RTD SMALL BUSINESS OPPORTUNITY OFFICE1600 Blake Street, BLK-41Denver, CO 80202(303) 299-2111

Dear Small Business Owner,

I would like to invite you to participate - or renew your participation - in RTD's SmallBusiness Enterprise (SBE) Certification Program.

We have revised the SBE certification process while continuing to make it as easy aspossible for small businesses to become certified. The new SBE certification processrequires applicants to submit documentation of their business size eligibility and personal networth. Additionally, applicants are required to submit proof of their capability to perform theservices for which they are requesting certification. Finally, the qualifying applicant(s) arerequired to execute the application in the presence of a notary.

The RTD SBE Certification Program is open to all businesses regardless of the race orgender of the owner(s) of the business. Eligible firms will be classified in one of the fourcategories of eligibility depending on their three year average gross receipts, as follows:

Category 1: Approved firms with gross receipts less than $1 Million.Category 2: Approved firms with gross receipts between $1 Million and $5 Million.Category 3: Approved firms with gross receipts between $5 Million and $10 Million.Category 4: Approved firms with gross receipts in excess of $10 Million.

Your business qualifies for the RTD SBE Certification Program if the following financialguidelines are met:

1. The average annual gross receipts for your business for the past 3 years is lessthan $20,410,000. This amount includes any affiliate businesses owned inwhole or part by any applicant owner or stockholder regardless of their ownershipinterest.

2. The personal net worth of the qualifying owner(s)/stockholder(s) of the business isless than $750,000 (on an individual basis) - not including the market value oftheir primary residence or their equity/investment in the business being certified.At least 51% of the owner(s)/stockholder(s) must meet the personal net worthcriteria for the business to be eligible. Applicants can not transfer ownershipsolely for the purpose of qualifying for the SBE program. RTD will evaluatetransfers of ownership within the past two years to determine compliance withthe personal net worth requirements.

If your business qualifies, please complete and submit the attached RTD SBE Applicationand Personal Financial Statement. Both forms must be submitted to apply or renew.

RTD SMALL BUSINESS OPPORTUNITY OFFICE

If your SBE application is complete, the RTD Small Business Opportunity Office willprocess your application and will furnish you with an RTD SBE certification certificate.Your RTD SBE certification will be valid for 3 years - as long as your business remainswithin the business size and personal net worth financial guidelines.

If your RTD SBE application is incomplete, it will be returned with a request for additionalrequired information. For more information on RTD's SBE Certification Program, pleasevisit the Business Center at www.rtd-denver.com.

Please feel free to contact me if you have any questions.

Best regards,

KKenn HardinBusiness Opportunity & Outreach OfficerRTD Small Business Opportunity Office1600 Blake Street, BLK-41Denver, Colorado 80202(303) 299-2111kenn.hardin@rtd-denver.com

REGIONAL TRANSPORTATION DISTRICTSMALL BUSINESS OPPORTUNITY OFFICE

1600 Blake Street, BLK-41Denver, CO 80202

303-299-2111

INSTRUCTIONS: All questions must be answered and all information requested must be submitted. DO NOT LEAVEANY SPACE BLANK. ENTER "N/A" FOR NOT APPLICABLE. Please mail or hand-deliver your completed applicationAND Personal Financial Statement (forms available for download in the Business Center at www.rtd-denver.com) to the address listedabove. Faxed copies are not accepted. If your application is not legible, complete, signed, dated, notarized andaccompanied by all documentation, your application will be returned and your certification delayed. For assistance, callthe above number.

1. NAME OF FIRM

DOING BUSINESS AS 2. EIN

3. PHYSICAL ADDRESS CITY STATE ZIP

MAILING ADDRESS CITY STATE ZIP

4. MAJORITY OWNER'S NAME(S) 5. BUSINESS PHONE NUMBER

6. FAX NUMBER

7. EMAIL 8. WEBSITE

9. TYPE OF OWNERSHIP (CHECK ONE.)

10. DATE BUSINESS ESTABLISHED 11. DATE BUSINESS STARTED 12. DATE INCORPORATED STATE 13. DATE OF AGREEMENT

14. NATURE OF THIS FIRM'S BUSINESS (PLEASE BE DESCRIPTIVE.)

15. PRIMARY OWNER'S CITIZENSHIP, ETHNICITY, AND GENDER INFORMATIONGENDERCITIZENSHIP (CHECK APPROPRIATE BOX.) ETHNICITY (CHECK APPROPRIATE BOX.)

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SMALL BUSINESS ENTERPRISE (SBE) CERTIFICATION APPLICATION

LAWFULLY ADMITTED PERMANENT RESIDENT

OTHER (EXPLAIN);

U.S. CITIZEN FEMALE

MALE

AFRICAN AMERICAN

ASIAN INDIAN

ASIAN PACIFIC

CAUCASIAN

HISPANIC

NATIVE AMERICAN

NON-DESIGNATED GROUP

SOLE PROPRIETORSHIP PARTNERSHIPCORPORATION LIMITED LIABILITY COMPANY (LLC)

NEW APPLICATION

RENEWALAPPLICATION

TYPE

How did you hear about RTD's SBE Program? SEMINAR/WORKSHOP:

I'M RENEWING WORD OF MOUTH OTHER ORGANIZATION:

REVISED 11/14/07

REGIONAL TRANSPORTATION DISTRICTSMALL BUSINESS ENTERPRISE (SBE) CERTIFICATION APPLICATION

16. OWNERSHIP BREAKDOWNIf any of the listed owners are veterans, please provide the following:

• Copy of their DD214Disabled veterans must provide a copy of their DD214 AND written verification of their disability•

IF YOU CHECKED SOLE PROPRIETOR IN SECTION 9, PLEASE PROVIDE THE FOLLOWING INFORMATION:NAME ETHNICITY GENDER # OF YEARS OWNED

IF YOU CHECKED PARTNERSHIP, CORPORATION, OR LIMITED LIABILITY CORPORATION (LLC) IN SECTION 9, PLEASE PROVIDE THEFOLLOWING INFORMATION. Attach additional pages if needed.

NAME BOARD/MANAGEMENT POSITION OWNERSHIP % ETHNICITY GENDER DATE OFPURCHASE

NUMBER OFSHARES

TOTAL NUMBER OF SHARES ISSUED NUMBER OF SHARES OUTSTANDING

17. IS YOUR FIRM OWNED IN FULL OR IN PART BY ANOTHER COMPANY?

18. IDENTIFY ANY MANAGEMENT OFFICIAL OR OWNER (ITEM 4,15,16,17) WHO IS, OR WHO HAS BEEN, WITHIN THE LAST THREE YEARS ANOWNER, MANAGER, OR EMPLOYEE OF ANOTHER FIRM THAT HAS AN OWNERSHIP INTEREST OR A PRESENT BUSINESSRELATIONSHIP WITH THE FIRM. PRESENT BUSINESS RELATIONSHIPS INCLUDE SHARED SPACE, EMPLOYEES, EQUIPMENT, ORFINANCING. EXPLAIN ANY SUCH RELATIONSHIPS BELOW.

19. HAVE THERE BEEN ANY TRANSFERS/CHANGES OF OWNERSHIP IN THE PAST TWO YEARS?

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SOCIAL SECURITY NUMBER

M F

IF YES, LIST ON A SEPARATE SHEET THAT COMPANY'S SHAREHOLDERS INCLUDING PERCENTAGE OF OWNERSHIP INTEREST AND THE NAMES AND ADDRESSES OFDIRECTORS AND OFFICERS. IF MINORITIES, SO INDICATE.

IF YES, EXPLAIN ON A SEPARATE SHEET

FEMALE

MALE

FEMALE

MALE

FEMALE

MALE

NOYES

YES NO

MALE

FEMALE

NAME RELATIONSHIP TOMAJORITY OWNER(S) TITLE ETHNICITY GENDER

a. FINANCIAL DECISIONS

b. ESTIMATING

c. MARKETING/SALES

d. HIRE/FIRE PERSONNEL

e. PURCHASING OF MAJOREQUIPMENT/SUPPLIES

f. SUPERVISION OF FIELDOPERATIONS

g. JOBS THE COMPANY SELECTS

h. SURETY AND/ORPERFORMANCE BONDS

i. INSURANCE

j. CHECKING ACCOUNTSIGNATURE AUTHORITY

GROSS RECEIPTS # OF EMPLOYEES TAX FILING YEAR

REGIONAL TRANSPORTATION DISTRICTSMALL BUSINESS ENTERPRISE (SBE) CERTIFICATION APPLICATION

26. HAVE ANY OF THE INDIVIDUALS LISTED IN ITEMS 4, 15, 16,AND 17 BEEN AN OWNER OR MANAGER WITH A FIRM THATHAS BEEN DENIED CERTIFICATION?

25. HAS THE FIRM EVER BEEN DENIED CERTIFICATION BY ANYGOVERNMENTAL AGENCY?

24. LIST ANY OTHER AGENCY CERTIFICATIONS THAT YOUR FIRM HAS RECEIVED. (PLEASE PROVIDE COPIES.)

22. GROSS RECEIPTS AND EMPLOYMENT LEVELS: Beginning with the most recent year in which the business filed a federal income tax returnwith the Internal Revenue Service (IRS) and going back three previous years, provide the gross receipts figures as they were reported on thefederal income tax returns. Also, provide the total number of employees for each year.

23. DOES YOUR COMPANY OWN/LEASE EQUIPMENT TO PROVIDE THE ESSENTIAL FUNCTIONS OF YOUR BUSINESS?

List owned/leased equipment on separate sheet, by type and quantity.

If yes, please explain on a separate sheet.21. WERE ANY OF THE INDIVIDUALS LISTED ABOVE ON ANOTHER COMPANY'SPAYROLL CONCURRENT WITH EMPLOYMENT WITH THE APPLICANT FIRM?

20. MANAGEMENT - INDICATE MANAGEMENT CONTROL OF FIRM IN THE FOLLOWING AREAS:

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FEMALE

MALE

MALE

FEMALE

FEMALE

MALE

MALE

FEMALE

MALE

FEMALE

MALE

FEMALE

MALE

FEMALE

FEMALE

MALE

FEMALE

MALE

MALE

FEMALE

NOYES

NOYES

YESNO

YES NO

REGIONAL TRANSPORTATION DISTRICTSMALL BUSINESS ENTERPRISE (SBE) CERTIFICATON APPLICATION

27. LIST THE THREE (3) LARGEST CONTRACTS COMPLETED BY YOUR FIRM. IF YOUR FIRM DOES NOT PERFORM CONTRACT-BASED WORK, PLEASE PROVIDE THREE BUSINESS REFERENCES WITH CONTACT INFORMATION.

CONTRACT WITH AMOUNT CONTACT PERSON PHONE NUMBER TYPE OF WORK DATE

IN ADDITION, PLEASE PROVIDE PROOF OF CAPABILITIES OF THE FIRM SUCH AS RESUMES, LICENSES,CERTIFICATIONS, TRAINING CERTIFICATES, BROCHURES, ETC. THAT DEMONSTRATE THE APPLICANT'SEXPERTISE OR TECHNICAL CAPABILITY TO PROVIDE SERVICES IN THE AREA THEY ARE SEEKINGCERTIFICATION. APPLICATIONS SUBMITTED WITHOUT SUCH DOCUMENTATION WILL BE RETURNED.

28. WHAT TYPE OF PRODUCTS OR SERVICES DOES YOUR BUSINESS PROVIDE? TO REVIEW THE BID CODE MASTER LIST USEDINTERNALLY BY RTD PROCUREMENT TO DESCRIBE PRODUCTS AND SERVICES PROVIDED BY VENDORS, GO TO WWW.RTD-DENVER.COM . CLICK BUSINESS CENTER, CLICK DOING BUSINESS WITH RTD. ON THIS PAGE, CLICK RTD BIDDERS LIST. THECURRENT RTD BID CODE MASTER LIST IS AT THE BOTTOM OF THE WEB PAGE.

RTD BID CODE BID CODE DESCRIPTION

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REGIONAL TRANSPORTATION DISTRICTSMALL BUSINESS ENTERPRISE (SBE) CERTIFICATIONAFFIDAVIT

The undersigned swears under penalty of perjury, that the information provided in this application is correct and true and

includes all material information necessary to identify and explain the operations of

as well as the ownership thereof.

The undersigned also states that he or she is properly authorized by

to execute the affidavit and does so as his or her free act and deed.

The undersigned also affirms that:1. This business can perform in a professional and competent manner all listed services.2. This business has legal access to and can provide in a timely manner all listed products.3. This business is currently operating within the following financial guidelines:

· The average annual gross sales for this business for the past 3 years are less than $20,410,000.· The personal net worth of qualifying owner(s)/stockholder(s) of this business listed above is less than

$750,000 (on an individual basis), not including the equity in their primary residence and in the applicantbusiness.

Any fraud or misrepresentation concerning information provided in the application will result in the maximum legal

prosecution as allowed by prevailing statutes.

As a participant in the RTD SBE Certification Program, I promise to notify the RTD Small Business Opportunity Office;

1600 Blake Street, BLK-41; Denver, CO 80202, within thirty (30) days in writing of:

· Any changes to ownership, location, contact information and/or service offerings by this business.· Any change of the financial status of this business that would violate the financial guidelines of the RTD SBE Certification Program as outlined above.

I understand that this RTD SBE certification may be investigated, audited, suspended, or revoked at any time for cause at

the discretion of the RTD Small Business Opportunity Office.

SIGNATURE

The foregoing affidavit was subscribed and sworn to before me on this day of , 20

by .

NOTARY PUBLIC SIGNATURE

COMMISSION EXPIRATION DATE

SEAL

NOTARY

DATE

TITLE (PRESIDENT, OWNER, CEO, ETC.)PRINTED NAME

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NAME OF FIRM

NAME OF OWNER/CORPORATE OFFICER/SHAREHOLDER