ODOT DISADVANTAGED BUSINESS ENTERPRISE (DBE)

SUPPORTIVE SERVICES PROGRAM GUIDELINES

I.PURPOSE

The primary purpose of the Ohio Department of Transportation’s (ODOT’s) DBE Supportive Services Program (DBE/SSP) is to provide training, assistance, and services to DBE firms certified within the State of Ohio. The assistance is meant to facilitate the firms' development into viable businesses capable of competing for and performing on, federally assisted highway projects.

  1. DBE ELIGIBILITY

The DBE/SSP assistance is limited to DBE construction and consulting firms involved in the highway construction industry.

  1. The firm must be headquartered in the state of Ohio. Out-of-state firms are encouragedto seek supportive service assistance through their home state certifying agency.
  1. Firms must be Ohio UCP DBE certified at the time supportive services arerequested and remain certified until the service is completed. Loss of certificationwill result in immediate suspension of DBE supportive services.
  2. Application for supportive services must be submitted at least 30 days prior tothe requested service.
  3. The service must be directly related to the operation of the firm and the firm mustidentify the benefit it will derive from participation.
  4. Approval is at the sole discretion of ODOT.
  5. Needs Assessment Survey - ODOT will conduct anannual Needs Assessment Survey to identify the services needed to assist the DBE firms in becoming more competitive in the highway construction industry. Feedback will be solicited from the DBE firms regarding barriers in obtaining work on Federal-aid contracts. The firms will be asked to provide information on services the ODOT could make available to assist in their growth. The DBE firm must complete the Needs Assessment Survey prior to DBE supportive services being approved.
  1. PROGRAM COMPONENTS AND GUIDELINES

This section will outline the Direct Reimbursement and One-on-One Supportive Services Consultant guidelines of the DBE/SSP.

  1. Direct Reimbursement Process and Guidelines
  1. Direct reimbursement to eligible DBE firms is available for the following items:
  2. Cost associatedwith technical training, education, industry

related events, or seminars, software and/or software licenses or fees associated with becoming prequalified or increasing prequalification amounts. ODOT will reimburse registration fees, books/materials and lodging (up to $75.00 per person, per night) to DBE firms that attend seminars/trainings/industry related events within the United States that are directly related to the company’s core area of business operations. Travel and meals are non-reimbursable expenses.

  1. DBE firms may be reimbursed for tuition expenses for one undergraduate course per quarter, semester or trimester. Lab fees, costs associated with purchasing books and materials may also be reimbursable providing the course is related to the company’s core area of business operations.
  2. Costs associated with the purchase of computer software and/or licenses.
  3. Costs associated with an independent financialreview oraudit that is required in order to become prequalified with ODOT.This type of reimbursement may be requested for a firm’s initial prequalification request, or to increase a firm’s prequalification dollar amount or work types.
  1. Process for Direct Reimbursement
  2. Application
  3. Application completed by DBE firm.
  4. All requests for reimbursement must be received at least thirty (30) days prior to the course/seminar/trainingdate, purchase of the software, or performance of the financial audit or review.
  5. The ODOT DBE Supportive Services Coordinator (DBE/SSC) receives the application requesting reimbursement in any one of the aforementioned categories.
  6. Request for reimbursement forcosts associated with attendance of course/seminar/training must be accompanied with:
  7. The relevant course/seminar/training description,
  8. Agenda,
  9. Cost of attendance,
  10. Written justification of the course/seminar/training’s relevancy to the firm’s business activities.
  11. Separate applications must be received for each employee attending course/seminar/training.
  12. W-4 form verifying that the person attending the course/seminar/trainingis an employee of the company must be submitted with the request.
  13. Request for reimbursement for costs associated with purchase of computer software must be accompanied with:
  14. Relevant software description and reason for purchase.
  15. Cost of software.
  16. Request for reimbursement for costs associated with independent financial review or audit must be accompanied with:
  17. Purpose for the financial audit or review.
  18. Estimated cost of the financial audit or review.
  19. Certified Public Accountant’s Letter of Engagement identifying the scope of service to be provided.
  20. The DBE/SSC verifies that the applying firm has completed a Needs Assessment Survey. The reimbursement application will not be processed until theNeeds Assessment Survey has been completed and returned to the DBE/SSC.
  21. Verification of available DBE Supportive Services funds is performed.
  22. Verification of individual DBE firm’s available DBE Supportive Services funds is performed.
  23. The DBE/SSC will make determinations to approve or deny a DBE’s request with the collaboration of the EEO Coordinator from the Division of Equal Opportunity.
  1. Approval/Denial of Reimbursement Application
  2. Theapplication will be approved or denied within fifteen (15) days of receipt of application.
  3. After collaboration with the EEO Coordinator, the

DBE/SSC generates an approval/denial letter.

  1. The DBE/SSC submits letter and supporting documentation to the External Civil Rights Manager for approval and signature.
  2. If the request is approved, the DBE/SSC will reserve approvedfunds in tracking system pending receipt of all requested documentation.
  1. Reimbursement Process
  2. All documentation requested by the DBE/SSC to support the reimbursement request must be sent to the DBE/SSC within thirty (30) days of the completion of the course/seminar/training, computer software purchase or financial audit/review. If DBE firm owner or employee does not attend the course/seminar/training, purchase the computer software, or the financial audit/review is not performed, the DBE firmmust notify the DBE/SSC immediately. Not doing so may result in future requests being denied.
  3. Documentation must include:
  4. Proof of payment (copies of cancelled checks, receipts, credit card/bank statements, paid invoices) must be submitted. Credit card numbers, social security numbers and personal account information from receipt must be redacted.
  5. Proof of successful completion of the course/seminar/training or verification of attendance by company representatives must be submitted.
  6. Evidence of a passing grade of “C” or better for tuition reimbursementfor courses taken at a college or university.
  1. The DBE/SSC will review and compare all documentation submitted by the DBE firm with the original letter of approval to ensure the submitted documentation matches the reimbursement identified in the initial approval letter.
  2. All supporting documentation will be submitted to the External Civil Rights Manager for approval to process the reimbursement request.
  3. The External Civil Rights Manager will approve the request and forward all documentation toDeputy Director for the Division of Equal Opportunity for review and approval. Upon approval, the Deputy Director for the Division of Equal Opportunity will forward all documentation to Payment Manager for final processing.
  1. One-on-One Consulting Services Process and Guidelines
  1. ODOT provides professional services to eligible DBE firms in the following areas:
  2. Business Development/Marketing

Services are customized to address every phase of business from start-up to growth and expansion. These services include business plan development, strategic marketing plans, designing and producing marketing communications and promotional materials. Printing costs of materials are not included in this service.

  1. Estimating and Bidding

Service provides an organized and systematic approach to bidding and quotation submissions. The consultant teaches procedures aimed at methods to monitor the available market, bid success ratio and maximum market return, bidding and take-off, material and subcontractor solicitation, production monitoring and calculations, costs, building organization, ODOT claims process and collections.

  1. Bond Readiness/Packaging and Insurance

Service provides bond readiness assistance solutions involving bonding and insurance and provides a resource in resolving construction insurance and bonding issues. This service does not guarantee a bond will be issued.

  1. Accounting and Computerization

Services provided include auditing and accounting functions as well as training of DBE firms in the use of accounting software.

  1. Website Development

Service provides innovative and creative technology solutions to assist businesses to compete in today’s marketplace. The web designer will work closely with the marketing consultant to provide cohesive promotional marketing materials.

  1. Process for Assignment of One-on-One Consultant Services
  2. Application Process
  3. Application completed by DBE firm.
  4. The DBE/SSC receives the application requesting one-on-one consultant supportive services.
  5. The DBE/SSC verifies the applying firm has completed an annual Needs Assessment Survey. If a survey was not completed, the firm is notified that the service request cannot be processed until the survey is completed.
  6. DBE/SSC performs verification of available DBE Supportive Services funds.
  7. The DBE/SSC will make determinations to approve

or deny a DBE’s request for One-on-One Consultant Services with the collaboration of the EEO Coordinator from the Division of Equal Opportunity.

  1. Approval/Denial Process
  2. The application requesting one-on-one consulting services

will be approved or denied within fifteen (15) days of receipt of application.

  1. After collaboration with the EEO Coordinator, the

DBE/SSC generates an approval/denial letter.

  1. The DBE/SSC generates an approval/denial letter.
  2. The DBE/SSC submits letter and supporting documentation to the External Civil Rights Manager for approval and signature.
  3. If approved, the DBE/SSC and the EEO Coordinator collaborate to pair the DBE firm with the appropriate consultant.
  4. The DBE/SSC sends written notification to Supportive Services Consultant that their services have been requested.
  5. The DBE/SSC schedules a meeting between the Supportive Services Consultant and the DBE firm.
  6. During the initial meeting, the Supportive Services Consultant interviews the applying firm to determine the services to be provided.
  7. During the meeting, the DBE/SSC advises the DBE firm and the Consultant of ODOT’s expectations and reviews the DBE/SS Guidelines with both parties.
  8. The DBE/SSC will ask that Supportive Services Consultant and the DBE firm confirm and document that no conflicts of interest exist between the pairing.
  9. The DBE/SSC will explain ODOT’s reporting requirements to both the DBE firm and the Supportive Services Consultant.
  10. The Supportive Services Consultant will provide to the DBE/SSC a Scope of Work detailing the specific services to be provided including the number of hours, the estimated completion date and the total cost of the service to be provided.
  11. The Supportive Services Consultant will provide a second version of the Scope of Service which will include the estimated hours of work and date of completion. This will be forwarded to the DBE firm for approval.
  12. DBE firm forwards approved Scope of Service to Supportive Service Consultant.
  13. DBE/SSC performs verification of available DBE Supportive Services funds.
  14. The DBE/SSC reviews the approved Scope of Service and forwards to the External Civil Rights Manager for approval.
  15. Once approved, the DBE/SSC prepares a letter directing the consultant to proceed with the service. The letter will verify the number of hours approved and the dollars allocated for the services to be provided. Under no circumstances is the consultant to provide services outside of the approved Scope of Work or in excess of the hours approved without written consent from ODOT.
  16. The DBE/SSC forwards approval letter to External Civil Rights Manager for signature.
  17. A copy of thewritten approval to proceed will be placed in the consultant’s file.
  18. DBE/SSC enters information into database.
  1. Supportive Services Consultant Reimbursement and Payment of Services
  1. ODOT receives invoice and Summary of Services from Supportive Services Consultant for professional services rendered.
  2. Supportive Services Consultant must submit with all bi-weekly invoices a Summary of Services report, which identifies goals achieved to date, challenges faced and any assistance from ODOT needed.
  1. The DBE/SSC will verify that the information submitted is

consistent with the approved Scope of Service and that copies of consultant’s work product have been submitted.

  1. The DBE/SSC submits the invoice and all supporting documentation to the External Civil Rights Manager for review and approval.
  2. The DBE/SSC inputs data from invoice into database system.
  3. External Civil Rights Manager will forward the approved invoice and all supporting documentation to Accounts Payable Manager for Processing.
  4. Accounts Payable Manager will load invoice information into spreadsheet and attached proper coding label to the invoice.
  5. Accounts Payable Manager will forward the approved and coded invoice and all supporting documentation for signature to the Deputy Director for the Division of Equal Opportunity.
  6. Deputy Director for the Division of Equal Opportunity will forward the signed invoice and all supporting documentation to Accounts Payable Manager for processing.
  7. Accounts Payable Manager forwards all documentation to the Office of Accounting for approval for payment.
  8. The Office of Accounting gives approval for payment.
  9. The Office of Accounting enters request for payment into the Appropriated Accounting System (AAS) and at the end of theday, transfers coded invoices to the Ohio Administrative Knowledge System (OAKS) for payment.
  10. Approval for payment is given by the Office of Budget and Management (OBM).
  11. OBM schedules payments via warrant or Electronic Funds Transfer (EFT) according to their terms of payment.
  1. Required Supportive Services Consultant Documentation
  1. Written documentationof all assistance provided to DBE firms by the supportive service consultant firm must be maintained by Consultant. This information is to be provided to the ODOT upon submission of each bi-weekly invoice using the prescribed Summary of Services form provided by ODOT. This information is to also be provided by the Consultant at the completion of the contract, or at the request of the DBE/SSC. Invoices and reports will be due within ten (10) calendar days following the end of each invoicing period.
  2. Upon completion of services with each DBE firm, afinal Summary of Services report summarizing all period activities with the DBE firm must be submitted. The report must be submitted fifteen (15) calendar days following the end of the activity period.
  3. The Summary of Services reportmust be narrative in nature, addressing each task listed in the proposal, the progress made, and state any problems that were encountered.
  4. At the end of the service period, the Supportive Services Consultant and the DBE firm will submit to the DBE/SSC an evaluation covering the entire activity period.
  1. DBE/SSP Consultant Selection Criteria

Upon submission of a proposal per the issuance of a Request for Proposal by ODOT, the DBE/SSP Consultant Proposal will be evaluated based on the following criteria:

  1. Past performance.
  2. Ability of professional personnel.
  3. Willingness to meet time and budget requirements.
  4. Recent, current, and projected workloads of the persons and/or firms.
  5. Related experience on similar projects.
  6. Recent and current work for the agency.
  7. ODOT Project understanding, issues, & approach.
  8. Project schedules.
  9. Specific experience with program delivery to “applicable clients” or recipients to who program is targeted.
  10. The firm’s past or present business relationships.
  11. Familiarity with business-related difficulties with applicable clients or recipients to who the program is targeted will be evaluated.
  12. The firm’s demonstrated understanding of highway construction company bidding, quoting, estimating, and business management.

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ODOT DBE/SSP

Process and Guidelines

Revised Nov. 2010