[Code of Federal Regulations] [Title 49, Volume 1] [Revised as of October 1, 2003] From the U.S. Government Printing Office via GPO Access [CITE: 49CFR23.109] [Page 197-199] TITLE 49--TRANSPORTATION Subtitle A--Office of the Secretary of Transportation PART 23_PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISE IN AIRPORT CONCESSIONS --Table of Contents Subpart F_Implementation of Section 511(a)(17) of the Airport and Airway Improvement Act of 1982, as Amended Sec. 23.109 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 1982, as amended. Appendix A to Subpart F of Part 23--Size Standards for Airport Concessionaires Maximum Average Annual Gross Receipts in Preceding 3 Years [In millions of dollars] ------------------------------------------------------------------------ Concession Amount ------------------------------------------------------------------------ Food and beverage.......................................... 30.00 Book stores................................................ 30.00 Auto rental................................................ 40.00 Banks...................................................... \1\ 100.00 Hotels and motels.......................................... 30.00 Insurance machines and counters............................ 30.00 Gift, novelty, and souvenir shop........................... 30.00 Newstands.................................................. 30.00 Shoe shine stands.......................................... 30.00 Barber shops............................................... 30.00 Automobile parking......................................... 30.00 Jewelry stores............................................. 30.00 Liquor stores.............................................. 30.00 Travel agencies............................................ 30.00 Drug stores................................................ 30.00 Pastries and baked goods................................... 30.00 Luggage cart rental........................................ 30.00 Coin-operated T.V.'s....................................... 30.00 Game rooms................................................. 30.00 Luggage and leather goods stores........................... 30.00 Candy, nut, and confectionery stores....................... 30.00 Toy stores................................................. 30.00 Beauty shops............................................... 30.00 Vending machines........................................... 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............................................. \2\1,500 Gambling machines.......................................... 30.00 Other concessions not shown above.......................... 30.00 ------------------------------------------------------------------------ \1\ As measured by total assets \2\ As measured by number of employees. Schedule A to Part 23--Information for Determining Minority Business Enterprise Eligibility 1. Name of firm________________________________________________________ 2. Address of firm_____________________________________________________ 3. Phone Number of firm________________________________________________ 4. Indicate whether firm is sole proprietorship, partnership, joint venture, corporation or other business entity (please specify)__________ --______________________________________________________________________ 5. Nature of firm's business___________________________________________ 6. Years firm has been in business_____________________________________ 7. Ownership of firm: Identify those who own 5 percent or more of the firm's ownership. Columns e and f need be filled out only if the firm is less than 100 percent minority owned. ---------------------------------------------------------------------------------------------------------------- d--Years of e--Ownership f--Voting a--Name b--Race c--Sex ownership percentage percentage ---------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------- With firms less than 100 percent minority owned, list the contributions of money, equipment, real estate, or expertise of each of the owners. 8. Control of firm: (a) Identify by name, race, sex, and title in the firm those individuals (including owners and non-owners) who are responsible for day-to-day management and policy decisionmaking, including, but not limited to, those with prime responsibility for: (1) Financial decisions________________________________________________ (2) Management decisions, such as-- a. Estimating__________________________________________________________ b. Marketing and sales_________________________________________________ c. Hiring and firing of management personnel___________________________ d. Purchases of major items or supplies________________________________ (3) Supervision of field operations____________________________________ 9. For each of those listed in question 8, provide a brief summary of the person's experience and number of years with the firm, indicating the person's qualifications for the responsibilities given him or her. 10. Describe or attach a copy of any stock options or other ownership options that are outstanding, and any agreements between [[Page 198]] owners or between owners and third parties which restrict ownership or control of minority owners. 11. Identify any owner (see item 7) or management official (see item 8) of the named firm who is or has been an employee of another firm that has an ownership interest in or a present business relationship with the named firm. Present business relationships include shared space, equipment, financing, or employees as well as both firms having some of the same owners. 12. What are the gross receipts of the firm for each of the last two years? Year ending_____________________________________________________________ $_______________________________________________________________________ Year ending_____________________________________________________________ $_______________________________________________________________________ 13. Name of bonding company, if any:___________________________________ --______________________________________________________________________ Bonding limit___________________________________________________________ Source of letters of credit, if any_____________________________________ 14. Are you authorized to do business in the state as well as locally, including all necessary business licenses? 15. Indicate if this firm or other firms with any of the same officers have previously received or been denied certification or participation as an MBE and describe the circumstances. Indicate the name of the certifying authority and the date of such certification or denial. Affidavit ``The undersigned swears that the foregoing statements are true and correct and include all material information necessary to identify and explain the operations of ---------- (name of firm) as well as the ownership thereof. Further, the undersigned agrees to provide through the prime contractor or, if no prime, directly to the grantee current, complete and accurate information regarding actual work performed on the project, the payment therefor and any proposed changes, if any, of the foregoing arrangements and to permit the audit and examination of books, records and files of the named firm. Any material misrepresentation will be grounds for terminating any contract which may be awarded and for initiating action under Federal or State laws concerning false statements.'' Note: If, after filing this Schedule A and before the work of this firm is completed on the contract covered by this regulation, there is any significant change in the information submitted, you must inform the grantee of the change through the prime contractor or, if no prime contractor, inform the grantee directly. Signature______________________________________________________________ Name___________________________________________________________________ Title__________________________________________________________________ Date___________________________________________________________________ Corporate Seal (where appropriate). Date___________________________________________________________________ State of_______________________________________________________________ County of______________________________________________________________ On this ------ day of ------, 19------, before me appeared (Name) -- --------, to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of firm) ---------- to execute the affidavit and did so as his or her free act and deed. [Seal] Notary Public___________________________________________________________ Commission expires______________________________________________________ Schedule B--Information for Determining Joint Venture Eligibility (This form need not be filled in if all joint venture firms are minority owned.) 1. Name of joint venture_______________________________________________ 2. Address of joint venture____________________________________________ 3. Phone number of joint venture_______________________________________ 4. Identify the firms which comprise the joint venture. (The MBE partner must complete Schedule A.)______________________________________ (a) Describe the role of the MBE firm in the joint venture.____________ ________________________________________________________________________ (b) Describe very briefly the experience and business qualifications of each non-MBE joint venturer:____________________________________________ ________________________________________________________________________ 5. Nature of the joint venture's business______________________________ ________________________________________________________________________ 6. Provide a copy of the joint venture agreement. 7. What is the claimed percentage of MBE ownership?____________________ 8. Ownership of joint venture: (This need not be filled in if described in the joint venture agreement, provided by question 6.) (a) Profit and loss sharing. (b) Capital contributions, including equipment. (c) Other applicable ownership interests. 9. Control of and participation in this contract. Identify by name, race, sex, and ``firm'' those individuals (and their titles) who are responsible for day-to-day management and policy decisionmaking, including, but not limited to, those with prime responsibility for: (a) Financial decisions________________________________________________ (b) Management decisions, such as: (1) Estimating_________________________________________________________ (2) Marketing and sales________________________________________________ (3) Hiring and firing of management personnel__________________________ (4) Purchasing of major items or supplies______________________________ ________________________________________________________________________ (c) Supervision of field operations Note: If, after filing this Schedule B and before the completion of the joint venture's [[Page 199]] work on the contract covered by this regulation, there is any significant change in the information submitted, the joint venture must inform the grantee, either directly or through the prime contractor if the joint venture is a subcontractor. Affidavit ``The undersigned swear that the foregoing statements are correct and include all material information necessary to identify and explain the terms and operation of our joint venture and the intended participation by each joint venturer in the undertaking. Further, the undersigned covenant and agree to provide to the grantee current, complete and accurate information regarding actual joint venture work and the payment therefor and any proposed changes in any of the joint venture arrangements and to permit the audit and examination of the books, records and files of the joint venture, or those of each joint venturer relevant to the joint venture, by authorized representatives of the grantee or the Federal funding agency. Any material misrepresentation will be grounds for terminating any contract which may be awarded and for initiating action under Federal or State laws concerning false statements.'' ------------------ ------------------ Name of Firm Name of Firm ------------------ ------------------ Signature Signature ------------------ ------------------ Name Name ------------------ ------------------ Title Title ------------------ ------------------ Date Date Date____________________________________________________________________ State of________________________________________________________________ County of_______________________________________________________________ On this ------ day of ------, 19------, before me appeared (Name) -- --------, to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of firm) ---------- to execute the affidavit and did so as his or her free act and deed. Notary Public___________________________________________________________ Commission expires______________________________________________________ [Seal] Date____________________________________________________________________ State of________________________________________________________________ County of_______________________________________________________________ On this ------ day of ------, 19------, before me appeared (Name) -- --------, to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of firm) ---------- to execute the affidavit and did so as his or her free act and deed. Notary Public___________________________________________________________ Commission expires______________________________________________________ [Seal]