantaged, from making a business decision of the firm.- 4. irm: 4. If the owners of the firm who are not socially and economically disadvantaged individuals are disproportionately responsible for the operation of the firm, then the firm is not controlled by socially and economically disadvantaged individuals and is not eligible. Where the actual management of the firm is contracted out to individuals other than the owner, the persons having the ultimate power to hire and fire the managers are considered as controlling the business. 5. All securities which constitute ownership and/or control of a corporation for purposes of establishing it as a DBE must be held directly by socially and VO economically disadvantaged individuals. No securities held in trust, or by any guardian for a minor, shall be considered as held by socially and economically disadvantaged individuals in determining the ownership or control of a corporation. 6. The contributions of capital or expertise by the socially and economically disadvantaged individuals to acquire their interests in the firm shall be real and substantial. Examples of insufficient contributions include a promise to contribute capital, a note payable to the firm or its owners who are not socially and economically disadvantaged, or the mere participation as an employee, rather than as a manager. 17 7. In addition to the above standards, special consideration is given to the following circumstances: a. Newly formed firms and firms whose ownership and/or control has changed since the date of the advertisement of the DOT -assisted contract are closely scrutinized to determine the reasons for the timing of the formation or change in the firm. b. A previous and/or continuing employer-employee relationship between or among present owners is carefully reviewed to ensure that the employee -owner has management responsibilities and capabilities, as referenced above. c. Any relationship between a DBE and a non -DBE which has an interest in the DBE is carefully reviewed to determine if the interest of the non -DBE conflicts with the requirements for ownership and control. 8. A joint venture will be certified if the DBE partner of the joint venture meets the eligibility standards, is responsible for a clearly defined portion of the work to be performed, and shares in the ownership, control, management responsibilities, risks, and profits of the joint venture. 9. A joint venture is eligible to compete in a DBE set-aside if the DBE partner of the joint venture meets the eligibility standards; the DBE partner's share in the ownership, control, management responsibilities, risks, and profits of the joint venture is at least 51 percent; and the DBE partner is responsible for a clearly defined portion of the work to be performed. 10. A business applying for certification as a DBE or as a joint venture DBE must cooperate with the City in supplying any additional information which may be requested in order to make a determination. For example, the applicant may be required to provide income tax statements. 11. The City safeguards from disclosure to unauthorized persons information that reasonably may be regarded as confidential business information, consistent with Federal, state, and local law. 12. Once certified, a DBE will be required to update its submission annually by submitting a new Schedule A or certifying that the Schedule A on file is still accurate. Firms are notified upon certification that a new Schedule A must be submitted whenever there is a change in the firm's ownership or control. 13. The denial of certification by the City is final for the particular contract and any other contracts being let at the time of the denial (except when the Department of Transportation reverses the denial, following an appeal). Firms denied certification may correct deficiencies in their ownership and control and reapply for certification only for future contracts. 18 P Businesses operating under the following structures may be eligible for certification as DBE's: 1. Sole proprietorships. 2. Corporations., 3. Partnerships. 4. Other structures that provide for ownership and control by the socially and economically disadvantaged owners. Franchise and license agreements A business operating under a franchise (or license) agreement may be certified if it meets the standards outlined above and the franchisor is not affiliated with the franchisee. In determining whether affiliation, as defined in Subpart F, exists, the restraints relating to standardized quality, advertising, accounting format, and other provisions imposed on a franchisee by its franchise agreement generally will not be considered, provided that the franchisee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively, even though a franchisee may not be controlled by the franchisor by virtue of such provisions in the franchise agreement, control, and, thus, affiliation could arise through other means, such as common management or excessive restrictions upon the sale of the franchise interest. Arrangements not eligible for certification Reference: Section 23.95-M Businesses operating under the following arrangements are not eligible for certification as DBE's: 1. Limited partnerships, in which a non -DBE is the general partner. 2. Other arrangements that do not provide for ownership and control by the socially and economically disadvantaged owners. Decertification Procedures Reference: Appendix A, Subpart D Whenever the City comes to believe that a firm with a current certification is no longer eligible, the firm will be afforded the rudiments of due process prior to revoking its eligibility. The steps to be used are as follows: 1. A letter will be sent to the firm, stating that the City is contemplating decertification. A brief description of the reasons for the proposed action will be included. 2. The firm will be given an opportunity to respond in person and in writing to present information and arguments. An informal meeting or hearing may be part of the process, but a formal adversary proceeding will not be used. 19 While these procedures are not a regulatory requirement, the DOT has recommended their use in order to make the process fair and to prevent unnecessary procedural litigation. Certification agpeals Reference: Section 23.97 When the City denies certification or completes a decertification, it may advise the firm that an appeal may be filed with the office named below. An appeal must be in writing, dated and signed, and must be filed within 180 days after the denial, unless the timeframe is extended by the DOT. An appeal may be made only after the firm has exhausted all other administrative procedures available from the City. Departmental Office of Civil Rights Department of Transportation 400 7th Street, Southwest Washington„ D.C. 20590 Effect of DOCR decisions The FAA may provide the City and other DOT recipients with copies of certification decisions rendered by the Departmental Office of Civil Rights (DOCR). Often, the same firm applies for certification or is certified by more than one recipient. The decisions of the DOCR are in response to appeals of denials or so-called "third -party complaints" brought under 49 CFR 23.55. The DOCR decisions apply only to the actions that were contested and do -not bind other recipients to make the same judgement concerning a firm's eligibility. When the City has granted certification to a firm that is adversely affected by a DOCR decision, the City reexamines its records to determine if the decision raises a certification issue. Since firms sometimes reorganize or otherwise restructure their ownership or control, the City must make its own decision based on the record before it. At any time that the City considers decertifying a firm, the "Decertification Procedures" outlined above will be followed. Re-entry into the DBE nrocram A firm's eligibility as a DBE is based on its size status at the time it seeks to participate as a DBE concessionaire. It is not relevant that a firm's annual average gross receipts, for example, exceeded the specified size limit for 3 fiscal years other than the most recent previous, fiscal years from the application date. A firm that has exceeded the size standard at some point in the past and rendered ineligible, may nonetheless be currently eligible if it is within the size standard for the 3 most recent, previous years. Simply put, a firm may be eligible to "re-enter" the City's DBE program even though a some point in the past it was "graduated" from the program. 20 The regulations of the SBA at 13 CFR 124.108(c) generally do not allow a firm that participated in the SBA's Section 8(a) program to reapply for participation, once the firm has exited by termination, graduation, voluntary withdrawal, or expiration of its program term (currently set at a maximum of 9 years). No such limitation, however, is expressed in 49 CFR Part 23. Good faith efforts Reference: Section 23.95(i) The City will make good faith efforts to achieve the overall goals of the concession plan. The efforts will include: 1. Locating and identifying DBE's who may be interested in participating as concessionaires. 2. Notifying DBE's and DBE organizations of concession opportunities and encouraging firms to compete, when appropriate. 3. Informing competitors for concession opportunities of any DBE requirements during pre -solicitation meetings. 4. Providing information concerning the availability of DBE firms to competitors to assist them in meeting DBE requirements. 5. When practical, structuring contracting activities and methods of award so as to encourage and facilitate DBE participation. 21 General requirements Reference: Section 23.93 All sponsors covered by Subpart F must comply with the following general requirements (which are in addition to the obligation to implement a DBE concession plan.) 1. Each sponsor must abide by the nondiscrimination provisions in Section 23.7 with respect to the award and performance of concession agreements. 2. Each sponsor is required to take all necessary and reasonable steps to foster DBE participation in its airport concession activities. 3. The following clauses must be inserted into concession agreements executed after June 1, 1992, the effective date of Subpart F. (i) "This agreement is subject to the requirements of the U.S. Department of Transportation's regulations, 49 CFR part 23, subpart F. The concessionaire agrees that it will not discriminate against any business owner because of the owner's race, color, national origin, or sex in connection with the award or performance of any concession agreement covered by 49 CFR part 23, subpart F. (ii) "The concessionaire agrees to include the above statements in any subsequent concession agreements that it enters and cause those businesses to similarly include the statements in further agreements." Prohibition on long-term, exclusive concession agreements Reference: Section 23.107 Sponsors are prohibited from entering into long-term, exclusive concession agreements with either DBE or non -DBE firms, unless approval is given by the responsible FAA regional civil rights officer. Therefore, in the event a sponsor wishes to enter into such an agreement, it should refer to the procedures in Section 23.107 of Subpart F. 22 Appendix 1 Note: Gross receipts in thousands (000's). * Net payment to the airport. Overall DBE goal for this period: 5.5% OVERALL GOALS AND METHDOLOGY Venture Goal Period: From 10/1/92 Through 9/30/93 101.5 Estimated Date Date Business Gross Lease Lease Concessionaire Type Receipts Begins Expires First Dominion ATM 7.9 * 6/1/90 5/30/94 Indian Crafters Gift Shop 167.0 7/1/91 6/30/96 Valley Gifts Gift Shop 542.0 7/1/91 6/30/96 The Rose Flower Shop 101.5 7/1/91 6/30/95 Don's Dining Food/Beverage 1443.0 12/1/88 11/30/93 Air Advertisers Advertising 315.5 4/30/91 3/1/96 Jupiter Sales Flight Insurance/ 235.3 1/1/91 12/31/95 Business Services Ann's Chocolates Candy Shop 184.2 3/31/91 4/1/96 Best Value Car Rental 1245.0 1/1/84 12/31/93 Diamond Cars Car Rental 2350.0 1/1/84 12/31/93 Vendomatic Vending 225.0 10/1/88 9/30/93 The News Shop News/Merchandise 865.0 1/1/90 12/31/94 Books by Carl Bookstore 355.0 1/1/91 12/30/95 Telephonic Pay Telephones 265.0 1/1/91 12/30/98 Fun Company Game Room 82.0 New 4 Barber Shop Barber Shop 32.3 7/1/91 6/30/96: Pizzeria Pizza/Italian Food 875.0 6/1/90 5/31/97 National Locker Storage Lockers 97.0 6/1/91 5/31/96 Cart King Baggage Carts 116.9 1/1/91 12/31/95 Super Limo Limousine 210.0 6/1/91 5/31/96 Totals $ 9,714.60 Note: Gross receipts in thousands (000's). * Net payment to the airport. Overall DBE goal for this period: 5.5% 82.0 $ 534.70 1 % Joint Venture or Part - DBE nership 167.0 101.5 184.2 82.0 $ 534.70 1 Narrative description of overall goal methodolocy. (1) Identify concession agreements to be awarded, renewed, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate proposed DBE contract goals. (4) Describe types of efforts the airport will make to'meet overall goal. The contract for the vending machines will expire this period. However, there are no known DBE firms in the area to provide this service. In an effort to find qualified DBE's, we provided notice to the local Minority Chamber of Commerce, the Women's Business Development Center,"the Hispanic -American Business League,, and the State's Disadvantaged Business Development Council. In addition, we reviewed the State's DBE Directory. Two DBE firms that previously indicated an interest in providing this service were contacted, but neither is available to bid. Three firms, including two DBE's, have been located which have an interest in operating the game room. The City is negotiating a lease with one of the DBE's. Based on the negotiations to date, we are projecting the award of the concession to this firm. Previous pear's overall DBE goal: Previous Year's actual DBE Darticipation: * Attach Accomplishment Report in the format of Appendix 4 Explanation for not achieving last pear's goal (if applicable): qO 2 I OVERALL GOALS AND METHODOLOGY Appendix 1 Goal Period: From 10/1/93 Through 9/30/94 Estimated Date Date Business Gross Lease Lease Concessionaire Type Receipts Begins Expires ,Z DBE First Dominion ATM 8.6 * 6/1/90 5/30/94 Indian Crafters Gift Shop 170.3 7/1/91 6/30/96 170.3 Valley Gifts Gift Shop 552.8 7/1/91 6/30/96 The Rose Flower Shop 103.5 7/1/91 6/30/95 103.5 New Food/Beverage 1471.9 12/1/93 11/30/98 176.6 Air Advertisers Advertising 321.8 4/30/91 3/1/96 Jupiter Sales Flight Insurance/ 240.0 1/1/91 12/31/95 Business Services Ann's Chocolates Candy Shop 187.8 3/31/91 4/1/96 187.8 New Car Rental 1269.9 1/1/94 12/31/98 New Car Rental 2397.0 1/1/94 12/31/98 New Car Rental 450.0 1/1/94 12/31/98 450.0 Vendomatic Vending 229.5 10/1/93 9/30/98 The News Shop News/Merchandise 882.3 1/1/90 12/31/94 Books by Carl Bookstore 362.1 1/1/91 12/30/9§ Telephonic Pay Telephones 270.3 1/1/91 12/30/98 Fun Company Game Room 83.6 New 83.6 Barber Shop Barber Shop 32.9 7/1/91 6/30/96 Pizzeria Pizza/Italian Food 892.5 6/1/90 5/31/97 National Locker Storage Lockers 98.9 6/1/91 5/31/96 Cart Ring Baggage Carts 119.2 1/1/91 12/31/95 Super Limo Limousine 214.2 6/1/91 5/31/96 Totals $ 10,359.1 $ 1,171.8 Note: Gross receipts in thousands (000'.9). * Net payment to the airport. Overall DBE goal for this period: 11.3% 3 k Joint Venture or Part- nership Narrative description of overall goal methodology. (1) Identify concession agreements to be awarded, renewed, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate proposed DBE contract goals. (4) Describe types of efforts the airport will make to meet overall goal. The City proposes to issue a request for competitive proposals (REP) for the operation of the food and beverage concession in the main terminal. A DBE goal of 12 percent, based on estimated gross receipts, will be included in the solicitation. The DBE will operate a snack bar. immediately adjacent to the main passenger holding area. To assist competitors in meeting the goal, the City will make available the AMAC National Resource Directory, as well as a listing of DBE firms in the metropolitan area that may be interested in this concession. Competitors also will be referred to the local minority Chamber of Commerce, the women's Business Development Center, the Hispanic -American Business League, and other organizations. The City intends to solicit bids for 3 new car rental agreements, each having a term of 5 years. One of these is proposed as a DBE set-aside. To solicit interest in the set-aside, notices will be sent to over 75 persons and organizations in the metropolitan area and to DBE's operating car rental businesses throughout the country. The DBE set-aside is expected to generate at least $ 450,000 during the first year of operation. The City proposes to solicit bids for the ATM lease, which will expire this goal period. Based on our search in the metropolitan area and our review of source lists, we have been unable to locate a DBE firm capable of providing this service. Previous year's overall DBE goal: Previous year's actual DBE participation: * Attach Accomplishment Report in the format of Appendix 4 Explanation for not achieving last year's goal (if applicable): q, 4 I Appendix 1 OVERALL GOALS AND METHODOLOGY Goal Period: From 10/1/94 Through 9/30/95 Note: Gross receipts in thousands (000'pl. * Net payment to the airport. Overall DBE coal for this period: 12.5% 5 k Joint Estimated Date Date Venture Business Gross Lease Lease or Part - Concessionaire Type Receipts Begins Expires DBE nership First Dominion ATM 8.8 * 6/1/95 5/30/99 Indian Crafters Gift Shop 173.7 7/1/91 6/30/96 173.7 Valley Gifts Gift Shop 563.9 7/1/91 6/30/96 The Rose Flower Shop 105.6 7/1/91 6/30/95 105.6 New Food/Beverage 1501.3 12/1/93 11/30/98 180.1 Air Advertisers Advertising 328.2 4/30/91 3/1/96 Jupiter Sales Flight Insurance/ 244.8 1/1/91 12/31/95 Business Services Ann's Chocolates Candy Shop 190.9 3/31/91 4/1/96 190.9 New Car Rental 1294.4 1/1/94 12/31/98 New Car Rental 2444.9 1/1/94 12/31/98 New Car Rental 459.0 1/1/94 12/31/98 459.0 Vendomatic Vending 229.5 10/1/93 9/30/98 The News Shop News/Merchandise 908.8 1/1/90 12/31/94, 136.3 15% Books by Carl Bookstore 370.2 1/1/91 12/30/95 Telephonic Pay Telephones 282.5 1/1/91 12/30/98 Fun Company Game Room 86.7 New 85.0 Barber Shop Barber Shop 33.9 7/1/91 6/30/96 Pizzeria Pizza/Italian Food 906.8 6/1/90 5/31/97 National Locker Storage Lockers 101.0 6/1/91 5/31/96 Cart Ring Baggage Carts 121.4 1/1/91 12/31/95 Super Limo Limousine 234.6 6/1/91 5/31/96 Totals $ 10,590.9 S 1,330.6 Note: Gross receipts in thousands (000'pl. * Net payment to the airport. Overall DBE coal for this period: 12.5% 5 Narrative description of overall goal methodology. (1) Identify concession agreements to be awarded, renewed, or materially amended during the goal period. (2) Indicate method of contract solicitation for new agreements (e.g. invitation for bids, request for proposals). (3) Indicate any proposed DBE contract goals. (4) Describe types of efforts the airport will make to meet overall goal. The City proposes to negotiate a five-year extension to the term of the news/general merchandise agreement. A DBE goal of 15 percent (estimated gross receipts) will be included as a condition of the extension. DBE participation will initially be in the form of a joint venture, with an aim to converting to a sublease at a later date. The current Concessionaire will be provided a list of interested DBE firms and may negotiate with these or any other firm it chooses. If the City cannot reach an agreement with the Concessionaire within 30 days of the lease expiration, a request for bids (RFB) will be issued specifying a DBE goal of 15 percent. The contract for the flower shop, currently held by a DBE firm, will expire this goal period. The City proposes to negotiate a 4 -year extension to the term and expects to reach an agreement with the incumbent firm. Previous year's overall DBE goal: Previous Year's actual DBE participation: Attach Accomplishment Report in the format of Appendix 4. Explanation for not achieving last year's goal (if applicable): 6 Appendix 2 Clause Notifying of DBE Requirements In accordance with Regulations of the U.S. Department of Transportation, 49 CFR Part 23, Subpart F, the City of Pine Bluff has implemented a disadvantaged business enterprise (DBE) concession plan under which qualified firms may have the opportunity to operate an airport business. A DBE goal of percent, as measured by total estimated annual gross receipts, has been established for this concession agreement. The proposer (bidder) shall take all necessary and reasonable steps to achieve this goal. DBE participation may be in the form of one or more subleases, joint ventures, partnerships, or other legal arrangement meeting the eligibility standards in 49 CFR Part 23, Subpart F. In the event that the proposer qualifies as a DBE, the goal shall be deemed to have been met. The proposer will be required to submit information concerning the DBE firm(s) that will participate in this concession, including the name and address of each firm, the annual estimated gross receipts to be earned by each named firm, a description of the legal arrangement(s) to be utilized, and the total overall estimated annual gross receipts to be earned by the concession. If the proposer will be unable to achieve the DBE goal stated herein, it will be required to provide documentation in its proposal demonstrating that it took all necessary and reasonable steps in attempting to do so, or that it is not economically feasible at this time to enter into either a joint venture, sublease, partnership, or other eligible arrangement with a DBE firm. The requirements of this paragraph are not intended to force the proposer to change its business structure. A proposal that fails to adequately address the foregoing requirements will be considered nonresponsive and will be rejected. ,q, Appendix 3 This Appendix contains FAA guidance addressing the matter of setting overall goals exceeding ten percent. G� a Memorandum US Deportment of liunsportotion Federol Avilafton AdmWstrotlon Subject: INFORMATION: FAA position on Date: FEB 5 1991 DBS Program Matters Assistant Administrator Reply to From: Attn. of: for Civil Rights, ACR -1 TO: Regional Administrators ATTN: Civil Rights Officers The Offices of the Chief Counsel and Airport Planning and Programming have concurred in this memorandum. We would like to formalize the points listed below as agency policy, which you may reference in the course of discussions with airport sponsors and others: (1) The FAA has taken the position that Section 511(a)(17) of the Airport and Airway Improvement Act of 1982, as amended (AAIA); permits.sponsors to set an, overall DBE goal above 10 percent for airport leasing (concessions). _. We base this position, in part, on -the clear language in Section 511(a)(17), which is similar to the language found in Section 505(d)(1) of the ARIA. We have previously concluded that the 10 percent DBS requirement in Section 505(d)(1), which applies to DOT -assisted projects, is intended as a minimum. (See attached memorandum of June 8, 1989). In reaching that conclusion, we considered explicit statements by the Congress in legislative history. We believe that if Congress had intended for Section 511(a)(17) to impose a cap on DBE participation, rather than to set a minimum, it would have given some indication of this, in order to differentiate the meaning of this section from its stated approach to Section 505(d)(1). A review of the relevant legislative history and the report of the conference committee on the 1987 amendments to the ARIA reveals, however, that Congress did not address this matter. Consequently, we conclude that the 10 percent requirement in Section 511(x)(17) has the same meaning as such requirement has under Section 505(d). (a) Sponsors are not required to make findings of discrimination as a condition of taking steps to comply with the provisions of Section 511(x)(17), or more particularly, to establish an overall DBE goal above 10 percent for airport leasing. In City of Richmond v. J.A. Croson Company, the Supreme Court held that bodies other than the U.S. Congress must make findings of past discrimination. in order to impose requirements for DBS participation. The decision cited the Court's earlier ruling in Fullilove v. Rlutznick., that Congress has unique authority to establish race—conscious programs as remedies for past discriminatory practices. In approving Sections 511(a)(17) and 505(d), Congress exercised its authority, Which derives from the Equal Protection Clause of the Fourteenth Amendment, to enact legislation for remedial purposes. Leon C. Watkins Attachment 19, JUN p a 1989 INroRMATION : FAA Poa i t ion on BEE Program Matters Assistant Administrator for Civil Rights, ACR -1 Regional Administrators ATTN: Civil Rights Officers This memorandum has been concurred in by the Offices of the Chief Counsel and Airport Planning and Programming. We would like tv formalize the points listed below as agency polio-, which you ivay reference in the course of your compliance activities; (1) The Supreme Court's decision in C1 t,_of„ Richmond %-. J.A. Croson ComiDLU does not impact the disadvantaged business enterprise (DBE). program administered by the FAA under Department-of'Transportation (DOT) regulation 49 CFR Part 23. Thus, airport. sponsors are not required to make findings of discrimination in order to implement a DBS program required by' Part 23. fa) It 'is FAA's position that an overaltDBB goal exceeding 10. percent may be required for DOT -assisted projects. in , appropriate instances. The clear language of Section 505(d) of the airport and Airway Improvement Act of 1982, as amended, as well as the legislative history of Section 106(c) of the Surface Transportation and uniform Relocation Assistance Act of 1987, which is virtually identical to Section 505(d), indicate that the 10 percent requirement is intended as a minimum, not a maximunt. There in no requirement that airport sponsors make findings of discriminatinn in order to set an overall DBE goal abets 10 perc:ert t . Frei free to dioseminate this memorandum to airport sronsxs ,L-0I10r 1116.4w lens Litt: public. pRCGira: S� _. -'. ..,. trotq C. VyXXNS Appendix 4 ACCOMPLISHMENT REPORT Goal Period: From 10/1/92 Through 9/30/93 Note: Gross receipts in thousands (000'x). * Net payment to the airport. % Joint Venture or Part- nership Gross Receipts Earned by Certified DBE's ($) $ 550.70 Actual DBE _ _ = 5.7% Participation Gross Receipts Earned by All Concessionaires $ 9,746.50 Actual Date Date Business Gross Lease Lease Concessionaire Type Receipts Begins Expires DBE First Dominion ATM 7.8 * 6/1/90 5/30/94 Indian Crafters Gift Shop 164.0 7/1/91 6/30/96 164.0 Valley Gifts Gift Shop 547.0 711/91 6/30/96 The Rose Flower Shop 107.5 7/1/91 6/30/95 105.5 Don's Dining Food/Beverage 1457.0 12/1/88 11/30/93 Air Advertisers Advertising 319.5 4/30/91 3/1/96 Jupiter Sales Flight Insurance/ 255.3 1/1/91 12/31/95 Business Services Ann's Chocolates Candy Shop 193.2 3/31/91 4/1/96 193.2 Best Value Car Rental 1351.0 1/1/84 12/31/93 Diamond Cars Car Rental 2225.0 1/1/84 12/31/93 Vendomatic Vending 229.0 10/1/88 9/30/93 The News Shop News/Merchandise 889.0 1/1/90 12/31/94 Books by Carl Bookstore 335.0 1/1/91 12/30/95 Telephonic Pay Telephones 241.0 1/1/91 12/30/98 Fun Company Game Room 88.0 11/1/91 10/30/6' 88.0 Barber Shop Barber Shop 33.3 7/1/91 6/30/96 Pizzeria Pizza/Italian Food 874.0 6/1/90 5/31/97 National Locker Storage Lockers 99.0 6/1/91 5/31/96 Cart King Baggage Carts 112.9 1/1/91 12/31/95 Super Limo Limousine 218.0 6/1/91 5/31/96 Totals $ 9,746.50 $ 550.70 Note: Gross receipts in thousands (000'x). * Net payment to the airport. % Joint Venture or Part- nership Gross Receipts Earned by Certified DBE's ($) $ 550.70 Actual DBE _ _ = 5.7% Participation Gross Receipts Earned by All Concessionaires $ 9,746.50 Appendix 5 Section 8(a) Certified Firms 1. Eligibility information Section 511(a)(17) of the ARIA, the authority for Subpart F, explicitly incorporates the definition of "socially and economically disadvantaged individuals" front "Section 8(d) of the Small Business Act (15 U.S.C. 637(d)) and relevant subcontracting regulations promulgated pursuant thereto" except that women are presumed to be disadvantaged for purposes of the AAIA. The implementing regulations for Section 8(d) are found at 13 CFR Parts 121-125. Section 124.101 provides that in order to be eligible to participate in the Section 8(a) program, an applicant concern must meet all pertinent eligibility requirements (small business concern, ownership and control, social disadvantage, economic disadvantage, potential for success). The responsibility for making such determinations is vested in SBA's Associate Administrator for Minority Small Business and Capital Ownership Development, whose decision is final. In a legal opinion, the DOT has advised that neither DOT nor its recipients are empowered to "'go behind" a Section 8(a) certification and redetermine those issues which SBA has already decided. This means that the SBA decision to certify a firm under Section 8(a) is binding on both DOT and its recipients on the issues of ownership, control, social disadvantaged and economic disadvantage. Consequently, a recipient may not require a Section 8(a) firm to submit eligibility information pertaining to ownership and control or social and economic disadvantage or any other eligibility information except for that which is relevant to whether the firm meets the applicable size' standard in Appendix A to Subpart F. Moreover, neither DOT nor a recipient has the authority to revoke an SBA Section 8(a) certification. If either DOT or one of its recipients believes that the Section 8(a) status of a firm is questionable, it should submit whatever questions and information it has to SBA. That is, both the recipient and DOT should refer so-called "third -party complaints" against Section 8(a) firms to SBA for resolution, except for those third -party complaints which question whether the firm is a small business concern, within the meaning of w Subpart F. A Section 8(a) certified firm does not necessarily qualify as a small business for purposes of Subpart F. (See following section.) Sponsors have the authority and obligation to require submission of financial figures for the three previous fiscal years or other appropriate information needed to make that determination,. If the firm has exceeded the size standard listed in Subpart F, it must be denied certification or decertified by the sponsor. A firm that refuses to supply information to enable the sponsor to make this determination may be either denied certification or decertified by the sponsor. 1 Appendix 5 2. Size standards and the Section 8(a) proaram Section 511(x)(17) delegated to the Secretary of DOT the authority to establish size standards for the concession program. Although the size limits used in the Section 8(a) program, found at 13 CFR Part 121, generally are lower than those in Subpart F, the Section 8(a) program does not require participants to meet the size limit in each Standard Industrial Classification (SIC) code the firm may have. For example, in order to gain entry into.the 8(a) program, the participating firm must be a small business pursuant to Part 121 in its primary SIC code. To remain in the program, the firm must qualify under Part 121 in one or more SIC codes listed in its approved business plan. In addition, a Section 8(a) firm is required to certify that it meets the size standard for each contract that it will perform under the Federal Government's Section 8(a) authority. (13 CFR 124.102) The primary SIC and secondary SIC's of a participating firm may change from one year to the next and may be added to or deleted from its business plan. Appendix 6 Appendix 6 contains the definition of "Affiliation" from regulations of the Small Business Administration 13 CFR 121.401. �j § 121.401 feror, regardless of the location , of parent companies or affiliates. (c) The Regional Administrator may request a formal size determination whenever he/she deems it appropri- ate. DIIo mITIONS 1121.401 AMIlation. (a) General rule. (1) Except as other- wise noted, size determinations shall Include the applicant concern and all its domestic and foreign affiliates. Moreover, all affiliates, regardless of whether organized for profit, must be Included. (2) Except as otherwise provided in this section, concerns are affiliates of each other when either directly or In- directly (1) One concern controls or has the power to control the other, or (Ii) A third party or parties controls or has the power to control both, or (iii) An "identity of interest" be- tween or among parties exists such that affiliation may be found (3) In determining whether affili- ation exists, consideration shall be given to all appropriate factors, in- cluding common ownership, common management, and contractual Tela-. tionships. (b) Exclusion from al141lation cover- age. Portfolio or client concerns owned in whole or substantial part by Invest- ment companies licensed. or develop- ment companies qualifying under the Small Business Investment Act of 1958, as amended. or by Investment Companies registered under the In- vestment Company Act of 1940, as amended. concerns owned and con- trolled by Indian Tribes, or concerns owned and controlled by Alaska Re- gional or Village Corporations orga- nized pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. 1601, et seq.) are not considered affiliates of such Investment companies, develop- ment companies, tribes or Alaska Re. gional or Village Corporations. (c) Nature of control in determining aflYiiation. (1) Every business concern. is considered to have one or more par- ties who directly or indirectly control or have the power to control it. Con- trol may be affirmative or negative 13 CFR Ch.: (1-1-90 Edlt(on) and It is immaterial whether it is exer. cised so long as the power to control exists. Example. A party owning 50 percent of the voting stock of a concern would have negative power to control such concern since such party can block any action of the other stockholders. Also, the bylaws of a corporation may permit a stockholder with less than 50 percent of the voting stock to block any actions taken by the other stock. holders. Affiliation exists when one or more parties have the power to control a concern while at the same time another party, or other parties, may be in control of the con. cern at the will of the party with the power to control. (2) Control can arise through stock ownership; occupancy of director, offi. cer or key employee positions; contrac. tual or other business relations; or combinations of these and other fac. tors. (3) Control can arise through man. agement positions where a concern's voting stock is so widely distributed that no effective control can be estab. lished. tzample- In a corporation where the offl- eers and directors own various size blocks of stock totaling 40 percent of a concern's voting stock. but no officer or director has a block sufficient to give him control or the power to control and the remaining 60 per- cent is widely distributed with no individual stockholder having a stock Interest greater than 10 percent, management has the power to control. , (d) Identity of interest between and amono persons as an affiltation deter- minant. Affiliation can arise between or among two or more persons with an Identity of interest, such as members of the same family or persons with common investments in more than one concern. In determining who controls or has the power to control a concern. persons with an Identity of interest may be treated as though they were one person. (e) Affiliation through stock owner- shiy.(1) A person is presumed to con- trol or have the power to control a concern if he or she owns or controls or has the power to control 50 percent or more of its voting stock. (2) A person is presumed to control or have the power to control a concern ' even though he or she owns, controls 340 Small business Administration 1 or has the power to control less than i 50 percent of the concern's voting stock, if the block of stock he or she owns, controls or has the power to control is large as compared with any other outstanding block of stock. (3) If two or more persons each owns, controls or has the power to control less than 50% of the voting stock of a concern, such minority hold - UW are equal or approximately equal in size, and the aggregate of these mi- nority holdings is large as compared with any other stock holding, the pre- sumption arises that each such person individually controls or has the power to control the concern: however. such presumption may be rebutted by a showing that such control or power to control. in fact. does not exist. EzAKP= Assume that Pirms A and B each own 40 percent of Firm C. Assume fur- ther that Firm A has 200 employees. Firm B has 400 employees. Firm C alone has 50 em- ployees and that the applicable size stand- ard is 500 employees. This subsection re- quires that both Firm A and Pian B be con- sidered to individually control Pirm C and that their employees be aggregated with those of Plan C to determine Plrm C's size. Therefore, P'km C would be considered sms11 because Firm A's employees plus its employees (200 + 50) would fall short Of the 500 employee size standard as would the total Of Ph -m B's employe" plus its employ- ees (400 + 50). (f) AfNiation arising under stock options, convertible debentures, and apnernents to merge. Stock options. convertible debentures, and agree- ments to merge (including agreements In principle) are generally considered to have a present effect on the power to control the concern. Therefore, in mating a size determination, such op- tions, debentures, and agreements are generally treated as though the rights held thereunder had been exercised. However, an affiliate cannot use such options and debentures to appear to terminate its control over another con- cern before it actually does so. ExAK= I. If company "A" holds an option to purchase a controlling interest in company "B." the situation is treated as though company "A" had exercised its rights and had become owner of a control- ling interest In company "B." The employ. ees or annual receipts. as the case may be. § 121.401 of both concerns must be taken into account in determining size. EXAMPLE Ef large romp,any A" holds 70% t70 of 100 outstanding shares) of the voting stock of company "B•• and gives a third party an option to purchase 25 shares of concern "B", company "B" will be deemed to be an affiliate of company '•A" until the third party actually exercises Its option to purchase such shares. In order to prevent large company "A" from circum- venting the intent of the regulation which gives present effect to stock options, the option is not considered to have present effect in this case. ExAMPts 3. If company "A" has entered into an agreement to merge with company "B" in the future, the situation is treated as though the merger has taken place. (g) Affiliation under voting trusts. (1) If the primary purpose of a voting trust, or similar agreement, Is to sepa- rate voting power from beneficial own- ership of voting stock for the purpose of shifting control of or the power to control a concern in order that such concern or another concern may qual- ify as a small business within the size regulations, such voting trust shall not be considered valid for this purpose re- gardless of whether it is or is not rec- ognized within the appropriate juris- diction. However, if a voting trust is primarily entered into for a legitimate purpose other than that described above. and it is recognized within the appropriate jurisdiction, it may be considered valid for the purpose of a size determination. (2) Agreements to divest (including agreements in principle) are not con- sidered to have a present effect on the power to control the concern. (h) ADUiation through common management. Affiliation generally arises where officers, directors, or key employees serve as the majority Or otherwise as the controlling element of the board of directors and/or the management of another concern. (1) Affiliation through common fa- cilities. Affiliation generally arises where one concern shares office space and/or employees and/or other facili. ties with another concern, particularly where such concerns are in the same or related industry or field of oper- ations, or where such concerns were formerly affiliated. 341 § 121.402 13 CFR Ch. 1 (1-1-90 Edltfer (J) Affiliation with a newly ,prga- (3) Concerns bidding on a particuls nixed concern. Affiliation generally procurement or property sale as Join arises where former officers. directors, venturers are affiliated with eac; principal stockholders, and/or key em- other with regard to performance ployees of one concern organize a new o the contract. This determination of ad concern in the same or a related Indus- filiation does not extend to other ton try or field of operation, and serve as tracts or business outside the Join its officers, directors, principal stock- venture arrangement. holders. and/or key employees. and (4) An ostensible subcontracto, the one concern is furnishing or will • which performs or is to perform pri, furnish the other concern with sub- mars or vital requirements of a con. contracts. financial or technical assist- tract may have such a controlling role ance. bid or performance bond indem• that it m a Joint yeah niflcation. and/or other facilities,mustconsidered whether for a fee or otherwise. Curer affiliateded on the contract with (k) AflUtation through. contractual the prime contractor. In determining relationships. Affiliation generally wto the hether subcontracting rises ces the arises where once concern is depend- level of affiliation as a Joint venture, ent upon another concern for con- SSA considers whether the prime con- tracts and business to such a degree tractor has unusual reliance on the that its economic viability would be in subcontractor. Jeopardy without such contracts/busi- (3) Even though a concern might not nese. be an affiliate of its Joint venturers for (1) A/fiMation tender joint venture ar- the purpose of operations apart from rangements. (1) A Joint venture for the Joint venture, it nevertheless must size determination purposes is an asso- include its proportionate share of the ciation of concerns and/or. Individuals, Joint venture receipts or employees in with interests in any degree or propor- determining its eligibility under the tion, formed by contract, express or size standards. implied. to engage in and carry out a ...f (m) Affiliation under franchise and single, specific business venture for license agreements. In determining joint profit for which purpose they whether the franchisor controls or has combine their efforts, property. the power to control and. therefore, is money, still and knowledge, but not affiliated with the franchisee, the re - on a continuing or permanent basis for straints, relating to standardized qual- conducting business generally. The de- ity. advertising, accounting format and termination whether an entity is a other provisions. imposed on a joint venture is based upon the facts franchisee by its franchise agreement Y of the business operation. regardless shall generally not be considered. pro- of how the business operation may be vided that the franchisee has the nigh designated by the parties involved An to profit from its efforts and bears agreement to share profits/loam pro- risk of loss commensurate with o portionate to each party's contribu- _ ship. Alternatively, even thouth tion to the business operation is a sig- franchisee may not be controlled bJ� nlficant factor in determining whether the franchisor by virtue of such provl�. the business operation is a Joint yen-sions in the franchise agreement. eon - tura. (2) For the purpose of financial as- trot and, thus, affiliation could ansa' slatance to a Joint venture. the parties through other means, such as common, thereto are considered to be affiliated 'Where ownership, common management or excessive restrictions upon the sale OL with each other. the financial the franchise interest. assistance, however, is to a concern for its own use, Outside the Joint venture, 11121.402 Annual rseeipts. an affiliation determination shall not automatically arise from the existence (a) In size determinations where of the Joint venture arrangement. In standard is "annual receipts," size e1M this latter situation, the existence of gibility requires that the concern mt� affiliation shall be determined under not exceed the "annual receipts.. these regulations. that standard 342 • Appendix 7 Appendix 7 is the final rule adding Subpart F to 49 CFR Part 23, which was published in the Federal Register on April 30, 1992 (57 F.R. 18400). f REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP- 1 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- -------------------- ------------ ----- ------------ 1 IL CHICAGO CHICAGO -0 HARE INTL ORD 27,948,923 2 TX DALLAS -FORT WORTH DALLAS/FORT WORTH IN DFW 24,269,621 3 GA ATLANTA THE WILLIAM B HARTSF ATL 24,134,062 4 CA LOS ANGELES LOS ANGELES INTL LAX 22,349,336 5 CA SAN FRANCISCO SAN FRANCISCO INTL SFO 14,693,654 6 NY NEW YORK JOHN F KENNEDY INTL JFK 14,451,149 7 CO DENVER STAPLETON INTL DEN 12,773,147 8 FL MIAMI MIAMI INTL MIA 12,417,745 9 NY NEW YORK LA GUARDIA LGA 11,409,582 10 MA BOSTON GENERAL EDWARD LAWRE BOS 11,084,634 11 NJ NEWARK NEWARK INTL EWR 11,012,378 12 AZ PHOENIX PHOENIX SKY HARBOR I PHX 10,877,477 13 MI DETROIT DETROIT METROPOLITAN DTW 10,555,356 14 HI HONOLULU HONOLULU INTL HNL 10,417,210 15 NO ST LOUIS LAMBERT -ST LOUIS INT STL 10,056,978 16 MN MINNEAPOLIS MINNEAPOLIS -ST PAUL MSP 9,715,553 17 NV LAS VEGAS MC CARRAN INTL LAS 8,914,899 18 FL ORLANDO ORLANDO INTL "CO 8,683,672 19 PA PITTSBURGH GREATER PITTSBURGH I PIT 8,551,949 20 TX HOUSTON HOUSTON INTERCONTINE IAH 8,127,303 - 21 PA PHILADELPHIA PHILADELPHIA INTL PHL 8,001,364 22 WA SEATTLE SEATTLE -TACOMA INTL SEA 7,910,061 23 NC CHARLOTTE CHARLOTTE/DOUGLAS IN CLT 7,784,047 24 VA ARLINGTON WASHINGTON NATIONAL DCA 7,526,713 25 UT SALT LAKE CITY SALT LAKE CITY INTL SLC 5,591,028 26 CA SAN DIEGO SAN DIEGO INTL-LINDB SAH 5,487,605 27 FL TAMPA TAMPA INTL -TPA 5,306,782 28 MD BALTIMORE BALTIMORE -WASHINGTON BWI 5,098,186 29 VA CHANTILLY WASHINGTON DULLES IN IAD 4,854,823 30 NC #1LEIGH/DURHAM RALEIGH -DURHAM INTER RDU 4,601,537 i1 KY COVINGTON/CINCINNATI GREATER CINCINNATI/N CVG 4,538,270 32 FL FORT LAUDERDALE FORT LAIDERDALE/HOLL FLL 4,426,729 i3 TN MEMPHIS MEMPHIS INTL MEM 4,231,631 ;4 ON CLEVELAND CLEVELAND-HOPKINS IN CLE 4,188,314 ;5 PR SAN JUAN LUIS MUNOZ KARIN INT SJU 4,157,577 ;6 TX HOUSTON WILLIAM P HOBBY HOU 3,989,094 7 IL CHICAGO CHICAGO MIDWAY NOW 3,935,966 8 TN NASHVILLE NASHVILLE INTERNATIO BNA 3,661,776 9 NO KANSAS CITY KANSAS CITY INTL MCI 3,477,529 0 LA NEW ORLEANS NEW ORLEANS INTL/MOI MST 3,438,604 1 CA SAN JOSE SAN JOSE INTERNATION SJC 3,347,542 2 OR PORTLAND PORTLAND INTL PDX 3,203,106 REPORT DATE: October 31, 1991 ;OURCE: DOT/TSC CALENDAR 190 ACLS DATABASE PAGE: VP- 2 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANENENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- ----- ------------- ----------- ----- ------------ 43 TX DALLAS DALLAS LOVE FIELD DAL 2,885,090 44 IN INDIANAPOLIS INDIANAPOLIS INTL IND 2,838,745 45 FL NEST PALM BEACH PALM BEACH INTL PBI 2,787,426 46 CA OAKLAND METROPOLITAN OAKLAND OAK 2,723,775 47 TX SAN ANTONIO SAN ANTONIO INTL SAT 2,695,137 48 CA ONTARIO ONTARIO INTL OMT 2,669,659 49 NM ALBUQUERQUE ALBUQUERQUE INTL ABG 2,515,863 50 CT WINDSOR LOCKS BRADLEY INTL BDL _ 2,489,965 51 CA SANTA ANA JOHN WUYNE AIRPORT -0 SNA 2,290,816 52 NI KAHULUI KAHULUI OGG 2,198,108 53 WI MILWAUKEE GENERAL, MITCHELL INT MBO: 2,183,060 54 TX AUSTIN ROBERT MUELLER MUNI AUS 2,101,492 55 ON DAYTON JAMES M COD( DAYTON I DAY 2,074,062 56 CA SACRAMENTO SACRAMENTO METROPOLI SMF 1,806,942 57 ON COLUMBUS PORT COLUMBUS INTL CMH 1,805,428 58 FL FORT MYERS SOUTHWEST FLORIDA RE RSW 1,780,781 59 NY BUFFALO GREATER BUFFALO INTL BUF 1,738,001 60 CA BURBANK BURBANK-•GLENDALE-PAS OUR 1,729,713 61 TX EL PASO EL PASO INTL ELP 1,677,115 62 AK ANCHORAGE ANCHORAGE INTL ANC 1,599,910 63 OK OKLAHOMA CITY WILL ROGERS WORLD OKC 1,544,999 64 NV RENO RENO CANMON INTL RNO 1,515,106 65 OK TULSA TULSA INTL TUI. 1,490,314 66 FL JACKSONVILLE JACKSONVILLE INTL JAX 1,355,510 67 VA NORFOLK NORFOLK INTL ORF 1,345,571 68 AZ TUCSON TUCSON INTL TUS 1,329,824 69 NY SYRACUSE SYRACUSE HANCOCK INT SYR 1,324,016 70 HI LIHUE LIHUE LIN 1,300,070 71 ME BANGOR BANGOR INTL BGR 1,268,399 72 NY "$OCHESTER GREATER ROCHESTER IN ROC 1,260,803 73 RI PROVIDENCE THEODORE 'FRANCIS GRE PVD 1,216,548 74 NT ALBANY ALBANY COUNTY ALB 1,175,432 75 GU AGANA AGANA WAS NGM 1,092,291 76 AL BIRMINGHAM BIRMINGHAM BHM 1,041,015 77 KY LOUISVILLE STANDIFORD FIELD SDF 1,038,821 78 NE OMAHA EPPLEY AIRFIELD OMA 1,031,164 79 FL SARASOTA/BRADENTON/ SARASOTA-BRADENTON SRO 1,026,574 80 HI KAILUA/KONA KEAHOLE KOA 978,428 81 AR LITTLE ROCK ADAMS FIELD LIT 976,023 82 VA RICHMOND RICHMOND INTL (BYRD RIC 931,784 83 NC GREENSBORO PIEDMONT TRIAD INTER GSO 922,986 84 WA SPOKANE SPOKANE INTL GEG 820,746 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP- 3 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY ---- ----- --------------- AIRPORT NAME ------------ LDCID ----- ENPLANEMENTS ------------ 85 IA DES MOINES DES MOINES INTL DSM 693,842 86 MI GRAND RAPIDS KENT COUNTY INTL GRR 693,713 87 CA LONG BEACH LONG BEACH /DAUGHERT LGB 693,383 88 SC CHARLESTON CHARLESTON AFB/INTL CHS 680,267 89 HI HILO HILO INTERNATIONAL ITO 656,193 90 TX LUBBOCK LUBBOCK INTL LBB 619,633 91 IO BOISE BOISE AIR TERMINAL / BOI 613,921 92 PA MIDDLETOWN HARRISBURG INTL ARPT MDT 613,147 93 CO COLORADO SPRINGS CITY OF COLORADO SPR COS 600,488 94 SC GREER GREENVILLE-SPARTANBU GSP 589,801 95 TX MIDLAND MIDLAND INTERNATIONA MAF 584,891 96 KS WICHITA WICHITA MID-CONTINEN ICT 584,241 97 TN KNOXVILLE MC GHEE TYSON TYS 583,046 98 VI CHARLOTTE AMALIE CYRIL E KING STT 572,595 99 ME PORTLAND PORTLAND INTL JETPOR PWM 570,630 100 NY ISLIP LONG ISLAND MAC ARTH ISP 569,519 101 SC COLUMBIA COLUMBIA NETROPOLITA CAE 555,681 102 WI MADISON DANE COUNTY REGIONAL MSN 536,911 103 TX HARLINGEN RIO GRANDE VALLEY IN NRL 532,409 104 GA SAVANNAH SAVANNAH INTERNATION SAV 531,796 105 FL DAYTONA BEACH DAYTONA BEACH REGION DAB 507,139 106 CO OBYAN SAIPAN INTL GSN 486,752 107 AL HUNTSVILLE HUNTSVILLE INTL-CARL NSV 473,334 108 TX CORPUS CHRISTI CORPUS CHRISTI INTL CRP 463,273 109 CA FRESNO FRESNO AIR TERMINAL FAT 460,655 110 FL TALLAHASSEE TALLAHASSEE REGIONAL TLH 454,405 11 TX AMARILLO AMARILLO INTL AMA 453,280 '12 CA PALM SPRINGS PALM SPRINGS REGIONA PSP 450,631 13 LA BATON ROUGE BATON ROUGE METROPOL BTR 437,500 14 FL q,ENSACOLA PENSACOLA REGIONAL PNS 435,659 15 PA ALLENTOWN ALLENTOWN-BETHLEHEM- ABE 433,568 16 VT BURLINGTON BURLINGTON INTL BTV 424,556 17 MS JACKSON JACKSON INTERNATIONA JAN 405,953 18 IA CEDAR RAPIDS CEDAR RAPIDS MUNI CID 405,307 19 KY LEXINGTON BLUE GRASS LEX 403,152 20 IN SOUTH BEND MICHIANA REGIONAL SBN 400,655 '_1 AL MOBILE BATES FIELD MOB 396,531 '.2 MI DETROIT DETROIT CITY DET 389,401 3 Al GRAND CANYON GRAND CANYON NATIONA GCA 381,117 _'4 NH MANCHESTER MANCHESTER ARPT/GREN MHT 379,145 '5 NJ ATLANTIC CITY ATLANTIC CITY INTERN ACT 378,293 '6 FL MELBOURNE MELBOURNE REGIONAL MLS 377,442 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP- 4 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANENENTS RANK STATE ASSOCIATED CITY AIRPORT MANE LOCID ENPLANENENTS ---- ----- --------------- ------------ ----- ------------ 127 NY WHITE PLAINS WESTCHESTER COUNTY MPH 358,198 128 VA ROANOKE ROANOKE REGIONAL/WOO ROA 340,493 129 ON AKRON AKRON -CANTON REGIONA CAK 333,445 130 IN FORT WAYNE FORT WAYNE MUNI/BAER FWA 330,663 131 LA SHREVEPORT SHREVEPORT REGIONAL SHV 326,174 132 ON TOLEDO TOLEDO EXPRESS TOL 324,255 133 IL MOLINE QUAD -CITY MLI 323,614 134 CA SANTA BARBARA SANTA BARBARA MUNI SBA 308,521 135 AK JUNEAU JUNEAU INTL JNU 294,827 136 TN CHATTANOOGA LOVELL FIELD CHA 291,374 137 AK FAIRBANKS FAIRBANKS INTL FAI 280,869 138 OR EUGENE MARLON SWEET FIELD EUG 273,542 139 WI GREEN BAY AUSTIN STRAUBEL FIEL GRB 269,172 140 MT BILLINGS BILLINGS LOGAN INTL BIL 269,159 141 VI CHRISTIANSTED ALEXANDER HAMILTON STX 268,913 142 MI LANSING CAPITAL CITY LAI 268,304 143 NC ASHEVILLE ASHEVILLE REGIONAL AVL 264,600 144 SC MYRTLE BEACH MYRTLE BEACH AFB MYR 264,211 145 MI KALAMAZOO KIU.AMAZOO COUNTY AZO 249,108 146 PA WILKES-BARRE/SCRANTO WILKES-BARRE/SCRANTO AVP 242,853 147 NE LINCOLN LINCOLN MUNI LNK 241,386 148 CA MONTEREY MONTEREY PENINSULA NRY 239,914 149 SD SIOUX FALLS JOE FOSS FIELD FSD 239,895 150 W CHARLESTON YEAGER CRW 237,964 151 NI SAGINAW TRI CITY INTERNATION MBS 237,115 152 IN EVANSVILLE EVANSVILLE REGIONAL EW 235,068 153 W AUGUSTA BUSH FIELD AGS 229,093 154 TX MC ALLEN MILLER INTL MFE 227,946 155 NO SPRINGFIELD SPRINGFIELD REGIONAL SGF 227,855 156 IL qPEORIA GREATER PEORIA PIA 224,001 157 FL GAINESVILLE GAINESVILL.E REGIONAL GNV 217,407 158 CO ASPEN ASPEN-PITKIN CO/SARD ASE 214,725 59 TN BRISTOL/JOHNSON/KING TRI -CITY REGIONAL TRI 214,459 61 ND FARGO HECTOR INTERNATIONAL FAR 198,117 62 AL MONTGOMERY DANNELLY FIELD MGM 196,958 63 NY ME61MGM STEWART INTOL SWF 194,329 64 FL KEY WEST KEY WEST INTL EYW 189,922 65 NC FAYETTEVILLE FAYETTEVILLE REGIONA FAY 186,734 66 IL CH AMPAIGN/URBANA/ UNIVERSITY OF ILLINO CMI 179,726 67 NY BINGHAMTON EDWIN A LINK FIELD -B BGM 171,972 58 WI APPLETON CUTAGAMIE COUNTY ATW 167,394 69 NC WILMINGTON NEW HANOVER COUNTY ILM 166,005 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACLS DATABASE PAGE: VP- 5 REPORT VP PRIMARY AIRPORT ENPLANEMEN'I ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- ----- --------------- ------------ ----- 170 PA ERIE ERIE INTL ERI 165,798 _ 171 FL VALPARAISO EGLIN AFB VPS 162,426 172 SD RAPID CITY RAPID CITY REGIONAL RAP 161,862 173 WA PASCO TRI -CITIES PSC 160,469 174 MI FLINT BISHOP INTERNATIONAL FNT 160,295 175 HI KAUNAKAKAI MOLOKAI MKK 159,202 176 OR MEDFORD 14EDFORD-JACKSON COUN MFR 153,503 177 MN ROCHESTER ROCHESTER MUNI RST 153,356 178 MA WORCESTER WORCESTER MUNI ORH 150,373 179 VA NEWPORT NEWS PATRICK HENRY INTL PHF 149,978 180 WY JACKSON JACKSON HOLE JAC 148,144 181 CO GRAND JUNCTION WALKER FIELD GJT 141,192 182 MT MISSOULA MISSOULA INTERNATION MSO 139,400 183 CA BAKERSFIELD MEADOWS FIELD BFL 138,080 184 AR FAYETTEVILLE DRAKE FIELD FYV 136,373 185 VA CHARLOTTESVILLE CHARLOTTESVILLE-ALBE CHO 131,491 186 MA NANTUCKET NANTUCKET MEMORIAL ACK 131,370 187 ND BISMARCK BISMARCK NMI BIS 130,519 188 MT 602EMAN GALLATIN FIELD BZN 128,394 189 AK KETCHIKAN KETCHIKAN INTL KTN 127,881 190 MN DULUTH DULUTH INTL DLN 127,112 191 WI MOSINEE CENTRAL WISCONSIN CUA 126,743 192 ID IDAHO FALLS FANNING FIELD IDA 124,392 193 LA LAFAYETTE LAFAYETTE REGIONAL LFT 124,152 194 IL SPRINGFIELD CAPITAL SPI 121,569 195 TX BEAUMONT/PORT ARTHUR JEFFERSON COUNTY OPT 119,950 196 FL ST PETERSBURG/CLEARW ST PETERSBURG/CLEARW PIE 119,715 197 GA COLUMBUS COLUMBUS METROPOLITA CSG 118,461 198 MT GREAT FALLS GREAT FALLS INTL GTF 117,875 99 NY q%LMIRA ELMIRA/CORNING REGIO ELM 117,454 '01 MI TRAVERSE CITY CHERRY CAPITAL TVC 116,988 102 IA SIOUX CITY SIOUX GATEWAY SUX 115,849 03 NY ITHACA TOMPKINS COUNTY ITH 114,215 05 MA HYANNIS BARNSTABLE MUNI -BOAR NYA 112,973 06 WA BELLINGHAM BELLINGHAM INTL BLI 112,605 07 AK BETHEL BETHEL BET 111,787 08 LA MONROE MONROE REGIONAL MLU 110,285 09 AR FORT SMITH FORT SMITH MUNI FSM 109,677 10 MS GULFPORT GULFPORT-BILOXI RGNI GPT 108,461 11 IL ROCKFORD GREATER ROCKFORD RFD 106,769 12 WI LA CROSSE LA CROSSE MUNI LSE 102,021 13 AK KENAI KENAI MUNI ENA 100,928 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP- 6 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOC1D ENPLANEMENTS 214 CO DURANGO DURANGO-LA PLATA COU DRO 97,804 215 NC JACKSONVILLE ALBERT J ELLIS OAJ 97,180 216 W HUNTINGTON TRI-STATE /UALKER-LO HTS 95,649 217 NO GRAND FORKS GRAND FORKS -MARK AND GFK 95,452 218 FL PANAMA CITY PANAMA, CITY -BAY COON PFN 93,266 219 VA LYNCHBURG LYNCHBURG MUNI-PREST LYH 90,948 220 PA STATE COLLEGE UNIVERSITY PARK UNV 90,871 221 NO MINOT MINOT INTL NOT 90,479 222 CA SAN LUIS OBISPO SAN LUIS OBISPO COUN SBP 83,110 223 TX COLLEGE STATION EASTERWOOD FIELD CLL 79,832 224 TX TYLER TYLER POUNDS FIELD TYR 78,854 225 NV ELKO ELKO MUNI-J.C. HARRI EKO 76,426 226 PR MAYAGUEZ EUGENIO MARIA DE HOS MAZ 75,741 227 WY CASPER NATRONA COUNTY INTL CPR 74,976 228 OK LAWTON LAWTON NMI LAY 74,850 229 AO PAGO PAGO PAGO PAGO INTL PPG 74,368 230 AK KODIAK KODIAK ADO 73,991 231 MD SALISBURY SALISBURY-WICOMICO C SBY 72,521 232 W YAKIMA YAKIMA AIR TERMINAL YKM 72,439 233 AL DOTHAN DOTRAN DHN 72,356 234 NT KALISPELL GLACIER PARK INTL FCA 71,959 235 OR REDMOND ROBERTS FIELD RON 71,918 236 CA SOUTH LAKE TAHOE LAKE TAHOE TVL 70,161 237 PA READING READING REGIONAL/CAR ROG 69,773 238 NC NEW BERN CRAVEN COUNTY REGION EWN 69,547 239 NM FARMINGTON FOUR CORNERS REGIONA FMN 69,443 240 SC HILTON HEAD ISLAND HILTON HEAD 49J 69,066 241 WA PORT ANGELES WILLIAM R FAIRCHILD CLM 68,831 242 CT BRIDGEPORT IGOR I SIKORSKY MEMO BDR 68,758 243 CAq�ARCATA/EUREKA ARCATA ACV 67,928 244 LA ALEXANDRIA ESLER REGIONAL ESF 67,483 245 CA REDDING REDDING MUNI RDD 66,137 246 TX ABILENE ABILENE REGIONAL ABI 64,972 247 AZ YUMA YUMA MCAS/TUNA INTL YUM 64,959 248 CA SANTA ROSA SONOMA COUNTY STS 64,411 249 CO PUEBLO PUEBLO MEMORIAL PUB 64,307 250 IL BLOOMINGTON/NORMAL BLOOMINGTON/NORMAL BMI 64,149 251 CA STOCKTON STOCKTON METROPOLITA SCK 62,044 252 PR ISLA DE VIEQUES VIEQUES VOS 60,508 253 TX SAN ANGELO MATHIS FIELD SJT 60,488 54 FL NAPLES NAPLES MUNI APF 60,434 35 LA LAKE CHARLES LAKE CHARLES REGIONA LCH 60,134 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP- 7 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANE14ENTS ---- ----- --------------- -------..... ----- ------ 256 TX WICHITA FALLS SHEPPARD AFB/WICHITA SPS 59,952 257 IA WATERLOO WATERLOO MUNI ALO 59,770 258 TX LAREDO LAREDO INTL LRD 57,923 259 AK DILLINGHAM DILLINGHAM DLG 55,782 260 NI LANAI CITY LANAI LNY 55,563 261 MI MUSKEGON MUSKEGON COUNTY MKG 55,208 262 NC GREENVILLE PITT-GREENVILLE PGV 54,239 263 _ AK. KOTZEBUE RALPH WIEN MEMORIAL OTZ 53,695 264 AK SITKA SITKA SIT 53,607 265 MT HELENA HELENA REGIONAL NLN 53,523 266 AK DEADHORSE DEADHORSE SCC 51,579 267 PR FAJARDO DIEGO JIMENEZ TORRES X95 51,544 268 ON YOUNGSTOWN YOUNGSTOWN MUNI YNG 51,507 269 AZ BULLHEAD CITY BULLNEAD LAUGHLIN P06 51,173 270 SC FLORENCE FLORENCE REGIONAL FLO 50,969 271 CA CONCORD MXHANAN FIELD CCR 49,579 272 GA ALBANY SOUTHWEST GA. REGION ABY 49,317 273 CO GUNNISON GUNNISON COUNTY GUC 48,970 274 PA WILLIAMSPORT WILLIAMSPORT-LYCGNIN IPT 48,718 275 AZ FLAGSTAFF PULLIAM FLG 47,367 276 TX KILLEEN KILLEEN NMI ILE 47,331 278 CO HAYDEN YAMPA VALLEY NDN 47,002 279 WV PARKERSBURG WOOD COUNTY AIRPORT PKB 46,470 280 NS COLUMBUS/W POINT/STA GOLDEN TRIANGLE REGI GTR 46,359 281 AK NOME NOME ONE 46,337 282 IL DECATUR DECATUR DEC 46,149 283 AK KING SALMON KING SALMON AKN 45,026 284 AR TEXARKANA TEXARKANA REGIONAL -W TXK 44,842 285 NC KINSTON KINSTON REGIONAL JET ISO 44,660 ?86 MA %ARTHAS VINEYARD MARTHAS VINEYARD NVY 44,441 _'87 AK UNALASKA UNALASKA DUT 44,127 '88 CO STEAM80AT SPRINGS STEAMBOAT SPRINGS/BO SBS 44,123 '.89 CT NEW HAVEN TWEED -NEW HAVEN NVN 43,701 '90 CA OXNARD OXNARD OXR 43,067 '91 NN LEBANON LEBANON MUNI LEB 41,736 '92 TX WACO WACO REGIONAL ACT 41,671 93 GA MACON LEWIS B. WILSON MCN 41,477 94 ID LEWISTON LEWISTON-NEZ PERCE C LWS 41,306 95 PA LANCASTER LANCASTER LNS 41,220 96 NO COLUMBIA COLUMBIA REGIONAL COU 40,753 97 CA SANTA MARIA SANTA MARIA PUBLIC SMX 40,740 98 TX LONGVIEW GREGG COUNTY GGG 38,644 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACLS DATABASE PAGE: VP- 8 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- ----- --------------------------- ----- ------------ 299 MI MARQUETTE MARQUETTE COUNTY MOT 38,180 300 GA BRUNSWICK GLYNCO JETPORT BOK 38,158 301 ID BAILEY FRIEDMAN MEMORIAL SUN 37,928 303 NC HICKORY HICKORY' REGIONAL NKY 37,394 304 ID TWIN FALLS TWIN FALLS -SUN VALLE TWF 35,927 305 NY UTICA ONEIDA COUNTY UCA 35,904 306 MY JAMESTOWN CHAUTAUQUA COUNTY/JA JHW 35,547 307 WA PULLMAN/MOSCOW,ID PULLMAN/MOSCOW REGIO PW 35,320 308 IA DUBUQUE DUBUQUE REGIONAL DBO 35,080 309 ME PRESCM ISLE NORTHERN MAINE REGIO POI 34,861 310 WA WENATCHEE PANGBORN MEMORIAL EAT 34,802 311 PS BABELTHUAP ISLAND BABELTHUTAPADROR ROR 34,284 312 CT GROTON/NEW LONDON/ GROTON-NEW LONDON GON 33,284 313 MT BUTTE BERT MOONEY BTM 33,075 314 WI EAU CLAIRE EAU CLAIRE COUNTY EAU 32,762 315 KY PADUCAH BARKLEY REGIONAL PAN 32,652 316 NO JOPLIN JOPLIN REGIONAL JLN 32,451 317 CO ROTA ISLAND ROTA IN'TL GRO 32,355 318 PA JOHNSTOWN JOHNSTOWN-CAMBRIA CO JST 31,766 319 NO HAGERSTOWN WASHINGTON COUNTY RE NGR 31,721 320 ID POCATELLO POCATELLO MJBI PIH 31,410 321 IN LAFAYETTE PURDUE UNIVERSITY LAF 30,430 322 AK HOMER HOMER NON 30,086 323 AK BARROW WILEY POST -WILL ROGE BRW 29,699 324 WI OSHKOSH WITTMAN REGIONAL OSH 29,375 326 WY CHEYENNE CHEYENNE CYS 28,864 327 NM ROSWELL ROSWELL INDUSTRIAL A ROW 28,507 328 PA ALTOONA ALTOONA-BLAIR COUNTY A00 28,158 329 CA MODESTO MODESTO CITY -COUNTY- MOD 28,044 331 Ar SKAGWAY SKAGWAY SGT 26,385 332 MS MERIDIAN KEY FIELD MEI 25,973 333 WI RHINELANDER RHINELANDER-ONEIDA C RHI 25,813 334 MN INTERNATIONAL FALLS FALLS INTL IML 25,707 335 CO PEIPEINIMARU WEST TINIAN TNI 25,541 336 CA PALMDALE PALMDALE PRODN FLT/T PMD 25,511 337 CO MONTROSE MONTROSE COUNTY MTJ 24,772 338 IL CHICAGO MERRILL C MEIGS CG)( 24,565 339 SO ABERDEEN ABERDEEN REGIONAL ABR 24,452 340 KS TOPEKA FORBES FIELD FOE 24,317 341 TX VICTORIA VICTORIA REGIONAL VCT 24,024 342 MI PELLSTON PELLSTON REGIONAL Al PLN 24,011 343 MN BEMIDJI BEMIDJI-BELTRAMI COU BJI 24,004 ' REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACLS DATABASE PAGE: VP- 9 REPORT VP PRIMARY AIRPORT ENPLAREMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- -------------------- -- ------ ..... ------------ 344 AK CORDOVA MERLE 1: (MUDHOLE) SM OV 23,877 345 IA BURLINGTON BURLINGTON MUNI BRL 23,823 346 NC WINSTON SALEM SMITH REYNOLDS INT 23,379 347 AK FORT YUKON FORT YUKON FYU 23,112 348 WV MORGANTOWN MORGANTOWN MUNI -WALT MGW 23,013 350 MI HANCOCK HOUGHTON COUNTY MEMO CMX 22,864 352 PA LATROBE WESTMORELAND COUNTY LBE 22,168 353 FL_ MARATHON _ _ MARATHON MTN 22,165 355 NY PLATTSBURGH CLINTON CO PLB 21,999 356 MA NEW BEDFORD NEW BEDFORD MUNI EWB 21,544 358 NY NEW YORK EAST 34TH STREET 6N5 20,803 359 KS MANHATTAN MANHATTAN MMI MHK 20,754 360 PA DU BOIS DU BOIS-JEFFERSON CO DUJ 20,606 361 NY POUGHKEEPSIE DUTCHESS COUNTY POU 20,357 362 AK VALDEZ VALDEZ VDZ 20,272 363 OR KLAMATH FALLS KLAMATH FALLS INTERN LMT 19,659 364 MS TUPELO TUPELO MUNICIPAL - C TUP 19,651 365 TX HOUSTON ELLINGTON FIELD EFD 19,505 366 WV CLARKSBUIG BEMEDUN CKB 19,241 367 WA WALLA WALLA WALLA WALLA CITY COU ALW 18,606 368 GA ATHENS ATNENS/BEN EPPS ANN 18,558 369 CA INYOKERN INYOKERN IYK 18,493 370 MC ROCKY MOUNT ROCKY MOUNT -WILSON RWI 18,368 371 WY CODY YELLOWSTONE REGIONAL COD 18,323 373 PR SAN JUAN ISLA GRANDE SIG 18,203 374 AG TAU VILLAGE TAU HI36 17,980 375 AK PETERSBURG PETERSBURG PSG 17,767 376 WY GILLETTE GILLETTE -CAMPBELL CO GCC 17,689 379 MN HIBBING CHISHOLM-HIBBING HIB 17,441 380 AL *TUSCALOOSA TUSCALOOSA MUNI TCL 17,405 381 WE SCOTTSBLUFF WILLIAM B. HEILIG FI BFF 17,196 382 WY SHERIDAN SHERIDAN COUNTY SHR 17,182 383 GA VALDOSTA VALDOSTA REGIONAL VLD 16,950 384 MN BRAINERD BRAINERD-CROW WING C BRD 16,915 385 SD PIERRE PIERRE NNMI PIR 16,638 386 IA MASON CITY MASON CITY MUNI MCW 16,601 388 PR PONCE MERCEDITA PSE 16,193 389 AK METLAKATLA METLAKATLA MTM 15,851 390 OR NORTH BEND NORTH BEND MUNI 0TH 15,699 391 AK HAINES HAINES HNS 15,474 392 AK MANOKOTAK MANOKOTAK 17Z 15,379 393 AZ FORT HUACHUCA/SIERRA LIBBY AAF/SIERRA VIS FHU 15,210 REPORT DATE: October 31, 1991 SOURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP -10 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY ---- ----- --------------- AIRPORT NAME ------------ LOCID ----- ENPLANEMENTS ------------ 394 W LEWISBURG GREENBRIER VALLEY LWB 15,135 395 RI WESTERLY WESTERLY STATE WST 14,939 396 KY OWENSBORO OWENSBORO-DAVIESS CO OWB 14,929 397 WY ROCK SPRINGS ROCK SPRINGS-SWEETWA RKS 14,925 398 AL MUSCLE SHOALS MUSCLE SHOALS REGION MSL 14,923 399 NJ ATLANTIC CITY ATLANTIC CITY MUNI/B MY 14,822 400 CA CHICO CHICO MUNI CIC 14,754 402 IL OUINCY GUINCY MUNI BALDWIN UIN 14,581 403 MS GREENVILLE GREENVILLE MUNI GLH 14,563 404 IL MARION WILLIAMSON COUNTY RE MWA 14,516 405 WE NORTH PLATTE LEE BIRD FIELD LBF 14,496 407 RI BLOCK ISLAND BLOCK ISLAND STATE BID 14,392 408 IN TERRE HAUTE NULMAN REGIONAL HUF 14,007 409 VA STAUNTON/WAYNESB/HAR SHENANDOAH VALLEY RE SHD 13,989 410 PA BRADFORD BRADFORD REGIONAL BFD 13,908 411 NY NEW YORK PORT AUTHORITY -WEST JRA 13,892 412 WY RIVERTON RIVERTON REGIONAL RIW 13,845 413 MI ESCANABA DELTA COUNTY ESC 13,691 414 UT ST GEORGE ST GEORGE MUNI SGU 13,681 415 NY WATERTOWN WATERTOWN INTERNATIO ART 13,556 416 IN KOKOMO KOKOMO MUNI OKK 13,056 417 WA FRIDAY HARBOR FRIDAY HARBOR FHR 13,046 418 W BECKLEY RALEIGH COUNTY MEMOR BKW 12,878 419 AK ST MARYOS ST MARY"S KSM 12,785 420 NE GRAND ISLAND CENTRAL NEBRASKA REG GRI 12,689 421 AK YAKUTAT YAKUTAT YAK 12,586 422 FL VERO BEACH VERO BEACH MUNI VRB 12,333 423 PR ISLA DE CULEBRA CULEBRA CPX 12,272 424 CO TELLURIDE TELLURIDE REGIONAL TEX 12,265 425 NV4�,L.AS VEGAS NORTH LAS VEGAS AIR VGT 12,176 426 AK TOGIAK VILLAGE TOGIAK TOG 12,123 427 CA IMPERIAL IMPERIAL COUNTY IPL 11,929 428 AK ANIAK ANIAK ANI 11,814 430 ID COEUR D ALENE COEUR D ALENE AIR TE COE 11,802 431 MI IRON MOUNTAIN/KINGSF FORD IMT 11,746 432 MS LAUREL/HATTIESBURG PINE BELT REGIONAL PIB 11,357 434 W BLUEFIELD MERCER COUNTY BLF 11,201 438 NJ TRENTON MERCER COUNTY TTN 10,954 439 PA FRANKLIN CHESS-LAMBERTON FKL 10,839 441 AK GUSTAVUS GUSTAVUS GST 10,531 442 CA VISALIA VISALIA MUNI VIS 10,496 ±43 H1 HANA HANA HNM 10,474 REPORT DATE: October 31, 1991 ;OURCE: DOT/TSC CALENDAR 190 ACIS DATABASE PAGE: VP -11 REPORT VP PRIMARY AIRPORT ENPLANEMENT ACTIVITY SUMMARY FOR CY 1990 LISTED BY RANK ORDER, ENPLANEMENTS RANK STATE ASSOCIATED CITY AIRPORT NAME LOCID ENPLANEMENTS ---- -------------------------------- ----- ------------ 444 AK COLD BAY COLD BAY CDB 10,375 445 PR AGUADILLA RAFAEL HERNANDEZ BCN 10,335 447 NY SARANAC LAKE ADIRONDACK SLK 10,220 44S NO CAPE GIRARDEAU CAPE GIRARDEAU MUNI CGI 10,022 .S. TOTAL: 424 PRIMARY AIRPORTS 497,060,196 1► JUL 13 m2 Dear Airport Sponsor/Recipient:i# ,., JUL 15 1992 At the end of each fiscal year, DOT For46 �"b-B Goal Accomplishments," (enclosed) is used s f FAA Airport Improvement Program (AIP) federally assis cts to Disadvantaged Businesses Enterprises (DBE's). This is to -remind you that the report (DOT Form 4630) for fiscal year (FY) 1992 (October 1, 1991 - September 30, 1992) should be submitted to us no later than October 30, 1992. Information requested in Items 7,8,9,10,11,12 and 13 of the DOT Form 4630, should only reflect the federal share of the FAA AIP federally assisted contracts awarded to both the Disadvantaged/Women Business Enterprises (DBE's/WBE's). Also, in items 12 and 13, please list separately the FAA AIP funded contracts that were awarded to WBE's counted in Item 10. Your report should reflect those contracts covered by your DBE Program. All contracts assisted by the FAA under the airport grant program including awards that are based on grants executed in previous years should be included. Contracts associated with land acquisition projects, e.g. real estate appraisals, surveys, etc. should be included. However, do not report contracts that are solely for the purchase of land. Also exclude from the report any funds you receive under an FAA-AIP grant when your employees perform the work under the project or a portion of the project referred to as a "force account." If there was no FAA-AIP funded contracting activity during FY -92, (October 1, 1991 - September 30, 1992) a negative report is required. This letter is also a reminder that, your FY -93 (October 1, 1992 - September 30, 1993) DBE Program Update is due in this office for our review and approval no later than September 1, 1992. If you have any questions, feel free to contact Mr. Murray Gottlieb on (718) 553-1149. Sincerely, Alan H. Sipers;tein Civil Rights Officer Enclosure 1 A ' JUL 131M Dear Airport Sponsor: On April 30, 1992, the U.S. Department of Transportation (DOT) published a final rule in the Federal Register amending 49 CFR Part 23, its disadvantaged business enterprise (DBE) regulation (57 F.R. 18400). The amendment (copy enclosed), which added a new Subpart F, establishes requirements for the participation of DBE firms in airport concessions. The amendment became effective on June 1, 1992. The requirements of Subpart F apply to any sponsor that has received a grant for airport development after January 1988. Following is a summary of several provision of the rule. 1. All airports (covered by Subpart F) must comply �.��_ , the "General Requirements" of Section 23.93, which inolu-dead t he obligation to practice nondiscrimination and to take noes 03ary and reasonable steps to foster DBE participation in airport concessions. 2. All airports must insert certain clauses in concession agreements executed after June 1, the effective date of thetrue. The clauses are set forth in Section 23.93(a) (3). 3. All airports are prohibited from entering into long- term, exclusive concession agreements with either DBE or-non4i4 firms, unless approval is given by our office. Theretors, ift the event that you wish to enter into such an agreement, pledge refer to the procedures in Section 23.107. 4. Nonprimary airports (commercial service airports that are not primary airport, general aviation (GA), or rollover airports) are not required to develop a written DBE c6noe'siiton plan but must take appropriate outreach steps to enoourage available DBE firms to participate as concessionaires whenever there is a concession opportunity. (Section 23.93 (e)) 5. In accordance with Section are no longer required to establish If you currently are operating under will terminate at the conclusion applies. 23.111, nonprimary airports or submit DBE leasing goals. an approved leasing goe.r.<it of the period to whic#r 1t IF The amendment to Part 23 (Subpart F) did not affect the requirement to submit overall goals for FAA -Assisted Contracting, specified in Subpart D. Please submit your Disadvantaged Business Enterprise (DBE) Program Update goal, together with an appropriate methodology in accordance with previous instructions. If we can be of further assistance, please feel free to contact Mr. Murray Gottlieb on (718) 553-1149. Sincerely, Alan H. Sipe "tein Civil Rights Officer Enclosure REPORT OF -DBE GOAL k6COMPLISHMENTS (Instractions) DOT Form 4630 must be submitted annually by each sponsor having an approved DBE program. The form should be'subnitted to the FAA Regional Civil Rights Staff with the updated DBE goal information. The form should reflect contract awards that were made during the period covered-by_tbe-sponsor's previously approved overall DBE goal. For some sponsors, this period nay be the Federal fiscal year, while for others, a different 12 -month period. Sponsors of more than one airport should submit a separate repgrt.,fo;r each obligated locate -n. Use this form to report -all FA.A-assisted contract ava�rds covered,by the DBE program, including professional 'and" consultant services, construction, supplies, and vehicles and equipment. DO NOT REPORT:'�(1) FAA -assisted -contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIM; (3) AIP grant funds used for "force account" or for other noncontractual work. While land purchases are not reported, all Qther contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. Name of Airport. 3. Name and telephone number of person who prepared report. 4. The beginning and ending dates of the goal period for which the report is submitted. S. The sponsor's approved overall DBE goal. for the period indicated in item, 4. 6. The AIP project number(s) for the prime and subcontracts reported in item 7 and item 9. 7.•The total number and dollar value of,all prime contracts awarded during the goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's. 9. The total number and dollar value of subcontracts awarded to DBE's by non -DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in. 10(b)'by'the dollar value in 7(b) to obtain the actual DBE percentage participation for the,goal period.., 12. This is a breakout of.the priwie-and subcontracts reported in item 10 by type of work performed by the DBE's. .Indicate number and dollar value of awards -to• women -owned firms under 'category designated `Women." Indicate number and value of awards to all DBE firms, -including women -owned, under category designated "Total DBE." If the contract Involves'nore than one type of work, report only the predominant type based on cost:,, 13. -This is a breakout of 'the prime 'and subcontract awards to M's.reported in Item 10 by the disadvantaged group of the firms" owners.- The category "Other Disadvantaged" refers to DBE's owned and operated by individuals xho'have been determined by the sponsor on a case-by-case basis tO be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in 49 CFR 23.62, as amended on October 21, 1987 and May,23,.1988.-. In the case of split ownership by,two'or'nore'disadvaniaged Individuals" the DBE participation should be reported forthe group which. owns'the' largest share. If the ownership is equal, the DBS participation should _be' reported _for the 'group which is listed first on the form. REPORT OF DBE GOAL .ACCOMPLISi1MUTS 1. Name of Sponsor 2. flame of Airport 3. flame of Preparer _ Telephone No. 4. Coal Period: From, To 5. Approved Overall DBE Goal 6. AIP Project Wo.(s) (a) Number (b) $Value 7. Total Prise Contracts Awarded to all Contractors .................. 8. Total Prime Contracts Awarded to DBE's ........................... 9. Total Subcontracts Awarded to DBE's by non -DBE Prize Contractors.._ 10. Total Prime and Subcontracts Awarded to DBE's (sun of Items 8. and 9.) ..........:............... 11. if(b) Divided by 7(b) a Actual DBE Participation 12. DBE Prise and Subcontract Awards by Type of Work: !lumber $ value Women Total DBE Women. Total DBE (a) Professional/Consultant Services ..... (1) Engineering ...................... (Z) Architectural .................... (3) Consultants ...................... r (4) Testing .......................... r (5) Other ............................. (b) Construction ......................... (1) Grading/Drainage 0.. ... _ (T) Paving ........................... (3) Structures/Buildings ............. '(4) Landscaping ...................... (5) Electrical ....................... _ (6) Trucking ......................... (7) Painting'- (8) ainting:(8) Fencing .......................... (9) Other :........................... _ -- (c) Supplies ............................. _ (1) Electrical ....................... _ (Z) Other ............................ _ (d) Equipment ..:.............:........... _ (1) Leasing .......................... _ (Z) Purchasing ....................... _ Total .................................... -- - 13. DBE Prime and SubcoatraLct Awards by D Ps advant aged 'Group: !lumber ;S value Hispanic Americani ,................ti-�;....:...; Native Americans ......................... r_______: Asian -Indian Americans .................... Asian -Pacific `Americans ........ Women (that` are :nolt:.included Other Disadvantages ........::....... ......... Total DBE : .:.......:......................... _ The Public reporting burden fol this 'collection of 'informaffon is estimated to average one hour per response. it you wish to comment on the accuracy of the estimate or make suggestions -for reducing this burden, please direct your comments to OMB and the DOT at the following addresses: - Office of Management and Budget U.S. DOT/OST/OSDW, S�42 Paperwork Reduction Project (2105.0510 , .400 Seventh Street. S.W, -� Washington, DC 20503 Washington, DC 20590 L,.,, r %9—k—ow) r+s mminen Mr ease oI use by rAA Kecipiesits. Q7$ Approval !b. 2105-0510 Mpires 5-34 91) 4-30-92 Vol. 57 No. 84 United States Government Printing Office SUPERINTENDENT OF DOCUMENTS WaWwVlon, DC 2M02 Thursday April 30, 1992 IBM Federal Register / Vol. 57. No. 84 / Thursday. April 30, 1892 / Rules and Regulations Dated: April 27,1992. M.F. PettingM Commander. U.S. Coast Guard. Alternate Captain of the Port Hampton Roods. (FR Doo -10098 Filed 4-W-92.8:45 aml 011.1.00 CODE 4010-t4-9 Offloe of the Secretary 49 CFR Part 23 RIN 2105-AB0 [Docket No. 644 AM& t1 Participation by Disadvantaged Business Enterprises In Airport Concessions AGENCY: Office of the Secretary (OST), DOT. ACTtoN: Final rule. st1tr11c m , The Department of Transportation (DOT) is issuing a final .rule to implement a provision in the Airport and Airway Improvement Act of 1982 as amended in 1987 (AAIA). The final rule establishes requirements for the participation of disadvantaged business enterprises (DBE) in airport concessions. It also amends the existing DOT DBE regulation. EFFECTIVE DATE: This rule is effective June 1. 1992 FOR FURTHER INFORMATION CONTACT: Ms. Irene H. Melds. General Legal Services Division (AGC -100). Office of the Chief Counsel. Federal Aviation Administration, 800 Independence Avenue, SW, Washington, DC 20591. Telephone: (202) 287-3473. SUPPLEMENTARY RIFORMATKft Availability of Hull Rule Any person may obtain a copy of this final rule by submitting a request to the Federal Aviation Administration, Office of Public Affairs, Attention: Public Inquiry Center. APA -430, BW Independence Avenue, SW. Washington, DC 20591. or by calling (202) 267-3464. Requests must identify the docket number of this final rule. Persons interested'in being placed on the mailing list for future notices of proposed rulemaking (NPRM's) should request from the above office a copy of Advisory Circular No. it-ZA. Notice of Proposed Rulemaking Distributing System, which describes the application procedure. Background Information Section 109, "Project Sponsorship," of -the Airport and Airway Safety and Capacity Expansion Act of 1987 (AASCEA) amended section 511(a) of the AAIA to require recipients of Federal assistance under the AAIA (sponsors) to provide an assurance relating to DBE's. Section 109 states: (h) ASSURANCE RELATING TO DISADVANTAGED BUSINESS ENTERPRISES --Section 511(x) is further amended by adding at the end thereof the following new paragraph: (17) the airport owner or operator will take such action as may be necessary to ensure that, to the maximum extent practicable. at least 10 percent of ail businesses at the airport which sell food beverages. printed materials. or other consumer products to the public are small business concerns (as defined by the Secretary by regulation) owned and controlled by socially and economically disadvantaged individuals (as defined under section 506(d)(2)(B) (of the AAIA. as amended)). Section 505(d)(2)(B) defines socially and economically disadvantaged individuals as follows: (B) SOCIALLY AND ECONOMICALLY DISADVANTAGED INDIVIDUALS—The term 'socially and economically disadvantaged individuals' has the meaning such term has under section e(d) (of the Small Business Act (15 U.S.C. Section 637(d)) and relevant subcontracting regulations promulgated pursuant thereto; except that women shall be presumed to be socially and economically disadvantaged for purposes of this subsection. In amending the AAIA. Congress also established a DBE program for Federally -assisted contracting on airports. See section 105(f) of the AASCEA, amending section 505 of the AAIA. This requirement, as set forth in section 505, was implemented by amending subpart D of the Department of Transportation's regulations, 49 CFR part 23, to add the Federal Aviation Administration (FAA). See 53 FR 18285, May 23, 1988. Previously, subpart D applied only to the Urban Mass Transportation (UMTA) and Federal Highway (FHWA) Administrations, implementing section 106(c) of the Surface Transportation and Uniform Relocation Assistance Act of 1987 (STURAA) (Pub. L. 100-17). See 52 FR 39225, Oct. 21.1987. It was not possible to implement section 109, the DBE concession amendment, in the same manner, since 49 CFR part 23 contains no DBE concession requirements. (Only the Federal Aviation Administration (FAA) has extensive concession activity, so the legislation applicable to UMTA and FHWA, which resulted in subpart D. addressed only Federally -assisted contracting.) Part 23 does set requirements for Minority Business Enterprise (MBE) and Women's Business Enterprise (WBE) programs, but these were established under other legislation. The MBE/WBE program has been superseded. in the case of the FAA, by the DHE program now being established under section 109. Therefore. the Department has amended part 23 to implement section 109 by adding a new subpart F to establish requirements for a DBE concession program on airports. In issuing this final rule, the Department has taken into account questions and issues raised about concession participation since 1980. when the MBE/WBE concession program was established through issuance of part 23, as well as numerous comments from airport sponsors that are recipients of DOT financial assistance; DBE and non -DBE entities: industry associations and representatives; and members of the United States Congress. Summary of Contents of Final Rule For the convenience of readers, the following is a short summary of the highlights of this final rule: • The rule applies to any sponsor that has received a grant for airport development authorized by the AAIA. as amended by the AASCEA. • Concession plans must be prepared and implemented by all primary airports (commercial service airports which have been determined by the Secretary to have more than 10,000 passengers enplaned annually). In addition, primary airports are subject to 3 general requirements set forth in 123.93(a). • Nonprimary airports (commercial service airports that are not primary airports, general aviation (GA). or reliever airports) are not required to prepare concession plans but shat) take appropriate outreach steps to encourage available DBE's to participate as concessionaires whenever there is a concession opportunity. In addition, these airports are subject to the 3 general requirements set forth in 4 23.93(a). • A nondiscrimination statement shall be included by the sponsor in all concession agreements, and concessionaires must agree that a nondiscrimination statement will be included in any subsequent agreements, such as subleases, into which the concessionaire enters relative to its business on the airport. • Concession means a for-profit enterprise, located on an airport subject to this subpart, that is engaged in the sale of consumer goods or services to the public under an agreement with the sponsor, another concessionaire, or the owner of a terminal, if other than the sponsor. Appendix A contains a listing of the types of businesses that frequently are operated as concessions. V Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18401 The term' concession" does not include aeronautical activities such as scheduled and non-scheduled air carriers, air taxis, air charters, and air couriers, in their normal passenger or freight carrying capacities; fixed base operators (FBO); flight schools; and sky- diving, parachute -jumping, flying guide services, and helicopter or other air tours. Examples of other entities that do not meet the definition of a concession include suppliers, flight kitchens and in- flight caterers servicing air carriers; other businesses servicing airlines through the provision of fuel, skycap services, baggage handling, etc.; government agencies; industrial plants; farm leases; individuals leasing hangar space; custodial and security contracts; Individual taxis with permits; telephone, electricity, gas, and other utilities; and management contracts. Concessions may be operated under leases, licenses, subleases, permits, contracts, and other instruments or arrangements. It is the nature of the operation, rather than the legal document, which determines the status of the enterprise. • Except in the case of car rental agencies, pay telephone concessions, and banks, the standard for a "Small business concern" shall be the average of the preceding 3 years' annual gross receipts, not to exceed $30,000,000 (adjusted periodically for inflation). The standard for pay telephone concessions shall be the employment of not more than 1,500 employees; and the standard for car rental agencies shall be the average of the preceding 3 years' annual gross receipts, not to exceed $40,000,000 (adjusted periodically for inflation). The standard for banks shall be total assets of not more than $100,000,000. • Firms certified as MBE's/WBE's/or DBE's prior to the effective date of this subpart, pursuant to A requirement in J 23A3(d) or pursuant to DOT/FAA guidance, that have exceeded the size standard may be counted as DBE participation until the current agreement, including the exercise of options, expires, provided the firm remains otherwise eligible. • Goals shall be based on gross receipts, except in those instances where the sponsor provides an acceptable rationale for calculating the goals as a percentage of the total number of concession agreements operating at the airport during the goal period. ' • For purposes of calculating the goal as a percentage of the gross receipts, sponsors shall exclude from the calculation any portion of a firm's estimated gross receipts that will not be generated from a concession activity. • The certification procedures set forth in ¢ 23.51 of this part 23 are applicable to this subpart. • On-site visits for certification purposes are not mandatory but may be performed to validate the certification information obtained from a DBE firm. • Businesses operating as limited partnerships, in which a non -DBE is the general partner, and other arrangements that do not provide for ownership and control of a specified part of the business or a particul4r activity by the socially and economically disadvantaged owners are not eligible for certification as DBE's under this subpart. • Sponsors may impose requirements on competitors for concession agreements as a means of achieving DBE goals. • Awards of concession agreements that are made by private owners of terminal buildings are covered by this subpart. Airport sponsors subject to this subpart shall levy the applicable requirements on the terminal owner through the agreement or by other means, except that certifications shall be performed by the airport sponsor. • A long-term, exclusive concession agreement is permitted under this subpart, provided that the FAA approves a plan for ensuring adequate DBE participation throughout the term of the agreement. The required elements of the plan are set forth in 123.108 of this subpart and a plan must be submitted whether a DBE or a non -DBE enterprise is the prime concessionaire being considered for award of an exclusive, long-term lease. It no longer is necessary to apply to the Secretary of Transportation for an exemption from the prohibition against exclusive, long- term leases. • Compliance with the requirements in this subpart is enforced through section 519 of the AAIA of1982, as amended and any regulations issued pursuant thereto, and not through subparts D and E of this part. Comments on Legal and Other Issues The FAA received comments on the DBE concession NPRM from 163 persons and organizations. Commenters include 34 airport operators/owners; 92 fixed base operators (FBO's) and their representatives, including the National Air Transportation Association (NATA); 4 members of Congress; 2 airport industry associations—the Airport Operators Council, International (AOCI) and the American Association of Airport Executives (AAAE); 5 car rental agencies and their representatives, including the American Car Rental Association (ACRA); 4 other non -DBE concessionaires; 3 DBE associations and consultants, including the Airport Minority Advisory Council (AMAC); and 8 DBE's. The FAA also received comments from 15 architectural and engineering firms. These firms do not function as concessionaires, but as Federally - assisted contractors when hired by a recipient to perform on Federally - assisted projects. All of their comments concern the issue of the size limitations on DBE's. The concessionaires that commented included the 92 FBO's; i baggage and cart service; I book seller, 5 car rental companies; l duty free establishment; 4 food services; l news and gift vendor, and 2 who did not identify their businesses. Some commenters address single issues; others comment on a variety of issues. For ease of reference, comments are discussed in the order of the issues as they appeared in the NPRM, and related section numbers in the final rule are provided. 1. Is the Proposed Rule Constitutional? Comments Various commentors raise the issue of whether the proposed rule is constitutionally infirm because the statute itself is unconstitutional under the Fifth and Fourteenth Amendments of the United States Constitution. DOT/FAA Response—It is the view of the Department that in enacting section 511(a)(17) to establish the DBE concession program on airports that are subject to the AAIA. Congress appropriately exercised its unique remedial powers. Congress' findings, establish a sufficiently "'strong basis in evidence for its conclusion that remedial action was necessary,' Wygant (v. Jackson Bd. of Educ.), 478 U.S., at 277 (1986) (plurality opinion)." Richmond v. J.A. Croson Co., 488 U.S. 489, 500 (1989). Moreover, the framework is "narrowly tailored to remedy prior discrimination." Id. at 507. Therefore, the statute and regulation are constitutional. 2 Should the Definition of "Concession " include Services os Well as Products? (Section 23.89) Comments The FAA received 163 comments on the definition of "concession." Sixteen commenters find the proposed definition acceptable. Of these, 10 specifically support the inclusion of concessions that sell services as well as those that sell consumer goods. This group includes AMAC, an organization representing DBE's; major non -minority concessionaires such as DFS; and both 18402 Federal Register / Vol. 57. No. 84 / Thursday. April 30. 1992 / Rules and Regulations large and small DBE's. Commenters against the Inclusion of service businesses include AOCI, AAAE, and two individual airports. One commenter supports the inclusion of FBO's in the service concessions. Four are adverse to the inclusion of any service concessions, with 91 specifically opposing the inclusion of FBO's, and 5 opposing the inclusion of car rental companies. One of the 5 opponents to the inclusion of car rental companies is ACRA, which represents most of the nation's car rental companies, including Avis. Inc., National Car Rental System. Inc, Budget Rent-A-Car Corporation, Alamo Rent -.A - Car, Thrifty Rent-A-Car System, Inc., and Enterprise Rent-A-Car, their licensees and franchisees, as well as smaller independent companies. Many of their members operate airport concessions. ACRA, in behalf of its members. objects to inclusion of car rental companies on the following bases: a. Inclusion of car rental companies is impracticable, since they derive 90 percent or more of their rentals through prior off -airport reservations; they do not lend themselves to leasing subdivisions: joint ventures raise difficult legal questions regarding who owns, maintains, insures, and defends and prosecutes lawsuits involving the fleet of vehicles; and gross receipts are difficult to forecast in view of the competition between car rental companies. b. Inclusion of car rental companies will dilute corporate control and identity of the firms, since the regulation could force them into arrangements with licensees or franchisees that would be less suitable than company-owned operations. c. The -statute does not authorize DOT to include car rental companies within the scope of the rule. (The AOCI and the AAAE, all of the FBO's. and two airports join ACRA in criticizing the inclusion of service concessions on this basis.) Alamo Rent-A-Car supplemented ACRA's comments, as follows: a. Expansion to include DBE ownership could result in its loss of Chapter "S" corporate status and exposure to substantially higher tar: liability. b. The DEE rule may be in conflict with state laws which prohibit requirements that would preclude a business from submitting bids or _ entering into contracts for rental concessions. NATA and 91 FBO's also oppose inclusion of fixed based operators within the concession definition. In addition to concurring with the car rental agencies generally, regarding coverage of the rule, this group favors exclusion for the following reasons: a. The FBO's constitute the only aeronautical activity singled out for inclusion in the definition of concessions. b. The sponsor assurances already ensure that there will be no discrimination in the provision of aeronautical services on airports. c. The requirement to consider opportunities for DBE's whenever a lease is amended for any purpose will impede the development of FBO facilities, prevent changes in lease rates, and delay compliance with environmental regulations. DOT/FAA Response—In regard to including service concessions in the coverage of the regulation, the language of section 511(a)(17) speaks in terms of businesses that sell "food, beverages, printed materials, and other consumer products," and the term "consumer products" is not defined in the statute. While several commenters provided dictionary and other definitions which describe "products" solely in terms of "goods," rather than services, the Department is not convinced that Congress defined "products" narrowly, given the legislative history of this section and the history of its forerunner, the MBE/WBE program. The sponsor of this provision specifically state that section 109 was added to cover businesses at airports that provide consumer goods and services: Mr. Chairman, as reported by the Public Works and Transportation Committee, H.R. 2310 (which was enacted as the Airport and Airway Safety Capacity and Expansion Act of 1987, amending the Airport and Airway Improvement Act of 1082) provides for minority and female participation in airport improvement and development projects. However, it does not -address the issue of minority and female participation in airport concessions and services. As airports continue to expand and grow across this country, more and more opportunities are becoming available for businesses which provide consumer goods and services. This represents a significant potential for the creation of jobs and additional revenues for small firms. I believe that there should be at least a minimum level of commitment to these small minority and women -owned firms. To date, this commitment simply has not been made in view of increased business opportunities at airports. Airports sometimes give a long-term lease to a single business concern to conduct all food service or ground transportation activity. The exclusive nature of these contracts prohibits any other business including, by definition, any minority or women -owned businesses, from participating in that activity in any way. Similarly. rental car companies, which are tenants at virtually every airport, generate significant revenues but seldom have minority or female participation. My amendment would open up the business opportunities to minorities and females and encourage the larger airport tenants, such as rental car companies, to subcontract or establish partnerships with female and minority firms. 133 CONG. REC. HM14 (October 1, 1987) (extended remarks of Rep. Collins). Rep. Norman Mineta also addressed this point, as follows: Mr. Chairman, I rise in support of the (Rep. Collins'] amendment • ` •. The provision of food and retail services to airline passengers in terminals is an area where opportunities for DBE's should be encouraged. 133 CONG. REC. Htlb14 (October 1. 1987) (statement of Rep. Minta). The history of the program also militates against exclusion of the service concessions. Since its inception in 1980, the forerunner fuBE/WBE program included the following service concessions: Car rental agencies, FBO's, telephone services, secretarial services, advertising, lockers, televisions, baggage carts, ground transportation, flight schools, insurance, and hotels and motels. Coverage of these concessions, and, in fact, all concessions by the FAA, was based on section 30 of the Airport and Airway Development Act of 1970, as amended (48 U.S.C. 1730), which stated: The Secretary shall take affirmative action to assure that no person shall. on the grounds of race, creed, color, national origin, or sex. be excluded from participating in any activity conducted with funds received from any grant made under this title. The Secretary shall promulgate such rules as he deems necessary to carry out the purposes of this section and may enforce this section, and any rules promulgated under this section. through agency and department provisions and rules which shall be similar to those established and in effect under title VI of the Civil Rights Act of 1984. The provisions of this section shall be considered to be in addition to ind not in lieu of the provisions of title V1 of the Civil Rights Act of 1984. Section 30 now appears as section 520 in the ARIA, as amended, but no longer serves as a basis for the concession program, due to the enactment of section 511(x)(17). Instead, section 30 serves to ensure nondiscrimination in employment and in the provision of services and benefits on airports receiving FAA financial assistance. In so doing, section 30 functions as an addition to title VI of the Civil Rights Act by prohibiting such discrimination on the bases of sex and creed, as well as Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18403 on the bases of race, color, and national origin Title VI prohibits discrimination only on the 3 latter bases. Service concessions mentioned above offer opportunities for DBE's, and elimination of these opportunities effectively would halve the program. The Department considers it significant that section 511(a)(17) does not explicitly eliminate coverage of service concessions. This fact, combined with the legislative and implementation history, leads the Department to believe that coverage of service concessions is warranted. The Department agrees, however, that FBO's should be excluded from coverage of this final rule. As commenters pointed out. other aeronautical activities are not covered by this final rule and were not covered by the forerunner MBE/WBE rule, even though FBO's were. The Department concurs with FBO commenters that the sponsor assurances in the grant agreements already ensure that there will be no economic discrimination in the provision of aeronautical services on airports. While DBE interest in FBO's has proved minimal during the decade of experience with the MBE/WBE/DBE programs. these assurances protect DBE's that do wish to enter the field. just as they protect DBEs wishing to enter other aeronautical enterprises. FBO commenters made a number of points which are applicable to concessions generally and have been accepted by the Department. The definition of "material amendment" in $ 23.69 of this final rule responds to a comment that the need to consider DBE participation when a lease is amended for any purpose, as required by § 23.103(b) of this final rule, will cause significant disruption in the businesses of prime concessionaires. The new definition clarifies that the need to consider DBE participation will arise only when an amendment changes the basic rights or obligations of the parties to a concession agreement. Routine changes such as changes in name. rates. decor, and signage will not give rise to the need to consider DBE participation. Usually, a "material amendment" will concern a term outside the original scope of the agreement. In response to the concern of the car rental agencies that the rule requires reorganization of their business structures. it also is not the intent of the Department to force businesses into new structures. The need to change the structure will arise, ordinarily, only when an enterprise seeks an exclusive, long-term lease. In those instances, a business may find It necessary to sublease or to form a joint venture in order to provide for DBE participation. I is standard for a number of car rental agencies to operate at each airport. The exclusivity issue, therefore, should not arise for car rental agencies. It is conceivable that an airport sponsor may require new bidders to include provisions for the participation of DBE's. Organizing accordingly, in order to obtain a concession award, would not be as onerous as reorganizing during an ongoing lease term. The same possibility exists for businesses that sell goods instead of services, and the FAA believes that the impact upon the latter should be no greater than upon the former. Further, the airport sponsor has the option of using a set-aside process, where not prohibited by State or local law. Instead of requiring DBE participation within a non -minority or car rental agency, the airport sponsor can select the set-aside mechanism to achieve DBE participation. There also arises the question of fundamental fairness. While this cannot be the determining factor, of course, in deciding whether to include service concessions in the coverage of the rule. this point was raised by concessionaires such as DFS. Ibis duty-free concessionaire and other large and small product concessionaires indicate that they believe themselves to be carrying the major responsibility for implementation of the DBE program. They urge airport sponsors to focus on opportunities for DBE service concessions, as well as on those for the sellers of goods. Other commenters urge expansion of the rule's coverage even beyond product and service concessions. Miami International Airport. for example, strongly recommends inclusion of management contracts. Miami also recommends that credit be given for DBE participation in all aeronautical services and custodial agreements. whether the services are provided to the public. the airlines, the concessionaires. or the airport itself As previously stated, the Department believes that - aeronautical activities do not warrant coverage. Additional forms of agreements require further study and. possibly, legislative action before coverage can be undertaken. General Mitchell International Airport. Milwaukee. Wisconsin, advocates the inclusion of off -airport suppliers and providers of services to concessions. This airport maintains that there is little difference between such suppliers and many of the businesses now deemed concessions, such as the self-service insurance counters, coin- operated TV'& game rooms, coin- operated lockers, vending machines, and pay telephones. Expansion of the rule to cover off -airport services would go beyond the scope of the NPRM. Further, the Department believes that further study is needed prior to proposing inclusion of suppliers in the DBE program and that it may not be possible to accomplish this without legislative action. In general. the Department wishes to emphasize that nothing in the rule will require car rental agencies or any other enterprises to change their forms of business (except in the case of exclusive, long-term leases, perhaps). The DBE program is intended to be a flexible, not rigid, one that will result in opportunities for DBE's without undue impact upon non -DBE's. For example, the rule requires an overall goal, not specific contract goals. Thus, there is no requirement for the sponsor to set goals for each car rental business. Moreover, sponsors may elect to seek prime DBE's, rather than to meet goals through subleasing. Finally, the rule provides for a "good faith efforts" waiver, as set forth in J 23.101. In addition to requesting clarification on the status of aeronautical services and management contracts (provided above). the State of Alaska Department of Transportation and Public Facilities requests clarification regarding the status of the following: 1. In -terminal, non-exclusive, non -bid leases for meet and greet tour group operators: 2. Telephone utilities (not pay telephone concessions) and electrical utility companies: and 3. Non-exclusive permits for cab drivers and tour bus companies. Section 23.89 of this final rule responds in large measure to Alaska's request for clarification. It is the activity and location of the business that governs. not the nature of the revenue producing agreement with the sponsor. Since businesses operating telephone and electrical utilities and meet and greet tour companies have no permanent office or place of operation on the airport. these are not covered. The coverage of taxi and tour bus operations depends on this same factor. If the firm has a permanent office or place of operation on the airport, it is covered. If the license simply permits pickup and discharge, without an office or place of operation on the airport. then the licensee would not be considered a concessionaire. 18404 Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 3. Now should o ' Smoll and Disodvontoged Business Enterprise"Be Defined? (Section 23.89) Comments—The Department provided 3 alternatives for comment in the NPRM, for defining a "small" disadvantaged business enterprise. Briefly stated, the alternatives are: a. Retain the current size standards, adjusted periodically for inflation, but require DBE's who have exceeded the size standards and who currently have leases to act as "mentors" to smaller DBE's when their leases are renewed or extended; b. Adopt new size standards, periodically adjusted for inflation, as shown in appendix B to the NPRM; c. Retain the present system, using the size standards listed in what should have been designated appendix C to the NPRM (erroneously designated appendix A in the second column on page 11973 of the NPRM), adjusted periodically for inflation. Thirty commenters, including the AOCI and the ARAE, select Alternative No. i, the mentor approach, while 2 specifically oppose it. Five favor Alternative No. 2, and 3 oppose it. Only 2 choose Alternative No. 3, with 4, specifically opposing it. Opponents of the mentor approach raise 3 objections: (1) The mentor approach would place DBE's in the position of having to negotiate with their minority and female competitors for participation opportunities; (2) The graduated DBE would be in a controlling position. with respect to the joint venture, partnership, etc.; and (3) The approach would severely limit the number of new firms that could participate in the program, since there is no time limit after which the graduated DBE would be required to depart. The Department of Aviation of the City of Chicago favors Alternative No. 2 because it would increase the size standard (Chicago considers the present standards too restrictiver it would be relatively easy to administer, and it has the advantage of familiarity, mirroring as it does the standards for Federally - assisted contracting under section WS(d)(2)(A) of the AAIA, as amended. Chicago comments that the mentor approach would require burdensome monitoring and additional personnel. Some commenters found none of the alternatives satisfactory. The representative for DFS comments that none of the alternatives appear designed to allow the DBE concessionaire to grow and prosper. This commenter felt that the 3 alternatives were useful only for initial determinations regarding the DBE status of a firm and recommends a fourth alternative. Where a recipient cannot locate DBE firms that are both qualified and within the size standards, it should be allowed to make a finding that it (a) cannot meet the goal as a . result of this problem, or (b) that it should be allowed to select a DBE that is above the usual size standard. This commentor's rationale is as follows: For example. suppose that concession operations at Airport X may generate a total of $500 million in annual gross receipts, $100 million of which are attributable to a large retail goods concession. If one DBE participates as a joint venture partner in that one concession at the twenty percent level. the DBE ordinarily would lose its eligibility in 3 years, but would have neither sufficient experience nor sufficient capital reserves to survive independently. • • • Such a result is fundamentally at odds with the objective of the DBE program. In the hypothetical example above, it might appear that the non -DHE joint venturer or the prime concessionaire could divide the twenty percent participation among several DBE joint venture partners or sublessees in order to overcome the size limitation. In our view, however. that stratagem creates additional and serious difficulties. • • • If adopted the suggested subdivision might well lead to multiple DBE partners with limited or no active involvement simply because one cannot manage a business with so many 'chiefs.' In addition. sponsors are under some pressure to establish substantial DBE goals but do not always receive a sufficient number of bids from qualified DBE's or DBE joint ventures to meet those goals. Those same sponsors certify the eligibility of prospective DBE's, and they have a great deal of discretion in reviewing competency. capitalization, and other qualifications. The tension between the goal setting and certification processes creates an incentive for sponsors to take an uncritical view toward competency requirements for DBE's. • • Moreover, the pressure to relax competency requirements could create situations in which less scrupulous concession operators might be tempted to install wholly unqualified'fronts' as'DBE' partners, which is antithetical to the statutory purpose of the DBE program. One DBE. Benjamin Books, provides comments similar to those of the.DFS representative. The president of that company states: My personal experience and the experience of other DBE firms of my size or larger indicate that $14 million is not a realistic size standard if the goal is to allow companies to grow to a competitive size in the airport concession industry. Based on my continuing efforts to compete, l feel that a minimum sales volume level of $50 million is necessary considering that revenues of four of the five major companies who dominate this industry are more than 20 times this number. The president of this DBE firm recommends that the Secretary conduct a study to determine what it takes to compete for airport concession contracts, including: 1. A review of the qualifications in terms of size and experience required by most airport authorities before a company is even allowed to compete for prime concession contracts. 2. A review of the capital requirements for the development of concession space. 3. A review of required bonds. 4. An analysis of the costs to develop a competitive proposal. 5. An overall analysis of market penetration by current DBE firms. Mack and Bernstein. Attorneys at Law, as the representative of various small food industry companies, including franchisees, which operate businesses at airports around the country, also disapproves of the graduation approach. This commenter states that in addition to the impact upon the DBE (inability to compete with the very large non -DBE's). the graduation principle also is detrimental to airport efforts at raising revenue. This commenter feels that the artificial monetary ceiling discourages DBE's from sales building. thus depriving airports of substantial revenue. Mack and Bernstein suggests that if the graduation principle does remain in the final rule, the $14,000,000 should be adjusted upward to $30.000,000 over the preceding three fiscal years; gross receipts should be counted only at each airport and not in the DBE's entire business operation; and even if graduated the DBE should maintain its status for the remainder of the lease and any option to renew. MACL a DBE transportation consultant, also recommends an adjustment to $30.000.000. stating that the American Management Association defines a ..small' business as "one with an annual income of $30 million or less and/or 300 employees." This commenter finds the mentor approach most satisfactory, but believes that the mentor should retain its DBE status as long as it maintains or obtains DBE participation. Cantu Services, Inc., a DBE full- service food company, also selects the mentor approach and comments in detail on the size limitations. Cantu believes the size limit should be raised to 4 or 5 times the $14,000.000 proposed. since earnings of that size are necessary to compete with the mega -corporations that now dominate the concession field. Airport Concession Consultants recommends a size limit of $50 to $75 million. Cantu suggests that if the 514,000,000 is retained, the earnings of off -airport Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18405 activities of the concessionaire should not be included. Cantu also states that in the food industry, the gross receipts are misleading, stating that it is a labor- intensive industry, and the profit margin is low. Finally, Cantu alleges that many airports give local preference when dealing with small firms, although this seldom is acknowledged. That is not the case with large firms. According to Cantu, the result is that growing DBE firms no longer benefit from local preference, but cannot continue growing to compete on a national scale. AMAC, the organization representing DBE's, funds Alternative Nay.1 most acceptable (mentor approach), but comments that all three alternatives consider a size standard (gross receipts) which is unrealistic in the airport environment. AMAC provided the results of a study that calls for a further study to determine the economically appropriate benchmark size standards for airport concessions. The Metropolitan Airports Commission of Minneapoli&-SL Paul favors combating Alternatives No. i and No. Z providing for the mentor approach and generally increasing the size limit It also suggests that new DBE's, who are above the size limit but who agree to become mentors, should be allowed in the program. DOT/FAA Response—Because the issue of a size standard for "small and disadvantaged" businesses was one that drew extensive comment, with a wide range of opinion, the Department has reproduced the different viewpoints in detail herein. On the basis of 'Votes," it is clear that the mentor approach is viewed most favorably, and the Department's initial reaction was to select this option Mentoring, however, would involve joint venturing to a high degree. While. joint ventures are appropriate in some circumstances, in others they lead to problems. The ownership and control of the parties may become difficult to distinguish. Even with the best . intentions, the larger contributor to the venture may "swallow" the lesser contributor. In some enterprises, the role of the lesser contributor may deteriorate to that of a limited partner. Oversight also is difficult In analyzing the comments, the Department concluded that one of the chief appeals of the mentor approach was the stability it offered. Prime concessionaires would have an opportunity to grow, airport sponsors would be faced less often with the need to search for new DBE's to replace those graduating, and small DBE's still would be offered opportunities within -the enterprise of the prime concessionaire. The Department has concluded that stability of these terms does not outweigh the problems. In addition to the problems already stated, the mentor approach could result in the permanent presence of a small number of large DBE's and Iimited opportunity for the developing DBE's to grow and compete for prime concession contracts. The Department believes that stability can be achieved. instead. by raising the limitation on gross receipts, thereby giving DBE's an opportunity to establish themselves. Accordingly, the Department has reset the limitation to a $30,000.000 average for the 3 preceding years for all businesses except car rental agencies, pay telephones, and banks. In the case of car rental agencies, the limitation is a $40,000,000 average for the 3 preceding years, while the limitation for pay telephones is based -on the number of employees (1.500). The standard for banks is total assets of not more than $100,000.000. in determining the gross receipts, those of all affiliates, whether non-profit or for-profit and whether located on the airport or off. are included. While.these limitations are high enough to enable an enterprise to expand to several airports, they are sufficiently low to require graduation after a reasonable time and to prevent total absorption of the market by any one firm. 4. What Should Be the Basis for Setting the DBE Concession Coals?(Section 23-95) 'Comments --Commenters are divided fairly evenly on the question of how . DBE goals should be set in the concession program. Twelve recommend setting goals on the basis of the total gross receipts earned by the concessions on the airport Two specifically oppose this method. Eleven would like to see goals set on the basis of the number of concessions on the airport, with one specifically opposing this approach. For convenience, these methods will be referred to as "gross receipts" and "numbers" in the discussion that follow& Proponents of each method included airports and DBE concessionaires. MWAA, for example, strongly supports using numbers, due to its car rental, parking, and certain other high revenue concessions essential -to the airport and the untenable result of having to award all other concession contracts to DBE's in order to achieve 10 percent of the gross receipt& The Department of Transportation of Pennsylvania (Penn DOT), on the other hand. strongly favors gross receipts, pointing out that DBE's may be relegated to operating very small concessions such as the shoe shine parlors or vending carts. The comments of the DBE's on the two alternatives were similar to those of the airports. Mark and Bernstein, on behalf of its small food concessionaires, comments similarly, stating that the use of numbers could result in only trifling monetary amounts for DBE's: The Department of Aviation, City of Houston, points out two difficulties in using gross receipts: (1) High revenue concessions such as hotels also have long terms. To the extent that the original agreements did not include at least 10 percent participation, the need to make up the shortfall will skew the appropriate goals in other areas, and (2) the gross receipts method does not make provision for receipts paid to the airport by firms whose gross receipts are unknown to the airport. In some instances, the revenue earned has little relationship to the gross receipts of the firm, as in the case of revenues earned entirely from land leases. The Department of Aviation, Chicago, Illinois, favors use ofeither method at the option of the sponsor, without the need for justification. Some commenters favor a hybrid, combining both of the proposed methods, or point out that Congress suggested that "a percentage of new concessions (should be) awarded to DBEs • ' •." DFS, a duty free concessionaire, states: By itself, the gross receipts method focuses entirely on overall DBE goals and does not provide incentives to extend the range of opportunities for participation in different concession categories. The number -of - concessions method is too easily manipulated to provide a useful measure of real opportunities for DBE participation. In addition, measurement by "a percentage of the total number of concession agreements operating at the airport during the goal period." 55 FR at 11987, is not what the House Conference Committee had in mind. While the law certainly grants the Secretary discretion to determine how the 10 percent goals should be measured. the Conferees suggested "a percentage of new concessions awarded to DBFA ' ' ' " H. Conf. Rep, quoted in NPRK 55 FR at 11987. DFS, as well as other commenters, point out that one problem with the gross receipts approach is that it causes airports simply to raise the goals for participation in the large concessions (as gross receipts increase) and does not encourage participation in all types of concessions. As part of its comment, DFS submits a detailed plan for a third alternative. This would 'include the following: 18406 Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 1. If no bidders for a particular concession are DBE's, the other bidders would have to propose reasonable DBE participation through franchises, subleases, joint ventures, or other means; or, explain why the intrinsic nature of the concession makes DBE participation not feasible. This could be submitted by the sponsor in lieu of Paragraph viii of the sponsor's DBE concession plan (Proposed § 23.92(b)(1)(viii)). 2. If low DBE goals require a submission from the sponsor to the FAA under proposed J 23.94, the sponsor could require holders of large concessions involving little or no DBE participation to assume the burden to explain why efforts to recruit DBE partners have been unsuccessful. 3. If a sponsor determines that DBE participation in a given concession is not practicable, the sponsor might be given limited discretion to exempt that concession (but not necessarily the entire concession category), with concurrence by the FAA. from . -participation in the program. The exempt concession's revenue then would be excluded from the total gross receipts base from which the overall DBE goal is calculated. 4. Proposed 5 23.94 should be revised, as follows: (1) If no overall goal reaches 10 percent or if the annual goal is based on DBE participation in a disproportionately small number of concession categories (even if the goal is more than 10 percent), the plan would not be automatically in compliance and additional information under proposed 123-94 would be required; and (2) at the sponsor's option, the information provided to the FAA under proposed 4 23.94(a) would include a report from the large, non -participating concessions, addressing its efforts and inability to arrange DBE participation; and (3) any potential alteration in contracting procedures, including the opening of a concession previously awarded through negotiation to competitive bidding, should be required to focus first on. bidding for large concessions in categories with few or no DBE partnerships, subleases, etc. The'AOCI and the AAAE prefer using the "hybrid" in the NPRM, i.e., using gross receipts except when high -revenue concessions skew the result and call for basing the percentage upon the numbers of concessions. The AOCI and the AAAE, however, believe that the intent of Congress was that the Department count a percentage of new concessions and not existing ones. The AOCI and the AAAE state that airports would have to award all new contracts to DBE's in order to bring the percentage of total contracts up to at least 10 percent, unless the FAA focuses on new contracts only, and that again would result in a disproportionate number of contracts to DBE's in any contractual cycle. The Port of Portland comments that to correspond to the statutory requirement, the goal should take into account current DBE participation in concessions that will not be renewed during the goal period, as well as the anticipated DBE participation in concession opportunities to be created or renewed during the goal period. Portland states that the statute provides no authority for setting goals on the basis of gross receipts. It comments further, however, that if the Department of Transportation can be said to have this authority, there still is no authority to require the provision of a "rationale" by the recipient, should it be decided to set the goals on the number of concessions. Two other commenters concur with Portland's view on the provision of a rationale. San Francisco International Airport favors basing the goals on a percentage of the square footage available for concessions. DOT/FAA Response—Commenters are divided fairly evenly on the question of whether to use a percentage of the gross receipts of the covered enterprises or a percentage of the number of concessions on the airport, with both airports and DBE concessionaires on each side. As the foregoing comments indicate, there are divisions within each group, regarding the gross receipts or the concessions that should be used as the basis for the calculation. While many of the suggested approaches were innovative. they also were relatively complex. The Department believes that the process set forth in the NPRM, with the percentage based upon gross receipts, except where an airport can justify to the FAA that it should be based upon the number of concessions, has the most virtues. It has the advantage of familiarity, is simple, and is sufficiently flexible to accommodate the problems an airport might have with a strict gross receipts approach. In essence, it is a compromise between the positions of the advocates of the gross receipts and the numbers approaches. Congress provided examples of how goals could be calculated rather than fixed alternatives and gave to.the Secretary the discretion to select a workable and fair methodology. The "Joint Explanatory Statement of the Committee of Conference" on the 1987 amendments to the AAIA explained that under Section 511(a)(17), the Secretary would have the discretion to determine the basis on which the 10 percent DBE requirement would be measured. The Department wishes to make clear that goal setting does not require the aborgation of existing concession leases. This was not the cause under the MBE/ WBE program, and it is not the ckse now. Both long term and short term goals are set in accordance with available opportunities; that is, in accordance with opportunities that can be created, which arise, or which should be considered when there is a material amendment to the lease. Further, in appropriate circumstances, the sponsor may request approval for a concession plan in which none of the overall annual DBE goals is 10 percent or more. Section 23.101(x)(4) allows the sponsor to explain why the nature of a particular concession makes DBE participation not economically feasible. Such explanation may serve as one basis for submitting a plan in which none of the goals is 10 percent or more. It should be noted, however, that the non -abrogation of leases applies only to those that are in compliance with the regulation. If a sponsor awards an exclusive, long-term lease to a concessionaire, without requiring adequate DBE participation for the term of the lease and without FAA approval, that lease becomes subject to amendment to include DBE participation, despite the fact that it "exists" at the time noncompliance is discovered. Refusal to cure the problem could result in action to abrogate. The Department also wishes to make clear that the methodology does not deprive the sponsor of credit for existing DBE's on the airport, when the sponsor determines what its goal should be. if the long-term goal of a sponsor is to achieve a 25 percent DBE representation on the airport, and it already has 10 percent, then the sponsor already has achieved that portion of its goal. In achieving the 10 percent, the sponsor has met the floor set in section 511(a)(17) of the AAIA, as amended. The sponsor, however, is not prevented from setting higher goals. While the Department received no comments on the NPRM regarding goals higher than 10 percent, some sponsors recently have asked whether the Supreme Court's decision in City of Richmond v. I.A. Croson Company, requires sponsors to make local or State findings of discrimination before setting goals above 10 percent. The Department believes that the language of section 511(a)(17), which calls for goals of "at least 10 percent of 911 businesses at the airport • • ' responds to that I Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18407 question. The term "at least" is clear on its face, denoting a floor rather than a cap for the goal -setting. The Department's position is in accord with that it took earlier in regard to section 505(d)(1) of the ARIA, as amended. This section, dealing with DBE contracting rather than leasing, calls for goals of "not less than 10 percent ' ' '." Like the term "at least." the words "not less than" indicate that the 10 percent requirement its intended as a minimum, not a maximum. 5. What Should the Certification Requirements Be? (Section :33.95) Comments Most of the comments on certification touch upon three questions: (1) Whether certifications should be performed by the airport owner/ operator, - (2) Whether airport owners/operators should perform on-site visits as part of the certification procedure; and (3) Whether franchises should be included in the program. In addition, these questions were raised: (1) Should the certification period be lengthened to 2 years, instead of the present 1 -year period? (2) Should certification requirements for small airports be different than for large? Seven commenters support retention of the certification process by airport owners/operators, while 8 oppose it. Two commenters support on-site visits. while 4 oppose them. Nineteen commenters favor inclusion of franchises as business opportunities for DBE's, and only 1 commenter opposes inclusion. A number of small airports such as Palm Springs Regional Airport, Central Wisconsin Airport, and Yakima Air Terminal point out that small airports find the paperwork related to certification extremely burdensome and sometimes physically impossible, given their resources. Comments also were received from large recipients, such as MWAA, which favor reducing the burden. MWAA recommends increasing the certification period from 1 to 2 years, with a provision for interim certifications if deemed necessary by airport staff. Dallas/Ft. Worth, MWAA. and AMAC support the proposal to eliminate mandatory on-site visits and to allow the airport to make visits only when necessary to validate information received through other means. Penn DOT, on the other hand„ strongly objects to the elimination of mandatory on-site visits, as well as to the elimination of the requirement for a listing of equipment. Penn DOT has found both requirements useful in determining the eligibility of DBE's. The State of Oregon also supports mandatory on-site visits, which at present are part of a centralized certification process established by the State. Supporters of franchises included DBE's such as Benjamin Books; airport operators and their representatives (MWAA, Penn DOT, the AOCI, the AAAE. Dallas/Ft.Worth International Airport, Minneapolis -St. Paul Metropolitan Airports Commission, Department of Aviation, City of Houston, Texas); Mack and Bernstein, representatives of small food concessions; individual food concessions such as Snack n' Run (SJ&J Enterprises, Inc.); and AMAC, representing DBE's. A number of non - DBE's, such as DFS, support the inclusion of franchises indirectly by advocating that all retail businesses at an airport be made part of the program. In general, these commenters feel that the franchise is a modern and legitimate form of enterprise and note that more and more airports are adopting the use of brand name concepts. These supporters of franchises believe that it would be inappropriate to eliminate what is becoming a large segment of airport opportunities. DOT/FAA Response—Commenters were divided almost evenly on the question of certification, with small airports especially vocal regarding the burdens of certification. The paperwork requirements in regard to certification, however, relate only to primary airports. Airports with enplanements below the number needed to qualify for primary status do not have to set goals and do not have to certify DBE's. Their only requirements are to make suitable outreach efforts to include DBE's in the concession activity and to practice nondiscrimination. The DBE's on small airports that are primary airports must be certified somewhere, however, and the recipients do have this responsibility. Small airports tend to have few concessions, so this responsibility should not be onerous. Further, many concessionaires are loathe to locate on small airports unless they are guaranteed exclusivity and a long lease to amortize their investments. In view of this, the initial certification process occurs less frequently than on large airports, and annual recertification is relatively simple due to the small numbers involved Under the MBE/WBE regulation, all airports were required to accept SBA certifications without question, except where the size of the DBE was an issue. Given the gross receipts elevation, even this question should be rare. Sponsors _shall continue to accept an SBA certification unless a DBE's Schedule A certification submission indicates that it has exceeded the applicable size standard of this final rule. This also serves to reduce the certification workload. Finally, this rule reduces the certification burden considerably, by requiring that on-site visits be made only where it is necessary to verify information received through documents supplied by the DBE. Franchises received virtually universal support, with only 1 commenter adverse, and the Department shares the position supporting franchises. As a result, the final rule departs from the position taken recently by the SBA. On August 21, 1989. the SBA issued a final rule, 13 CFR part 124, in which it reversed its position on the eligibility of franchisees under its Minority Small Business and Capital Ownership Development Program authorized by sections 7(j)(10) and 8(a) of the Small Business Act (15 U.S.C. sections 636(j)(10) and 637(a)). In the preamble, the SBA stated: SBA ' ' ' has decided to retain the prohibition (against franchisees) because of concern that the franchisor -franchisee arrangement. by its nature, gives the franchisor more control over the management, daily business operations, and business development of the franchisee than is appropriate in light of the business development goals of the 8(a) program and the statutory requirement of control by disadvantaged individuals. 54 FR 34892 at 34897. August 21, 1989. Accordingly, 13 CFR 124.109(b) reads: Franchises. Except for those admitted to the 8(a) program prior to the effective date of these regulations, franchisees are ineligible to participate in the section 8(a) program. While the FAA is bound, under section 505(d)(2)(B) of the AAIA, to the SBA's definition of "socially and economically disadvantaged individuals," it is not bound by law to other sections of the Small Business Act or the SBA's implementing regulations. While the Department believes there is merit in patterning the grant program after the SBA's direct contracting program to the extent possible, it also recognizes that the airport concession world has unique characteristics which may call for different approaches. The Department believes that franchise agreements:must be read carefully to screen out arrangements that are nothing more than employment arrangements, limited partnerships, or 18408 Federal Register / Vol. 57. No. 84 / Thursday, April 30, 1992 / Rules and Regulations other forms of agreements that do not result in the required ownership and control by DBE's. FAA review of franchise agreements to date, however, have shown that the bona fide franchises call for considerable investment -on the part of the DBE_ opportunity for profit as well as the risk of failure, and in some cases, even the right to devise the DBE interest to a designated heir. The final rule includes franchises, therefore, as an acceptable form of participation in the DBE program. 6. What Should Be the Obligations of Concessionaires and Competitors in Regard to Setting and Meeting Goals? (Section 23.103) Comments—Five commenters dealt. with the question of whether an airport may impose requirements for DBE participation upon competitors for concession agreements in order to meet the goals of the airport. Two commenters favor imposing such requirements, while three provide adverse comments on various aspects of such a practice. Hayes Leasing Co" Inc.. an Avis licensee, objects to the imposition of any requirements that would call for a set- aside or force a firm to alter its form of doing business or of ownership or of conducting business solely for the purpose of achieving DBE participation. Alaska International Airport System, while not objecting to the imposition of requirements upon concessionaires per se, does object to consideration of DBE participation "when the agreements are amended for any purpose." Alaska points out that when strictly read, this could mean "a contract amendment to change the premises description after construction or to change a due date or room number" or something else of a trivial nature. Concession Air provides a similar comment, recommending that reevaluations of DBE participation in a prime contract or lease should be made only when there is a "material" amendment. Concession Air suggests this should be defined as a substantial change in the rights or obligations between the sponsor and the concessionaire, such as an eictension of term when none was originally provided for or a substantial increase in the scope of the concession rights. This commenter points out that otherwise. sponsors and concessionaires would be subjected to economic uncertainty and disruption of services for every routine amendment. The above comments are in accord with those made by the FBO's. The law firm of Mack and Bernstein, writing in behalf of small food concessions, favors the proposal. DOT/FAA Response—As previously discussed it is not the aim of the FAA to force a firm to alter its form of doing business, unless an exclusive, long-term lease is being considered or has resulted from noncompliance with the regulation. and DBE participation cannot be achieved by any other means in that situation. Further, in really unusual situations, the difficulties of making a business alter its form of doing business might serve as the basis for justifying a goal of less than 10 percent. In regard to the consideration of DBE participation only when there is a "material" amendment, the FAA concurs with this recommendation, as previously discussed. 7. Should Privately -Owned Terminals Hove Responsibility for DBE Participation? (Section 23.105) Comments—Ten commenters favor this proposal. which would put a current practice into regulatory form. The AOCI and the AAAE raises the point that airport owners/operators may not have authority to require the owners of private terminals with existing leases to assume responsibility for DBE participation. Of the 34 individual airports that commented, however. 2 specifically favor DBE responsibilities for the owners of private terminals, and the rest of the commenters have no comment on this issue. DOT/FAA Respose--4he final rule requires that the private owners of terminals carry out the responsibilities that would have been those of the airport owner/operator in a publicly - owned terminal. It has been the FAA's experience that most local or State governments include clauses in leases or other agreements which call for the other party to the agreement to follow relevant Federal laws and regulations. Further, it also has been the FAA's experience that airport sponsors usually continue to play some role in the activities of privately -owned terminals. Often, the airport sponsor is involved in determining the types of concessions that will be needed in the privately - owned terminal and receives a share of the gross receipts or other forms of revenue. In all cases, the airport sponsor retains title to the land, and in many cases, the terminal becomes airport property upon termination of the lease of the land by the private owner. At that point, both the land and the terminal tray be leased back to an airline or other private entity. This position is supported by section 511(a)(17). It states: (17) the airport owner or operator will take such action as may be necessary to ensure that to the maximum extent practicable, at least 10 percent of all businesses at the airport which sell food, beverages, printed materials, or other consumer products to the public are small business concerns (as defined by the Secretary by regulation) owned and controlled by socially and economically disadvantaged individuals (as defined under section 505(d)(2)(B))." (Emphasis added). The statute requires the airport owner or operator to set goals for all businesses. No exclusion is made for businesses in privately- financed or -owned terminals. As in the case of other obligations placed upon lessees, the airport owner can incorporate the DBE requirements in the leasing agreements. Where the private owners of terminals are not already following the DBE regulation, the FAA anticipates no immovable barriers, therefore, to bringing them into compliance. Further. this would not involve undue burdens. As in the case of the airport owner/ operator, the private operator would not be asked to disturb existing concession leases (except those resulting from noncompliance with the regulation, as previously discussed) but would be required to set goals for upcoming opportunities and to consider opportunities as leases are amended, renegotiated eta a What Requirements Should Be Imposed in Regard to Exclusive, Long - Term Leases?(Section 23.107) Comments—In the NPRM, the Department proposed to impose direct requirements concerning exclusive, long- term leases upon the airport sponsor instead of requiring an exemption from the prohibition against such leases in J 23.43(d)(1) of 49 CFR part 23. In the preamble to the NPRM, the Department also discussed the structure and contents of the oversight mechanism contemplated by the FAA and asked specifically whether this mechanism should appear within the final rule or in guidance. Seven commenters favor publication in the final rule, while 2 consider it satisfactory to receive guidance documents. In general, 14 commenters favor prohibitions against exclusive, long-term leases. Thirty-one other commenters criticize one or more aspects of proposed J 23.99. MWAA comments that airports should not be required to submit either the draft or final leases and subleases to the FAA. MWAA believes that airports have the capacity to ensure meaningful DBE participation and that the submission of papers to the FAA results in unnecessary delay. Minneapolis -St. Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18409 Paul points out that this is especially true when a concession fails and must be replaced quickly. One commenter, in contrast, believes that the FAA should increase its oversight of DBE participation in exclusive, long-term leases to ensure that DBE sublessees, joint venturers, partners, etc., play meaningful roles in the business. This commenter advocates requiring all DBE's to work a full 40 -hour week in the business. This commenter also advocates that the participation be in the nature a 2 -,year training period, after which the DBE would be required to establish an independent business or operate as a prime. This individual also favors limiting the DBE to involvement with only one prime at a time to ensure that the benefits of the program do not go solely to a select few. The law firm of Patton. Boggs, and Blow, representing DFS, states that some of the oversight criteria, specifically the one relating to the DBE's financial return, should be revised. DFS recommends focusing solely on gross receipts, since the net profits reflect a number of subtle factors relating to the firm's bookkeeping practices and management efficiency and are virtually meaningless. Dallas/Ft. Worth, the Port of Portland, and the AOCI comment that paragraph (b) of 123.99 is confusing, since it references "conditions set forth in paragraph (b)(1) through (b)(3) of this section under the definition of a 'small business concern' in 123.89, instead of actually including the conditions of (b)(1) through (b)(3) in 123.99." Concession Air, a non -DBE concessionaire, believes net profits should not be required to be disclosed, since this information ordinarily is treated as confidential and proprietary. Palm Springs Regional Airport recommends that the period for a long- term lease term be changed to more than 5 years rather than 5 years or more, since it is cumbersome to keep leases within the "short" term by writing leases for "four years, three hundred sixty-four days." DOT/FAS Response --A number of the 31 commenters who provided adverse comments on various aspects of the prohibition against exclusive, long- term leases appear to be under the impression that all long-term leases of five years or more are prohibited. This, of course, was not the case under the MBE/WBE regulation, and it is not the case in this final DBE concession rule. Only long-term, exclusive leases are affected, and even these are not prohibited as long as arrangements are made for adequate DBE participation throughout the lease. In regard to requiring information on net profits, the FAA concurs that information on the gross receipts of the prime concessionaire may be more useful than information on net profits. In fact. it has not been the practice of the FAA to inquire about the net profits of the prime concessionaire in the past. The FAA has inquired, however, as to the potential net profits for a DBE sublessee to safeguard the interests of the DBE. Gross receipts in certain businesses, such as labor intensive ones, may provide a misleading picture of the potential for the success of the DBE. While the FAA does not anticipate that it will be necessary to inquire about the net profits of the prime concessionaire, it may look to the prime for an educated estimate on the net profits the DBE may expect. in light of business conditions and sound practices. The Department concurs that a "long- term" lease should be defined as one that is "more than 5 years in length," rather than as one that is 5 years or more.. The Department also concurs that the oversight mechanism should be part of the regulation, rather than issued as a guidance document, and has included the mechanism in this final rule. In regard to lack of clarity in the NPRM, regarding the conditions that must be met by the sponsor when awarding an exclusive, long-term lease, the Department concurs that this was a problem, and 123.107 of this final rule clearly states the requirements. The Department does not concur. however, that submission of the leases, subleases, and other relevant documents to the FAA for its approval is unduly burdensome. The final rule represents a significant reduction in review levels and an increase in specificity on the requirements, which together should help expedite the process. Exclusive, long-term leases and the participation of DBE's continue to present fairly complex and novel situations, however, and the FAA believes that review of the leases and other relevant documents is necessary. In order to describe more clearly the obligations of airport sponsors, f 23.95, "Elements of DBE Concession Plan," now contains several paragraphs that stood alone in the NPRM. These include paragraph (e). "Certification procedures;" paragraph (f), "Certification standards;" and paragraph (g), "Good faith efforts" In addition, the sections throughout this final rule have been renumbered to correct errors that were made in the NPRM. Economic Assessment This final rule makes only minor substantive changes to the requirement; currently applicable under part 23 to the concession programs of recipients of FAA financial assistance. In developing this final rule, as previously stated herein, the Department has taken into account numerous questions and issues raised about the concession program since 1980, when the MBE/WBE concession program was established through issuance of part 23. In addition, this final rule formalizes many of the practices and procedures established during that time through a Departmental Notice of Policy and various guidance memoranda. The final rule is not expected to change in any significant degree the concession programs already operated by recipients of FAA financial assistance, but would result in greater consistency of implementation by the recipients, For this reason, it has been determined that the expected economic impact of the proposed amendment is so minimal that a full Regulatory Evaluation is not warranted. Trade Impact The activities associated with this concession program will occur in the United States and will not involve an increase or decrease in the purchase of foreign goods or services. The amendment will have no impact, therefore, on trade opportunities for United States firms doing business overseas or on foreign firms doing business in the United States. Regulatory Flexibility Determination Under this regulation, nonprimary airports (commercial service airports that are not primary airports, general aviation, or reliever airports) must take appropriate outreach steps to encourage available DBE's to participate as concessionaires whenever there is a concession opportunity. They no longer are required to set goals for concession (leasing) activity. This will relieve approximately 800 to 700 sponsors of this burden. The impact upon small recipient airports will be negligible, however, since such recipients have a limited number of concessions, many of which have been given long-term leases to attract them to the airports. Goal - setting was minimal due to the minimal number of opportunities. The impact upon non -DBE small businesses similarly will be negligible. Under the AAIA, the required goals are reasonable, and the recipient airports are afforded considerable flexibility in regard to how and when the goals are 18410 Federal Register / Vol. 57. No. 84 / Thursday. April 30, 1992 / Rules and Regulations attained. The majority of the opportunities still will be available to non -DBE's. While there will be a positive economic impact upon small and disadvantaged businesses, the modest nature of the goals does not result in a significant economic impact. Since there will be only negligible cost associated with this rule for a small recipient of FAA financial assistance and only insignificant impacts upon other small entities affected, the Department has determined that this final rule will not have a significant economic impact, positive or negative„ on a substantial number of small entities. Federalism Implications This final rule will not have substantial, direct effects on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government. above and beyond the effects which result from the MBE/WBE concession program, parts of which already are being phased out and which will be replaced by the DBE concession program. Thus, in accordance with Executive Order 12MZ it is determined that this regulation does not have federalism implications warranting the preparation of a Federalism Assessment. Paperwork Reduction Act In accordance with the Paperwork Reduction Act of 1980 (Pub. L 96411), the new record keeping and reporting provisions in this proposal have been submitted for approval to the Office of Management and Budget (OMB). Comments on these requirements should be submitted to the Office of Information and Regulatory Affairs, ONE, New Executive Office Building. room 3001, Washington, DC 20503;- Attention: 0503;Attention: FAA Desk Officer (Telephone: (202) 395-7313). A copy should be submitted to the FAA Docket. Conclusion For the reasons discussed in the preamble and based on the findings in the Regulatory Flexibility Determination and the International Trade Impact Analysis, the Department has determined that this final rule is not major under Executive Order 122M and certifies that this rule will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. This rule is considered significant under Department of Transportation Regulatory Policies and Procedures (44 FR 11034; February 26. 1M). This rule will make only minor substantive changes to the requirements currently applicable under part 23 to the concession programs of recipients of FAA financial assistance. For this reason, the Department has determined that the expected impact of this final rule is so minimal that it does not warrant a full regulatory evaluation. List of Subjects in 49 CFR. Part Z3 Administrative practice and procedure. Disadvantaged business enterprise, Government contracts, Mass transportation, Minority business. and Reporting and recordkeeping requirements. Issued this 21st day of April, 19r- at Washington. DC. Andrew H. Card. Jr, Secretary of 7Ynnsportation. Final rule Accordingly, the DOT amends 49 CFR part 23, as follows: 1. The authority citation for part 23 is revised to read as follows: Authority: Sec. 905 of the Regulatory Revitalization and Regulatory Reform Act of 1979 (45 U.S.C. 803): am 520 of the Airport and Airway Improvement Act of 1982, as amended (49 U.S.C. APP. 2219); am 19 of the Urban Masa Transportation Act of 1984, as amended (49 U.S.C. 1615Y sec. 105(c) of the Surface Transportation and Uniform Relocation Assistance Act of 1987 (49 U.S.C. App. 11301 note): sea 505(d) and sec. 511(a)(17) of the Airport and Airway Improvement Act, as amended by the Airport and Airway Safety and Capacity Expansion Act of 1987 (Pub. L.1o0-223j: Title 23 of the U.S. Code (relating to highways and traffic safety, particularly sec. 324 thereof): Title VI of the Civil Rights Act (42 U.S.C. 2000d et seq.). Executive Order 12285: Executive Order 12138. 2. Subpart F is added to read as follows: Subpart F—intpNmentstion of Section 511(a)(17) of the Airport and Airway Improvement Act of 1982, as Amended Bea 23.89 Definitions. 23M Applicability. 23.93 Requirements for Airport Sponsors. 23.95 Elements of Disadvantaged Business Enterprise (DBE) concession plan. 23.97 Appeals of certification denials. 23.99 Rationale for basing overall goals on the number of concession agreements. 23.101 Information required when none of the overall annual goals is 10 percent or more. 23.103 Obligations of concessionaires and competitors. 23.105 Privately -owned terminal buildings. 23.107 Prohibition on long-term, exclusive concession agreements. 23.109 Compliance procedures. 23.111 Effect on Section 23.43(d). Appendix A—Size Standards for Airport Concessionaires Subpart F—Implementation of Section 511(a)(17) of the Airport and Airway Improvement Act of 1982, as Amended § 23.89 Definitions, Affiliation has the same meaning the tern has in regulations of the Small Business Administration, 13 CFR part 121. Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, tither directly or indirectly (a) One concern controls or has the power to control the other. or (b) A third party or parties controls or has the power to control both, or (c) An "identity of interest" between or among parties exists such that affiliation may be found. In determining whether affiliation exists, consideration shall be given to all appropriate factors, including common ownership, common management, and contractual relationships. Concession means a for-profit business enterprise, located on an airport subject to this subpart, that is engaged in the sale of consumer goods or services to the public under an agreement with the sponsor, another concessionaire. or the owner of a terminal, if other than the sponsor. Businesses which conduct an aeronautical activity are not considered concessionaires for purposes of this subpart. Aeronautical activities include scheduled and nonscheduled air carriers,air taxis, air charters, and air couriers, in their normal passenger or freightcarrying capacities; fixed base operators, flight schools; and sky -diving, parachute -jumping, flying guide services, and helicopter or other air tours. (a) Appendix A to this subpart contains a listing of the types of businesses that are frequently operated as concessions. (b) Examples of entities that do not meet the definition of a concession include suppliers, flight kitchens and in- flight caterers servicing air carriers, government agencies. industrial plants, farm leases, individuals leasing hangar space, custodial and security contracts, individual taxis with permits, telephone and electric utilities, skycap services under contract with an air carver, and management contracts. (c) Concessions may be operated under the following types of agreements: (1) Leases. (2) Subleases. (3) Permits. (4) Contracts. Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations 18411 (5) Otter instruments or arrangements. Concessionaire means one who operates a concession. Disadvantaged business shall have the same meaning as set forth in 4 23.61 of subpart D of this part, except it shall be a small business concern, as defined in this subpart, not as defined in $ Z3.61. Material amendment means a substantial change to the basic rights or obligations of the parties to a concession agreement. Examples of material amendments include an extension to the term not provided for in the original agreement or a substantial increase in the scope, of the concession privilege. Examples of nonmaterial amendments include a change in the name of the concessionaire or a change to the payment due dates. Primary airport means a commercial service airport which is determined by the Secretary to have more than 10,000 passengers enplaned annually. Small business concern means a firm, including all its domestic and foreign affiliates, that qualifies under the applicable size standard set forth in appendix A to this subpart In making a size determination, all affiliates, regardless of whether organized for profit, must be included. A firm qualifying under this definition that exceeds the size standard after entering a concession agreement, but that otherwise remains eligible, may continue to be counted as DBE participation until the current agreement, including the exercise of options, expires. (a) The Secretary may periodically adjust the size standards in appendix A to this subpart for inflation. (b) A firm that was certified as a minority/woman/or disadvantaged business enterprise (MBE/WBE/DBE) prior to the effective date of this subpart, pursuant to a requirement in 4 23.43(d) or FAA guidance implementing section 511(a)(17) of the Airport and Airway Improvement Act of 1982, as amended. that has exceeded the size standard, may be counted as DBE participation until the current agreement, including the exercise of options, expires, provided that the firm remains otherwise eligible. Socially and economically disadvantaged individuals shall have the same meaning as set forth in 123.61 of subpart D of this part. Sponsor means the recipient of an FAA grant. 23.91 Applicability. This subpart applies to any sponsor that has received a grant for airport development authorized by the Airport and Airway Improvement Act of 1982, as amended by the Airport and Airway Safety and Capacity Expansion Act of 1987. 23.93 Requirements for airport sponsor. (a) General requirements. (1) Each sponsor shall abide by the nondiscrimination requirements of § 23.7 with respect to the award and performance of any concession agreement covered by this subpart. (2). Each sponsor shall take all necessary and reasonable steps to foster participation by DBE's in its airport concession activities. (3) The following statements shall be included in all concession agreements executed between the sponsor and any firm after the effective date of this subpart. (i) "This agreement is subject to the requirements of the U.S. Department of Transportation's regulations, 49 CFR part 23. subpart F. The concessionaire agrees that it will not discriminate against any business owner because of the owner's race, color, national origin, or sex in connection with the award or performance of any concession agreement covered by 49 CFR part 23, subpart F. (ii) 'The concessionaire agrees to include the above statements in any subsequent concession agreements that it enters and cause those businesses to similarly include the statements in further agreements." (b) Additional requirements for primary airports (1) Sponsors of primary airports shall implement a disadvantaged business enterprise (DHE) concession plan containing the elements listed in 123.95. Sponsors of more than one primary airport shall implement a separate plan for each location that has received assistance for airport development. The plan shall be submitted to the appropriate FAA Regional Office for approval. (2) The sponsor shall review and update the plan at least annually. The updated plan shall include any information required under J 23.95 that was not available to the sponsor when the previous submission was made. Updated plans shall be submitted to the appropriate FAA Regional Office for approval. (c) Additional requirements for nonprimary airports. Sponsors of commercial service airports (except primary), general aviation and reliever airports are not required to implement a DBE concession plan but shall take appropriate outreach steps to encourage available DBE's to participate as concessionaires whenever there is a concession opportunity. § 23.95 Elements of Disadvantaged Business Enterprise (DBE) concession plan. (a) Overall annual DBE goals. (1) The sponsor shall establish an overall goal for the participation of DBE's in concessions for each 12 -month period covered by the plan. The goals shall be based on the factors listed in $ 23.45(g)(5)• (2) Sponsors shall calculate the overall DBE goal as a percentage of one of the following bases: (i) The estimated gross receipts that will be earned by all concessions operating at the airport during the goal period. (Where the terms of a concession agreement do not provide for the sponsor to know the gross receipts, the sponsor shall use the net payment to the airport for such agreements and combine these figures with the estimated gross receipts from other agreements, for purposes of making this calculation. The plan shall indicate which concession agreements do not provide for the sponsor to know the gross receipts.) (ii) The total number of concession agreements operating at the airport during the goal period. (3) The plan shall state which base the sponsor proposes to use for calculating the overall goals. Sponsors proposing to use the base described in paragraph (a)(2)(ii) of this section shall submit a rationale as required by 123-99. (4) Sponsors who will employ the procedures of paragraph (a)(2)(i) of this section shall exclude from the overall goal any portion of a firm's estimated gross receipts that will not be generated from a concession activity. Example. A rum operates a restaurant m the airport terminal which services the travelling public and under the same lease agreement, provides in-flight catering service to the air carriers. The projected gross receipts from the restaurant are included in the overall goal calculation, while the gross receipts to be earned by the in-flight catering service are excluded. (5) Sponsors who will employ the procedures of paragraph (a)(2)(i) of this section shall use the net payment to the airport for banks and banking services, including automated teller machines (ATM) and foreign currency exchanges. (6) To the extent practicable, sponsors shall seek to obtain DBE participation in all types of concession activities and not concentrate participation in one category or a few categories to the exclusion of others. (7) Airport sponsors may establish an overall annual goal exceeding 10 percent. (b) Goal methodology. (1) The plan shall contain a description of the 18412 Federal Register / Vol. 57. No. 84 / Thursday, April 30, 1992 / Rules and Regulations methodology used inestablishing each of the overall DBE goals. The methodology shall include information on the concessions that will operate at the airport during the period -covered by the plan and the potential for DBE participation. For each concession agreement, the sponsor shall provide the following information, together with an additional information requested by the Regional Civil Rights Officer•. (i) Name of firm. - (ii) Type of business (e.g. books'tore, car rental, baggage carts). (iii) Beginning and expiration dates of agreement, including options to renew., (iv) For new agreements, method of solicitation proposed by sponsor (e.g. request for proposals, invitation for bids). (v) Dates that material amendments will be made to. the agreement (if known). (vi) Estimated gross receipts for each goal period established in the plan. . (vii) Identification of those concessionaires that have been certified under this subpart as DBE's. (viii) An indication of those concessions having potential for participation by DBE%. (2) The plan shall include a narrative description of the types of efforts the sponsor intends to make, -in accordance with paragraph (h) of this session, to achieve the overall annual goals. (3) Sponsors who will include a DBI: contract goal or other requirements in solicitations for concession agreements shall state those requirements In the plan. (4) If none of the overall goals set under paragraph (a)(2)(i) or (a)(2)(ii) of this section is 10 percent or more. the sponsor shall submit the information and follow the procedures outlined in ! 23.101. (c) DBEset-asides. (1) Where not prohibited by state or local law and determined by the sponsor to be necessary to meet DBE goals, v procedures to implement DBE set -asides shall be established. The DBE plan shall - specify the concessions to be set-aside. (2) If a state or local law prohibits the use of set -asides in the award of concessions, a citation of the . appropriate authority shall be included in the plan. (d) Accomplishments in achieving DBEgoals. The plan shall contain an analysis of the accomplishments made by the sponsor toward achieving the previous year's goal. The plan shall show the effect of those results on the overall level of DBE participation In the airport's concessions. (e) Explanation for not achieving a goal. (1) If the analysis required under paragraph (d) of this section indicates that the sponsor failed to meet the previous year's overall goal, the plan shall include a statement of the reasons demonstrating why failure to meet the goal was beyond the sponsor's control. (2) If the FAA determines that the reasons given by the sponsor are not sufficient justification, or if the sponsor fails to state any reasons, the FAA may require the sponsor to implement - appropriate remedial measures. Such. measures may include an adjustment to the overall goals of the concession plan. (f) Certification procedures. (1) The certification procedures set forth in 123.51 are applicable to this subpart- Sponsors ubpartSponsors may count toward their overall goals only those firm that have been, certified in accordance with the procedures of that section. (2) Except as provided in # 23.51(c), each business, including the DBE partner in a joint venture, wishing to participate as a DBE under this subpart in a concession shall complete and submit Schedule A. Each entity wishing to participate as a joint venture DBE under this subpart shall in addition complete and submit Schedule B. (Schedules A and B are reproduced at the end of this part.) - (3) Sponsors shall take at least the following steps in determining whether a fur is an eligible DBE: (1) Obtain the resumes or work histories of the principal owners of the firm and personally interview these individuals; (ii) Analyze the ownership of stock in the firm, if it is a corporation; (iii) Analyze the bonding and financial capacity of the firm; - (iv). Determine the work history of the firm, including any concession contracts It may have received; . (v) Obtain or compile a list of the licenses of the firm and Its key personnel to perform the concession contracts it wishes to receive; and NO Obtain a statement from the firm of the type of concession. It prefers to operate. (4) Prior'to making a certification determination, the sponsor shall perform an on-site visit to the offices of the fur and to any of its facilities that may be necessary to validate the certification information obtained from the fur (5) The challenge procedure set forth in J 23.89 are applicable to this subpart. (g) Certification standards. (1) Sponsors shall use the same standards for ownership 'and control as contained in 123.53 in determining whether a fur may be certified as a DBE. (2) Businesses operating under the following structures may be eligible for certification as DBE's under this subpart - (i) Sole ubpart:(I).Sole proprietorships. (ii) Corporations. (tit) Partnerships. (iv) Other structures that provide for ownership and control by the socially and economically disadvantaged owners. (3) A business operating under a franchise (or license) agreement may be certified if it meets the standards In this section and the franchisor is not affiliated with the franchisee. In determining whether affiliation, as defined in ; 23.89, exists, the restraints relating to standardized quality, advertising, accounting format, and other provisions imposed on a franchisee by its franchise agreement generally shall not be considered, provided that the franchisee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively, even though a franchisee may not be controlled by the franchisor by virtue of such provisions in the franchise agreement, control, and.. thus, affiliation could arise through other. means, such as common management or excessive restrictions upon the We of the franchise interest. (4) Joint ventures described in . 123.53(d) are eligible for certification as DBE's under this subpart. (h) Businesses operating under the following arrangements are not eligible for certification as DBE's under this subpart: (1) Limited partnerships, in which a non -DBE is the general partner. (2) Other arrangements that do not provide for ownership and control by the socially and economically disadvantaged owners. (i) Good faith efforts. The sponsor shall make good faith efforts to achieve the overall goals of the approved plana The efforts shall include: (1) Locating and identifying DBE's who maybe interested in participating as concessionaires; (2) Notifying DBE's and other ` organizations of concession opportunities and encouraging them to compete, when appropriate;' (3) Informing competitors for concession opportunities of any DBE requirements during pre -solicitation meetings; (4) Providing information concerning the availability of DBE firms to competitors to assist them in meeting DBE requirements; and (5) When practical, structuring contracting activities so as to encourage and facilitate the participation of DBE's. Federal Register / Vol. 57. No. 84 / 71ursday, April 30, 1992 / Rules and Regulations 18413 § 23.97 Appeals of Certification denials. The procedures concerning the appeal of a denial of certification set forth in 123.55 are applicable to this subpart. §23-99 Rationale for basing overall goals on the number of concession agreements. (a) A sponsor who proposes to calculate the overall DBE goals as a percentage of the number of concession agreements shall submit information with the DBE plan to demonstrate that one of the following applies to the airport: (1) In order to attain an overall DBE goal of 10 percent on the basis of gross receipts, the airport would need to award a disproportionate percentage of the opportunities to DBEs -This rationale may address a time period that extends beyond that covered by the current plan; or (2) Other circumstances at the airport Exist that do not make it feasible to use gross receipts as the basis for calculating the goals. (b) If the FAA approves of the request, the sponsor shall not be required to provide further justification during subsequent years of the plan, unless requested by the FAA to do so. (c) If the FAA determines that the information submitted by the sponsor faila to justify the requested goal -setting procedure, the sponsor shall resubmit the plan. The goals in the revised plan shall be calculated as a percentage of gross receipts, as outlined in paragraph (a)(2)(i) of 123.95. 123.101 Information required ober none of the overall annual goals Is 10 percent or More. (a) A sponsor requesting approval for a concession plan in which none of the overall annual DBE goals is 30 percont or more shall provide information on the following points: (1) The sponsor's efforts to locate DBE's in the relevant geographic area that are capable of operating the concessions that will become available; (2) The sponsor's efforts to notify DBE's of concession opportunities and to encourage them to compete; (3) Any consideration given by the sponsor, when practical, to structuring contracting procedures so as to encourage and facilitate DBE participation. For example. a sponsor may consider using competitive means to award a concession that would otherwise be renegotiated without competition. (4) If appropriate, an explanation why the nature of a particular concession makes DBE participation through a sublease, joint venture, partnership, or other arrangement not economically feasible. (b) The FAA regional civil rights _ officer approves a plan which does not contain any overall goals of at'least 10 percent if he or she determines That based on the information submitted by the sponsor under paragraph (a) of this section and any other available information: (1) The sponsor is making all appropriate efforts to increase DBE participation in its concessions to a level of 10 percent: and (2) Despite the sponsor's efforts, the goals submitted by the sponsor represent the reasonable expectation for DBE participation, given the availability of DBE's. J2&103 Obligations of and competitors. (a) Sponsors may impose requirements on competitors for concession agreements as a means of achieving the DBE goals or a portion of the goals established under paragraph (a) of § 23.91 of this subpart, provided that the DBE participation specified in the solicitation or other request is an eligible arrangement, as defined in this subpart. (b) Nothing in this subpart shall require any sponsor to modify or abrogate an existing concession agreement (one executed.pripr to the date the sponsor became subject to this subpart) during its term. When options to renew such agreements are exercised or when a material amendment is made to the agreement, the sponsor shall assess the potential for DBE participation and include any opportunities in the goals established under paragraph (a) of 123.95. 123.105 Privately -Owned terminal buildings. (a) Awards of concession agreements that are made by private owners of terminal buildings are covered by this subpart. Airport sponsors subject to this subpart shall levy the applicable requirements on the terminal owner through the agreement with the owner or by other means, except that certification shall, in the case of primary airports, be performed by the airport sponsor. The sponsor shall ensure that the terminal owner complies -with these requirements. (b) If the terminal building is at a primary airport. the sponsor shall obtain from the terminal owner the overall goals and other elements of the DBE concession plan required under § 23.95. This information shall be incorporated into the concession plan and goals established by the sponsor and submitted to the FAA in accordance with this subpart. (c) If the.terminal building is at a commercial service airport (except primary), general aviation, or reliever airport, the sponsor shall ensure that the owner complies with the requirements in paragraph (c) of § 23.93. 123.107 Prohibition on kxv-term, exclusive concession agreements. (a) Except as provided in paragraph (b) of this section. sponsors shall not enter into long-term, exclusive agreements for the operation of concessions. For purposes of this section, a long-terzh agreement is one having a terra rrexcess of five years. Guidelines for determining whether an agreement is exclusive, as used in this -section, have been included in the FAA's "DBE Program Development Kit for Airport Grant -in -Aid Recipients:' This publication can be obtained from any FAA Regional Civil Rights Officer or from the FAA Office of Civil Rights, 800 Independence Avenue, SW.. Washington, DC 20591, Attention, ACR -4. (b) A long-term, exclusive agreement is permitted under this subpart, provided that; (1) Special local circumstances exist that make it important to enter such agreement, and (2) The responsible FAA regional civil rights officer approves of a plan for ensuring adequate DBE participation throughout the term of the agreement. (c);Approval of the plan referenced in paragraph (b)(2) of this section relieves the sponsor of the need to obtain an exemption under the procedures of § 23.41(f) and the Notice of Policy (45 FR 45281, July 3,1980). The Notice of Policy can be obtained from the FAA Office of Civil Rights at the address given in paragraph (a) of this section. (d) Sponsors shall submit the following information with the plan referenced in paragraph (b)(2) of this section: (1) A description of the special local circumstances that warrant a long-term, exclusive agreement, e.g., a requirement to make certain capital improvements to a leasehold facility. (2) A copy of the draft and final leasing and subleasing or other agAements. The long-term, exclusive agreement shall provide that: (i) One or more DBE's will participate throughout the term of the agreement and account for at least 10 percent of the annual estimated gross receipts. (ii) The extent of DBE participation will be reviewed prior to the exercise of each renewal option to consider 18414 Federal Register / Vol. 57, No. 84 / Thursday, April 30, 1992 / Rules and Regulations I` whether an increase is warranted. (In some instances. a decrease may be warranted.) (iii) A DBE that is unable to perform successfully will be replaced by another DBE, if the remaining term of the agreement makes this feasible. (3) Assurances that the DBE participation will be in an acceptable form. such as a sublease, joint venture, or partnership. (4) Documents used by the sponsor in. certifying the DBE's. (5) A description of the type of business or businesses to be operated, location. storage and delivery space, "back -of -the -house facilities" such as kitchens, window display apace, advertising space, and other amenities that will increase the DBE's chance to succeed. (6) Information on the investment required on the part of the DBE and any unusual management or financial arrangements between the prime concessionaire and DBE. (7) Information on the estimated gross receipts and net profit to be earned by the DBE. 12&109 Compliance procedures. In the event of noncompliance with this subpart by a sponsor, the FAA Administrator may take any action provided for in section 519 of the Airport and Airway Improvement Act of 1962, as amended. § 23.111 Effect on § 23.43(d] Except for commitments, made prior to issuance of this subpart as a condition of receiving an exemption from § 23.43(d)(1), which prohibits certain long-term, exclusive agreements, the provisions of § 23.43(d) shall not apply to any airport, its -lessees, concessionaires, or other organizations. if the airport sponsor is covered by the requirements in this subpart. Leasing goals established in accordance with § 23.43(d)(2) and approved by the FAA prior to the effective date of this subpart shall terminate as set forth below, (a) For primary airports, upon FAA approval of.a DBE concession plan required under § 23.93(b). (b) For nonprimary airports, at the conclusion of the period to which the leasing goal applies. Appendix A to Subpart F -Size Standards for Airport Concessionaires MAXIMUM AVERAGE ANNUAL GROSS RECEIPTS IN PRECEDING 3 YEARS fin millions of do"MI Food and beverage........, __._._....._._. 30.00 Book stores.._._.._. __._ ...____..... 30.00 Auto rental___.... ._.._ . '........._..._ 40.00 ' Banks............_...__..._......._._..._ _.._._. i 100.00 Hotels and motels..__ .............. _.............. 30.00 Insurance machines and counters .._..... 30.00 Gilt novelty, and souvenir shop ..... _...... 30.00 MAXIwim AVERAGE ANNUAL GROSS RE- CEIPTS IN PRECEDING 3 YEARS -Con- tinued tin millions of dollars) concession Amount Newstands......»........ ._.......................... 30.00 Shoe shine stands .................................... 30.00 Barber stops._ ............... ............... .......... 30.00 Automobile parking .._............ _.............. 30.00 Jewelry stores ............ ... _..... _.... _........... 30.00 Liquor stores ........................................ _... 30.00 Travel agencies ....................................... 30.00 Drug stores ............................................... 30.00 Pastnes and baked goods ...................... 30.00 Luggage cart rental .... .. ......................... _ 30.00 Coin-operated T.V.'s........ _........ _...... _.. 30.00 Gamerooms ..................••••..................... 30.00 Luggage and leather goods stores........ 30.00 Candy. nut, and confectionery stores... 30.00 Toystores ....... _......................................... 30.00 Beauty shops ......................................... 30.00 Vending machines....................................f 30.00 Coin-operated lockers .............................� 30.00 Florists....................................................... 30.00 Advertising................................................. 30.00 Taxicab .._... .................... ........................... 30.00 Limousines ............................................... 30.00 Duty free shops .................................__. 30.00 Pay telephones ........................................ =1.500 Gambling machines; .......... _........._..._.... 1 30.00 Other concessions not shown above ... i 30.00 As measured by total assets ' As measured by number of employees. (FR Doc. 92-9877 Filed 4-29-92; 8.45 am) ehtiao CODE 4910-62ar d.V zt Mr. Scott L. Harris Town Supervisors Town of Southold Town Hall 53095 Main Road Southold, New York 11971 Dear Mr. Harris: Eastern Region FrtiQerald Federal Building John F. Kennedy Intemationai Airport Jamaicd New York 11430 s We received your addendum transmitted to this office by letter dated December 3,1991, reflecting your overall Disadvantaged Business Enterpriwe (DBE) goals for FAA - assisted projects and leasing at the following airport(s): Airports) Fishers Island - Elizabeth Field FAA Assisted Projects 10% Leasing 0% Your BBE Program is hereby approved for the period October 1991 through September 1992. Since an update of your DBE program is required annually, please submit your updated program no later than September 1 1f92, to ensure our timely review. As a reminder, the airport sponsor must ensure that when prime contractor(s) fail to meet the DU goals, documentation showing good faith efforts must be provided to the sponsor. The suggested good faith efforts are listed in Appendix A of 4.9 CFR, Part 23.=, We would also like to remind you that only certified firms are eligible to participate as DBE's on FAA Assisted Projects or in leasing opportunities. Consequently, the Schedule A or B submitted by the contractor(s)/firm(s) should be carefully examined against the criteria in Section 23.51 and 23.53 of the regulation. If we can be of further assistance, please feel free to contact Mr. Murray Gottlieb of this office, on (718) 553-1149. Sincerely, Alan H. Si rstein Civil Rights Officer PEG 1 91991 USDepQfill t Eastem Region Fiti�aratdf :t John F. Kalealey trttem"Oft 1 ~ . Jamaica,.Naw York 11430 ��111 d aEG 17 1991 Mr. Soott L. Harris Town Supervisor` Towel ofr° 'outhold Towt Han, P.O. Box 1179 Southold ;NX 11791 Dear fir. -Harris: 7` we rec`e#"Ved,..yb-ur addendum ` transmitted to this office by letter dated, Dicember. 3, A991, refleotlig; .your overall Disadvantaged Bureinesp Enterprise (DBE) goal-s for FAA - assisted projects and leasingfat the following airports) Airt�ort(s) FAA Assiut d proJects Leasing Southold. 10% 0% Your DBE Program is hereby -,approved for the period October 1991 through September 1992. Sinee-an update of your DBE program is required annually, please submit your updated program no later than September 1, 1992, to ensure our'timely review. As a reminder, the airport sponsor must ensure that when prime oontractor(s) fail to meet the DRE goals, documentation showing *ood faith efforts must be provided to the, sponsor. The suggested good faith efforts are listed in Appendix A of 49 CFR, t�°tYirt 23. We would also like to=remU4 you that only certified firms are eligible to participate as DBE's on FAA Assisted Prgjeets or in leasing opportuni-ties. Consequently, the Schedule A or B submitted by the contractor(5)/firm(s) should be carefully examined against the criteria in Section 23.51 and 23.53 of the regulation. If we can b-$ of further assistance, please feel free to contact Mr. Murray Gottlieb of this office, on (718) 553-1149• Sincerely, Alan H. i stein Civil Righ 3 Officer 4 SCOTT L. HARRIS SUPERVISOR FAX (516) 765 - 1823 TELEPHONE (516) 765 - 1800 i a ;x OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Dear Mr. Gottlieb: December 3, 1991 Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Re: Fishers Island Elizabeth Field Fishers Island, New York FY -92 DBE Goal Update The annual .goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island Elizabeth Field Airport is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have been established at 10% based on the contracts which are expected to be signed during the goal period. Leasing goals again have not been added due to the lack of leasing activity. If you require any further information, please do not hesitate to contact us. Very truly yours, "g,�e-AL,, Scott L. Harris Town Supervisor cc: Sheila M. Farley JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER l g OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE SOUTHOLD TOWN BOARD AT A REGULAR MEETING HELD ON DECEMBER 10, 1991: RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott L. Harris to execute the annual goal update for the Town of Southold's Disadvantaged Business Enterprise Program for Fishers Island Elizabeth Field Airport, which DBE Goal Update is required by the Federal Aviation Administration of federal funds recipients; all in accordance with the recommendation of the Town's consultants Calocerinos & Spina Engineers, P.C. Judith T. Terry Southold Town Clerk December 11, 1991 Mr. R. Philip Knauff Manager Fisher's Island Ferry District P.O. Box H Fisher's Island, New York 06390 December 3, 1991 RECEIVED DEC 9 1991 Southold Tnwn Clerk Re: Fishers Island Elizabeth Field FY -92 DBE Goal Update File: 211. Dear Mr. Knauff: Enclosed for your review is a copy of the Town of Southold's DBE Goal Update which is required by the Federal Aviation Administration of federal funds recipients. If the information meets with your approval, please forward the entire package to Murray Gottlieb at the FAA Office of Civil Rights. A sample letter to be typed on official letterhead, and a mailing label to the Office of Civil Rights are enclosed for your convenience. If you have any questions or need additional information, please do not hesitate to contact us. Very truly yours, CALOCERINOS & SPINA ENGINEERS, P.C. J, Sheila M. Farley Grants Administrator SMF:jmc Enclosure 'i?>; `,ever)th North 3thoet Liverpool, NY 13088-6199 (315) 457-671 1 �-AX (315) 457-98,03 REPORT OF DBE GOAL ACCOMPLISMUNTS 1. Name of Sponsor Town of Southold 2. Name of Airport Fishers Island Elizabeth Field 3. Name of Preparer Sheila Farley Telephone No. (315) 455-7981 4. Goal Period: From 10/l/90To 9/30/91 5. Approved Overall DBE Goal ___I_% 6. AIP Project No.(s) (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors .................. 0 0 8. Total Prime Contracts Awarded to DBE's ........................... 0 0 9. Total Subcontracts Awarded to DBE's by non -DBE Prise Contractors.. 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 9.) ......................... 11. 10(b) Divided by 7(b) a 0 % - Actual DBE Participation la. DBE Prime and Subcontract Awards by Type of Work: Number S Value Women Total DHE Women Total DBE (a) Professional/Consultant Services ..... (1) Engineering ....................... (2) Architectural ..................... (3) Consultants ....................... (4) Testing .......................... (5) other ............................ (b) Construction ........................ (1) Grading/Drainage ................. (2) Paving ........................... (3) Structures/Buildings ............. (4) Landscaping ...................... (5) Electrical ....................... (6) Trucking ......................... (7) Painting ......................... (8) Fencing ....................... *. (9) Other ..................,.......... (c) Supplies .............................. (1) Electrical ....................... (2) Other ............................ (d) Equipment (1) Leasing .......................... (2) Purchasing ....................... Total.................................... 0 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number S Value BlackAmericans ........................... HispanicAmericans ......................... NativeAmericans ........................ Asian -Indian Americans ..................... Asian -Pacific Americans .................... Women (that are not included above) ....... Other Disadvantaged ....................... __7- TotalDBE ................................... The Public reporting burden for this collection of information is estimated to average one hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direct your comments to OMB ano the DOT at the following addresses: Office of Management and Budget U.S. DOTIOST10SOBU, S-42 Paperwork Reduction Project (2105-0510) and 400 Seventh Street. S.W. Wasnington, DC 20503 Washington, DC 20590 DOT 11 a -M 12 ! 89) As modified for ease of use by FAA Recipients. CM Awmval No. 2105-4510 (Expires 6-30-91) REPORT OF DBE GOAL ACCOMPLISHMENTS (Instructions) DOT Form 4630 must be submitted annually by each sponsor having an approved DBE program. The form should be submitted to the FAA Regional Civil Rights Staff With the updated DBE goal information. The form should reflect contract awards that were made during the period covered by the sponsor's previously approved _overall DBE goal. For some sponsors, this period may be the Federal fiscal year, while for others, a different 12 -month period. Sponsors of more than one airport should submit a separate report for each obligated location. Use this form to report all FAA -assisted contract awards covered by the DBE program, including professional and consultant services, construction, supplies, and vehicles and equipment. DO NOT REPORT: (1) FAA -assisted contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIP)); (3) AIP grant funds used for "force account" or for other noncontractual work. While land purchases are not reported, all other contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. -Name of Airport. 3. Name and telephone number of person who prepared report. 4. The beginning and ending dates of the goal period for which the report is submitted. 5. The sponsor's approved overall DBE goal for the period indicated in item 4. 6. The AIP project number(s) for the prime and subcontracts reported in item 7 and item 9. 7. The total number and dollar value of all prime contracts awarded during the' goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's. 9. The total number and dollar value of subcontracts awarded to DBE's by non -DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in 10(b) by the dollar value in 7(b) to obtain the actual DBE percentage participation for the goal period. 12. This is a breakout of the prime and subcontracts reported in item 10 by type of work performed by the DBE's. Indicate number and dollar value of awards to women -owned firms under category designated "Women." Indicate number and value of awards to all DBE firms, including women -owned, under category designated "Total DBE." If the contract involves more than one type of work, report only the predominant type based on cost. 13. This is a breakout of the prime and subcontract awards to DBE's reported in item 10 by the disadvantaged group of the firms' owners. The category "Other Disadvantaged" refers to DBE's owned and operated by individuals who have been determined by the sponsor on a case-by-case basis to be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in 49 CFR 23.62, as amended on October 21, 1987 and May 23, 1988. In the case of split ownership by two or more disadvantaged individuals, the DBE participation should be reported for the group which owns the largest share. If the ownership is equal, the DBE participation should be reported for the group which is listed first on the form. UPDATED GOAL INFORMATION Airport Sponsor: TOWN OF SOUTHOLD Client No. 211 Airport Location: FISHER'S ISLAND, NEV YORK Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/9 1 Thru 9/30/92 Part I: Overall DBE Goal for FAA Assisted Projects Check one: [ ] An overall DBE goal is not required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the.amount which requires the setting of a DBE goal. [XX] An overall DBE goal is required. The DBE goal methodology is attached. Part II: Leasing Goals and Methodology Estimated Date Date Description Gross Lease Lease % Joint Lessee of Lease Receipts Begins Expires MBE WBE Venture NONE Totals This Year's Leasing Goals: DBE: OY. Narrative Description of Leasing Goal Methodology: No leasing facilities currently exist at Fisher's Island -Elizabeth Airport, nor are leases expected to be signed during the goal period. Explanation for Not Increasing Goal Above Previous Year's Level: No leasing facilities exist. Last Year's Leasing Goals: DBE: OK Last Year's Leasing Goal Accomplishments: DBE: 0% Explanation for Not Achieving Last Year's Leasing Goals: No leasing goals were developed for last year. PART I (Con't) Previous Year's Goals: DBE: 0% Previous Year's Accomplishments: DBE: 0% Explanation for Not Achieving Previous Year's Goals: No goals were required for the previous goal period. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: The goals for the current goal period have been increased above the previous goal level. Narrative Description of Overall DBE Goal Nethodology: (1) Recruiting Areas Long Island and coastal Connecticut. (2) Additional Projects Expected during goal period Discussion has begun regarding rehabilitation of Runway 7-25, but contracts for design are not expected to be signed during the current goal period. PART I OVERALL DBE GOAL METHODOLOGY Airport Sponsor:TOWN OF SOUTHOLD, NEW YORK 211 Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/91 Thru 9/30/92 Overall DBE Goal: 10% Methodology for Establishing Overall Goal: Project Items $ Amount S DBE Noncontractural $5,000 N/A Professional Services $64,000 $6,000 Construction $604,000 $63,200 --------------- ------------ TOTAL $668,000 $69,200 TOTAL NONCONTRACTURAL FOR GOAL PERIOD: $ Amount $ DBE Land $0 Administration $2,000 Advertising $3,000 --------------- TOTAL $5,000 N/A TOTAL PROFESSIONAL SERVICES FOR GOAL PERIOD: $ Amount $ DBE Planning $0 $0 Engineering Design $0 $0 Soils Borings $0 $0 Surveys $0 $0 Appraisals $0 $0 Engineering Inspection $55,000 $0 Construction Testing $3,000 $0 Construction Surveys $4,000 $4,000 Audit $2,000 $2,000 TOTAL $64,000 $6,000 CONSTRUCTION: Airfield Lighting $ Amount $ DBE Site Preparation $35,000 $33,000 Paving $0 $0 Electrical $513,400 $0 Structures $25,400 $0 Miscellaneous $30,200 $30,200 --------------- ------------ TOTAL $604,000 $63,200 12/03/91 CALCULATIONS: Project 1 Project 2 Project 3 Project 4 Project 5 Project 6 Overall DBE Goal = PART I (Con't) $ Amount $668,000 $0 $0 $0 $0 $0 $668,000 $62,280 $601,200 Federal $ DBE Share % $69,200 X 90% $0 X 0% $0 X 0% $0 X 0% $0 X 0% $0 X 0% ------------ $69,200 10.36% f DOCUNENTATION OF ACCONPLISHNENTS AND/OR WOO FAITH EFFORTS Airport Sponsor: TOWN OF SOUTHOLD, NEW YORK 211 Name of Preparer:Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/90 Thru 9/30/91 Project Title: Airfield Lighting Federal Share: 90% $ Prime $ DBE Design: Calocerinos & Spina Engineers, P.C. $59,389 Pavement Evaluation $59,147 TOTAL Project Title: Federal Share: Design Inspection Construction TOTAL Project Title: Federal Share: Design TOTAL ACCOMPLISHMENT FOR GOAL PERIOD Total DBE x Federal Shares: Divided by Total Prime x Federal Shares: 11/27/91 ------------- ---------- $118,536 $0 $ Prime $ DBE ------------- ---------- $0 $0 $ Prime $ DBE ------------- ---------- $0 $0 $0 ------------- $106,682 0% E 1 L-A JUNE 12, 1991 ELIZABETH FIELD AIRPORT AIRFIELD LIGHTING AND PAVEMENT STUDY FILE NUMBER:211.004 SUMMARY PHONE NUMBER r SURVEYOR BID AMOUNT 1. CHANDLER PARKER & KING $9,728.00 203-889-3397 2. * I.J.HANDA P.C. $19,400.00 3. * J.K. ENGINEERING P.C. NO RESPONSE 4. WILLIAM SEYMOUR P.C. DECLINED 203-656-2143 5. 6. 7. 8. 9. * INDICATES DBE FIRM 10. 11. 12. 13. 14. 15. 16. 17. 18. SURSUMM Page 1 06/12/91 a ELIZABETH FIELD AIRPORT ICalocerinos I Spina IPROFESSI4 SERVICES ITESTWELL CRAIG LAB. (CME ASSOCIATES INC. IENVIRONMENTAL ASSOCIATIWESTON INC. I AIRFIELD LIGHTING AND (Engineers, P.C. INDUSTRIES (CONNECTICUT INC. 1492 CENTER ROAD 12 RESEARCH DRIVE ISALMON BROOK CORP.PARKI PAVEMENT STUDY 11020 7th Nth St. INORTHEASTERN IP.O. BOX 2418 IWOODSTOCK CT 06281 ISTRAFORD CT 06497 1655 WINDING BROOK DR 1 211.004 (Liverpool, N.Y. 130881ROUTE 2 BOX 655 IDANBURY CT 06813 1 1 (GLASTONBURY CT 06033 1 (Engineers Estimate IWHITEFIELD NH 03598 1 I 1 1 1 1 ITEM I I UNIT I TOTAL I UNIT TOTAL I UNIT I TOTAL I UNIT TOTAL I I I I UNIT TOTAL I UNIT TOTAL I NO. FIELD TEST DESCRIPTION OTY UNITS I PRICE PRICE I PRICE PRICE I PRICE PRICE I PRICE PRICE I PRICE PRICE I PRICE PRICE I 1 MOBILIZATION - - I LS 162,500.00 $2,500.00 1 $1,000.00 $1,000.00 1 {2,300.00 $2,300.00 I DECLINED I DECLINED - I DECLINED 1 2 PAVEMENT CORES 20 EACH 1 $75.00 $1,500.00 1 $125.60 $2,500.00 1 $90.N $1,800.00 1 1 1 1 3 CONTINLpUS SAMPLING 210 LF 1 $20.00 $4,200.00 1 $10.000 $2,100.00 1 112.00 $2,520.00 1 1 1 I 4 OBSERVATION WELL. 10 LF 1 115.00 $150.00 1 $10.00 $100.00 1 $10.00 $100.00 1 1 5 TEST PITS 6 EACH 1 $350.00 12,100.08 1 $100.00 $600.00 1 1316.00 11,896.00 1 1 1 I 6 FIELD CBR'S 6 EACH 1 $350.00 $2,100.00 1 1200.00 $1,200.00 1 $450.00 $2,700.08 I 1 I 1 7 IN PLACE DENSITY TESTS 6 EACH 1 $40.00 1240.00 1 $50.00 1300.00 1 $5.00 $30.00 1 1 I 1 8 ENGINEERING AIDE 0 HRS. 1 $0.00 10.00 1 $0.00 $0.00 1 $0.00 $6.00 1 1 I 1 9 GEOTECHNICAL. ENGINEER B HRS. I $0.00 $0.00 1 $0.00 $0.00 1 $0.00 $6.00 1 1 I 1 10 PROFESSIONAL ENGINEER 0 HR. 1 $0.00 $8.00 1 $0.00 $0.00 1 $0.60 $0.00 1 1 I 1 11 WELL ROAD BOX l CASING PROTR 10 EACH 1 $6.00 $0.00 1 $75.00 $750.00 1 $6.00 $0.00 1 1 I 1 Total Estimated Field Test Cost $12,790.00 18,550.00 $11,346.00 $6.00 $0.00 $0.00 ITE11 I UNIT TOTAL I UNIT TOTAL I UNIT TOTAL I UNIT TOTAL I UNIT TOTAL I UNIT TOTAL I NO. LABORATORY TEST DESCRIPTION OTY UNITS I PRICE PRICE I PRICE PRICE 1 PRICE PRICE I PRICE PRICE I PRICE PRICE I PRICE PRICE I C -- - --- -- ---- -------------------------- - -------------------------------------- 1 MECHANICAL ANALYSIS 6 EACH 1 $40.00 1240.00 1 150.80 $300.00 1 $110.00 $660.00 I 1 I 1 2 LAB PROCTORS 6 EACH 1 $100.00 $600.00 1 $80.00 1480.00 1 $85.00 $510.00 1 1 1 1 3 SOAKED LAB. CBR (1 -POINT) 3 EACH I $150.00 $450.00 1 $200.00 $600.00 1 1150.00 $450.00 1 1 1 1 4 SOAKED LAB. CBR (3 -POINT) 2 EACH 1 $350.00 $700.00 1 1425.00 $852.00 1 1450.00 $900.00 1 1 1 1 5 ATTERBERG LIMITS 6 EACH 1 $66.00 1360.00 1 $75.00 $450.00 1 150.00 $300.00 1 1 I I 1 6 NATURAL MOISTURE CONTENTS 15 EACH 1 (18.00 $150.00 1 $15.00 $225.00 1 $55.00 $825.00 1 1 I I 7 HYROMETER ANALYSIS 3 EACH 1 $68.08 $180.00 1 $100.00 $300.00 1 $55.00 $165.00 1 1 I I ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 1 Total Estimated Lab. Test Cost $2,680.00 13,205.00 13,610.00 $0.00 $0.00 10.00 Total Estimated Program Cost $15,470.00 $11,755.00 $15,156.00 $0.00 $0.00 $0.00 a JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD January 25, 1991 Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 Sheila M. Farley, Grants Administrator Calocerinos S Spina Engineers, P.C. 1020 Seventh North Street - Liverpool, New York 13088-6199 Re: Fishers Island - Elizabeth Airport FY -91 DBE Goal Dear Ms. Farley: Transmitted herewith is a letter received by Supervisor Harris concerning the DBE goal for FAA assisted projects which we are certain is of interest to you. 0 Very truly yours, Judith T. Terry Southold Town Clerk Enclosure . OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD January 25, 1991 Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 Sheila M. Farley, Grants Administrator Calocerinos S Spina Engineers, P.C. 1020 Seventh North Street - Liverpool, New York 13088-6199 Re: Fishers Island - Elizabeth Airport FY -91 DBE Goal Dear Ms. Farley: Transmitted herewith is a letter received by Supervisor Harris concerning the DBE goal for FAA assisted projects which we are certain is of interest to you. 0 Very truly yours, Judith T. Terry Southold Town Clerk Enclosure 0 Obw U.S. Department of Transportation Federal Aviation Administration JAN 18 1991 Mr. Scott L. Harris Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Dear Mr. Harris: Eastern Region JAN 2 51991 Fitzgerald Federal Building John F. Kennedy International Airport Jamaica. New York 11430 We received your addendum transmitted to this office by letter dated November 27, 1990, indicating that an overall Disadvantaged Business Enterprise (DBE) goal for FAA - assisted projects and leasing is not required at your airport(s): Accordingly, we are approving your DBE program for the period October 1, 1990 through September 30, 1991. Please note that if, at any time during this period, you receive an FAA grant which requires you to set a DBE goal for FAA assisted projects you must submit a revised program update to our office for approval as soon as possible. You are also required to submit an updated leasing goal during this period, if there is a change in your leasing activity. Since an update of your DBE program is required annually, please submit your updated program no later than September 1, 1991, to ensure our timely review. If we can be of further assistance, please feel free to contact Mr. ?Murray Gottlieb of this office, on (718) 917-1149. Sincerely, GG%Z� Sanida McRae Civil Rights Officer SCOTT L. HARRIS SUPERVISOR FAX (516) 765 - 1823 TELEPHONE (516) 765 - 1800 OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD November 27, 1990 Ms. Sanida McRae Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy Int'1 Airport Jamaica, New York 11430 Dear Ms. McRae: Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Re: Town of Southold Fishers Island, New York FY91 DBE Goal Update The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island -Elizabeth Airport is enclosed for your review and approval. Also enclosed z is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have not been established because no contracts are expected to be signed during the goal period which require the setting of goals. Leasing goals again have not been added due to the lack of significant leasing activity. If you require any further information, please do not hesitate to contact us. Very truly yours, X Mr. Scott L. Harris Town Supervisor cc: Sheila M. Farley JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE SOUTHOLD TOWN BOARD AT A REGULAR MEETING HELD ON NOVEMBER 27, 1990: RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott L. Harris to execute a Report of Disadvantaged Business Enterprise (DBE) Accomplishments for Fishers Island -Elizabeth Airport, all in accordance with the recommendation of the Town's Engineers for the Elizabeth Airport - Calocerinos & Spina. i.�Judith T. Terry Southold Town Clerk November 29, 1990 s November 20, 1990 Mr. Scott L. Harris Town Supervisor Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Re: Fisher's Island -Elizabeth Airport FY -91 DBE Goal Update File: 211. Dear Mr. Harris: Enclosed for your review is a copy of Town of Southold's DBE Goal Update which is required by the Federal Aviation Administration of federal funds recipients. If the information meets with your approval, please forward the entire package to Sandia McRae at the FAA Office of Civil Rights. A sample letter to be typed on official letterhead, and a mailing label to the Office of Civil Rights are enclosed for your convenience. DOT Form 4630, Report of DBE Goal Accomplishments has been completed, and is also enclosed for submittal. As requested by the Office of Civil Rights, the amount submitted reflects only the Federal share of FAA assisted contracts. If you have any questions or need additional information, please do not hesitate to contact us. Enclosure Very truly yours, CALOCERINOS & SPINA ENGINEERS, P.C. Sheila M. Farley Grants Administrator Ms. Sanida McRae Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy Int'l Airport Jamaica, New York 11430 Re: Town of Southold Fishers Island, New York FY91 DBE Goal Update Dear Ms. McRae: The annual goal update for the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island -Elizabeth Airport is enclosed for your review and approval. Also enclosed is the completed DOT Form 4630, Report of DBE Goal Accomplishments. The overall participation goals for Disadvantaged Business Enterprise (DBE) firms have not been established because no contracts are expected to be signed during the goal period which require the setting of goals. Leasing goals again have not been added due to the lack of significant leasing activity. If you require any further information, please do not hesitate to contact us. Very truly yours, Mr. Scott L. Harris Town Supervisor cc: Sheila M. Farley REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor Town of Southold 2. Name of Airport --Vishers--TZra--n-d--Elizabettirpor 3. Name of Preparer Telephone No. (31S).455-7981 4. Goal Period: From 10/1/89 To 9/30/90 5. Approved Overall DBE Goal __.a_% 6. AIP Project No. (s) 3-36-0029-03-90 7. Total Prime Contracts Awarded to all Contractors .................. S. Total Prime Contracts Awarded to DBE's ........................... 9. Total Subcontracts Awarded to DBE's by non -DBE Prime Contractors.. 10. Total Prime and Subcontracts Awarded to DBE's (sun of Items S. and 9.) ......................... 11. 10(b) Divided by 7(b) ___.L_% = Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number Women Total DBE (a) Professional/Consultant Services ..... (1) Engineering ...................... (2) Architectural .................... (3) Consultants ...................... (4) Testing .......................... (5) Other .......................... (b) Construction ......................... (1) Grading/Drainage ................. (2) Paving ........................... (3) Structures/Buildings ............. (4) Landscaping ...................... (5) Electrical ....................... (6) Trucking ......................... (7) Painting ......................... 1 (8) Fencing .......................... (9) Other :.......... .... .... ......... (c) Supplies ............................. (1) Electrical ....................... (2) Other ............................ (d) Equipment ............................ (1) Leasing .......................... (2) Purchasing ....................... Total .................................... 1 (a) Number (b) $Value 4 $242,918 1 $ 16,200 1 $ 16,200 $ Value Women Total DBE $16,200 16,200 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number $ Value Black Americans ............................. - - -- - Hispanic Americans ................ 1....... Native Americans .......................... Asian -Indian Americana ........:..::..._._.:.__ ----- Asian-Pacific Americans ................... Women (that are not included above) ....... Other Disadvantaged Total DBE ................................... The Public reporting burden for this collection of Information Is estimated to average one hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direct your comments to OMB and the DOT at the following addresses: ' Office of Management and Budget U.S. DOT/OST/OSDBU, S-42 I Paperwork Reduction Project (2105-0510) tnd 400 Seventh Street, S.W. Washington, OC 20503 Washington, DC 20590 L'vI r wsuR109) AS modified for ease of use by FAA teelptents. CHB Awroval No. 2105-0510 (E!Kpi.res 6-30-91) REPORT OF DBE GOAL ACCOMPLISHMENTS (Instructions) DOT Form 4630 must be submitted annually by each sponsor having an approved DBE program. The form should be submitted to the FAA Regional Civil Rights Staff With the updated DBE goal information. The form should reflect contract awards that were made during the period covered by --the sponsor's previously approved overall DBE goal. For some sponsors, this period may be the Federal fiscal year, while for others, a different 12 -month period. Sponsors of more than one airport should submit a separate report fo'r each obligated location. Use this form to report all FAA -assisted contract awards covered by the DBE program, including professional and consultant services, construction, supplies, and vehicles and equipment. DO NOT REPORT: (1) FAA -assisted contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIP)); (3) AIP grant funds used for "force account" or for other noncontractual work. While land purchases are not reported, all other contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. Name of Airport. 3. Name and telephone number of person who prepared report. _ 4. The beginning and ending dates of the goal period for which the report is submitted. S. The sponsor's approved overall DBE goal- for the period indicated in item 4. 6. The AIP project number(s) for the prime and subcontracts reported in item 7 and item 9. 7. -The total number and dollar value of all prime contracts awarded during the goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's. 9. The total number and dollar value of subcontracts awarded to DBE's by non -DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in 10(b) by the dollar value in 7(b) to obtain the actual DBE percentage participation for the goal period. 12. This is a breakout of the prime and subcontracts reported in item 10 by type of work performed by the DBE's. Indicate number and dollar value of awards tQ women -owned firms under category designated "Women." Indicbte number and value -of awards to all -DBE: firms$ including women -owned, under category designated "Total DBE." If the contract involves more than one type of work, report only the predominant type based on cost. 13. This is a breakout of the prime and subcontract awards to DBE's reported in item 10 by the disadvantaged group of the firms' owners. The category "Other Disadvantaged" refers to DBE's owned and operated by individuals who have been determined by the sponsor on a case-by-case basis to be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in 49 CFR 2:1.62, as amended on October 21, 1987 and May 23, 1988. In the case of split ownership by two or more disadvantaged individuals, the DBE participation should be reported forlthe group which owns the largest share. If the ownership is equal, the DBE participation should be reported for the group which is listed first on the form. UPDATED GOAL INFORMATION Airport Sponsor: TOWN OF SOUTHOLD Client No. 211 Airport Location: FISHER'S ISLAND, NEW YORK Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/90 Thru 9/30/91 Part I: Overall DBE Goal for FAA Assisted Projects Check one: [XX] An overall DBE goal IS NOT required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. An overall DBE goal is required. The DBE goal methodology is attached. Part II: Leasing Goals and Methodology Estimated Date Description Gross Lease Lessee of Lease Receipts Begins NONE Totals Date Lease % Joint Expires MBE WBE Venture This Year's Leasing Goals: DBE: O% Narrative Description of Leasing Goal Methodology: No leasing facilities currently exist at Fisher's Island -Elizabeth Airport, nor are leases expected to be signed during the goal period. Explanation for Not Increasing Goal Above Previous Year's Level: No leasing facilities exist. Last Year's Leasing Goals: DBE: 0% Last Year's Leasing Goal Accomplishments: DBE: 0% Explanation for Not Achieving Last Year's Leasing Goals: No leasing goals were developed for last year. PART I (Con't) Previous Year's Goals: DBE: O. Previous Year's Accomplishments: DBE: OYe Explanation for Not Achieving Previous Year's Goals: Contracts were signed during the previous year's goal period. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: No contracts are expected to be signed which require the setting of goals for the current goal period. Narrative Description of Overall DBE Goal Methodology: (1) Recruiting Areas No recruiting will be done during the goal period. (2) Additional Projects Expected during goal period No additional projects are expected to be started during the goal period. FALVEY CON—rRUC-r I ON c_'OrzPORAT I ON P. O. Box 699 Killingworth, CT 06417 Tel. 203-663-1695 Fax 201-663-2719 Calocerinos & Spina, P.C. 1020 7th North Street Liverpool, New York 13088 Attention: Jim Leana September 5, 1990 Ref: Obstruction Removal & Lighting Elizabeth Field Airport Fishers Island, NY FAA AIP No. 3-36-0029-03-90 In reference to the above project, please be notified that we intend to use Brown's Strip- ing Company as a DBE contractor to perform the runway and taxiway painting in Item P-620 for the contract amount of $18,000.00 Sincerely, n' Q. Donald J. Falvey President DJF/nja HC 89d WI /79) NE►. .ORK STATE DEPARTMENT OF TRANSPOR ,ATION APPROVAL OF SUBCONTRACTOR Contract No. C lunty_� .CJv,1i1�_i1i F.A. Project No. Page No. 1 Date Submitted 01�>0 ,t of -2-0 O Contractor Name and Address (inclde zi code) pp e T,rvc.kl AC.r /tMf.. Subcontractor Name and Address (include zip code) $(Minority WBS. �r'Ovr.M�S ❑ Non -Minority' ?o �J 0. law -0C -T 04411 Cr A Tel. No. (include area codel:� (� Tel. No, (include area c el: Federal Identification No.5� (y3 The Contractor shall inform the Engineer in Charge, who will note Est. Beginning Date Est. Completion Date in the oroiect diary, the dates when the Subcontractor starts and (Mo. & Yr.) (Mo. & Yr.) completes all work under the subcontract. When work performed by the Subcontractor is included in an estimate for payment, 'A Minority Business Enterprise (MBE) is a small business with at labor affidavits. etc., are to be subm i "ed in the same manner and least 51% ownership by one or more socially and economically number as required of the Prime Contractor, disadvantaged individuals. (See Instructions for full definition) This approval will be rescinded at any time in the progress of the work if performance by the Subcontractor is determined unsatisfactory. No work shall be started by the Subcontractor prior to filing the required insurances. The Contractor and Subcontractor hereby certify that the sub i t conte va pertinent provisions of the prime contract in regard to Federal and State Laws a Regulations. Sigtur C, Signature - �D Contractor contractor ate Dati AMOUNT Item No. and Name Specialty Non -Specialty 000007 aV7�*V--� Onginal 1 otai Contract Price Less Specialty Items) S000 TOTAL Percent of Original Total Contract Price (above) approved this date % Percent of Original Total Contract Price previously approved % Percent of Original Total Contract Price approved to date d ° The Subcontractor named above is authorized to perform work on the above noted contract and is approved for the items and in the amounts fisted herein. However, this subcontract shall be of no force and effect until approved below. { Approved fcr Regional Director by (Name and Title) Region Date Approved ApprOra' ;vo. JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER ..-,� 1 9i OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD October 5, 1990 Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1801 James W. Leana, Assistant Engineer Calocerinos S Spina Engineers, P.C. 1020 Seventh North Street Liverpool, New York 13088 Dear Jim: Enclosed is correspondence from Sanida McRae, Civil Rights Officer, Federal Aviation Administration, transmitting the "Report of DBE Goal Accomplishments" with respect to the Elizabeth Airport project. Please send me a copy of the completed report when it is filed. Thank you. Very truly yours, Judith T. Terry Southold Town Clerk Enclosure US Department of Transportation Federal Aviation Administration OCT 3 1990 Dear Airport Sponsor: !T Ea4ern Region Fitzgerald Federal Building John F. Kennedy International Airport Jamaica. New York 11430 As you know, DOT Form 4630 (enclosed) is used to report awards of FAA - assisted contracts to disadvantaged businesses. This letter is to remind you that the report covering fiscal year 1990 (10/1/89 - 9/30/90) should be submitted to us no later than October 30, 1990. As we requested in previous letters, you should report only the federal share of FAA - assisted contracts in Items 7,8,9,10,11,12 and 13. Also, please indicate funds awarded to Women Business Enterprises (WBE's) under the WBE heading rather than in the DBE category. Your report should reflect those contracts covered by your DBE program. All contracts assisted by FAA under the airport grant program (AIP); including awards that are based on grants executed in previous years, should be included. Also, contracts associated with land acquisition projects; e.g., real estate appraisals, surveyors, etc., should be included. Do not report contracts that are solely for the purchase of land. Also, exclude from the report any funds you received under an FAA grant when your employees performed the work under the project or a portion of the project referred to as a "force account". Finally, if there was no AIP funded contracting activity during this time period, a negative report is required. If you have any questions, feel free to contact Mr. Murray Gottlieb on (718) 917-1149. Sincerely, A� l anida McRae Civil Rights Officer Enclosure 11 REPORT OF DBE GOAL ACCOMPLISHMENTS 1. Name of Sponsor 2. Name of Airport 3. Name of Preparer Telephone No. ( ) 4. Goal Period: From To 5. Approved Overall DBE Goal _ % 6. AIP Project No -(s) (a) Number (b) $Value 7. Total Prime Contracts Awarded to all Contractors .................. 8. Total Prime Contracts Awarded to DBE's ......... ................ 9. Total Subcontracts Awarded to DBE's by non -DBS Prime Contractors.. 10. Total Prime and Subcontracts Awarded to DBE's (sum of Items 8. and 90 ............ .. . .... _ 11. 10(b) Divided by 7(b) _ Actual DBE Participation 12. DBE Prime and Subcontract Awards by Type of Work: Number $ Value Women Total DBE Women Total DBE (a) Professional/Consultant Services ..... (1) Engineering ...................... (2) Architectural .................... (3) Consultants ...................... (4) Testing .......................... (5) Other .......................... (b) Construction ........................ (1) Grading/Drainage ................. _ (2) Paving ........................... (3) Structures/Buildings ............. (4) Landscaping ...................... (5) Electrical ....................... (6) Trucking ......................... _ (7) Painting (8) Fencing .......................... (9) Other ............................ (c) Supplies (1) Electrical ....................... (2) Other ............................ (d) Equipment - (1) Leasing ......................... (2) Purchasing ....................... Total .................................... 13. DBE Prime and Subcontract Awards by Disadvantaged Group: Number S value Black Americans .........................:. -- - Hispanic Americans ........................ Native Americans .......................... Asian -Indian Americans ... -- Asian -Pacific Americans ................... Women (that are not included above) Other Disadvantaged ....................... Total DBE ................................... The Public reporting burden for this collection of Information is estimated to average one hour per response. If you wish to comment on the accuracy of the estimate or make suggestions for reducing this burden, please direct your comments to OMB and the DOT at the following addresses: Office of Management and Budget U.S. DOT/OST/OSDBU, S-42 1 Paperwork Reduction Project (2105.0510) and 400 Seventh Street, S.W. Washington, DC 20503 Washington, DC 20590 uv i r Soso rz / 89) AS i" I tiec! for ease of use by FAA trecipients . CM Approval No. 2105-0510 (Expires 6-30-41) REPORT OF DBE GOAL ACCOMPLISHMENTS (Instructions) DOT Form 4630 must be submitted annually by each sponsor having an approved DBE program. The form should be submitted to the FAA Regional Civil Rights Staff with the updated DBE goal information. The form should reflect contract awards that were made during the period covered by the sponsor's previously approved overall DBE goal. For some sponsors, this period may be the Federal fiscal year, while for others, a different 12 -month period. Sponsors of more than one airport should submit a separate report for each obligated location. Use this form to report all FAA -assisted contract awards covered by the DBE program, including professional and consultant services, construction, supplies, and vehicles and equipment. DO NOT REPORT: (1) FAA -assisted contracts to purchase land; (2) Non -Federal contracts (those not assisted by the FAA's Airport Improvement Program (AIP)); (3) AIP grant funds used for "force account" or for other noncontractual work. 'While land purchases are not reported, all other contracts let under land acquisition projects, such as for appraisal and survey, are to be reported. When the dollar value of a contract is requested, report the Federal (FAA) share only; do not include any state or local matching funds. Round all values to the nearest dollar. 1. Name of the sponsor. 2. Name of Airport. 3. Name and telephone number of person who prepared report. 4. The beginning and ending dates of the goal period for which the report is submitted. 5. The sponsor's approved overall DBE goal- for the period indicated in item 4. 6. The AIP project number(s) for the prime and subcontracts reported .in item 7 and item 9. 7. -The total number and dollar value of all prime contracts awarded during the goal period. 8. The number and dollar value of prime contracts reported in item 7 that were awarded to DBE's. 9. The total number and dollar value of subcontracts awarded to DBE's by non -DBE prime contractors during the goal period. Report only those subcontracts actually executed during the goal period, regardless of when the prime contract was awarded. 10. This is the sum of the prime and subcontracts to DBE's reported in items 8 and 9. 11. Divide the dollar value in 10(b) by the dollar value in 7(b) to obtain the actual DBE percentage participation for the goal period. 12. This is a breakout of the prime and subcontracts reported in item 10 by type of work performed by the DBE's. Indicate number and dollar value of awards to women -owned firms under category designated "Women.* Indican a number and value of awards to all DBE firms; including women -owned, under category designated "Total DBE." If the contract involves more than one type of work, report only the predominant type based on cost. 13. This is a breakout of the prime and subcontract awards to DBE's reported in item 10 by the disadvantaged group of the firms' owners. The category "Other Disadvantaged" refers to DBE's owned and operated by individuals who have been determined by the sponsor on a case-by-case basis to be socially and economically disadvantaged. The definitions of the disadvantaged groups are found in 49 CFR 23.62, as amended on October 21, 1987 and May 23, 1988. In the case of split ownership by two or more disadvantaged individuals, the DBE participation should be reported for,the group which owns the largest share. If the ownership is equal, the DBE participation should be reported for the group which is listed first on the form. Dear Airport Sponsor: The FAA has recently established of precertification procedures by disadvantaged business enterprise of this letter is to outline the wish to adopt these procedures as a policy regarding the use recipients having approved (DBE) programs. The purpose steps required in the event -you part of your DBE program. As used here, "precertification" means that as the recipient, you may require a firm applying for certification to submit its Schedule A and/or B or other application form prior to when the firm is named as a potential DBE prime or subcontractor in a bid for a DOT -assisted contract. We recognize that Section 23.51(b) of the U.S. Department of Transportation's (DOT) regulations 49 CFR Part 23 states that, "A business seeking certification as an MBB (DBE) shall submit the required schedules with its bid or proposal for transmission to the contracting agency involved." (Emphasis added.) However, the FAA's Office of the Chief Counsel has advised us that Section 23.51(c) of the regulations provides flexibility in the certification process and serves as a basis for allowing recipients to employ precertification. Under Section 23.51(c), a recipient may establish a different certification process if the DOT determines it to be as or more effective than the one required by the regulations. Furthermore, Section 23.51(c) may be used to approve the use of precertification on the part of a recipient that accepts the certifications made by another DOT recipient, in accordance with Section 23.45(f)(1). It is our understanding that the (FHWA) permits its recipients to such procedures have proven to be recipients to conduct a thorough eligibility. Federal Highway Administration use precertification and that beneficial since they allow investigation of a firm's We emphasize, however, that you are not required to adopt precertification procedures. Some recipients have told us that they wish to certify only those firms named in bids, and this is acceptable. Prior to employing precertification, you must obtain written approval from our office. Please -notify us in writing of your desire to precertify, if that is the case. We have established the conditions listed below as ones that must be met before we can give approval. Therefore, each of them should be addressed in your submission: (1) Precertification may not be used to enforce a local geographical preference in the evaluation of bids or proposals for DOT -assisted contracting, since such preference is prohibited by DOT regulations at 49 CFR 18.36(c)(2). (2) You must give potential DBE's notice of the precertification procedures sufficiently in advance of DOT - assisted projects to allow you to make an eligibility determination. For example, if it ordinarily requires 4 weeks to certify a firm, notice must be given at least 4 weeks in advance of the time bids are due. Such notices or advertisements must be provided in the geographical area in which you seek DBE's. Notifications must be included in the following mechanisms, as applicable: (a) In outreach materials and presentations that you make as part of your DBE program. (b) At pre-bid conferences for DOT -assisted projects and in the solicitation documents. -- (c) In annual Requests for Qualifications (RFQ) that you may issue. (d) In annual announcements specifically for the purpose of advising DBE's of the precertification requirement. Should you have any questions or need additional information, please contact Mr. Murray Gottlieb of this office on (718)917-1149. Sincerely, Sanida McRae Civil Rights Officer t t SCOTT L. HARRIS SUPERVISOR FAX (516) 765 - 1823 TELEPHONE (516) 765 - 1800 OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD April 13, 1990 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy International Airport Jamaica, New York 11430 Re: Fishers Island -Elizabeth Field Town of Southold FY -90 DBE Program Update Dear Mr. Gottlieb: Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Enclosed please find a copy of the annual update of the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island -Elizabeth Field. The Town of Southold has reviewed their present DBE Program, and determined that no significant revision is necessary at this time. Overall DBE goals havie not been established because the town does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. Leasing goals have not been determined due to the lack of significant leasing activity. If you require any further information, please do not hesitate to contact us. Very truly yojjrs, Scott Louis Harris Southold Town Supervisor Enclosure cc: Calocerinos & Spina Engineers, P.C. Mr. Robert P. Knauff UPDATED GOAL INFORMATION Airport Sponsor: FISHER'S ISLAND -ELIZABETH FIELD Client No. 211 Airport Location: SOUTHOLD, NEW YORK Name of Preparer: Sheila M. Farley Tel. No.: (315) 455-7981 Goal Period: 10/1/89 Thru 9/30/90 Part I: Overall DBE Goal for FAA Assisted Projects Check one: [XX] An overall DBE goal IS NOT required because the airport sponsor does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. An overall DBE goal is required. The DBE goal methodology is attached. Part II: Leasing Goals and Methodology Estimated Date Date Description Gross Lease Lease % Joint Lessee of Lease Receipts Begins Expires MBE WBE Venture NONE Totals This Year's Leasing Goals: DBE: 0% Narrative Description of Leasing Goal Methodology: No leasing facilities currently exist at Fisher's Island -Elizabeth Field Airport, nor are leases expected to be signed during the goal period. Explanation for Not Increasing Goal Above Previous Year's Level: No leasing facilities exist. l Last Year's Leasing Goals: MBE: 0% WBE: 0% Explanation for Not Achieving Last Year's Leasing Goals: No leasing goals were developed for last year. PART I (Con't) Previous Year's Goals: DBE: 10% Previous Year's Accomplishments: DBE: 0% Explanation for Not Achieving Previous Year's Goals: No contracts were signed during the previous year's goal period. Explanation for Not Increasing Goal Above Previous Year's Accomplishments: No contracts are expected to be signed which require the setting of goals for the current goal period. Narrative Description of Overall DBE Goal Methodology: (1) Recruiting Areas No recruiting will be done during the goal period. (2) Additional Projects Expected during goal period No additional projects are expected to be started during the goal period. JUDITH T. TERRY TOWN CLERK REGISTRAR OF VITAL STATISTICS o �► OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 FAX (516) 765-1823 TELEPHONE (516) 765-1801 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE SOUTHOLD TOWN BOARD AT A REGULAR MEETING HELD ON APRIL 10, 1990: RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott L. Harris to transmit a copy of the Town of Southold's Disadvantaged Business Enterprise (DBE) Program for Fishers Island -Elizabeth Field; the Town of Southold has reviewed their present DBE Program, and has determined that no significant revision is necessary at this time. Judith T. Terry Southold Town Clerk April 12, 1990 C(__ Calocerinos & Spina Engineers, P.C. Mr. Scott Harris Town of Southold Town Hall, 53095 Main Road P.O. Box 1179 ":ew York 11971 Dear Mr. Harris: March 28, 1990 Re: Fisher's Island -Elizabeth Field Town of Southold FY -90 DBE Program Update File: 211 Enclosed for your review and submittal to the Federal Aviation Administration Office of Civil Rights is a copy of the updated goals for the Town of Southold's DBE Program which is required by the FAA before the town can be considered for FY -90 Federal Funds. I have enclosed a sample letter to be typed on town stationery to the FAA for the goal submittal. If the updated program meets with the town's approval, please forward the entire package to the FAA. If you have any questions in the meantime, please do not hesitate to contact us. Very truly yours, CALOCERINOS & SPINA ENGINEERS, P.C. Sheila M. Farley Grants Administrator Enclosure cc: Robert P. Knauff 1020 Seventh North Street, Liverpool, NY 13088 (315) 457-6711 SAMPLE March 28, 1990 Mr. Murray Gottlieb Civil Rights Officer Federal Aviation Administration Fitzgerald Federal Building John F. Kennedy Interantional Airport Jamaica, New York 11430 Re: Fishers's Island -Elizabeth Field Town of Southold FY -90 DBE Program Update Dear Mr. Gottlieb: Enclosed please find a copy of the annual update of the Town of Southold's Disavantaged Business Enterprise (DBE) Program for Fisher's Island -Elizabeth Field. The Town of Southold has reviewed their present DBE Program, and determined that no significant revision is necessary at this time. Overall DBE goals have not been established because the town does not plan to award any contracts during the goal period based on an FAA grant that exceeds the amount which requires the setting of a DBE goal. Leasing goals have not been determined due to the lack of significant leasing activity. If you require any further information, please do not hesitate to contact US. Very truly yours, Scott Harris Town Supervisor Enclosure cc: Calocerinos & Spina Engineers, P.C. Mr. Robert P. Knauff