DBE Program Description - TriMet

DisadvantagedBusiness EnterpriseProgram DescriptionFiscal Year2011 – 2013Revised February 2012

TABLE OF CONTENTSI. Objectives and Policy Statement .......................................................................... 3II. Definitions of Terms .............................................................................................. 4III. Nondiscrimination ................................................................................................. 4IV. DBE Program Updates ......................................................................................... 4V. Quotas, Set-asides or preferences ....................................................................... 4VI. DBE Liaison Officer (DBELO)............................................................................... 4VII. Federal Financial Assistance Agreement Assurance ........................................... 6VIII. DBE Financial Institutions ..................................................................................... 6IX. DBE Directory ....................................................................................................... 6X. Overconcentration ................................................................................................ 7XI. Business Development Program(s) (BDP) ........................................................... 7XII. Required Contract Clauses................................................................................... 7A. Contract Assurance ................................................................................... 7B. Prompt Payment ........................................................................................ 8XIII. Monitoring and Enforcement Mechanisms ........................................................... 8A. Prime Contractor ........................................................................................ 9B. Pre-Construction Meetings ........................................................................ 9C. On-Site Review .......................................................................................... 9XIV. Aspirational goal Development ............................................................................. 9XV. Method ............................................................................................................... 10XVI. Contract Aspirational goals ................................................................................. 12XVII. Counting DBE Participation ................................................................................ 12XVIII. Guidelines for DBE Certification ......................................................................... 13XIX. Information Collection and Reporting ................................................................. 13XX. Attachments........................................................................................................ 15Attachment A The Office of Minority, Women and Emerging SmallBusinesses(OMWESB) DBE Certification Guidelines ........................................ 16Attachment B - OMWESB DBE DIRECTORY .................................................... 30Attachment C – DBE Program Description Public Notice for FY 09-10 .............. 44Attachment D - Oregon Revised Statues, Chapter 200 ...................................... 45Attachment E - NAICS Code Analysis ................................................................ 58Attachment F - Resident Engineer Pre-Construction Checklist .......................... 64Attachment G - On-Site DBE Review ................................................................. 65Attachment H - Sample Bidders List Data Collection .......................................... 66Attachment I- Overconcentration Analysis .......................................................... 67Page 2 of 68

TRI-COUNTY METROPOLITAN TRANSPORTATION DISTRICT OF OREGONI. OBJECTIVES AND POLICY STATEMENT(TRIMET)DISADVANTAGED BUSINESS ENTERPRISE (DBE)PROGRAM DESCRIPTIONTri-County Metropolitan Transportation District of Oregon (TriMet) has established thisDisadvantaged Business Enterprise (DBE) program in accordance with regulations of theU.S. Department of Transportation (U.S.DOT), 49 CFR Part 26. TriMet has received federalfinancial assistance from the U.S.DOT, and as a condition of receiving this assistance,TriMet has signed an assurance that it will comply with 49 CFR Part 26.TriMet staff will disseminate the policy to all components of our organization. TriMet staff willdistribute this statement to DBE and non-DBE business communities that perform work forus on U.S.DOT-assisted contracts. During August and September of 2010, TriMet staff willcontinue to meet with a variety of interested groups to discuss the policy and its specificprogram elements.It is the policy of TriMet to ensure that DBEs, as defined in 49 CFR Part 26, have an equalopportunity to receive and participate in U.S.DOT-assisted contracts. It is also our policy –A. To ensure nondiscrimination in the award and administration of U.S.DOT assistedcontracts;B. To create a level playing field on which DBEs can compete fairly for U.S.DOT assistedcontracts;C. To ensure that the DBE Program is fully compliant with applicable law;D. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards arepermitted to participate as DBEs;E. To help remove barriers to the participation of DBEs in U.S.DOT assisted contracts; and;F. To assist in the development of firms that can compete successfully in the marketplaceoutside of the DBE Program. This assistance may include the creation of opportunitiesfor State of Oregon certified Minority, Women-owned, and Emerging Small businesses.Mr. Bruce M. Watts has been appointed as the DBE Liaison Officer. Mr. Watts isresponsible for implementing all aspects of the DBE program in cooperation with TriMet’sProcurement and Contracts Department. Implementation of the DBE program is accordedthe same priority as compliance with all other legal obligations incurred by TriMet in itsfinancial assistance agreements with the Department of Transportation.Neil McFarlane, TriMet General ManagerDatePage 3 of 68

II. DEFINITIONS OF TERMSThe definitions of terms contained in 49 CFR §26.5 shall be used as definitions in the TriMetDBE program and are hereby incorporated by reference.III. NONDISCRIMINATIONTriMet will not exclude any person from participation in, deny any person the benefits of, orotherwise discriminate against anyone in connection with the award and performance of anycontract covered by 49 Code of Federal Regulations (CFR) 49 CFR Part 26, effective March4, 1999, on the basis of race, color, sex, or national origin.In administering its DBE program, TriMet will not, directly or through contractual or otherarrangements, use criteria or methods of administration that have the effect of defeating orsubstantially impairing accomplishment of the objectives of the DBE program with respect toindividuals of a particular race, color, sex, or national origin. In order to foster its overallobjectives related to these important issues, TriMet may utilize contractual or otherarrangements and may use criteria or methods of administration that support creation ofopportunities for State of Oregon certified Minority, Women-owned and Emerging Smallbusinesses.IV. DBE PROGRAM UPDATESTriMet will continue to carry out this program until all funds from U.S.DOT financialassistance have been expended. TriMet will provide to U.S.DOT updates representingsignificant changes in the program.V. QUOTAS, SET-ASIDES OR PREFERENCESTriMet shall not use quotas, set-asides or preferences in the design or administration of thisDBE program.VI. DBE LIAISON OFFICER (DBELO)TriMet has designated the following individual as our DBE Liaison Officer (DBELO):Mr Johnell M. Bell,Director of Diversity & Transit Equity4012 S.E. 17thPortland, Oregon 97202; (503) 962-2217 and E-mail: bellj@trimet.orgIn that capacity, Mr. Bell is responsible for implementing all aspects of the DBE program andensuring that TriMet complies with all provisions of 49 CFR Part 26. Mr. Bell has direct,independent access to the TriMet General Manager concerning DBE program matters. Mr.Bell will work closely with TriMet’s Procurement and Contracts Department to develop,implement and monitor the DBE program.Duties and responsibilities of the DBELO will include the following:1. Gathers and reports statistical data and other information as required by U.S.DOT.2. Reviews third party contracts and purchase requisitions for compliance with thisprogram.3. Works with all departments to set overall annual aspirational goals.4. Ensures that bid notices and requests for proposals are available to DBEs in a timelymanner.Page 4 of 68

5. Analyze contracts and procurements for DBE aspirational goal inclusion insolicitations and monitors results.6. Analyzes TriMet’s progress toward aspirational goal attainment and identifies waysto improve progress.7. Participates in pre-bid meetings.8. Advises TriMet’s General Manager and Board of Directors on DBE matters andachievement.9. Provides DBEs with information and assistance in preparing bids, obtaining bondingand insurance.10. Plans and participates in DBE training seminars.11. Monitors the Uniform Certification Process in Oregon for conformance with thecriteria set by U.S.DOT and acts as liaison to State of Oregon Office of Minority,Women and Emerging Small Business (OMWESB) regarding the certificationprocess.12. Provides outreach to DBEs and community organizations to advise them ofopportunities.13. Maintains TriMet’s updated directory of certified DBEs.Other Support PersonnelPersonnel from TriMet’s Procurement and Contracts Department share the responsibilityfor ensuring the effective implementation of the DBE Program. They shall give fullcooperation and active support to the DBELO and designees in this effort. Superiors, aspart of their tasks and standards, shall evaluate their performance in this area.Contract Administration/Project Management StaffProvide the DBELO with draft scopes of work/specifications for projects and RFPs toenable aspirational goal setting. Outreach to DBEs and where applicable, developmentof appropriate DBE language.1. Provide the DBELO with copies of all final IFBs, RFPs, mailing lists and advancenotices.2. Incorporate DBE aspirational goal and appropriate DBE language into IFBs andRFPs.3. Inform the DBELO of any changes to IFBs or RFPs.4. Forward copies of bids to the DBELO for evaluation of compliance with DBErequirements.5. Allocate appropriate resources to participate with the DBELO’s staff at major tradefairs targeted to DBEs.6. Incorporate all applicable DBE provisions for procurements with aspirational goals.7. Alert the DBELO of any potential problems concerning DBE utilization duringcontract administration.8. Ensure that RFPs do not contain unnecessary requirements which could undulyrestrict or eliminate small businesses from competitionPage 5 of 68

VII.FEDERAL FINANCIAL ASSISTANCE AGREEMENT ASSURANCETriMet has signed the following assurance, applicable to all U.S.DOT-assisted contractsand their administration:TriMet shall not discriminate on the basis of race, color, national origin, or sex in theaward and performance of any U.S.DOT assisted contract or in the administration of itsDBE Program or the requirements of 49 CFR Part 26. The recipient shall take allnecessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination inthe award and administration of U.S.DOT assisted contracts. The recipient’s DBEProgram, as required by 49 CFR Part 26 and as approved by U.S.DOT, is incorporatedby reference in this agreement. Implementation of this program is a legal obligation andfailure to carry out its terms shall be treated as a violation of this agreement. Uponnotification to TriMet of its failure to carry out its approved program, the Department mayimpose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases,refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud CivilRemedies Act of 1986 (31 U.S.C. 3801 et seq.).VIII.DBE FINANCIAL INSTITUTIONSIt is the policy of TriMet to investigate the full extent of services offered by financialinstitutions owned and controlled by socially and economically disadvantaged individualsin the community, to make reasonable efforts to use these institutions, and to encourageprime contractors on U.S.DOT-assisted contracts to make use of these institutions.TriMet has made the following efforts to identify and use such institutions: TriMet hascontacted the office of Oregon Minority and Women Owned Business (OMWESB),Oregon Association of Minority Enterprises (OAME), the Associated General Contractorsof America (AGC) and other alliances in the community.A. Oregon Association of Minority Entrepreneurs Credit Corporation (OAMECC)4134 N. Vancouver AvenuePortland, OR 97211(503) 249-7744OAMECC is a § 501(c)(3) corporation (operated for charitable purposes and exemptfrom Federal income taxes) wholly owned by Oregon Association of MinorityEntrepreneurs, working in partnership with public and private lending institutions inthe State of Oregon, major corporations, and grant institutions, to make capitalaccessible to socially and economically disadvantaged businesses in Oregon.OAMECC manages its own loan fund.Information on the availability of such institutions can be obtained from the DBELiaison Officer.IX. DBE DIRECTORYThe State of Oregon’s Office of Minority, Women and Emerging Small Business(OMWESB) of the Department of Consumer and Business Services maintains the maindirectory. The directory identifies all firms eligible to participate as DBEs. The directorylists the firm’s name, address, and phone number, date of most recent certification, andthe type of work the firm has been certified to perform as a DBE. OMWESB updates thedirectory daily. TriMet also maintains an in-house directory of DBE certified firms.These firms have been certified by the State of Oregon or comparable program outsidethe State. The in-house directory contains the firm’s name, address, phone number,company philosophy, core values, 3 previous projects, insurance and safety rating, andPage 6 of 68

service provided. Updates to the in-house directory on made on an as needed basis.TriMet’s in-house director only contains active certified DBE firms. Parties interested inobtaining the main directory may contact OMWESB directly or may obtain the in-housedirectory from TriMet. The OMWESB directory (current as of January 17 th , 2011) maybe found in Attachment B to this document.State of Oregon Office of Minority, Women and Emerging Small Business350 Winter St. NE, Room 21Salem, Oregon 97310(503) 947-7976Website: www.oregon4biz.com/Grow-Your-Business/Business-services/Minority-Owned-Business-Certification/TriMet Diversity and Transit Equity4012 SE 17th Ave.Portland, Oregon 97202(503) 962-2213Website: www.trimet.org/business/dbe/index.htmX. OVERCONCENTRATIONTriMet has not currently identified over-concentration in any of the types of work that are thesubject of its procurements. TriMet will continue to monitor over-concentration as an issuefor this program through its over-concentration analysis (page 69) and examination ofavailability data. The potential for over-concentration is a standard component of TriMet’sanalysis of the availability of minority contractors within the relevant trade groups and withinthe relevant market area.XI. BUSINESS DEVELOPMENT PROGRAM(S) (BDP)TriMet will provide race-neutral and gender-neutral means of participation through thedevelopment of TriMet’s Small Business Development Programs. Each year the DBELOand the Director of Procurement will facilitate at least two small business events, which maybe coordinated with other U.S.DOT recipients and open to all small businesses.Small businesses will be invited to meet with TriMet’s DBE Program, Procurementdepartment staff and learn about TriMet’s contracting opportunities and how to do businesswith TriMet. TriMet staff will have an opportunity to become acquainted with qualifiedbusiness owners who are interested in supplying services and products to TriMet. Inaddition, the DBELO will provide information on DBE certification and DBE programrequirements and procedures. These events will include procedures explaining how to dobusiness with TriMet and explore best business practices, which may be used to marketsmall businesses to TriMet.A. DBE Supportive Services ProgramContingent upon availability of Federal Transit Administration funds, TriMet will providesupportive services through consultant contractors to DBEs who are interested inparticipating in construction projects. The purpose of supportive services is to increasethe number of socially and economically disadvantaged firms participating inconstruction projects and to contribute to the growth and eventual self-sufficiency of theDBE firms.XII. REQUIRED CONTRACT CLAUSESA. Contract AssuranceTriMet will ensure that the following clause is placed in every U.S.DOT-assisted contractand subcontract:Page 7 of 68

The contractor or subcontractor shall not discriminate on the basis of race, color,national origin, or sex in the performance of this contract. The contractor shall carryout applicable requirements of 49 CFR Part 26 in the award and administration ofU.S.DOT assisted contracts. Failure by the contractor to carry out theserequirements is a material breach of this contract, which may result in the terminationof this contract or such other remedy, as the recipient deems appropriate.B. Prompt PaymentTriMet will include the following clause in each U.S.DOT-assisted prime contract:The prime contractor agrees to pay each subcontractor under this prime contract forsatisfactory performance of its contract no later than ten (10) working days from thereceipt of each payment the prime contractor receives from TriMet. The primecontractor agrees further to return retainage payments to each subcontractor within10 working days after the subcontractor’s work is satisfactorily completed. Any delayor postponement of payment from the above referenced time frame may occur onlyfor good cause following written approval of TriMet. This clause applies to both DBEand non-DBE subcontractors.Compliance with the prompt payment contract requirement will be part of the ProjectManagers QA/QC meeting with the Prime Contractor and will be monitored on an ongoingbasis by the DBELO.The contractor must maintain records of all subcontracts entered into with DBEs andrecords of materials purchased from DBE suppliers. Such records shall show thename and business address of each DBE subcontractor or vendor and the totaldollar amount actually paid to each DBE subcontractor or vendor.The contractor must also submit to the Project Manager’s office an affidavit certifyingthat payment was made to the DBE subcontractor or supplier, to be signed by boththe prime contractor and DBE. Such an affidavit must be submitted during theproject any time a progress or final payment is made to a DBE, and when anyretainage held is returned. A summary certification affidavit must be submitted at thecompletion of the project.The participation of a DBE Subcontractor will not be credited towards the primecontractor’s DBE achievements, or the overall aspirational goal, until the amountbeing counted toward the aspirational goal, and any retainage held by the primecontractor has been paid to the DBE.C. DBE Supplemental Required Contract Provisions:Failure of any contractor to meet the DBE Supplemental Required ContractProvisions and program authorities shall constitute a breach of contract for which theimposition of the following sanctions may include but is not limited to the following:a. Temporarily withholding progress payments until the contractor complieswith these contract provisions where possible through future performance.b. Permanently withholding payment for work already performed in a mannerthat constitutes a breach of contract.XIII.MONITORING AND ENFORCEMENT MECHANISMSTriMet will bring to the attention of the U.S. Department of Transportation any false,fraudulent, or dishonest conduct in connection with the program, so that U.S.DOT can takethe steps (e.g., referral to the Department of Justice for criminal prosecution, referral to theU.S.DOT Inspector General, action under suspension and debarment or Program Fraud andPage 8 of 68

Civil Penalties rules) provided in §26.109. TriMet will also consider similar action under itsown legal authorities, including responsibility determinations in future contracts.A. Prime Contractor1. Contractor’s DBE Liaison OfficerThe DBE Supplemental Required Contract Provision requires the contractor todesignate a DBE liaison officer to administer the contractor’s DBE Program. Thename of this individual will be provided to TriMet Project Management staff at thepre-construction conference.2. Submission of SubcontractsThe contractor must enter into subcontracts with the DBEs identified in thecontractor’s Committed DBE Breakdown and Certification Form for the bid items andamounts specified therein. These agreements must be submitted for consent prior tothe start of work under the subcontract. All applicable federal and state provisionsmust be included in the subcontracts.B. Pre-Construction MeetingsTriMet Resident Engineers are responsible for all contract compliance on major U.S.DOT assisted contracts. The official TriMet Resident Engineer Manual includes adescription of the responsibility to hold pre-construction meetings and to discuss theabove described requirement. This responsibility is demonstrated in the checklist atAttachment F.C. On-Site ReviewTriMet staff will utilize the DBE On-site Review Form shown at Attachment G, as amonitoring and enforcement mechanism.XIV.ASPIRATIONAL GOAL DEVELOPMENTA. Overall DBE Aspirational goalTriMet, as the principal recipient of Federal-aid funds, must set an overall aspirationalgoal for DBE participation in U.S.DOT assisted contracts. The overall aspirational goalwill provide for participation by all certified DBEs and will not be subdivided into groupspecific aspirational goals. Further, no contractor will be subject to a quota, set aside, orpreference.B. Aspirational Goal AmountThe General Manager of TriMet shall establish an overall aspirational goal for theparticipation of DBEs in all budgeted contracts utilizing Federal-aid funds. The overallannual aspirational goals will be expressed as a percentage of the total amount ofrelevant portions of TriMet’s FY11, FY12 and FY 13 budgets. TriMet’s overallaspirational goal is based on demonstrable evidence of the availability of ready, willingand able DBEs available to participate on U.S.DOT assisted contracts.TriMet has identified approximately $427,124,645 from its federally assisted capital fund.Out of the federal capital fund assistance TriMet receives from U.S.DOT, TriMet’saspirational goal for federal fiscal years 2011-2013 is to expend $33,148,350 (7.76%)utilizing DBE contractors.TriMet has identified approximately $64,115,009 from its federally assisted operatingfund. TriMet’s aspirational goal is to award at least $94,218 (.15%) to DBE primes orsubcontractors on operating fund projects assisted by U.S.DOT.Page 9 of 68

Therefore, TriMet’s overall DBE aspirational goal is (10.29%), applicable to$491,239,654 of identified budget to be assisted by U.S.DOT.XV.METHODTriMet has utilized data from a variety of external sources, in order to develop a reasonableaspirational goal setting methodology.The following is a summary of the method TriMet used to calculate this aspirational goal:A. Step-One – Determining Relative DBE Availabilityi). Capital Fund - Base FigureTriMet utilizes data compiled by the Oregon Office of Minority, Women and EmergingSmall Business (OMWESB) and by the Oregon Employment Department in its OregonLabor Market Information System (OLMIS). Both sources provide for analysis of laborconcentration in specific business categories as designated by NAICS code (NorthAmerican Industrial Classification System). TriMet has made preliminary assumptionsregarding which NAICS codes will have relevance to the projects which will receivefederal funding in the next three federal fiscal years. Those assumptions are reflected ina spreadsheet at Attachment E. As a result of this analysis, TriMet projects DBEparticipation of at least $33,148,350 (7.76%) on federally funded capital projects.ii) Operating Fund- Base FigureTriMet has determined that it will target approximately $64,115,009 from its federallyassisted operating fund Base figures were calculated to determine the relativeavailability of DBEs in specific areas of expertise using Oregon Employment Departmentreports and Office of Minority, Women and Emerging Small Business (OMWESB) data.An assessment of known relevant evidence available to TriMet, the data in three NAICScodes: #485310 Taxi Service, #485991 Special Needs Transportation, and AutomotiveMechanical 811110 was analyzed to determine what adjustments, if any, were neededto narrowly tailor base figures to TriMet’s marketplace. . TriMet’s data of the actual DBEparticipation in U.S. DOT assisted contracts during the previous fiscal year wasconsidered to adjust the base figures. TriMet’s aspirational goal is to award at least$94,218 (.15%) to DBE primes or subcontractors on operating fund projects assisted byU.S.DOTTherefore, out of the $491,239,654 the capital funded projects plus specifically identifiedoperating fund projects, TriMet expects $33,242,568 (6.77%) overall DBE participation.B. Step Two Adjustments to BaseIn prior years, the base figure for DBE availability has utilized baseline data from theOregon Regional Consortium Disparity Study, a 1996 analysis conducted by localgovernments in the Portland metropolitan area. Due to the age of that study, TriMet hasconcluded that it is no longer appropriate to utilized its data as a reference for making aStep Two Adjustment. TriMet’s current Step Two Adjustment is based on an analysis ofpast participation as signified by award/commitment data submitted to FTA fro the pastfour fiscal years (FY07-FY10). The median participation figures for those years is13.82%. Averaging that median figure against the Step One goal, results in a Step Twoadjusted goal of 10.29%.C. Race Neutral AnalysisThe U.S.DOT regulations require that the maximum feasible portion of the DBE OverallAnnual Aspirational Goal be met by using race-neutral methods. Once the overallannual aspirational goal is proposed, the DBELO and the Director of ProcurementPage 10 of 68

analyze and project the maximum feasible portion of that aspirational goal that can beachieved by using race-neutral methods. This analysis is a review of past contractinghistory with information including, but not limited to:1. DBE participation as prime contractors on U.S.DOT assisted contracts;2. DBE participation on projects where no DBE aspirational goals have beenestablished;3. DBE participation on prime contracts exceeding contract aspirational goals;4. DBE participation on projects as non-committed DBE subcontractors.TriMet will conduct further race neutral analysis, once major Green Line, Mall, andWestside Commuter Rail project contracts have been closed, however, because allpayments reported to date for FY10 have been through contracts without a DBE specificcontract aspirational goal, TriMet fully anticipates that its FY 2011-2013 aspirational goal of6.77% will be met solely through the use of race-neutral measures.D. Transit Vehicle Manufacturers (TVM)TriMet will require each transit vehicle manufacturer, as a condition of being authorizedto bid or propose on FTA-assisted transit vehicle procurements, to certify that it hascomplied with the requirements of this section. Alternatively, TriMet may, at itsdiscretion and with FTA approval, establish project-specific aspirational goals for DBEparticipation in the procurement of transit vehicles in lieu of the TVM complying with thiselement of the program.E. Process/Public ParticipationTriMet will submit its overall aspirational goal to U.S.DOT by August 1st of each year.1. TriMet will publish a notice by June 15th of each year of the proposed overallaspirational goal, informing the public that the proposed aspirational goal and itsrationale are available for inspection during normal business hours at TriMet’s officesfor 30 days following the date of the notice, and informing the public that TriMet andthe U.S.DOT will accept comments on the aspirational goals for 45 days from thedate of the notice. Any comments received during the Public Comment period will beforwarded to U. S. DOT under separate cover. Notice will be made through thefollowing publications: The Oregonian, Daily Journal of Commerce, El HispanicNews, Skanner Newspaper, The Portland Observer and The Asian Reporter. Noticewill also be added to our website at: http://www.TriMet.org/bidding.htm. SeeAttachment C for public notice information for fiscal year 2011-20132. TriMet will present the proposed overall aspirational goal and it’s methodology forfeedback to the National Association of Minority Contractors and the OregonAssociation of Minority Entrepreneurs. Feedback from this consultive process will betaken into consideration and comments will be forwarded to the U.S. DOT.3. TriMet will retain for its files, any comments received during the 45 days commentperiod. In the case that received comments would suggest the need for a planamendment, such amendment would be forwarded to U.S. DOT by November 1 ofeach year.4. TriMet will begin using the overall aspirational goal on October 1 of each year, unlessTriMet has received other instructions from U.S.DOT.Page 11 of 68

XVI.CONTRACT ASPIRATIONAL GOALSBecause TriMet is only authorized to operate a Race and Gender neutral program, TriMetdoes not currently plan on issuing solicitations or awarding contracts that have fixedpercentage DBE participation goals. Consequently, good faith effort demonstrations, asdescribed in 49 CFR part 26.53, will not be required. Conversely, in its solicitationdocuments (e.g. request for proposal), TriMet may require a narrative of a prospectivecontractor’s efforts to encourage DBE participation on past projects, as well as its plan forobtaining utilization of DBE firms on the impending project. While trimet may ask a proposerto submit an estimated DBE participation percentage, no points will be assigned or awardedbased strictly on proposed DBE use.XVII. COUNTING DBE PARTICIPATIONTriMet will count DBE participation toward overall and contract aspirational goals asprovided in 49 CFR §26.55.A. Counting DBE Participation Towards Meeting Annual Aspirational GoalsOnly the work actually performed by a DBE will be counted toward the DBE aspirationalgoal. The cost of supplies and materials obtained by the DBE or equipment leased(except from the prime contractor or its affiliate) may also be counted.Expenditures may only be counted if the DBE is performing a commercially usefulfunction. A DBE shall perform at least thirty percent (30%) of the total costs of itscontract with its own work force.If materials or supplies are obtained from a DBE manufacturer, one hundred percent ofthe cost will be counted. If the materials and supplies are purchased from a DBE regulardealer, sixty percent of the cost will be counted.DBE achievement will not be counted toward the overall aspirational goal until the DBEhas been paid. The DBELO will track the participation of DBEs in aspirational goalspecific contracts separately from the participation of DBEs that is considered raceneutral. Additionally, if certification is removed during the performance of the contract,the DBELO will not count that portion of DBE participation that is achieved aftercertification of the DBE has been removed. Counting DBE Participation TowardsMeeting Annual Aspirational goals of Sub-Recipients.1. Sub–Recipients Adopting the TriMet Program DocumentCredit shall be authorized or deducted per the requirements of part A of this section,regardless of whether or not TriMet or the sub-recipient is the contracting agency.Sub-recipients shall be required to submit quarterly reports to TriMet demonstratingtheir aspirational goal attainment to date in a manner consistent with the requirementof 49 CFR 26 reporting requirements.2. Sub-Recipients With A TriMet Approved Program DocumentSub-recipients falling into this category shall be required to submit quarterly reportsto TriMet demonstrating their aspirational goal attainment to date in a mannerconsistent with the requirements of 49 CFR 26 reporting requirements. Subrecipientsshall authorize or deduct credit for work performed by DBEs, per therequirements of part A of this section, regardless of whether TriMet or the primecontractor is the contracting agency. TriMet shall include in its quarterly report toFTA the status of sub-recipient aspirational goal activities falling within this category.Page 12 of 68

XVIII. GUIDELINES FOR DBE CERTIFICATIONA. Certification Program (CP)As provided under 49 CFR 26, only firms owned and controlled by socially andeconomically disadvantaged person(s) are to benefit from the DBE Program. WhileTriMet retains responsibility for assuring certification of DBEs is performed consistentwith 49 CFR 26 standards, the certification Agency for the State of Oregon is the Officeof Minority, Women and Emerging Small Businesses (OMWESB). Certification authorityfor the TriMet DBE Certification Program Component has been delegated to OMWESB.OMWESB provides staff to conduct DBE certification, re-certification, de-certification,appeals, challenges, investigations of third party allegations, and public awarenessactivities pertaining to certification programs. The office became the certificationauthority for state programs under Oregon Revised Statutes (ORS) Chapter 200, inJanuary 1988 (see Attachment D). The Oregon Department of Justice provides legalcounsel for OMWESB.TriMet maintains a directory identifying all firms eligible to participate as DBEs. SeeSection VIII above and Attachment B for information regarding this directory.Attachment A describes OMWESB’s current guidelines for certification as of the effectiveadoption date of this program.XIX.INFORMATION COLLECTION AND REPORTINGA. Bidders ListTriMet will create a bidders list, consisting of information about all DBE and non-DBEfirms that bid or quote on U.S.DOT assisted contracts. The purpose of this requirementis to allow use of the bidder’s list approach to calculating overall aspirational goals. Thebidders list will include the name, address, DBE/non-DBE status, age, and annual grossreceipts of firms.TriMet has started to require the submission and will maintain the following informationfor all firms submitting formal proposals, bids and quotes, in response to solicitationsposted on its eBid vendor registration system:Contact InformationDBE statusAge of FirmGross Receipts by BracketThe data will be compiled and maintained in a spreadsheet format by TriMet’sProcurement & Contracts Department. A sample of the spreadsheet is provided atAttachment H.B. Monitoring Payments to DBEsTriMet will require prime contractors to maintain records and documents of payments toDBEs for three years following the performance of the contract. These records will bemade available for inspection upon request by any authorized representative of TriMet orU.S.DOT. This reporting requirement also extends to any certified DBE subcontractor.TriMet will maintain a database tracking system to monitor and report actual payments toDBE firms for work committed to them at the time of contract award.Page 13 of 68

TriMet will perform interim audits of contract payments to DBEs. The audit will reviewpayments to DBE subcontractors to ensure that the actual amount paid to DBEsubcontractors equals or exceeds the dollar amounts stated in the schedule of DBEparticipation.C. Reporting to U.S.DOTTriMet will report DBE participation on a bi-annual basis, using U.S.DOT Form 4630.These reports will reflect payments actually made to DBEs on U.S.DOT assistedcontracts.D. ConfidentialityTriMet will safeguard from disclosure to third parties information that may reasonably beregarded as confidential business information, consistent with Federal, state, and locallaw. Notwithstanding any contrary provisions of state or local law, TriMet will not releasepersonal financial information submitted in response to the personal net worthrequirement to a third party (other than U.S.DOT) without the written consent of thesubmitting firm.Page 14 of 68

Page 15 of 68XX. ATTACHMENTS

Attachment A The Office of Minority, Women and Emerging Small Businesses(OMWESB) DBE Certification Guidelines1. Certification Eligibility Requirementsa. Application ProcedureTriMet will ensure that only firms certified as eligible DBEs participate as DBEs in theDBE program. All firms seeking certification with TriMet are required to submitnotarized applications to the OMWESB.OMWESB will ensure that the applicant attests to the accuracy and truthfulness ofthe information on the application form. This shall be done either in the form of anaffidavit sworn to by the applicant before a person authorized by state law toadminister oaths or in the form of an unsworn declaration executed under penalty ofperjury of the laws of the United States. OMWESB will review all information in theform prior to making a decision about the DBE eligibility of the firm.The applicant will also be required to submit the following:1) A signed, notarized certification of disadvantage (including a narrative if theindividual is demonstrating disadvantage on an individual basis); and2) A signed notarized statement of personal net worth with supportingdocumentation.OMWESB will not impose an application fee for firms to participate in the DBEcertification process.OMWESB will safeguard from disclosure to unauthorized persons any and allinformation gathered as part of the certification process that may be regarded asproprietary or their confidential business information, consistent with applicablefederal, state, and local laws.Failure of the applicant to provide all necessary information and documentation asrequired shall constitute the basis for denying certification.b. Burdens of ProofThe firm seeking certification has the burden of demonstrating to OMWESB, by apreponderance of the evidence, that it meets the requirements concerning groupmembership or individual disadvantage, business size, ownership and control.OMWESB will make determinations concerning whether individuals and firms havemet the burden of demonstrating group membership, ownership, control, and socialand economic disadvantage by considering all the facts in the record, viewed as awhole. A record is defined as all material submitted to OMWESB by the firm seekingcertification and any other information available to OMWESB in performing itsinvestigation.c. Criteria for Evaluating an Applicant’s EligibilityThe following standards are used by OMWESB in determining whether a firm isowned and controlled by one or more disadvantaged individuals and whether suchfirm is eligible to be certified as a DBE (49 CFR 26, Subpart D).1) Business SizePage 16 of 68

To be an eligible DBE, a firm (including its affiliates) must be an existing smallbusiness as defined by SBA standards. OMWESB will apply current SBAbusiness size standards found in 13 CFR Part 121 appropriate to the types ofwork the firm seeks to perform in U.S.DOT-assisted contracts. Even if the firmmeets the SBA requirements, a firm is not an eligible DBE in any federal fiscalyear if the firm (including affiliates) has had average annual gross receipts asdefined by SBA regulations over the firm’s previous three (3) fiscal years inexcess of $19.57 Million, as adjusted for inflation from time to time by U.S.DOT.2) Social and Economic Disadvantage StatusOnce an applicant firm is determined to be a small business, social andeconomic disadvantage is to be reviewed if the firm is applying for disadvantagedbusiness status. Guidance for determining social and economic disadvantage isprovided under Appendix E to 49 CFR 26. Social and Economic disadvantagedstatus may be conferred upon applicant firms in instances where the firm:a) Has been granted 8(a) certification by the Small Business Administration.b) Is owned and controlled by one or more women or a member(s) of one of theminority groups designated in 49 CFR 26.67.c) Is owned and controlled by an individual(s) who, although not a woman ormember of one of the minority groups designated in 49 CFR 26, establishessocial and economic disadvantage based on identification with another group.3) 8(a) StatusIf a firm applying for certification has a current, valid certification from orrecognized by the SBA under the 8(a) or small and disadvantaged business(SDB) program (except an SDB certification based on the firm’s self-certificationas an SDB), TriMet may accept the firm’s 8(a) or SDB certification in lieu ofconducting its own certification proceeding, or TriMet may accept the certificationof another U.S.DOT recipient for this purpose. In cases where the state hasevidence that an 8(a) certified firm does not meet the small business sizestandards, the state will deny certification to the firm. In these situations, thestate will also refer the information to the SBA.Notwithstanding the above, 8(a) firms also certified under 49 CFR 26 mustperform the work under contract in accordance with 49 CFR 26 in order for thework to be credited toward aspirational goal accomplishment. Further, the statemay impose sanctions on 8(a) firms for violating the requirements of the DBEprogram. These sanctions may include denial of credit to DBE aspirationalgoals, suspension, debarment, and removal from the state’s DBE directory basedon changes in the 8(a) firm’s ownership and control.4) Minority Group MembershipIn cases where the applicant claims social and economic disadvantage based onmembership in one of the designated minority groups, the state shall ensure thatthe applicant’s minority status is clearly established. Once minority status isestablished, the applicant shall be presumed to be socially and economicallydisadvantaged. This means that the applicant’s social and economicdisadvantage status is established as a fact until the presumption is effectivelyrebutted. However, the state is expected to require even members of thePage 17 of 68

designated minority groups to prove their disadvantaged status if reasonablestatus if reasonable evident to rebut the presumption is available to the state.For the purposes of certification, OMWESB will presume that members of thegroups identified herein are socially and economically disadvantaged unless thepresumption is rebutted. These individuals do not have the burden to prove theyare socially and economically disadvantaged. However, if OMWESB has reasonto question whether an individual is a member of such a group, OMWESB willrequire the individual to produce appropriate documentation of groupmembership. In making a group membership determination, OMWESB willconsider: 1) whether or not the person has held himself/herself out to be amember of the group over a long period of time prior to application forcertification; and 2) whether the person is regarded as a member of the group bythe relevant community. If OMWESB determines an individual is not a memberof a designated group, the individual must demonstrate social and economicdisadvantage on an individual basis. OMWESB’s decision concerningmembership in a designated group will be subject to certification appealsprocedures.Individuals who are United States citizens (or lawfully admitted residents) whoare also members of the following designated groups will be presumed to besocially and economically disadvantaged:Black AmericansHispanic AmericansAsian-Pacific AmericansNative AmericansSubcontinent Asian AmericansWomenOther MinoritiesOrigins in any black racial groups of Africa.Mexican, Puerto Rican, Cuban, Central orSouth American, Portuguese or other Spanishculture or origin regardless of race.Origins in Japan, China, Taiwan, Korea,Vietnam, Laos, Cambodia, the Philippines,Samoa, Guam, the US Trust Territories of thePacific, and the Northern Marianas.American Indians, Eskimos, Aleuts or NativeHawaiians.Origins in India, Pakistan or Bangladesh.Persons of the female gender.Other minorities found to be disadvantaged bySBA.Individuals identified by the Small Business Administration to be socially andeconomically disadvantaged under Section 8(a) of the Small Business Act asamended [15 USC 637(A)] are conclusively presumed to be socially andeconomically disadvantaged.5) Individual DeterminationsFinally, persons who are not members of one of the designated minority groupsmay request the state to make an individual determination that they are sociallyand economically disadvantaged. The state may, at its discretion, make theseindividual determinations consistent with the guidance in 49 CFR 26, appendix E.or refer such cases to the SBA where they may apply for 8(a) status. Examplesof factors that may be evaluated in making a determination are:Page 18 of 68

a) Do the individuals have a chronic physical handicap, which has restricted andstill restricts professional acceptance, employment or business mobility? Ifso, explain fully.b) Has the individual’s cultural or social background resulted in chronicunderemployment, limited educational opportunities or personal deprivation?If so, explain fully.c) Has the individual experienced low-income status because of apparentdiscriminatory practices? If so, explain precisely how such discriminatorypractices led to your having limited access to needed technical, financial, ormanagement resources and equal opportunity in obtaining contracts.Outline other specific and pertinent examples of chronic social and economicdisadvantage not covered above.6) Rebuttable Presumption of Disadvantage StatusThe presumption of social and economic disadvantage operating in favor of thedesignated minority groups may be rebutted at any time before or aftercertification.If the state comes into possession of credible information that would lead areasonable person to believe that a minority individual is not socially oreconomically disadvantaged, the presumption is no longer operative and theburden of proof shifts back to the applicant. The existence of the presumptiondoes not mean that the certifying agency must ignore obvious evidence that anyapplicant for certification is not socially or economically disadvantaged unless athird party brings a challenge. It means, rather, that in the absence of suchevidence, it must presume that a minority or woman applicant is socially andeconomically disadvantaged, and cannot require the applicant to prove it.Practically speaking, the existence of clear evidence that an otherwise qualifiedminority applicant is not disadvantaged puts such applicant in a position similar toa challenged minority or an individual claiming disadvantage who is not amember of a designated group. If the state tentatively determines, on its owninitiative based on such clear evidence, that the owner of the firm is not sociallyand economically disadvantaged, the state should ensure that the owners areafforded procedural safeguards equivalent to that provided in the case of thirdparty challenges.7) Ownership and ControlOnce business size and social and economic disadvantage status has beendetermined, ownership and control must be evaluated to ensure that firmsapplying for DBE certification are in fact independent firms, owned and controlledby one or more socially and economically disadvantaged individuals. Similarly,firms applying for DBE certification on the basis of female ownership must beevaluated to ensure that they are independent and are owned and controlled bywomen. An independent firm is one that the viability of which does not dependon its relationship with another firm or firms.Under operational control means, the applicant must have an overallunderstanding of and managerial and technical competence and experiencedirectly related to the business operations.Page 19 of 68

To determine managerial control, the applicant must demonstrate that theypossess the power to direct or cause the direction of the management andpolicies of the firm.Applicant firms jointly owned by husband and wife will be treated the sameirrespective of whether the state has a community property law. The OMWESBwill determine eligibility by ensuring that the firm is in fact at least 51 percentowned by the woman and the woman who owns it controls the firm’smanagement and daily business operations. In reaching that conclusion, theOMWESB will determine whether the firm meets the eligibility standardscontained in 49 CFR 26.8) Personal Net WorthAn individual, whose personal net worth exceeds $750,000.00, excludingpersonal residence and interest in the business, shall not be deemed to beeconomically disadvantaged.The OMWESB will obtain a signed and notarized statement of personal net worthfrom all persons who claim to own and control a firm applying for DBEcertification and whose ownership and control are relied upon for DBEcertification. These statements will be accompanied by appropriate supportingdocumentation.Each socially and economically disadvantaged individual owner mustdemonstrate that s/he does not have a personal net worth exceeding $750,000.In determining net worth, OMWESB will exclude an individual’s ownershipinterest in the applicant firm and the individual’s equity in his/her primaryresidence. If the individual’s personal net worth exceeds $750,000, theindividual’s presumption of economic disadvantage based on group membershipor the individual’s demonstration of economic disadvantage will be conclusivelyrebutted without any further formal proceedings.When an individual’s presumption of social and/or economic disadvantage hasbeen rebutted, his/her ownership and control of the firm cannot be used for thepurpose of DBE eligibility unless and until s/he makes an individual showing ofsocial and/or economic disadvantage in the future. If the basis for rebutting thepresumption is a determination that the individual’s personal net worth exceeds$750,000, the individual will no longer be eligible for participation in the programand cannot regain eligibility by making an individual showing of disadvantage.d. Other Considerations1) Commercially Useful FunctionOMWESB will not consider commercially useful function issues in any way inmaking decisions about whether to certify a firm as a DBE. Consideration ofwhether a firm performs a commercially useful function or is a regular dealerpertain solely to counting toward DBE aspirational goals any participation of firmswhich have already been certified as DBEs.2) Pattern of ConductIn making certification decisions, OMWESB will consider whether a firm hasexhibited a pattern indicating its involvement in attempts to evade or subvert theintent or requirements of the DBE program.Page 20 of 68

Page 21 of 683) Present CircumstancesOMWESB will evaluate the eligibility of a firm on the basis of presentcircumstances and will not refuse to certify a firm based solely on historicalinformation indicating lack of ownership or control by socially and economicallydisadvantaged individuals at some time in the past, if the firm currently meetsownership and control standards. OMWESB will not refuse to certify a firm solelyon the basis that it is a newly formed firm.4) DBE CooperationOMWESB expects DBE firms and firms seeking DBE certification to cooperatefully with requests for information relevant to the certification process. Failure orrefusal to provide such information is a ground for denial or removal ofcertification.5) For-Profit FirmsOnly firms organized for profit may be eligible for DBEs. Not-for-profitorganizations, even though controlled by socially or economically disadvantagedindividuals, are not eligible to be certified as DBEs.6) Subsidiaries and AffiliatesAn eligible DBE firm must be owned by individuals who are socially andeconomically disadvantaged. Except, as provided by this policy, a firm that is notowned by such individuals, but instead is owned by another firm even a DBE firmcannot be an eligible DBE.7) PrequalificationOMWESB will not require a DBE firm to be prequalified as a condition forcertification unless OMWESB requires all firms that participate in its contractsand subcontracts to be prequalified.8) Tribal OrganizationsOMWESB recognizes that a firm owned by an Indian tribe, Alaska NativeCorporation, or Native Hawaiian organization as an entity, rather than by Indians,Alaska Natives, or Native Hawaiians as individuals, may be eligible forcertification as long as such firm meets the size standards and is controlled bysocially and economically disadvantaged individuals.e. Joint VentureA joint venture is eligible if the DBE partner of the joint venture meets the standardsfor an eligible DBE set forth above and the DBE partner is responsible for a clearlydefined portion of the work to be performed and shares in the ownership, control,management responsibilities, risks, and profits of the joint venture.Joint venture applications are certified by TriMet on a project-by-project basis.Applications shall be submitted to the DBE Program Manager for review andcertification in accordance with established procedures.f. Supplemental Application Verification Documents1) Sole Proprietora) Individual federal tax returns for the last three (3) years (Schedule C, Profitand Loss Statement).

) Resumes of majority owner(s) and key employees. Please include previouswork experience with dates and specific duties within this business.c) Rental/lease agreements and professional service agreements (for officespace, equipment, related to the business).d) Proof of ethnicity/gender (birth certificate, tribal enrollment documents,passport, driver’s license, etc.)e) Company profile including a brief description of the firm’s product or services.f) Necessary licenses to conduct the business, e.g., contractor’s license(construction, landscaping, electrical, plumbing, welding, engineering), citybusiness license (if required), Department of Environmental Quality license,ARC authorization for travel service, professional license, etc.g) Certification letter from the individual’s home state, if the business is notlocated in Oregon.h) Assumed Business Name registration, if applicable.3) Limited Liability Company (LLC)a) Federal tax returns for the last three- (3) years.b) Resumes of majority owner(s) and key employees. Please include previouswork experience with dates and specific duties within this business.c) Rental/lease agreements and professional service agreements (for officespace, equipment, etc.)d) Proof of ethnicity/gender (birth certificate, tribal enrollment, passport, driver’slicense, etc.).e) Company profile including a brief description of the firm’s product or services.f) Necessary licenses to conduct the business, e.g., contractor’s license(construction, landscaping, electrical, plumbing, welding, engineering), citybusiness license (if required), Department of Environmental Quality license,ARC authorization for travel service, professional license, etc.g) Articles of Organization.h) Operating Agreement.i) Minutes of the most recent company meetings affecting ownership,management, and control.j) Certification letter from the state of incorporation, if the business is notlocated in Oregon.4) Corporationsa) Corporate federal tax returns for the last three- (3) years (first two pages).b) Resumes of majority owner(s) and key employees. Please include previouswork experience with dates and specific duties within this business.c) Rental/lease agreements, and professional service agreements (for officespace, equipment, etc.)Page 22 of 68

d) Proof of ethnicity/gender (birth certificate, tribal enrollment documents,passport, driver’s license, etc.)e) Company profile including a brief description of the firm’s product or services.f) Necessary licenses to conduct the business, e.g., contractor’s license(construction, landscaping, electrical, plumbing, welding, engineering), citybusiness license (if required), DEQ license, ARC authorization for travelservice, professional license, etc.g) Articles of Incorporation and amendments, including date approved by State.h) Minutes of the most recent corporate and organizational meetings affectingownership, management, and control.i) Corporation by-laws.j) Copy of stock certificates issued (not specimen copy, both sides).k) Stock transfer ledger.l) Certification letter from your home state, if your business is not located inOregon.5) Partnershipsa) Corporate federal tax returns for the last three- (3) years (first two pages).b) Resumes of majority owner(s) and key employees. Please include previouswork experience with dates and specific duties within this business.c) Rental/lease agreements and professional service agreements (for officespace, equipment, etc.) related to your businessd) Proof of ethnicity/gender (birth certificate, tribal enrollment documents,passport, driver’s license, etc.).e) Company profile including a brief description of your firm’s product orservices.f) Necessary licenses to conduct your business, e.g., contractor’s license(construction, landscaping, electrical, plumbing, welding, engineering), citybusiness license (if required), DEQ license, ARC authorization for travelservice, professional license, etc.g) Partnership agreement including buy-out rights and profit sharing agreement(signed and dated).h) Certification letter from your home state, if your business is not located inOregon.6) New Businesses (less than one year)a) Canceled checks relating to the business; ORb) An invoice with paid receipt or canceled checks relating to the business.c) One reference for who work has been performed or to whom goods ormaterials have been sold during the prior year.d) One reference from which goods or materials have been purchased for thebusiness or from whom major equipment has been purchased or leased.Page 23 of 68

Page 24 of 68e) Copies of office space and equipment lease agreements.f) As a new business, the firm may not have federal tax information available atthis time. Ensure that the firm has indicated that they are a new business onthe application.g. On-Site ReviewsOMWESB schedules an On-Site Review when it is satisfied that applications andsupporting documentation have been received and are complete.1) The Certification Specialist assigned the DBE file will schedule an on-siteinterview with each DBE applicant firm requesting to bid on FTA, FAA and FTAprojects.2) The OMWESB Certification Specialist will review the application prior to the onsiteinterview to assist in developing any additional questions that will help clarifythe applicant’s status.3) The OMWESB Certification Specialist normally contacts the DBE applicant firm,advising it of the review scheduled approximately two weeks from the date of theletter. If the DBE applicant is unable to be contacted, or delays the date of thereview without good reason, or fails to appear for the scheduled review, effortsare made to reschedule the on-site review.4) DBE certification applicants wishing to participate on upcoming federal-aidassisted construction projects, soon to be let to bid may request acceleration ofthe certification process if the owner agency has an intergovernmentalagreement with OMWESB. The applicant must request TriMet to transmit awritten request to OMWESB to accelerate certification of the applicant firm. Theapplicant must provide to TriMet a written request which identifies specificprojects to be bid and a letter from any prime who will state the applicant’s bidwill be considered.5) The OMWESB Certification Specialist conducts On-site Reviews by inquiring ofand obtaining information as follows:a) Firm name.b) Directions to firm’s location.c) Principal contact and phone number.d) Organizational structure.e) Persons interviewed and position with firm.f) Firm’s primary line of business.g) Identities of the firm’s board of directors.h) Frequency that board meets.i) Firm’s bonding/insurance company.j) Current bonding limitationk) Determine:i) Firm’s bond/insurance agentii) Firm’s attorney

iii) Firm’s CPAiv) Firm’s banker(s)l) Number of permanent employees.m) Who approves:i) Hiring and dismissal of employeesii) In this person’s absencen) Employee recruiting.o) Supervisor employed.p) Explanation of supervisor’s duties and responsibilities.q) Determine how the disadvantaged owner acquired interest in the firm.r) Who contributes capital, equipment, real estate, inventory, etc.s) Technical assistance provided by others.t) Total hours per day and days per week DBE owner actively engaged in firm’sbusiness.u) DBE owner’s daily duties.v) Is DBE owner employed elsewhere – if yes, where?w) Who makes major business decisions (i.e. expansion, diversifying)?x) Marketing of the firm, (how and who’s responsible.).y) Dispersal of funds, (how and under whose approval).z) Signatures on payroll and other checks, (who signs).i) Any loan negotiation/arrangement information (who does this).ii) Firm’s line of credit and it’s limits.iii) Contracts currently active.iv) Business tax returns information (who prepares, who signs).v) Description of firm’ bidding/estimating process.vi) Description of firm’s process of monitoring job costs.vii) Description of methods used to resolve field problems.viii) Who negotiates contract disputes.ix) Explanation of relationships with other firms who might provide;ManpowerEquipmentOffice spaceYard or warehouse spacex) Information, which might show the DBE owner was employed by anyboard member or officer of this firm.Page 25 of 68

Page 26 of 68xi) Average length of time firm’s products is stored/inventoried.xii) Salaries paid to management personnel.xiii) Explanation of spouse’s relationship to firm – other firms.xiv) Review firm’s business plans (aspirational goals for future growth, etc.).h. Reciprocal CertificationWhen another U.S.DOT Recipient has certified a firm, OMWESB has the discretionto take any of the following actions:1) Accept another Recipient’s certification on a reciprocal basis,2) Make an independent certification decision based on documentation provided bythe other grantee augmented by any additional information OMWESB requiresthat applicant firm to provide; or3) Require the applicant firm to go through OMWESB’s certification process withoutregard to the action of the other grantee.When another grantee, in connection with its consideration of the eligibility of a firm,makes a written request for certification information OMWESB has obtained aboutthat firm, OMWESB will promptly make the information available to the other grantee.i. Certification Duration Renewal Certification ProceduresOnce OMWESB certifies a firm as an eligible DBE, it shall remain certified for aperiod of at least three (3) years unless and until its certification is removed orexpires. OMWESB will not require DBEs to reapply for certification as a condition ofthe continuing right to participate in the program during this three- (3) year period.The DBEs will have to reapply and be recertified if their certification is removed orexpires at the end of the certification period. OMWESB will update the DBEDatabase regularly with new certification actions.1) Notification of Change in CircumstancesDuring a DBE firm’s three (3)-year certification period, it must inform OMWESB,in writing, of any changes in circumstances affecting the firm’s ability to meetdisadvantaged status, business size, ownership, control requirements, or anymaterial change in the information provided in the certification applicationprocess, and attach supporting documentation describing in detail the nature ofsuch changes. Such notice of change from the DBE firm must take the form ofan un-sworn declaration executed under penalty of perjury. The writtennotification shall be provided by the DBE within thirty (30) days of occurrence ofthe change(s). If the DBE fails to make timely notification of such changes, it willbe deemed to have failed to cooperate under the Regulations.2) Annual Affidavit of Continuing EligibilityEvery firm certified by OMWESB as a DBE must provide to OMWESB every yearon the anniversary of the date of its initial certification, an affidavit sworn to by thefirm’s owner(s) before a person who is authorized by state law to administeroaths or an un-sworn declaration executed under penalty of perjury of the laws ofthe United States. This affidavit must affirm that there have been no changes inthe firm’s circumstances affecting its ability to meet size, disadvantaged status,ownership, or control requirements of the Regulations or any material changes tothe information provided in its original application, or the last notification of a

change circumstance. The affidavit shall specifically affirm that the DBEcontinues to meet SBE size criteria and the overall gross receipt cap,documenting this affirmation with supporting documentation of the DBE size andgross receipts. If the DBE fails to provide this information in a timely manner, itwill be deemed to have failed to cooperate with the requirements of theRegulations.j. Denials and Reapplication ProceduresWhen the OMWESB determines that a firm is not eligible for certification, theOMWESB will provide the firm a written explanation of the reasons for the denial,specifically referencing the evidence in the record that supports each reason for thedenial. All documents and other information on which the denial is based will bemade available to the applicant firm upon request. When a firm is deniedcertification, it is required to wait at least twelve (12) months before it may reapply forDBE certification with OMWESB. The time period for reapplication begins to run onthe date the explanation for denial of certification is received by the applicant firm.The firms may file and appeal for any denial of certification to U.S.DOT.k. Removal Procedures (De-certification)A DBE firm which no longer meets the eligibility standards (or misrepresentedinformation during the certification process) will be removed from the DBE programby having its certification removed. A firm shall remain certified during the removalprocess.1) Initiating Removal.a) Any person may file a written complaint that alleges a currently certified firmis ineligible. A written complaint must specify reasons for the allegation andinclude any information or arguments supporting the allegation. A generalallegation or anonymous complaint will not be accepted. The Manager willreview the complaint, all certification records and other available informationin order to determine whether there is reasonable cause to believe that thefirm is ineligible. The Manager will ensure confidentiality of complainant’sidentity, in accordance with current state and federal laws.b) Authority-Initiated Proceedings – The Manager will review all notifications ofchange in circumstance or other information that comes to OMWESBsattention, including notification of removal actions of other U.S.DOTrecipients, to determine whether there is reasonable cause to believe acurrently certified firm is ineligible.c) U.S.DOT Directive to Initiate Proceeding – A U.S.DOT agency may directTriMet to initiate removal proceedings, because it has determined theinformation in certification records or other information available providesreasonable cause to believe that a firm is ineligible. The U.S.DOT agencymust provide TriMet and the firm a notice setting forth reasons for thedirective, including relevant documentation.d) Reasonable Cause to Believe a Firm is Ineligible – If the Manager determinesthat there is not reasonable cause to believe the firm is ineligible, s/he shallprovide a written notice to the firm and the complainant stating the reasontherefore in such cases where a complaint was filed with OMWESB. If thePage 27 of 68

Manager determines that there is reasonable cause to believe the firm isineligible, the following steps shall be taken:i) Written Notice – The OMWESB will provide written notice to the firm thatit proposes to find the firm ineligible for further participation in the DBEprogram. The notice shall include the reasons for the proposed removaland reference evidence in the record that supports the determination.The notice shall also include notification that the firm has the right to aninformal hearing.ii) Contested Case Hearing– A Contested Case Hearing gives the firm anopportunity to respond to the reasons for the proposed removal ofeligibility. The firm can provide any information or arguments concerningwhy it should remain certified.A. Certification Appeal to United States Department of Transportation (U.S.DOT)A firm that has been denied certification or whose eligibility is removed may make anadministrative appeal to the U.S.DOT. A complainant in an ineligibility complaint to theOMWESB may appeal to U.S.DOT if OMWESB does not find reasonable cause topropose removing the firm’s eligibility. Pending the U.S.DOT appeal decisions,OMWESB’s decision shall remain in effect. All Appeals shall be sent to:U.S. Department of TransportationOffice of Civil Rights400 Seventh Street, SW, Room 2401Washington, DC 20590All requests for an appeal must be sent, in writing, within ninety (90) days of OMWESB’sfinal decision on the matter. The appeal request shall include information andarguments regarding why the decision should be reversed. If the appeal is from a firm,the request must include information regarding certification with other U.S.DOTrecipients. If the appeal is from a third party, the party will be requested to provide thesame information.The manager shall provide a copy of a complete, well-organized administrative recordwithin twenty (20) days of a request from U.S.DOT. U.S.DOT will make its decisionbased solely on the entire administrative record without conducting a hearing. The firmand complainants shall have access to any information reviewed by U.S.DOT inaccordance with public records and privacy laws.U.S.DOT will affirm OMWESB’s decision if it determines, based on the entireadministrative record, that the decision is supported by substantial evidence or isconsistent with the substantive or procedural provision concerning certification.U.S.DOT shall send written notification of its decision including the reasons therefore toOMWESB, the firm and any complainant. If OMWESB’s decision is reversed, theManager will take all appropriate actions to conform to the U.S.DOT’s decisionimmediately upon receiving the written notice. U.S.DOT decisions are final and bindingon OMWESB only.B. Recertification’sTriMet will review the eligibility of DBEs that are certified under former part 23, to ensurethat they meet the standards of Subpart D of 49 CFR Part 26. TriMet will complete thisreview no later than three years from the most recent certification date of each firm.Page 28 of 68

For firms that TriMet has certified or reviewed and found eligible under 49 CFR Part 26,TriMet will again review their eligibility as often as TriMet deems necessary. Thesereviews will include the components deemed necessary by TriMet, and will include butare not limited to an on-site review, submission of a new application, or determination ona case-by-case basis.C. “No Change” Affidavits and Notices of ChangeOMWESB will require all DBEs to inform it, in a written affidavit, of any change in itscircumstances affecting its ability to meet size, disadvantaged status, ownership orcontrol criteria of 49 CFR Part 26 or of any material changes in the information provided.OMWESB will also require owners of all DBEs it has certified to submit, on theanniversary date of their certification, a “no change” affidavit meeting the requirements of§26.83(j). The text of this affidavit is as follows:I swear (or affirm) that there have been no changes in the circumstances of[name of DBE firm] affecting its ability to meet the size, disadvantaged status,ownership, or control requirements of 49 CFR Part 26. There have been nomaterial changes in the information provided with [name of DBE]’s application forcertification, except for any changes about which you have provided writtennotice to OMWESB under §26.83(i). [Name of DBE firm] meets Small BusinessAdministration (SBA) criteria for being a small business concern and its averageannual gross receipts (as defined by SBA rules) over the firm’s previous threefiscal years do not exceed the limits defined in North American IndustryClassification System (NAICS) codes and Federal Highway Administration rules;and the disadvantaged owner(s) have not exceeded the personal net worth limit.Any material misrepresentation is grounds for denial or revocation of certificationand initiation of actions under federal or state laws concerning false swornstatements.OMWESB requires DBEs to submit with this affidavit any relevant documentationshowing the firm’s size and SBA three-year gross receipts.OMWESB will notify all currently certified DBE firms of these obligations in writingapproximately 30 days prior to the certification anniversary date. This notification willinform DBEs that to submit the “no change” affidavit, their owners must swear or affirmthat they meet all regulatory requirements of 49 CFR Part 26, including personal networth. Similarly, if a firm’s owner knows or should know that he or she, or the firm, failsto meet a 49 CFR Part 26 eligibility requirement (e.g., personal net worth), the obligationto submit a notice of change applies.Page 29 of 68

Attachment B - OMWESB DBE DIRECTORYFirm DBA Name Address City State ZipDBECertificationStatus1-A CONSTRUCTION & FIRE LLP 31156 FOLLETT LN HERMISTON OR 97838 DBE ActiveOR 2.INK STUDIO P.C.107 SE WASHINGTON ST STE228 PORTLAND97214 DBE Active3D INFUSION INC. 8110 SW VALLEY VIEW DR PORTLAND OR 97225 DBE Active4S SIGNS LLC 30255 HWY 34 ALBANY OR 97321 DBE ActiveA.B. UTILITY CONTRACTORS, INC. 910 S 2ND ST HARRISBURG OR 97446 DBE ActiveA+ FLAGGING, INC. 365 NE STAR ST #26 SUBLIMITY OR 97385 DBE ActiveA2 FABRICATION, INC. 9800 SE MCBROD AVE STE 17 MILWAUKIE OR 97222 DBE ActiveABC CONTROL SYSTEMS, INC.7425 ORANGETHORPE AVESTE A BUENA PARK CA 90621 DBE ActiveABC FLAGGING, INC.61 WINDY BLUFF RDWHITESALMON WA 98672 DBE ActiveABHT STRUCTURAL ENGINEERS, LLC 1640 NW JOHNSON ST PORTLAND OR 97209 DBE ActiveACCURATE COMPUTER MODELEDENGINEERING, LLC1005 NW GALVESTON AVESTE 230 BEND OR 97701 DBE ActiveACCURATE LAND SURVEYS, INC. 1170 NE 64TH LN UNIT 1204 HILLSBORO OR 97124 DBE ActiveACE COMPUTER CENTER, INC. 2160 KINGSTON CT STE A MARIETTA GA 30067 DBE ActiveAD SERVICES 15618 SE FRANCIS ST PORTLAND OR 97236 DBE ActiveADVANCED TECHNOLOGIESINTEGRATIONS, INC. 7301 OHMS LN STE 500MINNEAPOLIS MN 55439 DBE ActiveAFFORDABLE ELECTRIC INC 34325 SE DODGE PARK BLVD GRESHAM OR 97080 DBE ActiveAFFORDABLE SAFE ANDPROFESSIONAL FLAGGING, LLC 305 NE 6TH ST STE 350 GRANTS PASS OR 97526 DBE ActiveALARM TRACKS, INC.4134 N VANCOUVER AVE STE203B PORTLAND OR 97217 DBE ActiveALCANTAR AND ASSOCIATES, LLC 660 N THOMPSON ST PORTLAND OR 97227 DBE ActiveALICATA GLASS, INC. 20561 OLMSTEAD RD NE AURORA OR 97002 DBE ActiveALL TRAFFIC DATA SERVICES, INC 9660 W 44TH AVEWHEATRIDGE CO 80033 DBE ActiveALLDRITT MANAGEMENT CO. 4295 IMPERIAL DR WEST LINN OR 97068 DBE ActiveALLIANCE CORPORATION 8945 W RUSSELL RD STE 150 LAS VEGAS NV 89148 DBE ActiveALLIANCE INDUSTRIAL GROUP, INC. 2420 N HAYDEN ISLAND DR PORTLAND OR 97217 DBE ActiveALL-MED TRANSIT 8530 NE CLACKAMAS ST PORTLAND OR 97220 DBE ActiveALSEA GEOSPATIAL, INC. 450 SW MADISON AVE CORVALLIS OR 97333 DBE ActiveAMBROSINI DESIGN, LTD. 214 NW 20TH AVE PORTLAND OR 97209 DBE ActiveAMERICAN CONSULTINGENGINEERS, INC. 6856 SW STAR JASMINE PL BEAVERTON OR 97008 DBE ActiveAMERICAN STEEL PRODUCTS INC 5620 NE 65TH AVE PORTLAND OR 97218 DBE ActiveAMERICANHORSE VENTURES LLC 130 MOLALLA ST SILETZ OR 97380 DBE ActiveAMPERE ELECTRIC 1350 SE 122ND AVE PORTLAND OR 97233 DBE ActiveANDERSON'S EROSION CONTROL,INC.520 E 2ND STJUNCTIONCITY OR 97448 DBE ActiveANGELO PLANNING GROUP, INC.921 SW WASHINGTON ST STE468 PORTLAND OR 97205 DBE ActiveANTONE ELECTRIC, LLC 937 W HILLIARD LN EUGENE OR 97404 DBE ActiveAPEX ENVIRONMENTALCONSULTING SERVICES, INC. 13100 SW WESTFALL RD SHERWOOD OR 97140 DBE ActivePage 30 of 68

APPLIED ECOLOGY AND RESEARCHCONSULTING 5129 N VANDERBILT ST PORTLAND OR 97203 DBE ActiveARDENT TECHNOLOGIES INC. 1458 YANKEE PARK PL DAYTON OH 45458 DBE ActiveARELLANO'S CONSTRUCTION LLC 7437 SE 51ST AVE PORTLAND OR 97206 DBE ActiveARRAKIS PROFESSIONAL SERVICES 437 NE FARGO ST PORTLAND OR 97212 DBE ActiveARTHUR C. GARRETT TRUCKING 2304 N WATTS PORTLAND OR 97217 DBE ActiveAVID PHOTO 1082 ALBERTA AVE MONMOUTH OR 97361 DBE ActiveAZURI CONSTRUCTION, INC. 5617 NE 16TH AVE PORTLAND OR 97211 DBE ActiveB & G EXCAVATION & PLUMBINGLLC 4241 SE 136TH AVE PORTLAND OR 97236 DBE ActiveB & K MASONRY LLC 4892 OAK PARK DR NE SALEM OR 97305 DBE ActiveB CLASSIC PAINTING &REMODELING, LLC 900 ALDER ST SWEET HOME OR 97386 DBE ActiveB&B DIVERSIFIED MATERIALS 17872 LOG CABIN LN BEND OR 97707 DBE ActiveB&E BROOKS, INC 28255 SE WALLY RD BORING OR 97009 DBE ActiveBAE URBAN ECONOMICS, INC. 1285 66TH ST EMERYVILLE CA 94608 DBE ActiveBE/SU, INC. 20698 BRINSON BLVD BEND OR 97701 DBE ActiveBENT ENTERPRISES, INC. 15425 NW CREPS RD BANKS OR 97106 DBE ActiveBEST CCLS, INC. 2510 SANDRA AVE STE A CENTRALIA WA 98531 DBE ActiveBESTRADE ENTERPRISES 3100 SE 166TH AVE PORTLAND OR 97236 DBE ActiveBETTY LOU'S, INC.775 NE ALPINE DRMCMINNVILLE OR 97128 DBE ActiveBIG J CONSTRUCTION, INC. 33 N CENTRAL AVE STE 300 MEDFORD OR 97501 DBE ActiveBILLY W SUELL PAINTING 864 NE SIMPSON ST PORTLAND OR 97211 DBE ActiveBIRD SOLUTIONS INTERNATIONALCOMPANY 1338 N MELROSE DR STE H VISTA CA 92083 DBE ActiveBLACK DIAMOND ASPHALT, INC. 118 MAIN ST VACAVILLE CA 95688 DBE ActiveBLONDY'S TRUCKING 8118 SE CORA ST PORTLAND OR 97206 DBE ActiveBOANERGES GROUP LLC4134 N VANCOUVER AVE STE303 C PORTLAND OR 97217 DBE ActiveBOLIMA DRAFTING & DESIGN, INC.4131 N VANCOUVER AVE STE300B PORTLAND OR 97217 DBE ActiveBONNIE GEE YOSICK LLC BOX 145 PORTLAND OR 97213 DBE ActiveBRG ENGINEERING3841 N FREEWAY BLVD STE175SACRAMENTO CA 95834 DBE ActiveBRIDGETOWN DESIGNARCHITECTURE ILLUSTRATIONDESIGN, LLC 7538 N BURLINGTON AVE PORTLAND OR 97203 DBE ActiveBUCKEL ASSOCIATES, INC. 14631 S LIVESAY RD OREGON CITY OR 97045 DBE ActiveBUFFALO WELDING, INC. 3701 SE NAEF RD OAK GROVE OR 97267 DBE ActiveBUILDERS NW, LLC 20420 NE SUNNYCREST RD NEWBERG OR 97132 DBE ActiveBULLET RENTAL & SALES,INCORPORATED5900 S 6TH ST STE BKLAMATHFALLS OR 97603 DBE ActiveBURTON CONSTRUCTION, INC 3915 E NEBRASKA AVE SPOKANE WA 99217 DBE ActiveC & L METAL SALES 4921 NE MASON ST PORTLAND OR 97218 DBE ActiveC.J. JACKSON CONSTRUCTION, INC. 1708 NE JARRETT ST PORTLAND OR 97211 DBE ActiveCAD NORTHWEST 7245 LAKESIDE DR NE SALEM OR 97305 DBE ActiveCADD CONNECTION, LLC 705 LYON ST S ALBANY OR 97321 DBE ActiveCAFFERATA CONSULTING, LLC 2019 NE JOSEPHINE DR HILLSBORO OR 97124 DBE ActiveCANELL'S FLAGGING LLC 12901 NE PRESCOTT STE B PORTLAND OR 97230 DBE ActiveCANTEL OF MEDFORD, INC 3981 CRATER LAKE HWY MEDFORD OR 97504 DBE ActiveCAPERS CAFE & CATERING CO. 12003 NE AINSWORTH CIR PORTLAND OR 97220 DBE ActivePage 31 of 68

STE ACAPITAL CONCRETECONSTRUCTION, INC. 220 8TH ST AUMSVILLE OR 97325 DBE ActiveCARLETON HART ARCHITECTURE PC 322 NW 8TH AVE PORTLAND OR 97209 DBE ActiveCASCADE DESIGN PROFESSIONALS,INC. 2780 SE HARRISON ST STE 104 MILWAUKIE OR 97222 DBE ActiveCAT WORKS, LLC22105 B NE 72ND AVEBATTLEGROUND WA 98604 DBE ActiveCATRON CONSULTING, INC. 4631 NE ALBERTA CT PORTLAND OR 97218 DBE ActiveCBK CONSTRUCTORS, LLC 945 N IVY ST CANBY OR 97013 DBE ActiveCEC SERVICES, INC. INSPECTIONAND SECURITY4134 N VANCOUVER AVE STE306B PORTLAND OR 97217 DBE ActiveCEILINGS PLUS JOINT VENTURE 6711 E WASHINGTON BLVD LOS ANGELES CA 90040 DBE ActiveCENTER FOR CONFLICT STUDIES 3276 SE SHERMAN ST PORTLAND OR 97214 DBE ActiveCERTIFIED PERSONNEL SERVICEAGENCY, INC. 10101 N MCCALISTER RD LA GRANDE OR 97850 DBE ActiveCHAMPION SWEEPING 5416 N VANCOUVER AVE PORTLAND OR 97212 DBE ActiveCHICK OF ALL TRADES, LLC 2711 SE MILWAUKIE AVE PORTLAND OR 97202 DBE ActiveCHRISTINE RAINS GRAPHIC DESIGN 506 SW 6TH AVE STE 800 PORTLAND OR 97204 DBE ActiveCHRYSALIS CONSULTING, LLC11711 N PENNSYLVANIA STSTE 190 CARMEL IN 46032 DBE ActiveCINDY'S CONCRETE LLC 14911 S LODER RD OREGON CITY OR 97045 DBE ActiveCISNEROS CONSTRUCTION, INC. 5528 NE 105TH AVE STE 1 PORTLAND OR 97220 DBE ActiveCITY OF ROSES DISPOSAL &RECYCLING LLC 5726 NE 109TH AVE PORTLAND OR 97220 DBE ActiveCIVIL DYNAMICS, P.C. 101 GOLDSTRIKE CT CALDWELL ID 83607 DBE ActiveCLARK TRANSPORTATIONCONSULTING & SERVICES, LLC 1 VAIL LN FLEMINGTON NJ 8822 DBE ActiveCLEAN RIVERS EROSION CONTROL,INC 1655 N 15TH ST COOS BAY OR 97420 DBE ActiveCOAST INDUSTRIES, INC. 714 NE ALBERTA ST PORTLAND OR 97211 DBE ActiveCOLAS CONSTRUCTION, INC.5319 SW WESTGATE DR STE207 PORTLAND OR 97221 DBE ActiveCOLUMBIA CONCRETE SAWING CO. 5462 SW PHILOMATH BLVD CORVALLIS OR 97333 DBE ActiveCOLUMBIA GEOTECHNICAL, INC. 2214 SE BELLA VISTA RD VANCOUVER WA 98683 DBE ActiveCONCRETE WORKS, INC. 7132 35TH AVE NE KEIZER OR 97303 DBE ActiveCONNICO INCORPORATED2594 N MOUNT JULIET RDMOUNTJULIET TN 37122 DBE ActiveCONVERGENT PACIFIC LLC 8975 SW CENTER ST TIGARD OR 97223 DBE ActiveCOOPER ZIETZ ENGINEERS, INC. 620 SW 5TH AVE STE 1225 PORTLAND OR 97204 DBE ActiveCOUNTERPOINT CONSULTING319 SW WASHINGTON ST STE309 PORTLAND OR 97204 DBE ActiveCP CONSTRUCTION LLC225 DRIVER VALLEY RD STE100 OAKLAND OR 97462 DBE ActiveCPH PLANNING, INC. 2605 SE 25TH AVE PORTLAND OR 97202 DBE ActiveCREATE ENVY GRAPHIC DESIGN 2216 EL DORADO ST LOS OSOS CA 93402 DBE ActiveCREELMAN & ASSOCIATES, INC. 280 HARVEST RIDGE WAY PASO ROBLES CA 93446 DBE ActiveCRESTVIEW CONSTRUCTION, INC 205 SE 3RD AVE STE 600 HILLSBORO OR 97123 DBE ActiveCRITICAL PATH, INC. 4977 39TH AVE S FARGO ND 58104 DBE ActiveCSI CONSTRUCTION SERVICESINCORPORATED27310 NE 122ND AVEBATTLEGROUND WA 98604 DBE ActiveCUMBRE, INC. 3333 CONCOURS STE 5100 ONTARIO CA 91764 DBE ActivePage 32 of 68

CURTIS AND JEIDY 2237 NE STANTON ST PORTLAND OR 97212 DBE ActiveCUTTER CONSTRUCTION CO INC 21410 S LEVI RDBEAVERCREEK OR 97004 DBE ActiveD&H FLAGGING, INC. 1621 SE PARDEE ST PORTLAND OR 97202 DBE ActiveDAILEY'S TRUCKING, EXCAVATING &PAVING, LLC 36722 SE HAUGLUM RD SANDY OR 97055 DBE ActiveDAJA INTERNATIONAL, LLC 111 PINE ST STE 1400SANFRANCISCO CA 94111 DBE ActiveDALTON QUALITY CONCRETE, INC. 649 PLEASANT VALLEY RD MERLIN OR 97532 DBE ActiveDANIEL BURKE ENVIRONMENTAL &CIVIL, INC. 8234 N WILLAMETTE BLVD PORTLAND OR 97203 DBE ActiveDATALED TECHNOLOGIES, INC. 9710 SW DAVIES RD BEAVERTON OR 97008 DBE ActiveDAVIS FREIGHT MANAGEMENT,INC. 1927 ELMWOOD AVE BUFFALO NY 14207 DBE ActiveDEBBIE PETREE30143 MONTMORENCE DRJUNCTIONCITY OR 97448 DBE ActiveDENALI STONEWORKS, INC.4605 SW BEAVERTONHILLSDALE HWY PORTLAND OR 97221 DBE ActiveDHILLON ENGINEERS, LLC 3601 SW RIVER PKWY STE 800 PORTLAND OR 97239 DBE ActiveDHILLON MANAGEMENT SERVICES 617 CASA BLANCA DR FULLERTON CA 92832 DBE ActiveDIRT AND AGGREGATEINTERCHANGE, INC. 20905 NE SANDY BLVD FAIRVIEW OR 97024 DBE ActiveDL DESIGN GROUP, INC.10700 SW BVTN HLSDL HWYSTE 655 BEAVERTON OR 97005 DBE ActiveDON HINES TRUCKING 13601 SE HIGHWAY 212 CLACKAMAS OR 97015 DBE ActiveDONALDSON ENTERPRISESCONSULTING 4708 Y ST WASHOUGAL WA 98671 DBE ActiveDOUBLE RS 2010 STEWART RD GRANTS PASS OR 97526 DBE ActiveE I R ELECTRIC, INC. 2802-B NE 65TH AVE VANCOUVER WA 98661 DBE ActiveEAGLE PAINTING ANDCONSTRUCTION LLC 3593 OAK RIDGE LN HUBBARD OR 97032 DBE ActiveEAGLE PASS REFORESTATION, INC. 50 1/2 UPPER APPLEGATE RDJACKSONVILLE OR 97530 DBE ActiveEARTH MECHANICS, INC.17800 NEWHOPE ST STE BFOUNTAINVALLEY CA 92708 DBE ActiveEDDY EXCAVATION 22030 S RIDGE RD OREGON CITY OR 97045 DBE ActiveEGAMI CONSTRUCTION, INC. 7534 KAYLA SHAE ST NE KEIZER OR 97303 DBE ActiveELITE SIGNS 8723 SE DIVISION ST PORTLAND OR 97266 DBE ActiveELIZABETH YOUNGER AGENCY, LTD 5418 LONGLEY LN STE B RENO NV 89511 DBE ActiveEMPIRE TRUCKING, LLC 20740 SE WEBFOOT RD DAYTON OR 97114 DBE ActiveENGINEERING REMEDIATIONRESOURCES GROUP, INC. 21355 HORTON CT WEST LINN OR 97068 DBE ActiveENVIRONMENTAL SCIENCE &ASSESSMENT, LLC 838 SW 1ST AVE STE 410 PORTLAND OR 97204 DBE ActiveEPC CONSULTANTS, INC.655 DAVIS STSANFRANCISCO CA 94111 DBE ActiveEPIC LAND SOLUTIONS, INC. 2601 AIRPORT DR STE 115 TORRANCE CA 90505 DBE ActiveE-SQUARED ENGINEERING 43969 TAVERN DR STE 200 ASHBURN VA 20147 DBE ActiveEVOLVE ENGINEERING LLC 1255 NW 9TH AVE APT 401 PORTLAND OR 97209 DBE ActiveEXCEL GLOVES & SAFETY SUPPLIES,INC. 6808 26TH ST E STE 102 FIFE WA 98424 DBE ActiveEXELTECH CONSULTING, INC.2590 WILLAMETTE DR NE STE101 LACEY WA 98516 DBE ActivePage 33 of 68

EXTREME ACCESS INCORPORATED 422 NW ROANOKE AVE BEND OR 97701 DBE ActiveEZ GRADE, INC. 9467 STAYTON RD SE AUMSVILLE OR 97325 DBE ActiveFAISON CONSTRUCTION, INC. 4134 N VANCOUVER AVE PORTLAND OR 97239 DBE ActiveFAST FORMLINERS, INC. 1005 MILLER DR SAINT CLAIR MO 63077 DBE ActiveFEATHERLITE ENTERPRISES LLC 2522 NE M L KING BLVD PORTLAND OR 97212 DBE ActiveFIRST INSTALLATION REPAIR &SERVICE TODAY, INC. 524 N TILLAMOOK ST PORTLAND OR 97227 DBE ActiveFIRST UNITED ENGINEERING922 N KILLINGSWORTH ST STE2-K PORTLAND OR 97217 DBE ActiveFITZGERALD & HALLIDAY, INC. 72 CEDAR ST HARTFORD CT 6106 DBE ActiveFLY'N N TRUCKING PO BOX 442 MONMOUTH OR 97361 DBE ActiveFM BURCH AND ASSOCIATES 2009 NE EDGEWATER DR PORTLAND OR 97211 DBE ActiveFOUNDATION STORAGE LLC 1740 SW ELIZABETH ST PORTLAND OR 97201 DBE ActiveFREEMAN CONTRACTING, INC. 14432 STATELINE RD BROOKINGS OR 97415 DBE ActiveFREEMAN ROCK, INC. 99031 S BANK CHETCO RD BROOKINGS OR 97415 DBE ActiveG&L EXTERIORS, INC. 27424 SE EAGLE CREEK RD ESTACADA OR 97023 DBE ActiveG.I. TRUCKS LLC 2730 SE 92ND AVE APT 401 PORTLAND OR 97266 DBE ActiveGAGE IT CONSTRUCTION LLC 4778 AIRWAY DRCENTRALPOINT OR 97502 DBE ActiveGARNER CONSTRUCTION 5301 RAVENNA AVE NE APT 1 SEATTLE WA 98105 DBE ActiveGARY COMPTON CONSTRUCTIONLLC30566 COMPTON LNJUNCTIONCITY OR 97448 DBE ActiveGEO & JEM INC.4107 SE INTERNATIONAL WAYSTE 705 MILWAUKIE OR 97222 DBE ActiveGIBSON DOOR & MILLWORK, INC. 10148 SE CLATSOP ST PORTLAND OR 97266 DBE ActiveGLASS DEPOT, INC. 4451 WEST 5TH AVE GARY IN 46406 DBE ActiveGLOBAL PIPING INFRASTRUCTUREDEVELOPMENT, LLC8040 NE SANDY BLVD STE201A PORTLAND OR 97213 DBE ActiveGOLLAH CONSULTING L.L.C. 926 NE 79TH AVE PORTLAND OR 97213 DBE ActiveGORGE ELECTRIC INC 1450 TUCKER RD HOOD RIVER OR 97031 DBE ActiveGRADING UNLIMITED INC. 5713 NE SILO DR HILLSBORO OR 97124 DBE ActiveGRAY BEAR CONSTRUCTION CO. 4548 N ALBINA AVE PORTLAND OR 97217 DBE ActiveGREEN ART LANDSCAPE &IRRIGATION 8335 NW CORNELIUS PASS RD HILLSBORO OR 97124 DBE ActiveGREEN DECONSTRUCTIONSERVICES, INC. 2519 NE ARGYLE ST STE B PORTLAND OR 97211 DBE ActiveGREEN TEAM CLEANING SERVICESLLC6107 SW MURRAY BLVD STE259 BEAVERTON OR 97008 DBE ActiveGREEN TRANSPORTATION CO. LLC 10118 E BURNSIDE ST PORTLAND OR 97216 DBE ActiveGREENLIFE CONSTRUCTION,INCORPORATED14008 SE SUMMERFIELDLOOP CLACKAMAS OR 97086 DBE ActiveGREGG'S STRIPE-A-LOT LLC 8275 WHEATLAND RD N KEIZER OR 97303 DBE ActiveGRIZZLY MOUNTAIN EXCAVATION,LLC 910 NE KINGWAY REDMOND OR 97756 DBE ActiveGROUP AGB, LTD. 3327 NE 59TH AVE PORTLAND OR 97213 DBE ActiveGROVES ENTERPRISES 4824 NE 8TH AVE PORTLAND OR 97211 DBE ActiveH.K. FLAGGING, INC. 2088 BERRY ST SE SALEM OR 97302 DBE ActiveHANSEN DRAFTING & GRAPHICS 2310 SNELLING DR EUGENE OR 97408 DBE ActiveHARBOR OFFSHORE, INC. 5720 NICOLLE ST VENTURA CA 93003 DBE ActiveHATA, INC. 231 MOORESTOWN RD BATH PA 18014 DBE ActiveHERITAGE RESEARCH ASSOCIATES,INC. 1997 GARDEN AVE EUGENE OR 97403 DBE ActiveHT CONSULTING, LLC 1528 OGDEN ST KLAMATH OR 97603 DBE ActivePage 34 of 68

FALLSHY-SIGN FLAGGING INC. 1905 KELDAN LN GRANTS PASS OR 97527 DBE ActiveICIS, INC.4107 SE INTERNATIONAL WAYSTE 705 MILWAUKIE OR 97222 DBE ActiveIN LINE COMMERCIALCONSTRUCTION, INC. 18880 SW SHAW ST ALOHA OR 97007 DBE ActiveINFORMATION TECHNOLOGYCONSULTING CO. 5310 LEXINGTON WOODS LN JOHNS CREEK GA 30005 DBE ActiveINNOVATIVE CONTRACT STAFFINGCORP. 9290 SE OTTY PL PORTLAND OR 97086 DBE ActiveINNOVATIVE GROWTH SOLUTIONS,LLC 19131 LOT WHITCOMB DR OREGON CITY OR 97045 DBE ActiveINTEGRITY WIRE INC503 BRIDGE STHUNTINGTON WV 25702 DBE ActiveINTERLAKEN, INC. 1220 SE 190TH AVE PORTLAND OR 97233 DBE ActiveISLAND LANDSCAPE CO.9020 NE VANCOUVER WAYSTE A PORTLAND OR 97211 DBE ActiveIT MOTIVES LLC 8461 SW BLAKE ST TUALATIN OR 97062 DBE ActiveJ & R TRUCKING, INC. 1610 N PRESCOTT ST PORTLAND OR 97217 DBE ActiveJ. HARPER CONTRACTORS, INC.17937 CEDAR GROVE ROADNEMAPLEVALLEY WA 98038 DBE ActiveJ. LOSEY TRUCKING, INC. 11287 SW SPRING HILL RD GASTON OR 97119 DBE ActiveJACKSON ACOUSTICAL SUPPLY, LLC 1829 NE 116TH PL PORTLAND OR 97220 DBE ActiveJACKSON MITCHELL DESIGNASSOCIATES 1940 SYLVAN WAY WEST LINN OR 97068 DBE ActiveJACOBSEN DANIELS ASSOCIATESLLC 121 PEARL ST YPSILANTI MI 48197 DBE ActiveJANE MOBLEY ASSOCIATES, INC. 116 W 3RD ST STE 102 KANSAS CITY MO 64105 DBE ActiveJC SUPPLY & MANUFACTURING 1612 S CUCAMONGA AVE ONTARIO CA 91761 DBE ActiveJET ELECTRIC, INC. 11150 SE MARX ST PORTLAND OR 97220 DBE ActiveJET FUEL CAFE & LOUNGE 3650 BIDDLE RD MEDFORD OR 97504 DBE ActiveJIM L. MCNAIR, INC. 330 N T ST LAKEVIEW OR 97630 DBE ActiveJLA PUBLIC INVOLVEMENT, INC. 1110 SE ALDER ST STE 301 PORTLAND OR 97214 DBE ActiveJLC CONTRACTING, INC. 58086 CARTER LANE LONG CREEK OR 97856 DBE ActiveJM FIBER OPTICS, INC. 13941 RAMONA AVE STE A CHINO CA 91710 DBE ActiveJOHN-WAYNE CONSTRUCTION CO. 12610 NE 178TH STWOODINVILLE WA 98072 DBE ActiveJTM CONCEPTS INC. 420 23RD ST ROCK ISLAND IL 61201 DBE ActiveJUNIPER CONTRACTING LLC 2270 RURAL AVE SE SALEM OR 97302 DBE ActiveJUPITER COFFEE INC. 4904 E PORTLAND RD STE 2A NEWBERG OR 97132 DBE ActiveJUST BUCKET EXCAVATING, INC. 1896 SUMMERCREST CT SE SALEM OR 97306 DBE ActiveKAPLAN-STEIN INTERIORS LLC 3025 N KILPATRICK ST PORTLAND OR 97217 DBE ActiveKAPPA MAPPING, INC. 6 STATE ST STE 301 BANGOR ME 4401 DBE ActiveKATHY LAWRENCE HCONSTRUCTION CLEAN UP 4815 NE 10TH AVE PORTLAND OR 97211 DBE ActiveKB ENVIRONMENTAL SCIENCES,INC. 9500 KOGER BLVD STE 211SAINTPETERSBURG FL 33702 DBE ActiveKC DEVELOPMENT 2407 NE 292ND AVE CAMAS WA 98607 DBE ActiveKC PRODUCTS, INC.707 NE BROADWAY ST STE210 PORTLAND OR 97232 DBE ActiveKE & ASSOCIATES, INC. 15695 SW 74TH AVE STE 300 TIGARD OR 97224 DBE ActiveKIM BELL FLAGGING, INC. 8535 WOODARD AVE SE SALEM OR 97317 DBE ActivePage 35 of 68

KINGFISHER CONSTRUCTION &CONSULTATION LLC 2128 GRAHAM BLVD VALE OR 97918 DBE ActiveKLI, INC.304 ROMA JEAN PKWYSTREAMWOOD IL 60107 DBE ActiveKLK CONSULTING LLC 906 NW 23RD AVE PORTLAND OR 97210 DBE ActiveKT CONTRACTING CO. INC. 8970-A HUFF AVE SALEM OR 97303 DBE ActiveKURAHASHI AND ASSOCIATESCOMPANY 4470 SW HALL BLVD STE C BEAVERTON OR 97005 DBE ActiveKWIK-WAY EROSION CONTROLCOMPANY, INC. 18860 S PEAR RD OREGON CITY OR 97045 DBE ActiveLAKEVIEW REDI-MIX CO 18154 KADRMAS RD LAKEVIEW OR 97630 DBE ActiveLAMPKIN GENERAL CONTRACTORLLC 1757 NE MORGAN ST PORTLAND OR 97211 DBE ActiveLANDSMAN TRANSPORTATIONPLANNING LLC 1015 SE 69TH AVE PORTLAND OR 97215 DBE ActiveLAURA HERBON LANDSCAPEARCHITECT, LLC 6824 SE 21ST AVE PORTLAND OR 97202 DBE ActiveLEAJAK CONCRETE CONSTRUCTION,INC.24007 56TH AVE WMOUNTLAKETERRACE WA 98043 DBE ActiveLEE MACHADO DESIGNS 3226 SE WOODWARD ST PORTLAND OR 97202 DBE ActiveLEEKA INC 1402 SE CORA ST PORTLAND OR 97202 DBE ActiveLFL INTERNATIONAL INC 2386 SW VERMONT ST STE 28 PORTLAND OR 97219 DBE ActiveLIBERTY STEEL ERECTORS, INC. 4115 NE 148TH AVE PORTLAND OR 97230 DBE ActiveLIFTLOGIC, INC. 15509 NW GRAF ST PORTLAND OR 97229 DBE ActiveLISA J LARRY, INC 525 JACKPINE ST TAHOE CITY CA 96145 DBE ActiveLKG CMC INC 130 S JACKSON ST STE 200 GLENDALE CA 91205 DBE ActiveLLOYD ENTERPRISES, INC. 15189 SW ROUNDTREE DR TIGARD OR 97223 DBE ActiveLOIS D. COHEN ASSOCIATES LLC2445 NW WESTOVER RD STE501 PORTLAND OR 97210 DBE ActiveLORD & ASSOCIATES, INC.4622 SE JOHNSON CREEKBLVD MILWAUKIE OR 97222 DBE ActiveLSK GRAPHICS, INC.19111 SW INDIAN CREEK AVELAKEOSWEGO OR 97035 DBE ActiveLUCERO CONTRACTORS 10910 KRISTIN WAY LA GRANDE OR 97850 DBE ActiveLUNA JIMENEZ SEMINARS &ASSOCIATES, INC 2453 N HUMBOLDT ST PORTLAND OR 97217 DBE ActiveLURA FRAZEY LAKHAL 6455 SW NYBERG LN G102 TUALATIN OR 97062 DBE ActiveLYNDA FRIESZ PUBLIC RELATIONS,INC. 816 W BANNOCK ST STE A BOISE ID 83702 DBE ActiveM. DAVIS AND COMPANY, INC. 1520 LOCUST ST 3RD FLPHILADELPHIA PA 19102 DBE ActiveMAGNATEX INC 2520 RIDGEMAR CT LOUISVILLE KY 40299 DBE ActiveMAINLINE ELECTRIC, INC. 4324 FERN VALLEY RD MEDFORD OR 97504 DBE ActiveMANDA BECKETT DESIGN 2816 NE 12TH AVE PORTLAND OR 97212 DBE ActiveMARBLE TRUCKING CO., LLC 3508 N WILLIAMS AVE PORTLAND OR 97227 DBE ActiveMARCON, INC., AN IDAHOCORPORATION 1881 W MARCON LN STE 100 MERIDIAN ID 83642 DBE ActiveMARIANNE ZARKIN LANDSCAPEARCHITECT LLC 1304 SE 53RD AVE PORTLAND OR 97215 DBE ActiveMARKETEK431 LAKEWOOD AVELAKEOSWEGO OR 97034 DBE ActiveMARRS SERVICES, INC. 328 E COMMONWEALTH AVE FULLERTON CA 92832 DBE ActiveMARSHBANK CONSTRUCTION, INC. 3304 OLD HARTFORD RD LAKE WA 98258 DBE ActivePage 36 of 68

STEVENSMARTHA BUECHE COUNSELOR /CONSULTANT 3918 SE 10TH AVE PORTLAND OR 97202 DBE ActiveMARY A. LYNCH 5719 OVERRIDGE DR ARLINGTON TX 76017 DBE ActiveMARY MACDUFFEE ENTERPRISES,L.L.C. 679 GREENWOOD DR NE KEIZER OR 97303 DBE ActiveMARY'S A TAX SERVICE, LLC 309 COURT ST THE DALLES OR 97058 DBE ActiveMASSAGE BAR, INC. 14537 WALLINGFORD AVE N SHORELINE WA 98133 DBE ActiveMCBRIDE SHEET METAL, INC. 2623 SE RAYMOND ST PORTLAND OR 97202 DBE ActiveMCDONALD EXCAVATING, INC. 2719 MAIN ST WASHOUGAL WA 98671 DBE ActiveMCMILLEN, LLC 910 MAIN ST STE 258 BOISE ID 83702 DBE ActiveMECHANICAL INC. 6224 SW LURADEL ST PORTLAND OR 97219 DBE ActiveMEKO CONSTRUCTION, INC. 21907 64TH AVE W STE 100MOUNTLAKETERRACE WA 98043 DBE ActiveMESH ROLLING SERVICES 27281 S HIGHWAY 213 MULINO OR 97042 DBE ActiveMETAL MASTERS, INC. 3825 CRATER LAKE HWY MEDFORD OR 97504 DBE ActiveMICHAEL MINOR & ASSOCIATES 4923 SE 36TH AVE PORTLAND OR 97202 DBE ActiveMICHAEL R KODAMA PLANNINGCONSULTANTS2740 W MAGNOLIA BLVDUNIT 103 BURBANK CA 91505 DBE ActiveMINORITY ABATEMENTCONTRACTORS, INC. 3200 NE 65TH ST VANCOUVER WA 98663 DBE ActiveMKM CONSTRUCTION, INC.14915 MOUNTAIN VISTA DRSE YELM WA 98597 DBE ActiveMODOC TRANSPORTATION LLC 715 ASPEN ST MEDFORD OR 97501 DBE ActiveMOTUS RECRUITING & STAFFING,LLC 4800 MEADOWS RD STE 460LAKEOSWEGO OR 97035 DBE ActiveMOUNTAIN HYDRO LLC 22075 BUTLER MKT RD BEND OR 97701 DBE ActiveMOYES DRYWALL 2290 SW XERO LN REDMOND OR 97756 DBE ActiveMSD CONSTRUCTION LLC 29580 SW FARMINGTON RD HILLSBORO OR 97123 DBE ActiveMT. HOOD PIPING AND WELDINGINCORPORATED 33823 KELSO RD BORING OR 97009 DBE ActiveM-TEK KIOSK, INC. 223 SE 3RD AVE PORTLAND OR 97214 DBE ActiveMULTITECH GROUP, INC.3711 W GREEN OAKS BLVDSTE D ARLINGTON TX 76016 DBE ActiveNATE HARTLEY OIL & ASSOCIATES,INC. 506 NE ALBERTA ST PORTLAND OR 97211 DBE ActiveNATIONAL INSURANCECONSULTANTS, INC. 8687 W SAHARA AVE STE 200 LAS VEGAS NV 89117 DBE ActiveNATIVE AMERICAN TECHNOLOGYCORPORATION 990 S 2ND ST COOS BAY OR 97420 DBE ActiveNATURAL LIGHT 745 CREEK STONE WAY ASHLAND OR 97520 DBE ActiveNATURALLY SPEAKING 925 SW 83RD AVE PORTLAND OR 97225 DBE ActiveNAVA CONTRACTING &ENGINEERING, INC. 2833 NE WEIDLER ST PORTLAND OR 97232 DBE ActiveNAVIGATIONAL CONSTRUCTION,INC. 253 FRANKLIN AVE REDMOND OR 97756 DBE ActiveNETCITY INC. 1844 SW TROY ST PORTLAND OR 97219 DBE ActiveNETCOMPLIANCE ENVIRONMENTALSERVICES , LLC 2112 E 26TH ST VANCOUVER WA 98661 DBE ActiveNEW DIMENSIONS LANDSCAPE,INC. 8505 SE 162ND AVE PORTLAND OR 97236 DBE ActiveNORTHERN LIGHTS ELECTRICALCONTRACTOR INCORPORATED 3800 PIONEER RD MEDFORD OR 97501 DBE ActivePage 37 of 68

NORTHERN RESOURCECONSULTING, INC.1339 COMMERCE AVE STE309B LONGVIEW WA 98632 DBE ActiveNORTHWEST ARCHAEOLOGICALASSOCIATES, INC. 5418 20TH AVE NW STE 200 SEATTLE WA 98107 DBE ActiveNORTHWEST GEOTECHNICALCONSULTANTS, INC. 9120 SW PIONEER CT STE B WILSONVILLE OR 97070 DBE ActiveNORTHWEST HAZMAT 36 W Q ST SPRINGFIELD OR 97477 DBE ActiveNORTHWEST INFRASTRUCTURE, LLC 2323 SE CLATSOP ST PORTLAND OR 97202 DBE ActiveNORTHWEST RUBBER EXTRUDERSINC 11155 SW DENNEY RD BEAVERTON OR 97008 DBE ActiveNORTHWEST SIGNAL SUPPLY, INC. 12965 SW HERMAN RD TUALATIN OR 97062 DBE ActiveNORTHWEST TIMBER FALLERS, INC. 4020 NEW HOPE RD GRANTS PASS OR 97527 DBE ActiveNORTHWEST VALLEYPROFESSIONAL CLEANING SERVICESLLC 615 N BEECH ST PORTLAND OR 97227 DBE ActiveNORTON-ARNOLD & COMPANY 1932 1ST AVE STE 802 SEATTLE WA 98101 DBE ActiveNVL LABORATORIES, INC. 4708 AURORA AVE N SEATTLE WA 98103 DBE ActiveNW HOME SERVICES LLC 6941 SE BIXEL WAY MILWAUKIE OR 97267 DBE ActiveNW KODIAK CONSTRUCTION LLC 26487 SW REIN RD SHERWOOD OR 97140 DBE ActiveNW WETLAND RESTORATION LLC 17024 S ABIQUA RD NE SILVERTON OR 97381 DBE ActiveOH PLANNING + DESIGN 115 NW 1ST AVE STE 300 PORTLAND OR 97209 DBE ActiveOM CREATION STUDIO LLC 900 NE 81ST AVE UNIT 306 PORTLAND OR 97213 DBE ActiveO'NEILL ELECTRIC INC 1212 SE GIDEON ST PORTLAND OR 97202 DBE ActiveO-P ENGINEERING LLC84614 PARKWAY RDPLEASANTHILL OR 97455 DBE ActiveOPTIMUM TECHNOLOGY, INC.100 E CAMPUS VIEW BLVDSTE 380 COLUMBUS OH 43235 DBE ActiveOREGON URBAN DEVELOPMENTINTERNATIONAL, LLC8040 NE SANDY BLVD STE201A PORTLAND OR 97213 DBE ActivePACHECO WATER TRUCK SERVICE 3388 MERLIN RD GRANTS PASS OR 97526 DBE ActivePACIFIC DISABILITY MANAGEMENTLLC 3404 SW COMUS ST PORTLAND OR 97219 DBE ActivePACIFIC INNOVATIONS LLC 2419 NE SARATOGA ST PORTLAND OR 97211 DBE ActivePACIFIC NATIVE AMERICAN TOWERCOMMUNICATIONS, INC. 1055 MT HOOD AVE WOODBURN OR 97071 DBE ActivePACIFIC REAL ESTATEMANAGEMENT GROUP, INC 351 NW 12TH AVE PORTLAND OR 97209 DBE ActivePACIFIC RIM SERVICE ANDCONSTRUCTION COMPANY, INC. 2315 SE 24TH AVE PORTLAND OR 97214 DBE ActivePACIFICMARK CONSTRUCTIONCORP. 2340 SE CLATSOP ST PORTLAND OR 97202 DBE ActivePARRISH EXCAVATING, INC. 19592 SE FOSTER RD DAMASCUS OR 97089 DBE ActivePCG UTILITY CONSULTANTS, INC 9952 DOLORES ST STE BSPRINGVALLEY CA 91977 DBE ActivePDX GLASS, LLC5823 SW BEAVERTONHILLSDALE HWY # C14 PORTLAND OR 97221 DBE ActivePECKINPAUGH CONSULTING 3527 SE 62ND AVE PORTLAND OR 97206 DBE ActivePEGASTIAN PRESS 2970 SHORTRIDGE PL SE ALBANY OR 97322 DBE ActivePETER AKHTAR TRUCKING, INC 10422 NE SKIDMORE ST PORTLAND OR 97220 DBE ActivePHIL-AM ENTERPRISES INC. 1695 SNOWBIRD DR NW SALEM OR 97304 DBE ActivePILGRIM'S PROGRESSPRESERVATION SERVICES, LLC 11255 SE 362ND AVE BORING OR 97009 DBE ActivePage 38 of 68

PINNACLE CONSULTINGMANAGEMENT GROUP, INC. 5534 N WESTERNOKLAHOMACITY OK 73118 DBE ActivePIONEER CONSTRUCTION, INC /PENDLETON READY MIX INC 73569 MCKAY LANE PENDLETON OR 97801 DBE ActivePLANS & ACTION 1460 SW 192ND AVE ALOHA OR 97006 DBE ActivePLATEAU GEOSCIENCE GROUP LLC 611 NW 5TH AVEBATTLEGROUND WA 98604 DBE ActivePLI SYSTEMS, INC. 3045 SE 61ST CT HILLSBORO OR 97123 DBE ActivePLUM TREE SOLUTIONS, INC. 17512 FREEPORT WAYFARMINGTON MN 55024 DBE ActivePLUMBING CONCEPTS INC. 16969 SE 232ND DR DAMASCUS OR 97089 DBE ActivePMG INC. 27090 SE HIGHWAY 224 EAGLE CREEK OR 97022 DBE ActivePOK WAN CONTRACTING, INC. 4790 NW WALNUT BLVD CORVALLIS OR 97330 DBE ActivePONY EXPRESS MAINTENANCECORPORATION 6055 NE GLISAN ST STE B PORTLAND OR 97213 DBE ActivePORTLAND FLAGGING, LLC 4134 N VANCOUVER AVE PORTLAND OR 97217 DBE ActivePRICED RIGHT QUALITYTRANSLATIONS 4 TOUCHSTONE APT 81LAKEOSWEGO OR 97035 DBE ActivePRIME TIME CONSTRUCTION, INC. 23530 NE HOLLADAY CTWOODVILLAGE OR 97060 DBE ActivePRO LANDSCAPE, INC. 3045 SE 61ST CT HILLSBORO OR 97123 DBE ActivePRO PRESSURE WASHING, LLC 4252 SW PLUMERIA WAY ALOHA OR 97007 DBE ActivePRODIGIQ, INC.3842 MOUNTAIN SHADOWRDCALABASASHILLS CA 91301 DBE ActivePROFESSIONAL CONVEYOR SOUTH,LLC2886 LANDYNS CIRFERNANDINABEACH FL 32034 DBE ActivePROJECT DELIVERY GROUP, LLC 3150 22ND ST SE SALEM OR 97302 DBE ActivePRO-TECT PLASTIC AND SUPPLY,INC. 3800 MADRONA LN MEDFORD OR 97501 DBE ActivePRR, INC. 1109 1ST AVE STE 300 SEATTLE WA 98101 DBE ActivePTS SURVEYING INC. 1571 NE THOMAS ST HILLSBORO OR 97124 DBE ActiveQ3 TELECOM, INC.1775 E PALM CANYON DR STE110PALMSPRINGS CA 92264 DBE ActiveQUALITY DISCOUNT SUPPLIES &SERVICES 1211 REGENTS BLVD FIRCREST WA 98466 DBE ActiveR & I TRUCKING LLC 354 16TH AVE COOS BAY OR 97420 DBE ActiveR & L CLASSIQUE FLOORS, INC. 14127 SE STARK ST PORTLAND OR 97233 DBE ActiveR & R GENERAL CONTRACTORS,INC. 27350 SW 95TH AVE STE 3030 WILSONVILLE OR 97070 DBE ActiveR.S.L. CONSTRUCTION L.L.C. 19726 SW OAK ST BEAVERTON OR 97007 DBE ActiveR2H ENGINEERING, INC. 17150 VIA DEL CAMPO #306 SAN DIEGO CA 92127 DBE ActiveRAILROAD INDUSTRIESINCORPORATED 1575 DELUCCHI LN STE 210 RENO NV 89502 DBE ActiveRAIMORE CONSTRUCTION, LLC2613 NE MARTIN LUTHERKING JR BLVD PORTLAND OR 97212 DBE ActiveRAMOS LANDSCAPE, INC. 450 S DOGWOOD ST CORNELIUS OR 97113 DBE ActiveRAPID SOIL SOLUTIONS, LLC 3915 SW PLUM ST PORTLAND OR 97219 DBE ActiveRC TRUCKING 18735 SHIRLEY AVE NE HUBBARD OR 97032 DBE ActiveRDF&P, INC. 707 N HOLLADAY ST CORNELIUS OR 97113 DBE ActiveREADY MADE BARRICADE, SIGNAND STRIPING, INC. 41826 NW IRVINGTON CT BANKS OR 97106 DBE ActiveRED BARK INCORPORATED 19561 MORRIE DR OREGON CITY OR 97045 DBE ActivePage 39 of 68

REYES ENGINEERING, INC. 10555 SE 82ND AVE STE 203HAPPYVALLEY OR 97086 DBE ActiveRH & ASSOCIATES, INC.6677 W THUNDERBIRD RD STEK183 GLENDALE AZ 85306 DBE ActiveRHINO ONE, LLC 1308 MAIN ST VANCOUVER WA 98660 DBE ActiveRI KY ROOFING LLC 11954 NE GLISAN ST # 309 PORTLAND OR 97220 DBE ActiveRICHARDSON ROCKS 113 AVIARY LN SP 36MYRTLECREEK OR 97457 DBE ActiveRIVERO DESIGN, LLC 6144 N SUPERIOR ST PORTLAND OR 97203 DBE ActiveRL CONTROLS, LLC 10V GILL ST WOBURN MA 1801 DBE ActiveRLS & ASSOCIATES, INC.3131 S DIXIE HIGHWAY STE545 DAYTON OH 45439 DBE ActiveROBERTS CONSULTING &ENGINEERING, INC. 2660 BOWMONT DR SUITE A EUGENE OR 97405 DBE ActiveROCK & ROAD CONSTRUCTION 2729 SW INDIAN JOHN PLACE TROUTDALE OR 97060 DBE ActiveROGERS CONSTRUCTION &CONTRACTING CO. LLC 5701 NE 10TH AVE PORTLAND OR 97211 DBE ActiveROSALES & PARTNERS, INC. 37 NEWBURY ST STE 6 BOSTON MA 2116 DBE ActiveROSE CITY ADJUSTERS, LLC 3965 N MASSACHUSETTS AVE PORTLAND OR 97227 DBE ActiveROSE CITY CONCRETE REPAIR ANDCONSTRUCTION LLC 3300 NW 185TH AVE STE 183 PORTLAND OR 97229 DBE ActiveROSE CONSTRUCTION, INC. 7022 SE 83RD AVE PORTLAND OR 97266 DBE ActiveROSE HOSPITALITY CLEANING &JANITORIAL SERVICE INC 4826 N MISSOURI ST PORTLAND OR 97217 DBE ActiveRPS-BER LIMITED PARTNERSHIP 18368 NW CHEMEKETA LN PORTLAND OR 97229 DBE ActiveRUTH I. JOHNSON 2325 WOODHAVEN LANE CENTRALIA WA 98531 DBE ActiveS.L.B. TRANSPORTATION 3726 SE 92ND AVE PORTLAND OR 97266 DBE ActiveSALT & PEPPER CONSTRUCTIONCO., INC. 9015 N HAMLIN AVE PORTLAND OR 97217 DBE ActiveSANDERS & ASSOCIATES INC 11616 NE 30TH PL BELLEVUE WA 98005 DBE ActiveSANDOVAL'S FRESH MEXICAN GRILLINC 7000 NE AIRPORT WAY #2293 PORTLAND OR 97218 DBE ActiveSANTANA CRANE, INC. 5924 57TH CT SE SALEM OR 97301 DBE ActiveSAYBR CONTRACTORS, INC. 3852 S 66TH ST TACOMA WA 98409 DBE ActiveSCHEDULING AND INFORMATIONSERVICES, INC. 12 BUCK RUN STEVENSON WA 98648 DBE ActiveSCHIRMER + ASSOCIATES, LLC 375 W 4TH AVE STE 201 EUGENE OR 97401 DBE ActiveSCHNEIDER UP 3607 83RD AVE SE OLYMPIA WA 98501 DBE ActiveSEA REACH, LTD. 146 NE YAMHILL ST SHERIDAN OR 97378 DBE ActiveSEABORN ENGINEERING 4180 LEAPFROG LN MOSIER OR 97040 DBE ActiveSHARED VISION CONSULTING,INCORPORATED 3535 NE 27TH AVE STE 101 PORTLAND OR 97212 DBE ActiveSHARON GREENE AND ASSOCIATES1100 SOUTH COAST HWY STE318LAGUNABEACH CA 92651 DBE ActiveSHOREY CONCRETECONSTRUCTION, INC. 860 NW HIGHLAND ST ROSEBURG OR 97470 DBE ActiveSI PARTNERS, INC 17413 VINWOOD LANE YORBA LINDA CA 92886 DBE ActiveSIERRA INFOSYS, INC. 6001 SAVOY DR STE 210 HOUSTON TX 77036 DBE ActiveSIGN LANGUAGE SIGNS ANDAWNINGS INC. 965 TYINN ST STE 19 EUGENE OR 97402 DBE ActiveSIGN WIZARDS, INC. 1111 SE GRAND AVE PORTLAND OR 97214 DBE ActiveSILOAM INTERNATIONAL, INC. 732 SW 3RD AVE STE 615 PORTLAND OR 97204 DBE ActivePage 40 of 68

SJOBERG EVASHENK CONSULTING,INC. 455 CAPITOL MALL STE 700SACRAMENTO CA 95814 DBE ActiveSOPHIE/CONCIERGE SERVICES 49 THOROUGHBRED CIRCLE ARDEN NC 28704 DBE ActiveSOUTHERN OREGONTRANSPORTATION ENGINEERING,LLC 112 MONTEREY DR MEDFORD OR 97504 DBE ActiveSPA SASSE, LLC 630 SW ALDER ST PORTLAND OR 97205 DBE ActiveSPRECHER GROUP 2445 NE DIVISION ST STE 300 BEND OR 97701 DBE ActiveSTAR CONSTRUCTION SERVICES,LLC 24836 SW 65TH AVE TUALATIN OR 97062 DBE ActiveSTAR INDUSTRIAL SUPPLY, INC 3257 SW 29TH AVE PORTLAND OR 97210 DBE ActiveSTATON COMPANIES 85386 HWY 99S EUGENE OR 97405 DBE ActiveSTEPHANIE, INC.7000 NE AIRPORT WAY STE2315 PORTLAND OR 97218 DBE ActiveSTORIE & ASSOCIATES, INC. 2637 NE M L KING BLVD PORTLAND OR 97212 DBE ActiveSUMMIT CM, INC. 2300 CLAYTON RD STE 1380 CONCORD CA 94520 DBE ActiveSUNDOWN ELECTRIC COMPANY, ACORPORATION OF IDAHO39675 NW VERBOORT RDFORESTGROVE OR 97116 DBE ActiveSUPERELEVATION, INC. 320 SW STARK ST STE 405 PORTLAND OR 97204 DBE ActiveSUSAN OMAN LANDSCAPEARCHITECT 4114 NE MULTNOMAH ST PORTLAND OR 97232 DBE ActiveSUSTAINABLE ENVIRONMENTALSERVICES CORPORATION 7322 NE SHALEEN ST STE 100 HILLSBORO OR 97124 DBE ActiveSUZANNE ZUNIGA ARCHITECT, LLC 301 NE 65TH AVE PORTLAND OR 97213 DBE ActiveSWEETBRIER CONSTRUCTION, INC. 61754 WICKIUP RD BEND OR 97702 DBE ActiveSWP ENVIRONMENTAL SERVICESCO. 1190 NW 3RD AVE CANBY OR 97013 DBE ActiveSYNERGY PARTNERS, INC. 8413 NE PACIFIC ST PORTLAND OR 97220 DBE ActiveSZIGETI CONSTRUCTION, INC. 6684 TABLE ROCK RDCENTRALPOINT OR 97502 DBE ActiveT. F. HARMON CONSTRUCTION 712 SE 174TH AVE PORTLAND OR 97233 DBE ActiveTCC & ASSOCIATES, INC. 5821 SE 82ND AVE STE 111 PORTLAND OR 97266 DBE ActiveTEAM HR LLC 610 SW BROADWAY STE 602 PORTLAND OR 97205 DBE ActiveTELECO TELEPHONE COMPANY INC 21954 NE GLISAN ST GRESHAM OR 97030 DBE ActiveTHE DRAGONTREE INC. 2768 NW THURMAN ST PORTLAND OR 97210 DBE ActiveTHE FIBER GUYS LLC 10530 NE SIMPSON ST PORTLAND OR 97220 DBE ActiveTHE OFFICE OF BIBI GASTONLANDSCAPE ARCHITECT 709 CREEK VIEW LN THE DALLES OR 97058 DBE ActiveTHE RODRIGUEZ CORP11130 SW BARBUR BLVD STE100 PORTLAND OR 97219 DBE ActiveTHE SOLIS GROUP 145 VISTA AVE STE 104 PASADENA CA 91107 DBE ActiveTHE VANN ORGANIZATION INC 11 SAYER AVE CHERRY HILL NJ 8002 DBE ActiveTHINK SIGNS LLC16205 NW BETHANY CT STE114 BEAVERTON OR 97006 DBE ActiveTHIRD DAY CREATIONS LLC 32160 E PUNKIN CENTER RD HERMISTON OR 97838 DBE ActiveTHURSTON & ASSOCIATES, INC. 5055 DAWN AVELAKEOSWEGO OR 97035 DBE ActiveTRAFFIC RESEARCH & ANALYSIS INC 3844 E INDIAN SCHOOL RD PHOENIX AZ 85018 DBE ActiveTRANS WATCH 1035 MONROE ST EUGENE OR 97402 DBE ActiveTRANSIT SAFETY MANAGEMENT,INCONE EAST MAIN STGEORGETOWN MA 1833 DBE ActiveTRANSITPLUS, INC. 2800 E RIDGE RD ELIZABETH CO 80107 DBE ActivePage 41 of 68

TRANSLATION SOLUTIONSCORPORATION 121 SW SALMON ST STE 1100 PORTLAND OR 97204 DBE ActiveTRANSSOLUTIONS LLC 14600 TRINITY BLVD STE 200 FORT WORTH TX 76155 DBE ActiveTRIGG TRUCKING LLC 15035 SE WOODWARD ST PORTLAND OR 97236 DBE ActiveTRIUNITY ENGINEERING &MANAGEMENT, INC. 2444 WASHINGTON ST 3RD FL DENVER CO 80205 DBE ActiveTSAICOMMS 112 NW MAYWOOD DR STE B PORTLAND OR 97210 DBE ActiveTW ENVIRONMENTAL INC.3340 SE MORRISON ST STE383 PORTLAND OR 97214 DBE ActiveTWO HUNDRED, INC. 3249 W FAIRVIEW PL STE 101 DENVER CO 80211 DBE ActiveUNIONTOWN FISH MARKET,CATERING & DELI, LLC 229 W MARINE DR STE B ASTORIA OR 97103 DBE ActiveUNISON CONSULTING, INC. 409 W HURON ST STE 400 CHICAGO IL 60654 DBE ActiveUNIVERSAL LAWNCAREMAINTENANCE 2121 NW 15TH COURT GRESHAM OR 97030 DBE ActiveURBAN DESIGN COLLABORATIVEUDC 421 SW 6TH AVE STE 1250 PORTLAND OR 97204 DBE ActiveV GROUP INC 33 WOOD AVE S ISELIN NJ 8830 DBE ActiveV. WEST CONTRACTING &CONSULTING SERVICES, INC. 431 NE JARRETT ST PORTLAND OR 97211 DBE ActiveVALE INSULATION GROUP, INC 3936 SW BINFORD AVE GRESHAM OR 97080 DBE ActiveVALERIE J SOUTHERN -TRANSPORTATION CONSULTANT,LLC 4411 MILROY WAY APT 9202 FAIRFAX VA 22030 DBE ActiveVALERIE OTANI 2917 SW HUME CT PORTLAND OR 97219 DBE ActiveVALLEY GROWERS NURSERY 30570 S BARLOW RD HUBBARD OR 97032 DBE ActiveVALLEY ILLUMINATORS2201 W VALLEY HWY NWUNIT C AUBURN WA 98001 DBE ActiveVANCOUVER PAVING CO 406 NE 139TH ST VANCOUVER WA 98685 DBE ActiveVANTAGE POINT CONSULTING, INC.2335 NW RALEIGH ST UNIT139 PORTLAND OR 97210 DBE ActiveVIGIL-AGRIMIS, INC. 819 SE MORRISON ST STE 310 PORTLAND OR 97214 DBE ActiveVINCE BUILDING MAINTENANCE,LLC 1825 SE 89TH AVE PORTLAND OR 97216 DBE ActiveVIRGINKAR AND ASSOCIATES, INC. 3350 E BIRCH ST STE 101 BREA CA 92821 DBE ActiveW.W. CONSTRUCTION, LLC 7945 NE AVERY ST NEWPORT OR 97365 DBE ActiveWAKA GROUP INC 11307 222ND AVENUE CT E BUCKLEY WA 98321 DBE ActiveWATERSHED ENVIRONMENTALSOLUTIONS LLC PO BOX 757 TOLEDO WA 98591 DBE ActiveWB PAINTING & DECORATING, INC. 1905 SE 1ST ST GRESHAM OR 97080 DBE ActiveWEST COAST ROOFING ANDBUILDING 3380 PORTLAND RD NE SALEM OR 97301 DBE ActiveWEST HILLS ELECTRICALCONSTRUCTION, LLC 6750 SE BROOKLYN ST PORTLAND OR 97206 DBE ActiveWEST SIDE IRON, INC. 35643 CAMP CREEK RD SPRINGFIELD OR 97477 DBE ActiveWEST SKY YARD CONSTRUCTION 208 NE 4TH AVE CANBY OR 97013 DBE ActiveWESTBROOK SCIENCE & DESIGN,LLC 8299 SW 159TH PL BEAVERTON OR 97007 DBE ActiveWESTERN CONSTRUCTIONSYSTEMS LLC 6970 ZENA RD RICKREALL OR 97371 DBE ActiveWHITE SHIELD, INC. 320 N 20TH AVE PASCO WA 99301 DBE ActiveWILSON & SONS DUMP TRUCKINGAND EXCAVATION LLC 48994 SE BATY RD SANDY OR 97055 DBE ActivePage 42 of 68

WINTUN SEEDING & MULCHINGCO. 115 ALPINE DR ROSEBURG OR 97471 DBE ActiveWOODBURN MASONRY, INC. 6460 STATE HWY 219 GERVAIS OR 97026 DBE ActiveWORK HORSE CONSTRUCTIONMETRO INC 117 NE STANTON ST PORTLAND OR 97212 DBE ActiveXAVIER ENVIRONMENTAL INC. 11300 SW CAHALAN ST SHERWOOD OR 97140 DBE ActiveYAKA ENERGY LLC 46411 TIMINE WAY PENDLETON OR 97801 DBE ActiveZEELAND COMPANY, LLC 1711 SE 10TH AVE STE 202 PORTLAND OR 97214 DBE ActiveZETLIN STRATEGICCOMMUNICATIONS 314 W 71ST ST NEW YORK NY 10023 DBE ActiveZION NATURAL RESOURCESCONSULTING, LLC 17800 BROWN RD DALLAS OR 97338 DBE ActivePage 43 of 68

Attachment C – DBE Program Description Public Notice for FY 09-10TriMet Hearing NoticeTri-County Metropolitan Transportation District of Oregon (“TriMet”) is in theprocess of issuing its Disadvantaged Business Enterprise (DBE) Program Plan for FY2011-2013TriMet’s proposed aspirational goal for FY 2011-2013 is 6.77 %. TriMet is seekingfeedback on its DBE program regarding contracting opportunities and potential barriersfor DBEs.A public hearing will be held at 710 NE Holladay St. in Portland on September 21 st from10a.m.-Noon. The meeting room is accessible.The plan can be reviewed weekdays from August 8th to September 21, 2010between 8 a.m.–5 p.m. at:710 NE Holladay St. 4012 SE 17 th Ave.Portland, OR 97232 Portland, OR 97202Send written comments to Bruce M. Watts, TriMet’s Diversity and Transit Equity SeniorDirector, at 710 NE Holladay St., Portland, OR 97232 or to comments@trimet.org.Comments will be accepted through September 21, 2010.For alternative formats, call 503-962-2213 or TTY 503-238-5811.Page 44 of 68

Attachment D - Oregon Revised Statues, Chapter 200Chapter 200 — Disadvantaged, Minority, Women and EmergingSmall Business Enterprises2011 EDITION200.005 Definitions for ORS 200.005 to 200.075, 200.160 to 200.200 and 279A.105200.015 Legislative findings200.025 Advocate for Minority, Women and Emerging Small Business; office; officers andemployees; duties200.035 When state agency to notify advocate of solicitations and contract awards200.045 Standards for good faith efforts to meet contract requirements; standards forestablishing bidder’s responsibilityCERTIFICATION200.055 Certification of disadvantaged, minority, women or emerging small businessenterprises; fee; rules; appeal200.057 Designation of certified business as tier one or tier two firm200.065 Fraudulent conduct prohibited; sanctions200.075 Prohibited conduct; suspension of certification or right to participate in publiccontractsRESPONSIBILITY OF PUBLIC AGENCIES200.090 Public agencies to pursue policy of providing opportunitiesMENTOR PROGRAM200.100 Definitions for ORS 200.100 to 200.120200.110 Mentor program; guidelines; eligibility200.120 Standards for program participationEMERGING SMALL BUSINESS ASSISTANCE PROGRAMPage 45 of 68

200.160 Transportation Commission duties; report200.170 Eligibility for participation200.180 Emerging Small Business Account; uses200.190 Deposit of one percent of highway construction contract amount200.200 Security for performance by emerging small businessGENERAL PROVISIONS200.005 Definitions for ORS 200.005 to 200.075, 200.160 to 200.200 and 279A.105. Asused in ORS 200.005 to 200.075, 200.160 to 200.200 and 279A.105:(1) “Disadvantaged business enterprise” means a small business concern:(a) That is at least 51 percent owned by one or more socially and economicallydisadvantaged individuals; or(b) For which, in the case of a corporation, at least 51 percent of the stock is owned by one ormore socially and economically disadvantaged individuals, and of which the management anddaily business operations are controlled by one or more of the socially and economicallydisadvantaged individuals who own it.(2) “Economically disadvantaged individual” means a socially disadvantaged individualwhose ability to compete in the free enterprise system has been impaired due to diminishedcapital and credit opportunities as compared to other individuals in the same business area whoare not socially disadvantaged individuals.(3) “Emerging small business” means an independent business:(a) With its principal place of business located in this state;(b) That qualifies as a tier one firm or a tier two firm;(c) That is properly licensed and legally registered in this state; and(d) That is not a subsidiary or parent company belonging to a group of firms that are ownedor controlled by the same individuals if, in the aggregate, the group of firms does not qualify as atier one firm or a tier two firm.(4) “Minority individual” means a person who is a citizen or lawful permanent resident of theUnited States, who is:(a) Black, having origins in any of the black racial groups of Africa;(b) Hispanic, having Mexican, Puerto Rican, Cuban, Central or South American or otherSpanish culture or origin, regardless of race;(c) Asian American, having origins in any of the original peoples of the Far East, SoutheastAsia, the Indian subcontinent or the Pacific Islands;(d) Portuguese, having Portuguese, Brazilian or other Portuguese culture or origin, regardlessof race;(e) American Indian or Alaskan Native, having origins in any of the original peoples of NorthAmerica; or(f) A member of another group, or another individual who is socially and economicallydisadvantaged as determined by the Advocate for Minority, Women and Emerging SmallPage 46 of 68

Business.(5) “Minority or women business enterprise” means a small business concern:(a) That is at least 51 percent owned by one or more minority individuals or women; or(b) For which, in the case of a corporation, at least 51 percent of the stock is owned by one ormore individuals who are minority individuals or women, and of which the management anddaily business operations are controlled by one or more of the minority individuals or womenwho own it.(6) “Responsible bidder” means a bidder who, as determined by the Advocate for Minority,Women and Emerging Small Business, has undertaken both a policy and practice of activelypursuing participation by minority or women business enterprises in all bids, both public andprivate, submitted by the bidder.(7) “Small business concern” means a small business as defined by the United States SmallBusiness Administration in 13 C.F.R. part 121 and in effect on January 1, 2006.(8) “Socially disadvantaged individual” means an individual who has been subjected to racialor ethnic prejudice or cultural bias, without regard to individual qualities, because of theindividual’s identity as a member of a group.(9) “Tier one firm” means a business that employs fewer than 20 full-time equivalentemployees and has average annual gross receipts for the last three years that do not exceed $1.5million for a business performing construction, as defined in ORS 446.310, or $600,000 for abusiness not performing construction.(10) “Tier two firm” means a business that employs fewer than 30 full-time equivalentemployees and has average annual gross receipts for the last three years that do not exceed $3million for a business performing construction, as defined in ORS 446.310, or $1 million for abusiness not performing construction.(11) “Woman” means a person of the female sex who is a citizen or lawful permanentresident of the United States. [1987 c.893 §2; 1989 c.1043 §1; 1991 c.517 §9; 2001 c.104 §71;2003 c.794 §213; 2005 c.22 §§150,151; 2005 c.683 §§4,5]200.015 Legislative findings. (1) The Legislative Assembly supports the aspirations ofminorities, women and emerging small businesses to enter the mainstream of Oregon social,political and economic life.(2) The Legislative Assembly finds:(a) The opportunity for full participation in our free enterprise system by minorities, womenand emerging small businesses is essential;(b) Greater economic opportunity for minorities, women and emerging small businesses isessential;(c) Review of public programs to remedy historical patterns of exclusion of anddiscrimination against racial or ethnic groups and women is needed;(d) Public policies and programs to eliminate the effects of long-term, open and pervasiveexclusion of and discrimination against minorities and women from the business sector,including increased opportunities to integrate minorities and women into the full economic lifeof the community should be reviewed; and(e) In cooperation with the private sector, the affected populations, interested groups andappropriate governmental entities, a program of review should be established to recommendremedies for the unfortunate effects of social, political and economic inequity that still exist.(3) Women and minorities are rebuttably presumed to be:Page 47 of 68

(a) Economically disadvantaged.(b) Socially disadvantaged. [1987 c.893 §3; 1989 c.1043 §2]200.025 Advocate for Minority, Women and Emerging Small Business; office; officersand employees; duties. (1) There is created, in the Office of the Governor, the Advocate forMinority, Women and Emerging Small Business who shall be appointed by the Governor.(2) There is created in the Oregon Business Development Department the Office forMinority, Women and Emerging Small Business, the employees of which shall be appointed bythe Director of the Oregon Business Development Department.(3)(a) The director may prescribe the duties and assignments of all officers and employees ofthe Office for Minority, Women and Emerging Small Business. The director shall establish thecompensation of all officers and employees of the office.(b) The officers and employees of the office shall be allowed reimbursement for reasonableand necessary travel and other expenses incurred in the performance of their duties.(4) The Advocate for Minority, Women and Emerging Small Business shall:(a) Advise the Governor and the director on activities and initiatives that may promote theeconomic integration of minorities, women and emerging small businesses into the businesssector;(b) Prepare an annual report to the Governor, director and Legislative Assembly on the statusof minorities and women in the marketplace, accomplishments and resolutions of issues ofconcern to minority and women’s enterprises and recommendations for executive and legislativeactions; and(c) Carry out other duties that may be assigned by the Governor.(5) The Office for Minority, Women and Emerging Small Business shall:(a) Provide information to minority, women and emerging small businesses;(b) Assist in the development and implementation of an aggressive strategy for this state,based on research and monitoring, that encourages participation of minorities, women andemerging small businesses in the state’s economy;(c) Make recommendations to the director on the research, development and implementationof the plan for the involvement of disadvantaged and minority groups and emerging smallbusinesses in all state programs;(d) Maintain an Oregon Opportunity Register and Clearinghouse for information on publicagency and other contract solicitations for professional services, supplies and services and otherbid opportunities, in consultation with the State Board of Higher Education, the Department ofTransportation and other entities;(e) Monitor the certification and compliance program for disadvantaged, minority, womenand emerging small businesses under ORS 200.055;(f) Investigate complaints and possible abuses of the certification program; and(g) Assist in the promotion and coordination of plans, programs and operations of stategovernment that strengthen minority and women participation in the economic life of this state.[1987 c.893 §4; 1989 c.1043 §3; 1993 c.500 §7; 1993 c.744 §§189,189a; 2003 c.794 §214; 2005c.683 §§6,7; 2009 c.830 §135]200.035 When state agency to notify advocate of solicitations and contract awards. (1)For a public contract with a value of $5,000 or more, a state agency shall provide timely noticeand information to the Advocate for Minority, Women and Emerging Small Business regarding:Page 48 of 68

(a) Bid or proposal solicitations; and(b) Contract awards.(2) Each state agency shall, in consultation with the advocate, establish a process andtimeline for providing the notice and information required by subsection (1) of this section to theadvocate. [1987 c.893 §5; 1997 c.145 §1; 1997 c.802 §10; 2005 c.351 §1]200.045 Standards for good faith efforts to meet contract requirements; standards forestablishing bidder’s responsibility. (1) To determine whether a bidder that has failed to meetemerging small business enterprise contract requirements may be awarded the contract, thepublic contracting agency must decide whether the bidder’s efforts to obtain participation byemerging small business enterprises were good faith efforts to meet the requirements.(2) Performing all of the following actions by a bidder constitutes a rebuttable presumptionthat the bidder has made a good faith effort to satisfy the subcontracting requirement foremerging small businesses. It shall be a rebuttable presumption that the bidder has not made agood faith effort if the bidder has not acted consistently with such actions. Efforts that are merelysuperficial are not good faith efforts:(a) The bidder attended any presolicitation or prebid meetings that were scheduled by thecontracting agency to inform emerging small business enterprises of contracting andsubcontracting or material supply opportunities available on the project;(b) The bidder identified and selected specific economically feasible units of the project to beperformed by emerging small business enterprises in order to increase the likelihood ofparticipation by such enterprises;(c) The bidder advertised in general circulation, trade association, minority and tradeoriented, women-focus publications, if any, concerning the subcontracting or material supplyopportunities;(d) The bidder provided written notice to a reasonable number of specific emerging smallbusiness enterprises, identified from a list of certified emerging small business enterprisesprovided or maintained by the Oregon Business Development Department for the selectedsubcontracting or material supply work, in sufficient time to allow the enterprises to participateeffectively;(e) The bidder followed up initial solicitations of interest by contacting the enterprises todetermine with certainty whether the enterprises were interested;(f) The bidder provided interested emerging small business enterprises with adequateinformation about the plans, specifications and requirements for the selected subcontracting ormaterial supply work;(g) The bidder negotiated in good faith with the enterprises, and did not without justifiablereason reject as unsatisfactory bids prepared by any emerging small business enterprises;(h) Where applicable, the bidder advised and made efforts to assist interested emerging smallbusiness enterprises in obtaining bonding, lines of credit or insurance required by the contractingagency or contractor;(i) The bidder’s efforts to obtain emerging small business enterprise participation werereasonably expected to produce a level of participation sufficient to meet the goals orrequirement of the public contracting agency; and(j) The bidder used the services of minority community organizations, minority contractorgroups, local, state and federal minority business assistance offices and other organizationsidentified by the Advocate for Minority, Women and Emerging Small Business that providePage 49 of 68

assistance in the recruitment and placement of emerging small business enterprises.(3) To determine whether a bidder is a responsible bidder, the performance of all thefollowing actions constitutes a rebuttable presumption that the bidder is responsible. It shall be arebuttable presumption that the bidder is not responsible if the bidder has not acted consistentlywith the actions described in this subsection. Efforts that are merely superficial are not good faithefforts.(a) The bidder attended any presolicitation or prebid meetings that were scheduled by thecontracting agency to inform minority or women business enterprises of contracting andsubcontracting or material supply opportunities available on the project;(b) The bidder identified and selected specific economically feasible units of the project to beperformed by minority or women business enterprises in order to increase the likelihood ofparticipation by such enterprises;(c) The bidder advertised in general circulation, trade association, minority and tradeoriented, women-focus publications, if any, concerning the subcontracting or material supplyopportunities;(d) The bidder provided written notice to a reasonable number of specific minority or womenbusiness enterprises, identified from a list of certified minority or women business enterprisesprovided or maintained by the Oregon Business Development Department for the selectedsubcontracting or material supply work, in sufficient time to allow the enterprises to participateeffectively;(e) The bidder followed up initial solicitations of interest by contacting the enterprises todetermine with certainty whether the enterprises were interested;(f) The bidder provided interested minority or women business enterprises with adequateinformation about the plans, specifications and requirements for the selected subcontracting ormaterial supply work;(g) The bidder negotiated in good faith with interested, capable and competitive minority orwomen business enterprises submitting bids;(h) Where applicable, the bidder advised and made efforts to assist interested minority orwomen business enterprises in obtaining bonding, lines of credit or insurance required by thecontracting agency or contractor;(i) The bidder’s efforts to obtain minority or women business enterprise participation werereasonably expected to produce a level of participation sufficient to meet the goals of the publiccontracting agency; and(j) The bidder used the services of minority community organizations, minority contractorgroups, local, state and federal minority business assistance offices and other organizationsidentified by the Advocate for Minority, Women and Emerging Small Business that provideassistance in the recruitment and placement of disadvantaged, minority or women businessenterprises. [1987 c.893 §7; 1989 c.1043 §8; 1997 c.145 §2; 2003 c.794 §215; 2009 c.830 §136]CERTIFICATION200.055 Certification of disadvantaged, minority, women or emerging small businessenterprises; fee; rules; appeal. (1) Any disadvantaged, minority, women or emerging smallbusiness enterprise is entitled to be certified as such upon application to the Oregon BusinessDevelopment Department. If the application is approved by the department, the department shallcertify the applicant as a disadvantaged, minority, women or emerging small business enterprise.Page 50 of 68

The enterprise shall be considered so certified by any public contracting agency.(2) In consultation with the State Board of Higher Education and the Department ofTransportation, and with the approval of the Advocate for Minority, Women and EmergingSmall Business, the Oregon Business Development Department by rule shall adopt a uniformstandard form and procedure designed to provide complete documentation that a businessenterprise is certified as a disadvantaged, minority, women or emerging small businessenterprise. The department shall compile and make available upon request a list of certifieddisadvantaged, minority, women or emerging small business enterprises.(3) Any business enterprise that is refused certification as a disadvantaged business enterpriseor denied recertification as such or whose certification is revoked may appeal directly to theUnited States Department of Transportation.(4) Any business enterprise that is refused certification as a minority, women or emergingsmall business enterprise or has its certification revoked may request a contested case hearing asprovided in ORS chapter 183.(5) The Oregon Business Development Department shall be the sole agency authorized tocertify enterprises as disadvantaged, minority, women or emerging small business enterpriseseligible to perform on public contracts in this state.(6) The Oregon Business Development Department by rule may establish a fee not to exceed$100 for a copy of the list of certified disadvantaged, minority, women and emerging smallbusiness enterprises and may assess state agencies for services under ORS 200.005 to 200.075.(7) The Department of Transportation may collect a fee, not to exceed $200, from a bidderupon bidder prequalifications to cover the costs of the Oregon Business DevelopmentDepartment in administering ORS 200.005 to 200.075. The Department of Transportation shalltransfer such fees to the credit of the account established under subsection (8) of this section.(8) The Oregon Business Development Department shall establish a special account in whichto deposit fees and assessments. The special account is continuously appropriated to thedepartment to meet its expenses in administering ORS 200.005 to 200.075. [1987 c.893 §8; 1989c.1043 §4; 1993 c.500 §8; 1997 c.145 §3; 2003 c.794 §216; 2009 c.830 §137]200.057 Designation of certified business as tier one or tier two firm. (1) A business maybe certified as an emerging small business by the Oregon Business Development Department forup to 12 years and may be:(a) Designated a tier one firm for up to six years unless the business no longer qualifies as atier one firm.(b) Designated a tier two firm for up to six years unless the business no longer qualifies as atier two firm.(2) The department shall adjust annually the amount of the average annual gross receiptsrequired to qualify as a tier one firm or a tier two firm using the most recent three-year averageof the Portland-Salem Consumer Price Index for All Urban Consumers for All Items, as reportedby the United States Bureau of Labor Statistics.(3) Notwithstanding the time limits established by subsection (1) of this section, if a tier onefirm provides compelling information showing, in the judgment of the department, that the firmhas not been afforded an opportunity to bid on emerging small business projects during a year ofeligibility, the department shall extend the tier one designation of the firm for one year. A tierone firm may receive the extension described in this subsection only once. [2005 c.683 §2; 2009c.830 §138]Page 51 of 68

Note: 200.057 was added to and made a part of 200.005 to 200.075 by legislative action butwas not added to any other series. See Preface to Oregon Revised Statutes for furtherexplanation.200.065 Fraudulent conduct prohibited; sanctions. (1) It shall be unlawful for any personfraudulently to obtain or retain or attempt to obtain or retain or to aid another person fraudulentlyto obtain or retain or attempt to obtain or retain certification as a disadvantaged, minority,women or emerging small business enterprise.(2) It shall be unlawful knowingly to make a false claim that any person is qualified forcertification or is certified under ORS 200.055 for the purpose of gaining a contract orsubcontract or other benefit.(3) The public contracting agency may withhold payment, suspend or terminate the contractand may impose on any person a civil penalty not to exceed 10 percent of the contract orsubcontract price or $5,000, whichever is less, for each violation of subsection (1) or (2) of thissection. The penalty shall be paid to the Office for Minority, Women and Emerging SmallBusiness.(4) The Oregon Business Development Department or an affected public contracting agencyshall investigate any complaint that a person has violated subsection (1) or (2) of this section. Ininvestigating such a complaint, the department or an affected public contracting agency mayrequire any additional information, administer oaths, take depositions and issue subpoenas tocompel the attendance of witnesses and the production of books, papers, records, memoranda orother information necessary to carry out its duties. If any person fails to comply with anysubpoena issued under this subsection or refuses to testify on any matter on which a person maylawfully be interrogated, the procedure provided in ORS 183.440 shall be followed to compelcompliance.(5) An affected public contracting agency or the department disqualify any person found tohave violated subsection (1) or (2) of this section or who admits to such violation under oathduring the course of an investigation from bidding or participating in any public contract for aperiod of time specified by the agency or department, not to exceed three years. Any contractingagency that has notice of the finding of the fraudulent certification may also disqualify theperson from bidding on or participating in any public contract. [1987 c.893 §9; 1989 c.1043 §5;1997 c.145 §4; 2009 c.830 §139]200.075 Prohibited conduct; suspension of certification or right to participate in publiccontracts. (1) Any bidder or contractor or subcontractor on a public contract that knowinglycommits any of the acts listed in paragraphs (a) to (c) of this subsection shall have its right to bidon or participate in any public contract suspended. The suspension shall occur only after noticeand opportunity for hearing in such manner as the affected public contracting agency, by rule,shall provide. The suspension shall be for up to 90 days for a first violation, up to one year for asecond violation and up to five years for a third violation. Each violation shall remain on recordfor five years. After five years the violation shall no longer be considered in reviewing futureviolations. The following acts are prohibited:(a) Entering into any agreement representing that a disadvantaged, minority, women oremerging small business enterprise certified pursuant to ORS 200.055 will be performing workor supplying materials under the public improvement contract without the knowledge andPage 52 of 68

consent of the disadvantaged, minority, women or emerging small business enterprise.(b) Exercising management and decision making control over the internal operations of anycertified disadvantaged, minority, women or emerging small business enterprise. As used in thisparagraph, “internal operations” does not include normal scheduling, coordination, execution orperformance as a subcontractor on a public contract.(c) Using a disadvantaged, minority, women or emerging small business enterprise toperform a subcontract or supply material under a public improvement contract to meet anestablished goal or requirement when the disadvantaged, minority, women or emerging smallbusiness enterprise does not perform a commercially useful function in carrying out itsresponsibilities and obligations under the contract.(2) Any disadvantaged, minority, women or emerging small business enterprise certifiedunder ORS 200.055 that allows or commits any of the acts listed in paragraphs (a) to (c) of thissubsection shall have its certification suspended for up to 90 days for the first violation, up to oneyear for a second violation and up to five years for a third violation. Each violation shall remainon record for five years. After five years the violation shall no longer be considered in reviewingfuture violations. The following acts are prohibited:(a) Use of the firm’s name to meet a disadvantaged, minority, women or emerging smallbusiness enterprise goal or requirement on a public contract when the firm does not in fact intendto or does not actually perform the work under the subcontract or purchase and supply materialto the project under a material supply contract.(b) Use of any personnel of an uncertified business to operate, manage or otherwise controlthe disadvantaged, minority, women or emerging small business enterprise.(c) Failure to perform a commercially useful function in carrying out its functions under asubcontract or a material supply contract entered into with a contractor or subcontractor on apublic contract when represented as a certified business to meet an established goal orrequirement.(3) For the purpose of this section “commercially useful function” means the actualperformance of a function or service by the business for which there is a demand in themarketplace, and for which the business receives payment not disproportionate to the workperformed or in conformance with industry standards. Acting as a broker to provide for theperformance of work by others does not constitute a “commercially useful function.” [1987c.893 §11; 1989 c.1043 §6; 1991 c.91 §1; 1995 c.452 §21]200.085 [1987 c.893 §1; repealed by 1989 c.1043 §14]RESPONSIBILITY OF PUBLIC AGENCIES200.090 Public agencies to pursue policy of providing opportunities. Public agencies shallaggressively pursue a policy of providing opportunities for available contracts to emerging smallbusinesses and shall cooperate with the Advocate for Minority, Women and Emerging SmallBusiness to determine the best means by which to make such opportunities available. [1989c.1043 §10]MENTOR PROGRAM200.100 Definitions for ORS 200.100 to 200.120. As used in ORS 200.100 to 200.120:Page 53 of 68

(1) “Contractor” means a person who contracts on predetermined terms to be responsible forthe performance of all or part of a job of preparation or construction in accordance withestablished specifications or plans, retaining control of means, method and manner ofaccomplishing the desired result, and who provides:(a) Labor at the site; or(b) Materials, supplies and labor at the site.(2) “Disadvantaged business enterprise” means a small business concern that is at least 51percent owned by one or more socially and economically disadvantaged individuals, or, in thecase of any corporation, at least 51 percent of the stock of which is owned by one or moresocially and economically disadvantaged individuals and whose management and daily businessoperations are controlled by one or more of the socially and economically disadvantagedindividuals who own it.(3) “Minority or women business enterprise” means a small business concern which is atleast 51 percent owned by one or more minorities or women, or in the case of a corporation, atleast 51 percent of the stock of which is owned by one or more minorities or women, and whosemanagement and daily business operations are controlled by one or more of such individuals.(4) “Minority individual” means a person who is a citizen or lawful permanent resident of theUnited States and who is:(a) Black, a person having origins in any of the black racial groups of Africa;(b) Hispanic, a person of Mexican, Puerto Rican, Cuban, Central or South American or otherSpanish culture or origin, regardless of race;(c) Asian American, a person having origins in any of the original peoples of the Far East,Southeast Asia, the Indian subcontinent or the Pacific Islands;(d) Portuguese, a person of Portuguese, Brazilian or other Portuguese culture or origin,regardless of race;(e) American Indian or Alaskan Native, a person having origins in any of the original peoplesof North America; or(f) A member of another group or another individual that is socially and economicallydisadvantaged as determined by the Advocate for Minority, Women and Emerging SmallBusiness.(5) “Subcontractor” means a contractor who has no direct contractual relationship with theowner. [1991 c.559 §1; 2005 c.22 §152]200.110 Mentor program; guidelines; eligibility. (1) The Oregon Business DevelopmentDepartment may recognize the mentor relationship between contractors and minority businessenterprises or women business enterprises certified under this chapter. The mentor relationshipshall offer the opportunity to foster and encourage minority and women business enterprises, toexpand the capacity of presently existing minority and women businesses and to offer theopportunity for less experienced minority and women businesses to gain training and assistance.(2) Guidelines for eligibility for the mentor relationship include, but are not limited to:(a) Minority and women business enterprises that meet the certification requirements of theU.S. Department of Transportation are eligible for participation in a mentor program. Otherminority and women business enterprises are also eligible if they meet the certificationrequirements of this chapter. An agency may grant approval of an enterprise application forcertification concurrent with approval of a mentor arrangement.(b) The minority or women business enterprise must be an independent organization, and thePage 54 of 68

ownership by the individuals must be real. Other employment and business interests by theindividuals are not precluded, if such employment or business interests do not conflict with thepower of the minority or women owners to direct the management and policies of the minority orwomen enterprise to make day-to-day as well as major decisions on matters of management,policy and operations.(c) The mentor program is intended to provide minority and women business enterprises withadvice, assistance and training. The enterprise shall be responsible for management andoperations of the business. The mentor shall not be responsible for the management of the firm.The mentor and the enterprise shall remain separate and independent business entities with theexception that facilities may be provided to the enterprise by the mentor if a separate leaseagreement is maintained by the parties.(d) Part ownership in a minority or women business enterprise by a nondisadvantaged party,including a mentor, is permitted if in compliance with 49 C.F.R. 23. Any property, equipment,supplies or other services which are sold, rented or donated to the enterprise and any investmentmade by nondisadvantaged individuals must be reported to the agency involved in the mentorprogram. Documentation shall be provided by bills of sale, lease agreements or similardocuments.(e) The mentor relationship may include an arrangement with an independent third party,such as a bank or accountant, to act as an agent. Third parties may receive progress payments forwork accomplished by the minority or women business enterprise, made out jointly to the agentand the enterprise, and make payments, on behalf of the enterprise, to material suppliers or forfederal and state payroll taxes.(3) Types of assistance a mentor may provide to the minority or women business enterpriseinclude:(a) Financial assistance;(b) Technical and management assistance;(c) Equipment rental and use of personnel; and(d) Bonding assistance. [1991 c.559 §2; 2009 c.830 §140]200.120 Standards for program participation. (1) Mentor relationships may bedocumented by a written development plan, approved by the Oregon Business DevelopmentDepartment in consultation with the Oregon Association of Minority Entrepreneurs. Thedevelopment plan shall:(a) Clearly set forth the objectives of the parties and their respective roles;(b) Be for a specified length of time;(c) Determine measurable goals to be reached by the minority or women business enterprise;and(d) Provide that if resources of the mentor are utilized by the minority or women businessenterprise in the performance of contracts or subcontracts for the mentor or for anothercontractor, the resources shall be separately identified, accounted for and compensated directlyby the minority or women business enterprise to the mentor. If the plan provides for extensiveuse of the mentor’s resources by the minority or women business enterprise, the arrangementmay be closely monitored.(2) The development plan may also include training to be provided by the mentor to theminority or women business enterprise. Training may include:(a) Business planning;Page 55 of 68

(b) Record keeping;(c) Technical training;(d) Capital formation;(e) Loan packaging;(f) Financial counseling;(g) Bonding; and(h) Equipment utilization.(3) The development plan may be reviewed annually by the Oregon Business DevelopmentDepartment and the Oregon Association of Minority Entrepreneurs to review the progress of thementor program.(4) The development plan shall contain a provision that the mentor relationship may beterminated by mutual consent or upon determination that:(a) The mentor firm no longer meets the eligibility standards for certification as a minority orwomen business enterprise;(b) Either party has failed or is unable to meet its obligations under the development plan;(c) The minority or women business enterprise is not progressing or is not likely to progressin accordance with the development plan;(d) The minority or women business enterprise has reached a satisfactory level of selfsufficiencyto compete without resorting to special treatment provided in the development plan;or(e) The plan or provisions thereof are contrary to the requirements of federal, state, or locallaw or regulation, or otherwise contrary to public policy.(5) Copies of the development plan shall be retained by all parties to it, and by the OregonBusiness Development Department and the Oregon Association of Minority Entrepreneurs.(6) The development plan may include a provision that the arrangement shall be dissolved byeither party for reason by notifying the Oregon Business Development Department and theOregon Association of Minority Entrepreneurs. [1991 c.559 §3; 2009 c.830 §141]EMERGING SMALL BUSINESS ASSISTANCE PROGRAM200.150 [1991 c.517 §1; repealed by 2005 c.683 §13]200.160 Transportation Commission duties; report. The Oregon TransportationCommission shall appoint a committee to recommend plans whereby the Department ofTransportation may assist emerging small businesses in overcoming barriers to participation instate public improvement and maintenance projects. The committee shall report biennially itsrecommendation to the commission and to the appropriate legislative committee. [1991 c.517 §2;2005 c.683 §8]200.170 Eligibility for participation. (1) Subject to subsection (2) of this section, toparticipate in the emerging small business program under ORS 200.160 to 200.200, an applicantmust:(a) Be certified by the Oregon Business Development Department under ORS 200.005 to200.075 as an emerging small business;(b) Show that the applicant’s place of business and the work in which the applicant seeks toparticipate are located in this state; andPage 56 of 68

(c) Show that the applicant is in compliance with applicable licensing and registrationrequirements.(2) The Department of Transportation may limit eligibility for participation on a specificproject or contract to emerging small businesses that are located in or draw a part of theirworkforce from economically distressed areas or enterprise zones in this state, as designated bythe Oregon Business Development Department in consultation with the EmploymentDepartment.(3) An applicant who participates under ORS 200.160 to 200.200 must perform at least 51percent of the labor provided by the applicant on a public improvement or maintenance projectusing the applicant’s own workforce. [1991 c.517 §§3,6; 2005 c.103 §1; 2005 c.683 §9; 2009c.830 §142]200.180 Emerging Small Business Account; uses. The Emerging Small Business Accountis established within the State Highway Fund. The Emerging Small Business Account is aninvestment fund for purposes of ORS 293.701 to 293.820. Moneys in the account arecontinuously appropriated to the Department of Transportation for the purpose of assistingemerging small businesses under the plans recommended under ORS 200.160. Interest earningson moneys in the account are credited to the account. [1991 c.517 §4; 1993 c.744 §189b; 2005c.683 §10]200.190 Deposit of one percent of highway construction contract amount. TheDepartment of Transportation, when undertaking a public improvement highway constructioncontract, shall deposit with the State Treasurer an amount equal to not more than one percent ofthe contract award amount. The State Treasurer shall credit the amount reserved to the EmergingSmall Business Account established in the State Highway Fund. The deposit must be madewithin 30 days of the date on which the contract award is made. [1991 c.517 §5; 1993 c.744§189c; 2005 c.683 §11]200.200 Security for performance by emerging small business. (1) When any requirementexists under ORS 279.835 to 279.855 or ORS chapter 279A, 279B or 279C to provide a suretybond or other security for the faithful performance of a public contract, an emerging smallbusiness may provide:(a) A surety bond issued by a corporate surety qualified by law to issue surety insurance asdefined in ORS 731.186;(b) A stipulation or undertaking with one or more individual sureties; or(c) Any other form of security specified in the statute requiring the security.(2) When the security for the faithful performance of a public contract is in the form of astipulation or undertaking with one or more individual sureties, the individual sureties must beresidents of this state. The total net worth of all the individual sureties on the stipulation orundertaking must be at least twice the sum specified in the stipulation or undertaking. The publicagency requiring the security shall determine if the sureties possess the qualifications prescribedby this subsection. [1991 c.517 §8; 2003 c.794 §217]Page 57 of 68

Attachment E - NAICS Code AnalysisThe NAICS codes listed on the following page are in consideration of the following projectsusing FTA funds for FY 11-FY13.Portland to Milwaukie Light Rail Project – Architectural/design and Survey.Light rail track and structure repairs at various locations throughout the TriMet light railline.Pedestrian crossing improvements.Bike Stations – Purchase and installationTactile Paver replacement at 5 light rail stationsRepainting eastside light rail stationsGresham station access control and illuminationRoof replacement at Elmonica maintenance facilityUnderground storage tanks at Center St. GarageConcrete work at Center St. Bus YardStorm Piping repair at Tigard T.C.IT Server Room climate Control system installationMerlo Fuel/Wash and lift buildings constructionWES Train noise reductionMilwaukie Park n RideTransit Tracker installation at various locationsMorrison/Yamhill intersection repairsIce Cap Installation on the I205 centenary systemLighting along the multi-use path adjacent to the I-205 light rail trainSafety FencingWillamette Shoreline trestle repairPage 58 of 68

OMWESBDBEfirmsOLMISTotalFirms236220 Commercial & Institutional Building Construction 22 23622 Commercial Building Construction 628237110 Water & Sewer Line & Related Structures Construction 18 23711 Water & Sewer System Construction 234237310 Highway, Street, & Bridge Construction 77 23731 Highway, Street, & Bridge Construction 258238110 Poured Concrete Foundation & Struction Contractors 27 23811 Poured Concrete Structure Contractors 312238910 Site Preparation Contractors 51 23891 Site Preparation Contractors 740541310 Architectural Services 7 54131 Architectural Services 335541320 Landscape Architectural Services 8 54132 Landscape Architectural Services 96541330 Engineering Services 33 54133 Engineering Services 863541340 Drafting Services 20 54134 Drafting Services 65541430 Graphic Design Services 23 54143 Graphic Design Services 279541620 Environmental Consulting Services 29 54162 Environmental Consulting Services 182541611Administrative Management & General MgmtConsulting 45541613 Marketing Consulting Services 12541614 Process, Physical Distribution & Logistics Consulting 5541618 Other Management Consulting Services 50112 54161 Management Consulting Services 1510Totals 427 5502

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Step 1 - Determine the weight of each type of work by NAICS Code:* Enter all the FTA-assisted projects below. Project amounts should be assigned relevant NAICS Code(s).1)2)3)4)5)6)7)8)9)10)NAICS CodeAmount of DOT funds on project: % of total DOT funds(weight)Project237990 SCC $352,453,000.00 0.7716237990 SW Moody Tiger $25,349,645.00 0.0555237990 Streetcar $78,980,000.00 0.1729Total FTA-Assisted Contract Funds $456,782,645.00 10.00000.00000.00000.00000.00000.00000.0000

Page 62 of 68Step 2 - Determine the relative availability of DBE's by NAICS Code:* Use DBE Directory, census data and/or a bidders list to enter the number of available DBE firms and the number of available firms.1)2)3)4)5)6)7)8)9)10)NAICS Code Project Number of DBEs available toperform this workNumber of allfirms available(includingDBEs)RelativeAvailability237990 SCC 427 5641 0.0757237990 SW Moody Tiger 427 5641 0.0757237990 Streetcar 427 5641 0.07570 00 00 00 00 00 00 0Combined Totals 1281 169230.0757Overall availabilityof DBEs

Step 3 - (Weight) x (Availability) = Weighted Base FigureNAICS CodeWeightedProject Weight x Availability Base Figure1) 237990 SCC 0.77160 x 0.07570 0.05842) 237990 SW Moody Tiger 0.05550 x 0.07570 0.00423) 237990 Streetcar 0.17290 x 0.07570 0.01314) 0 0 0.00000 x 0.000005) 0 0 0.00000 x 0.000006) 0 0 0.00000 x 0.000007) 0 0 0.00000 x 0.000008) 0 0 0.00000 x 0.000009) 0 0 0.00000 x 0.0000010) 0 0 0.00000 x 0.00000Total 0.0757Expressedas a %(*100) 7.57%Rounded,WeightedBaseFigure: 8%

Attachment F - Resident Engineer Pre-Construction ChecklistTOPICS FOR DISCUSSION AT THE PRECONSTRUCTION MEETINGProject organization, key contacts, responsibilities, emergency contact informationPartneringCommunity affairs involvementArt projectsAffirmative Action programs and the goals for DBE participationInclusion of Prime Contract Terms in Prime/Sub-Contractor agreementsContractor quality control (quality assurance) program and proceduresCapital Project’s Quality Assurance Program Manual and proceduresCapital Project’s Construction Safety Program oversight/overviewContractor’s Safety and Incident Prevention Program (including emergency actions)Security concerns with regards to accessing operational and newly constructed TriMet facilitiesRisk Management and Owner Controlled Insurance Program (if applicable)SustainabilityCompliance with laws, codes and regulations of public agencies (including permits)MobilizationJob site housekeepingJob site security for lay down yards, storage areas and structures under constructionMaintenance and protection of trafficEnvironmental concerns and sedimentation controlProcessing of submittals and early deliverablesContractor’s construction methodsCoordination of contract work with the project as a wholeContractor’s preliminary schedule (detailed schedules are usually required on or before 90 daysafter the Notice to Proceed is issued)Processing of shop and working drawingsCoordination for permitting, installation and billing for temporary project utilities and utilities that willtransfer over as permanent to TriMet MOW/OperationsAdvance payments for materials and equipmentProgress payment procedureso Web based Contract Compliance System (i.e. Elations)o Compliance with labor provisions as specified by EEOo Labor requirements and certification of payrollsUnforeseen site conditionsTriMet furnished materials and equipmentContract modificationsIncentive reviewsOriginal and final surveys (surveys performed by contractor, check surveys performedby TriMet)Claims and disputed work proceduresRecord drawings/specifications and drawing controlPunch list proceduresFinal quantitiesTraining and Operations & Maintenance (O&M) ManualsRetainageCompletion of work, final payment and closeout procedures

Page 65 of 68Attachment G - On-Site DBE ReviewReviewProjectPrime ContractorSub ContractorDBE On-SiteContract NumberDateDBE Certification Number1. Per the condition of award, indicate DE work observed this dateSubcontract ID number Approximate %CompleteItem DescriptionDollarAmountDBE Subcontractor’s Start Date Project percentage complete DBE Anticipated Completion DateSubcontractor’s Site Superintendent Foreman (Name) Exclusively Employed by the DBEcontractor?If No, Please ExplainIs Superintendent / Foremanshown on DBE Payroll? Yes NOIs Superintendent / Foreman shown onany other On-Site Contractor’s Payroll? Yes NOIf Yes ExplainIf Known, to Whom Does the DBE Superintendent / Foreman Directly Report to Within His/Her Ownorganization?NameTitleList Names and Crafts of DBE Crew as Observed (Use additional sheets, if needed)Are any Crew Members on the Prime or anyother Project Subcontractors Payroll(s)? Yes NOList DBE Equipment Observed Being UsedIf Yes, Please IndicateDoes DBE Equipment haveMarkings or Emblems? Yes NOHas DBE owner been Present on the JobSite? Yes NOWhat %_____________EquipmentEquipment under direct supervision ofOwned Leased DBE Subcontractor? Yes NODoes DBE Subcontractor Appear to haveControl over Methods of Work in its items? Yes NO

Attachment H - Sample Bidders List Data CollectionSolicitation No. Submitting Party Address City State Form of Biz Date of DBE Status (Y or N) Certification # Gross Receipts BracketsIncorporp. $5MRC120XXXBW ABC Corp. 123 Main St. Portland OR Corp 2001 Y 123456 XRC120XXXBW DEF Ltd. 456 Buzzard Lane Salem OR Partnership 2005 N X

Page 67 of 68Attachment I- Overconcentration AnalysisOver-Concentration AnalysisNAICSCode Description Non-DBE Businesses DBE Businesses Total BusinessesPercentage toDBE'sPercentage to Non-DBE's236220 Commercial and Institutional Building Construction 597 31 628 4.94% 95.06%237110 Water & Sewer Line & Related Structutres Construction 200 34 234 14.53% 85.47%237310 Highway, Street & Bridge Construction 165 93 258 36.05% 63.95%238110 Poured Concrete Foundation & Structure Contractors 281 31 312 9.94% 90.06%238910 Site Preperation Contractors 686 54 740 7.30% 92.70%484110 General Freight Trucking, Local 96 18 114 15.79% 84.21%541310 Architectural Services 329 6 335 1.79% 98.21%541320 Landscape Architectural Services 83 13 96 13.54% 86.46%541330 Engineering Services 830 33 863 3.82% 96.18%541340 Drafting Services 40 25 65 38.46% 61.54%541430 Graphic Design Services 261 18 279 6.45% 93.55%541620 Environmental Consulting Services 146 36 182 19.78% 80.22%541611-8 Management Consulting Services 1367 143 1510 9.47% 90.53%AvailableBusinesses16001400120010008006004002000236220 237110 237310 238110 238910 484110 541310 541320 541330 541340 541430 541620 541611-8NAICS CdeNon-DBE BusinessesDBE BusinessesTotal Businesses

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