Frequently Asked Questions

General Questions

What is the Virginia SWaM Program?
The SWaM Procurement Initiative was established to enhance business opportunities for small, women- and minority-owned businesses and to ensure a level playing field for all small businesses in the Commonwealth of Virginia. SWaM is the acronym for Small, Women- and Minority-owned businesses. A SWaM vendor is a business that has been certified by the Virginia Department of Minority Business Enterprise and is listed in the SWaM Vendor Directory
What are the benefits of SWaM certification?
On August 10, 2006, Governor Timothy Kaine signed Executive Order No. 33 (2006) focusing on enhancing business opportunities for small, women- and minority-owned (“SWaM”) businesses. Governor Kaine set forth a 40% goal of purchases from SWaMs for the Commonwealth and established a Small Business Set-Aside Program, as well as several other initiatives for state agencies and departments to enhance SWaM participation in procurement activities. (Link to Executive Order No. 33 (2006) is: http://www.governor.virginia.gov/Initiatives/ExecutiveOrders/pdf/EO_33.pdf). Becoming SWaM certified includes you in the SWaM Vendor Directory, which is the listing used by state procurement officials to locate SWaM certified vendors.
is there a cost to become certified?
There is no cost for certification in Virginia.
What is the definition of “Minority-owned Business ”?
"Minority-owned business" means a business concern that is at least 51% owned by one or more minority individuals or in the case of a corporation, partnership, or limited liability company or other entity, at least 51% of the equity ownership interest in the corporation, partnership, or limited liability company or other entity is owned by one or more minority individuals and both the management and daily business operations are controlled by one or more minority individuals.
What is the definition of Minority Individual?
"Minority individual" means an individual who is a citizen of the United States or a non-citizen who is in full compliance with United States immigration law and who satisfies one or more of the following definitions:
1. "African American" means a person having origins in any of the original peoples of Africa and who is regarded as such by the community of which this person claims to be a part.
2. "Asian American" means a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands, including but not limited to Japan, China, Vietnam, Samoa, Laos, Cambodia, Taiwan, Northern Mariana, the Philippines, a U.S. territory of the Pacific, India, Pakistan, Bangladesh, or Sri Lanka and who is regarded as such by the community of which this person claims to be a part.
3. "Hispanic American" means a person having origins in any of the Spanish-speaking peoples of Mexico, South or Central America, or the Caribbean Islands or other Spanish or Portuguese cultures and who is regarded as such by the community of which this person claims to be a part.
4. "Native American" means a person having origins in any of the original peoples of North America and who is regarded as such by the community of which this person claims to be a part or who is recognized by a tribal organization.
What is the definition of a Small Business?
"Small business" means an independently owned and operated business which, together with affiliates, has 250 or fewer employees, or average annual gross receipts of $10 million or less averaged over the previous three years.
What is the definition of a Women-Owned Business?
"Women-owned business" means a business concern that is at least 51% owned by one or more women who are U.S. citizens or legal resident aliens, or in the case of a corporation, partnership, or limited liability company or other entity, at least 51% of the equity ownership interest is owned by one or more women who are citizens of the United States or non-citizens who are in full compliance with the United States immigration law, and both the management and daily business operations are controlled by one or more women who are U.S. citizens or legal resident aliens.
Can I be certified as “Service Disabled” or a “Veteran”?
Veterans who are small business owners are not able to be certified as Service Disabled or as a Veteran under the SWaM Procurement Initiative because the Commonwealth of Virginia does not have a certification program at this time for these categories. Please visit the Department of Veterans Services website at www.dvs.virginia.gov to stay abreast of any legislative actions which may affect your business.
Should I apply for SWaM or DBE Certification? What’s the difference?
The SWaM Procurement Initiative is a Commonwealth of Virginia program, while the Disadvantaged Business Enterprise (“DBE”) Program is a federal certification program under the U.S. Department of Transportation. The DBE Program focuses on Federally-funded projects through the Virginia Department of Transportation (VDOT), and also includes rail, airport and seaport projects, as well as public transit projects. See below for more information on the DBE Program..
What is a DUNS number and how do I get one?
The Dun & Bradstreet or “DUNS” Number is a unique nine-digit identification sequence, which provides unique identifiers of single business entities, while linking corporate family structures together. It is recognized, recommended and/or required by more than 50 global, industry and trade associations, including the United Nations, the U.S. Federal Government, the Australian Government and the European Commission. In today's global economy, the D&B DUNS Number has become the standard for keeping track of the world's businesses. To get a DUNS Number, go to the Dun & Bradstreet website, Small Business Solutions and click on the Apply Now box. There is no cost involve.
Is there a fast track certification process?
Certification is for three years only. Your certification will expire at the end of the three years. The reason for this is to ensure that our database of certified firms is always reasonably current, with actual firms doing real business, and with correct contact information.
Why do I need an email address?
The Commonwealth of Virginia is quickly moving towards the use of electronic means for communication and for many of its procurement processes. In today’s world, having a computer and an email account is necessary in order to compete with other businesses.
I don’t have access to a computer. How do I become certified?
The Commonwealth of Virginia is quickly moving towards the use of electronic means for communication with businesses. Many of the Commonwealth’s procurement activities are electronic and having access to a computer with Internet access is vital. Businesses without computer or Internet access are strongly encouraged to obtain such access if they intend to do business with the Commonwealth. If Internet access is unavailable in your area, please contact the Department of Minority Business Enterprise for assistance. You can also visit your local library or educational institution in your area to use their computers. You will need to obtain an electronic mail account (known as “email”) and can use many of the free services available, such as Yahoo, Hotmail, GMail, or any of the other available services.
How do I prove that I’m certified as a SWaM business?
Once you have submitted your completed application and proof of identification, you will receive an electronic approval letter sent to your email address. You can obtain a copy of your listing the SWaM Vendor Director by finding your business listing and printing out that page. You can also present a copy of your electronic approval letter or request a certificate from DMBE. Call the Customer Care Specialist at 804-786-5560 to make this request or email your request to dmbe@dmbe.virginia.gov
What changes were made to the SWaM Certification Program?
There are several changes made to the SWaM Certification Program, effective July 9, 2007. First, applicants will receive their SWaM Certification approval as a Small, Women- or Minority-owned Business upon receipt of their printed and signed SWaM application. Secondly, proof of identification of the Small, Women- or Minority-owned Business owner(s) is required and must be submitted with the printed, signed SWaM application.
The following documents will be required within 30 days of submitting a SWaM application to DMBE:
-For Small Businesses certification: Proof of number of employees or gross receipts.
-For Women- or Minority-owned Business certification: Proof of ownership/capital contribution/investment and organizational documents.
-For Small, Women- or Minority-owned Business certification: Proof of number of employees or gross receipts; and proof of ownership/capital contribution/investment and organizational documents.
-For Non-Virginia Businesses: License to transact business in Virginia and as applicable, proof of number of employees or gross receipts, Proof of ownership/capital contribution/investment and organizational documents.

Finally, if an applicant has not submitted the required supporting documents within 30 days of their application, their SWaM Certification will expire.

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Virginia SWAM Program Questions

What documents should I submit to prove identification?
You must provide one of the following documents to prove your identification:
- Copy of government-issued picture identification card (driver’s license, military ID card, etc.)
- Voter registration card
- Certificate of Naturalization (for legal residents)
- Passport
- Tribal registration certificate (tribal registry letter and tribal roll register number)
Do I need to notarize my application?
No. The notary requirement was eliminated.
I’ve submitted my application. When will it be reviewed?
After you’ve submitted your certification application packet to the Department of Minority Business enterprise, it will be reviewed for completeness within five (5) days of receipt. A completed application must be accompanied by proof of identification (examples: Certificate of Naturalization for legal residents; Passport; Birth Certificate; Copy of government-issued picture identification card such as a Driver’s License or Military Identification card; Voter Registration Card; or Tribal registration certificate, tribal registry letter and tribal roll register number.
What happens after I submit my SWaM certification application?
If your application packet is complete, your business will be certified as a Small, Women- or Minority-owned Business. This certification is dependent on your submission of the required supporting documents within thirty (30) days. You also have the option of submitting your supporting documents along with your application.
Why must I provide a copy of my business’ Income Tax Return?
A Virginia-based (or domestic business) is required by law to file a Virginia income tax return each year, even if it has no income to report. The income tax return or an employer’s Form VA-6 (Employer’s Annual or Final Summary of Virginia Income Tax Withheld) is used to verify that your business qualifies for Small Business certification with 250 or fewer employees or have made less than $10 million in gross revenues averaged over the past three years. You can also provide your most recent payroll ledger. Any proprietary information and all financial records are confidential and excluded from disclosure under the Freedom of Information Act, Code of Virginia, and Section 2.2-3705.6 (20). In order for financial records to be excluded from disclosure under the Virginia Freedom of Information Act, the business must (1) invoke such exclusion upon submission of the data or other materials for which protection from disclosure is sought, (2) identify the data or other materials from which protection is sought, and (3) state the reasons why protection is necessary.
I’ve submitted my required supporting documents, now what?
The requried supporting documents will then be reviewed by a SWaM Certification Officer for compliance with the eligibility criteria found in the Code of Virginia, Section 2.2-1401, and the Virginia Administrative Code, 7 VAC 10-20-10 et seq. More specifically, you must be able to demonstrate the following:
(A) Be owned and controlled by an individual who is a citizen of the United States or a non-citizen who is in full compliance with United States immigration law;
(B) Be licensed to transact business in the Commonwealth of Virginia;
(C) Satisfy the criteria set forth under Section 2.2-1401 of the Code of Virginia and 7VAC10-20-20 for small, women-owned, and minority-owned business certification;
(D) Demonstrate a substantial and personal “investment” by the Principal owner as defined by 7VAC10-20-20; and
(E) Be free from any “conversion rights” as defined under 7VAC10-20-20.
How else can I prove my ownership and control of the business?
You may be asked to provide or may want to further establish your ownership and control of the business by providing any of the following documents:
- Signed agreements or contracts (e.g., rental agreements, leases, work contracts, or other types of formal written agreements concerning the business)
- Contract or work history of your business (e.g., client list, past project list)
- Resume(s) of all owners, shareholders, partnerships, officers, and/or managers
- Bank signature card, corporate banking resolution, or notarized letter from bank indicating signatory authorization

I’ve missed the 30-day deadline to submit my required supporting documents. What can I do?
After the 30-day deadline to submit your required supporting documents, your certification status will expire. To re-open your application, you should submit the required documents to the Department of Minority Business Enterprise immediately with your tracking number and the name of your business.
How long am I certified?
If your supporting documentation proves your status as a Small, Women- or Minority-owned Business, your certification will continue for a three (3) year term. If there are unanswered questions by the SWaM Certification Officer or a need for additional information, your certification will not expire, and will continue until the review is complete. You are required to cooperate with requests for information and respond in a timely manner in order to maintain your certification status. At least 30-60 days prior to the expiration of your certification, you must re-certify to maintain your SWaM status.
How will a state procurement officer or buyer find my business?
Once approved as a SWaM vendor, your business will be listed in the SWaM Vendor Directory. This directory is a listing of all certified small, women and minority-owned firms currently on file with DMBE, along with a description of the products/services they provide. The SWaM Vendor Directory is posted on our website at www.dmbe.virginia.gov and accessed by procurement agents of state agencies, as well as other public entities and private corporations, when searching for a SWaM vendor.
What else can I do to promote my business?
If you have not already done so, we strongly recommend that you register your company with the eVA and ARIBA system, the state’s online procurement system, by registering at http://www.eva.virginia.gov/vendors/index.htm. State agencies search for vendors on this site and also post requests for bids and proposals. Vendors can also have requests for bids and proposals automatically e-mailed to them. For more information, visit the eVA website at www.eva.virginia.gov.
Does certification guarantee that I will receive a state contract?
No, obtaining SWaM certification does not serve as a guarantee of work or that you’ll receive a contract. The Program provides the tools for your business to effectively compete and remove any barriers or limitations in the state procurement process for small, women- and minority-owned businesses. You will still need to aggressively market your business, network, and competitively bid for projects or contracts.

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Federal DBE Program Questions

Should I apply for SWaM first, and then the DBE Program?
No. If you intend to apply for DBE Certification, do that one first. Although it is more demanding, it also includes SWAM status, so you will only need to apply once, but you will get both certifications if you are successful.
I’m already a certified DBE. Should I apply for SWAM certification?
No. Your Virginia DBE Certification automatically gives you SWAM status in Virginia.
What are the current requirements for notarization of documents?
The Affidavit of Certification, the Affidavit of No Change, and the Personal Networth Statement all need to be notarized. Notarization must include date, city/county and state in which notarization was performed. It must also include the notary registration number of the notary public, and the date of expiry of his/her commission. The notary certificate must be on the same page as the signature it is witnessing, and the DBE applicant signing the document must be physically present with the notary and sign in his/her presence. The notary must be certain of the Applicant’s true identity. The seal should be sharp, legible, permanent, and photographically reproducible. For further information, click here.
How do I apply for DBE Certification?
On this website, go to the VDOT DBE Certification page. Print out the Uniform Certification Application form, the Gross Receipts Survey and the Personal Networth Statement. Complete the forms. Get the Application and the Personal Networth Statement notarized, and mail them into us with the supporting documentation listed on the Checklist at the back of the Application Form. Check that Federal Tax Returns have been signed before mailing.
What are the current requirements for notarization of documents?
The Affidavit of Certification, the Affidavit of No Change, and the Personal Networth Statement all need to be notarized. Notarization must include date, city/county and state in which notarization was performed. It must also include the notary registration number of the notary public, and the date of expiry of his/her commission. The notary certificate must be on the same page as the signature it is witnessing, and the DBE applicant signing the document must be physically present with the notary and sign in his/her presence. The notary must be certain of the Applicant’s true identity. The seal should be sharp, legible, permanent, and photographically reproducible. For further information, click here
Where can I get the DBE application forms?
They are on this website at: DBE Certification.
I’m SDB / 8(a) certified. Do I need to complete the DBE Application Form as well?
If your SDB / 8(a) form is less than two years old, you may send us that form instead of completing the DBE Uniform Certification Application form. However, you will still need to complete and notarize the Affidavit of Certification that is part of the DBE Application, and the Personal Networth Statement (PNS). The PNS must be signed and notarized within the 90 day period before your Application is received by us. If your SDB / 8(a) Application is more than 2 years old, you will need to complete the full DBE Uniform Certification Application so that we have updated information. You will also need to send us the supporting documentation listed on the DBE Application Checklist, regardless of which application form you are using.
I’m DBE certified in my Home State. Do I need to complete a new application for Virginia?
Yes. Unfortunately, we do not have reciprocal certification with other States. You need to make a new application in each State in which you wish to work. The Virginia UCP will in the future cover certifications from DMBE (Dept. of Minority Business Enterprise) and MWAA (Metropolitan Washington Airports Authority), but it is not yet implemented.
Why do I need to send all these supporting documents?
We have to ascertain not only who owns the company, but also who controls it on a daily basis. Additionally, we have to check Personal Networth and Company size, in order to comply with the Federal Regulations. If we are challenged on our certification, whether by Federal auditors or a competitor company, we need the documentation on file to support our decisions. Personal financial information is confidential to the DBE Program and may not be disclosed otherwise by us, even in response to a Freedom of Information request.
Why do you need tax returns signed even when I e-filed with the IRS?
The signature means someone takes responsibility that it is a true copy of what was filed with the IRS. We accept tax returns signed either by the Individual / Company Officer, or by the Tax Preparer.
What is the purpose of an “Onsite Visit”?
The main purpose is to confirm what was written in the application and supporting documentation. It gives us a chance to see the business facilities, understand the daily management processes, and answer any remaining questions we have about a company’s eligibility. It gives the company owners the chance to talk face to face with someone who knows about the DBE Program and can answer questions or give other contact information.
Why do I have to complete a DBE Orientation Program in Virginia?
We are concerned when certified DBE companies come back to us and say they haven’t found benefits in the Program. We are anxious that every company knows and understands what the Program can do for them in Virginia, and what support services are available here. We used to require all companies to come to Virginia for an Orientation session, but now we have the material available on our website, for your convenience.
How long does the DBE application process take?
It is likely to take 30 to 60 days after we receive all the information and documentation. That includes the time for reviewing the file, making an Onsite Visit and for you to work through the Orientation materials. Most delays are caused by incomplete information or missing documentation.
What business and technical assistance is available to DBE Companies?
We publish a monthly VDMBE Opportunities Bulletin. VDOT also has a webpage for Business Opportunities. We have Regional Field Officers in our Service Division. They can help with marketing assistance, assistance with resolving business related issues, assessments to determine the strength and weaknesses of firms, preparation of bonding and loan applications, bid opportunity referrals, and help in the preparation of VDOT applications (prequalification and certification). They can also give assistance with technical construction related problems, in reviewing and analyzing highway projects and monitoring pre and post bid activities, and individualized and group training sessions (estimating, bidding, plan reading, and financial statements and marketing).
What is the VDOT Supportive Services Program for DBE Companies?
For details, see the VDOT website Business Center, Civil Rights. It includes outreach and networking events, specifications and standards training, and their legal and accounting program for financial support in obtaining necessary legal and accounting professional services. In some cases, financial support is available for consultants who need a FAR (Federal Acquisitions Regulations) Audit. Contact: monica.esparza@vdot.virginia.dot (804) 786-2731 for Supportive Services, or for FAR Audit info, contact: judson.brown@vdot.virginia.gov (804) 225-3597

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