FY 2009 DBE/Supportive
Services Program
Click here to view the PowerPoint Presentation
Prepared by: Vickie Anderson, DBE/SS Program
Coordinator; FHWA
Presented by: Candace Groudine, Director, External
Civil Rights Programs; FHWA
August 2009
Federal Highway Administration
Office of Civil Rights
Slide - 2
DBE/SS Program as of 8-09
•
# of Proposals received: 33
•
# of States submitting proposals: 33
•
Total $amount requested: $15,777,233.37
•
Total $amount available: $10,323,483.84
•
Cap last year: $750,000
•
Cap this year: $900,000-$1 million
Slide - 30
Statement of Work Components
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Needs Assessment
•
Purpose Statement
•
Program Goals
•
Objectives and Action
Plan
•
Performance Period
•
State Transportation
Agency Involvement
•
Project Personnel
•
Partnerships
•
Budget and Financial
Requirements
•
Basis of Payment
•
Evaluation and
Monitoring Plan
•
Reporting
Requirements
Federal Highway Administration
Office of Civil Rights
Slide - 4
Needs Assessment
•
To assist in writing your Statement of Work,
ask the following questions:
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Why are we implementing this program?
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What currentand futureFederal-aid highway
construction projectshave been identified in the
community?
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What Federal-aid highway construction contracts
and subcontractshave been identifiedbased on
the current and future jobs cited in question 2?
Federal Highway Administration
Office of Civil Rights
Slide - 5
Needs Assessment
-
What skills/qualifications will be needed for the
identified contracts and subcontracts cited in
question 3?
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What are the current barriersto DBE firms
participating on these Federal-aid highway
construction projects and jobs?
-
What programs can be designed using information
gathered in 4 and 5?
Federal Highway Administration
Office of Civil Rights
Slide - 6
Needs Assessment
•
Identifying needed DBE Services:
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Identify the DBE firms'
current qualifications to perform
the specific tasks required for the identified contracts.
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Develop a list of tasks and competencies needed by the
contractors/subcontractors in order to complete the job
(identify established performance expectations).
-
Identify the barriers to job performance (what is the
difference between the current level of performance and
the established performance expectations).
Federal Highway Administration
Office of Civil Rights
Slide - 7
Needs Assessment
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Identify what tasks/competencies are the most
important for achieving the DBE/SS goal.
-
Develop DBE/SS programs that bundle the
identified tasks and, therefore, provide services that
will reduce or eliminate the barriers identified.
Federal Highway Administration
Office of Civil Rights
Slide - 8
Needs Assessment
•
Annual data can be collected from the following
participants:
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DBE firm participants
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DBE service providers
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Construction company owners
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State construction and project engineers
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Other DBE related entities/participants including unions,
and/or community based organizations
Federal Highway Administration
Office of Civil Rights
Slide - 9
Needs Assessment
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Instruments that can be used to Collect Data
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Surveys
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Internal data collection
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Interviews
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Evaluations (e.g., of training)
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Observations
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Focus groups
Federal Highway Administration
Office of Civil Rights
Slide - 10
Purpose Statement
•
Example of a purpose statement
ABC State is requesting $XXX,XXX in funding to
enhance the growth and development of 50 under-
utilized DBE firms by administering an
Entrepreneurial Development Program to increase
the capacity of participating DBE firms to
successfully participate on highway contracts.
Federal Highway Administration
Office of Civil Rights
Slide - 11
Program Goals
•
DBE Program Goals:
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Can be written in one to two sentences
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Should be clear and concise
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No need to include measurements or timelines
(these should be included in the program objectives)
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Goals should identify the targeted population.
Federal Highway Administration
Office of Civil Rights
Slide - 12
Program Goals
•
A few examples of Program Goals:
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Provide business enhancement/development services to the underutilized
DBE firms through Entrepreneurial Development Institute.
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Provide targeted assistance to the DBE firms in securing bonds by
developing a Bonding Program.
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Establish Mobilization and Micro Lending Program to provide loans to
DBE firms for contract start up and emergency working capital needs.
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Provide assistance to DBE firms in loan packaging and financial
management by creating Loan and Finance Program.
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Schedule and coordinate individualized training sessions with certified
DBE firms to enhance technical expertise/credentials of DBE principals
in areas such as cash management, business planning, independence,
subcontract language, and legal issues (mainly for Basic level DBE firms).
Federal Highway Administration
Office of Civil Rights
Slide - 13
Action Plan
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Action plan should be detailed but easily
understood:
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What services will DBE firms receive?
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What will the DBE firms do?
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What benefits will the DBE firms gain from the
services?
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How will the success and completion of the
particular action be measured?
Federal Highway Administration
Office of Civil Rights
Slide - 14
Results-Oriented Objectives
•
Writing Program Objectives in Specific,
Measurable Terms with Time Frames for
Achievement
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STEP 1. State each identified program goal.
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STEP 2.
Determine what services/activities the DBE/SS
program will provide in order to reach each goal.
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STEP 3.
Determine a realistic and attainable measurement
the program should achieve by the end of the performance
period.
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STEP 4.
Identify the specific time (date) each objective will
be measured and achieved.
Federal Highway Administration
Office of Civil Rights
Slide - 15
Examples of Results-Oriented Objective
Technical Assistance Program
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Objective: By March 2010, provide technical assistance to
develop and improve the capabilities of at least 150 DBE firms
in technical skills in order to increase the number of DBE firms
bidding on Federal-aid highway projects.
Action Plan: ACTIVITY Provide DBE firms with estimating
and bidding assistance to improve their success rate in obtaining
contracts.
PERFORMANCE MEASURE •
# of DBE firms assisted * #
of bids/quotes submitted on State Highway projects * # of DBE
firms assisted that were awarded subcontracts * Increase the
dollar amount and/or number of bids won by firms participating
in the program. * # of Federal-aid contracts awarded * # of
DBE firms that won contracts * # of Federal-aid subcontracts
awarded * # of DBE firms that won Federal-aid subcontracts
Federal Highway Administration
Office of Civil Rights
Slide - 16
Example of a Timeline
•
The timeline portion of the scope of work should
include the following information:
-
Identify all key tasks
or activities
that will be carried out
to implement the program during the performance period.
-
Provide a realistic timeframe
identifying when specific
tasks will occur.
-
Identify evaluation and monitoring instruments
that will
be used to measure activities and provide dates
for
administration of these instruments.
-
Identify dates for submission of evaluation and
monitoring data results
to FHWA (usually these are
required on a monthly or quarterly basis, and an annual
report should be submitted within 60 days of the program's
completion).
Federal Highway Administration
Office of Civil Rights
Slide - 17
Budget Summary
•
The budget summary is a skeletal outline
showing how the DBE/SS program's total cost
is allocated to line items. The budget summary
should provide:
-
the main budget line item categories
-
identification of in-kind funds
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the total amount for each category in table format
Federal Highway Administration
Office of Civil Rights
Slide - 18
Budget Justification
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Follows the budget summary table
•
Include explanation of all items/services
discussed in the statement of work
Federal Highway Administration
Office of Civil Rights
Slide - 19
Budget Categories
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Performance-based Budget:
-
A performance-based budget is useful because it identifies specific tasks
and the dollar value associated with each. The tasks are specifically related
to the Statement of Work, which is based upon a needs assessment.
Payments are made based upon the completion of specific tasks. A
performance-based budget also serves as a good monitoring tool because
on a monthly or quarterly basis, it can be determined how much of the
budget was expended; duration of the activity; and the dollar value of
providing the most needed services.
•
Operational-based Budget:
-
An operational budget includes line items of all expenses that are not tied
to specific tasks. Program funds can be used to support the salary of a
full-time or part-time coordinator used exclusively to administer an "in-house"
DBE/SS program.
Federal Highway Administration
Office of Civil Rights
Slide - 20
Overhead Expenses
•
What does the overhead costs include (salaries,
etc.), or how did the State arrive at its overhead
rate (percentage of salaries, etc)?
•
Who has reviewed or approved the rate the STA
is using?
•
If the overhead rate appears unrealistic (as
compared to services being provided)
negotiating a reasonable rate should be
encouraged.
Federal Highway Administration
Office of Civil Rights
Slide - 21
Expenses FHWA Recommends
NOT Funding
•
Salaries for a STA staff to administer the DBE
program
•
Training for STA staff
•
Equipment (computers, faxes, copiers, furniture)
•
Rent
•
Website development/maintenance
Federal Highway Administration
Office of Civil Rights
Slide - 22
Evaluation/Monitoring Plan
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Your evaluation/monitoring plan should include:
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A review of each program objective and a narrative
explaining how you will determine whether each objective
has been achieved (what evidence will demonstrate that
program objectives have been achieved).
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The type of information you will collect for evaluation
purposes.
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Identification of the frequency for which the information
will be collected (monthly or quarterly).
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Identification of the person(s) responsible for collecting the
information.
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Identification of the person(s) responsible for analyzing the
information and reporting the results to FHWA.
Federal Highway Administration
Office of Civil Rights
Slide - 23
Evaluation/Monitoring Plan
•
Examples of monitoring tools:
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Questionnaire sent to DBE firms
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Progress reports and feedback
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Onsite visits to DBE firms
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Surveys to evaluate DBE satisfaction
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Analysis of participant's beginning status vs. end status
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On-going and routine contacts with DBE/SS consultants
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DBE evaluation of supportive service provider for
performance period (at least annually). Evaluations should be
sent to the State Transportation Agency. For in-house
programs, the evaluation should be sent to the Federal
Highway Administration Division Office
Federal Highway Administration
Office of Civil Rights
.
Slide - 24
Reporting Requirements
•
Monthly/Quarterly reports should:
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Identify each objective and progress achieved as of the reporting date
(Data showing progress should be measurable and include numerical
data, include the number of participants the program impacted, how
the program impacted them, what overall difference the program
made, etc.)
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Identify all successes to date for the DBE/SS program (What did you
accomplish?)
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Identify any problems to date for the DBE/SS program and offer
possible solutions in overcoming these problems (What changes could
be made to improve the program? Is this program worth funding
again?).
-
Include any additional information (i.e., questions, concerns,
improvements/recommendations for administration of the program,
etc.) that might be helpful.
Federal Highway Administration
Office of Civil Rights
Slide - 25
STA Supplemental Efforts
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Develop a list of training needs through a survey of
certified and potential DBE firms.
•
Develop and maintain a list of qualified trainers.
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Identify and develop a list of potential sources of
assistance to DBE firms.
•
Arrange for the use of the STA's facilities and
equipment. Track and record the type of training and
assistance requested and provided to each DBE.
•
Design and administer DBE/SS programs that fit the
needs of local DBE firms.
Federal Highway Administration
Office of Civil Rights
Slide - 26
STA Supplemental Efforts
•
Market the program to the DBE community
including maintenance of a website that DBE firms
(and others) could access for on-line training.
•
Provide access to construction plans for upcoming
projects (to save money, DBE firms could review
plans and copy only those sheets that they are
interested in).
•
Provide timely notification (email, telephone, fax,
newsletter, etc.) to DBE firms concerning upcoming
projects, training, and other activities.
Federal Highway Administration
Office of Civil Rights
Slide - 27
STA Supplemental Efforts
•
Encourage DBE firms to participate in
projects and activities as appropriate. Secure
assistance/expertise from the STA project
consultant personnel to provide any needed
guidance during project construction.
•
Provide access to technology of interest to
DBE firms, contractors, and consultants.
Federal Highway Administration
Office of Civil Rights
Slide - 28
Matching/In-Kind Resources
•
Personnel: Individuals (i.e. Project
Administrator and Project Director) who will
provide direct or indirect services for the
DBE/SS program but whose services will not
be paid through the DBE/SS program's
budget expenditures. This may include
volunteers. Dollar amounts for each individual
should be included.
Federal Highway Administration
Office of Civil Rights
Slide - 29
Matching/In-Kind Resources
•
Fringe Benefits: Fringe benefits for administrative,
clerical, contracted, and facilities personnel. Eligible
fringe benefits can be prorated based on the actual
amount of time contributed to the DBE/SS program.
•
Travel Expenses: All travel should be related to the
DBE/SS program and granted for key or ancillary
personnel.
Federal Highway Administration
Office of Civil Rights
Slide - 30
Matching/In-Kind Resources
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Equipment: Equipment should be existing or to be
purchased*.
•
Supplies: Supplies should be on hand from existing inventory
or newly purchased.
*If the STA purchases equipment with DBE/SS funds -
the State must establisha way to amortize the cost of the equipment and charge only the
value of the equipment associated with its use during the program. Because of the complexity associated with the financial accounting for this arrangement,
FHWA does not recommend using DBE SS funds to purchase equipment.
Federal Highway Administration
Office of Civil Rights
Slide - 31
Matching/In-Kind Resources
•
Contractual: Contracted consultants can lend their
expertise and time to the DBE/SS program. (pro bono
services).
•
Miscellaneous: Utilities, telephone, printing, copying,
postage and other costs can be a source of in-kind
contributions.
Federal Highway Administration
Office of Civil Rights
Slide - 32
Potential Partnerships
•
American General Contractors (AGC), American
Association of State Transportation Officials (AASHTO),
American Road Builders and Transportation Association
(ARTBA), and National Association of Minority
Contractors (NAMC)--
providing contract/subcontract
information to DBE firms to help them find work.
•
Banking Institutions and organizations like Small Business
Administration and USDA (Rural Development Loan
Program) --
providing loans and/or loan assistance to DBE
firms.
•
Bonding Companies like Small Business Administration -
providing bonding assistance to DBE firms by providing the
needed bonds to get contracts.
Federal Highway Administration
Office of Civil Rights
Slide - 33
Potential Partnerships
•
Financial Management Organizations--
providing assistance
in record keeping, bookkeeping, payroll, etc., for struggling DBE
firms.
•
Historically Black Colleges and Universities (HBCUs),
Tribal Colleges and Universities, or any Minority
Institution of Higher Education (MIHEs)-
providing
training courses for DBE (sometimes free of charge) in
marketing, curriculum assistance, business management, and
other business related courses.
•
Private organizationsthat have expertise in management,
marketing, and financial education, and companies with expertise
in evolving computer and/or information sharing technology.
•
Contractors, private consultants-
administering the DBE/SS
program.
Federal Highway Administration
Office of Civil Rights
Slide - 34
Changes for FY2010 Program
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Earlier Call for Statements of Work: Begin developing the SOW in
January.
•
Earlier Due Date: May (If not submitted by the due date, the SOW
will not be reviewed.)
•
Page limit for SOWs: 10 pages
•
Page limit for Accomplishment Reports: 15 pages
•
If the budget items and/or the budget total reported in the SOW does not add up to the exact
amount stated in the purpose statement, the proposal will not be
reviewed.
•
Webinar in Fall 2009
•
Reporting Requirements for SOWs
and Accomplishment Reports: Will follow what has become
"the new normal"
as a result of ARRA.
Slide - 35
THE END
Contact Information:
Vickie Anderson
DBE/SS Program Coordinator
Federal Highway Administration
1200 New Jersey Avenue, SE., Rm. E81-326
Washington, DC 20590
(202) 366-1607
email: vickie.anderson@dot.gov
Candace Groudine
Director, External Civil Rights Programs
Federal Highway Administration
1200 New Jersey Avenue, SE, Rm. E81-332
Washington, DC 20590
(202) 366-4634
email: candace.groudine@fhwa.dot.gov
Federal Highway Administration
Office of Civil Rights
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