Ohio_DOT_proposal-_534A-24-CSI_Compliance_6-6-2023.pdf

Contract Service Innovations, LLC | P a g e 2261 Gattis School Road, Ste. 255 Round Rock, TX 78664 512-501-5455

Benjamin Sumpter, Managing Principal CONTRACT SERVICE INNOVATIONS, LLC | 2261 GATTIS SCHOOL ROAD, STE 255 - ROUND ROCK, TEXAS 78664

512-501-5455 BSUMPTER@CSI-COMPLIANCE.COM

DBE CERTIFICATION SERVICES

REQUEST FOR PROPOSALS: #534A-24

JUNE 6, 2023

OHIO DEPARTMENT OF TRANSPORTATION

OFFICE OF CONTRACT SALES, PURCHASING SERVICES

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Table of Contents I. Mandatory Requirements

II. Cover Letter

TECHNICAL PROPOSAL SCOPE OF WORK

III. Implementation/Management Plan/Work Plan

1. Project Understanding

2. Capabilities

3. Implementation Plan

4. Deliverables

IV. Organizational Structure/Staffing Plan

i. Project Organizational Chart

ii. Staffing Plan and Labor of Effort

iii. Resumes

V. Experience

i. History of Experience

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I. Mandatory Requirements

Mandatory Requirements Accept Reject

The vendor shall provide key personnel who has a minimum of (5) five years’ experience with DBE certification service and investigations

Yes

Technical Lead: Dwayne Moore

The proposed Technical Lead will work at ODOT Central Office, Monday through Friday from 8:00am to 4:30pm and meets the following experience requirements:

1. Has at least three to five years of DBE certification related experience working directly for or with recipients of federal-aid-highway and/or transit funds

a. The Technical Lead has over five years of DBE certification experience as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT. The Project Manager has also performed DBE certification services at the

ODOT Central Office since July 2018.

2. Has at least three to five years of SBE certification experience

a. The Technical Lead has over five years of SBE certification experience as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT.

3. Participated in one or more DBE Certification investigations

a. The Technical Lead has completed numerous DBE Certification investigations in response to ineligibility complaints as a DBE/SBD Manager and DBE Certification

Consultant (employee) for Florida DOT.

4. Possess experience making determinations of the accuracy/statements by applicants and certified DBE firms

a. The Technical Lead has over five years of DBE regulations experience as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT.

5. Experience auditing examining, reviewing books, records, documents and files

a. The Technical Lead has over five years of DBE regulations experience as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT.

6. Experience conducting inspections of places of business and equipment and with interviewing firm principals, agents and employees

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a. The Technical Lead has over five years’ experience conducting onsite visits as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT.

7. At least three to five years of experience with federal DBE regulations, including certification

a. The Technical Lead has over five years of DBE regulations experience as a

DBE/SBD Manager and DBE Certification Consultant (employee) for Florida

DOT.

8. Possess at least three to five years working with NAICS codes

a. The Technical Lead has worked with NAICS codes over five years as a DBE/SBD

Manager and DBE Certification Consultant (employee) for Florida DOT.

9. Has at least six months experience writing components of a DBE Program Manual

a. The Technical Lead has over six months experience writing DBE and SBE procedures as a DBE/SBD Manager for Florida DOT.

10. Deliverables must be performed at ODOT Central Office, or an ODOT approved telework location, by the defined Technical Lead, Monday through Friday 8:00am to

4:30pm

a. Upon acceptance of this proposal, the Technical Lead will reside in Ohio and perform deliverables at ODOT Central Office, or an approved telework location, Monday through Friday 8:00am to 4:30pm.

11. In the event of an onboarding process of a new vendor, the Technical Lead, should be located in Central Ohio for the extent of the process

a. The Technical Lead will be in Central Ohio during any onboarding process.

12. Able to travel throughout the State of Ohio to perform onsite reviews of firms

a. The Technical Lead is familiar with traveling state-wide to perform onsite visits as an employee for Florida DOT performing DBE certification functions. The

Technical Lead will be based in Ohio and able to travel throughout the State of

Ohio to perform onsite reviews of firms.

13. Three years’ experience conducting research and on affirmative action and/or inclusion practices

a. The Technical Lead served over three years as a Business Development Specialist at Florida DOT specifically responsible for business development initiatives. This included researching and reviewing Equal Employment Opportunity business plans, inclusion efforts, and financial support for small businesses.

14. Three years’ experience formulating and writing policies related to affirmative action and/or inclusion practices

a. The Technical Lead has over three years of developing economic and inclusion policies for small businesses at the Florida DOT and Florida A&M/FDOT

Construction Management Development Program.

15. Names of any subcontractor(s) that will be involved inworking with the vendor, and their experience/qualifications

a. No subcontractors are proposed

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II. Cover Letter

June 6, 2023

Ohio Department of Transportation, Office of Contract Sales, Purchasing Service

Jack Marchbanks, Ph.D., Director

Re: RFP #534A-24 DBE Certification Services

Dr. Marchbanks:

Please accept this letter as interest in Request for Proposal #534A-24 DBE Certification Services for the Ohio Department of Transportation (ODOT).

Contract Service Innovations (CSI) is a DBE firm organized as a Pennsylvania Limited Liability

Company doing business as CSI Compliance, LLC in the Austin area of Texas. As the incumbent vendor, we are excited to present this proposal for continued DBE Certification services.

Benjamin Sumpter will be the Engagement Manager for this project and has 6 years of direct DBE practitioner experience and over 20 years of consulting experience in DBE Program development, compliance and training. Erick Wilkes will be the Project Manager and has served as the Technical

Lead on the ODOT DBE Certification Services project since 2018.

As you review proposals, you will see that CSI’s key personnel have more than general DBE program knowledge but have highly specialized federal-level compliance and national training experience for DBE program implementation. The proposed Technical Lead, Dwayne Moore, has over 20 years of experience working in state DOT DBE programs and exceeds the mandatory certification requirements as contained in Tab 1 of the proposal.

Thank you for the opportunity to submit CSI’s qualifications for this solicitation. If you would like to discuss this proposal further, please do not hesitate to call 512-501-5455 ext.700 or send an email to bsumpter@csi-compliance.com.

Sincerely, Benjamin Sumpter

Managing Principal

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TECHNICAL PROPOSAL SCOPE OF WORK

III. Implementation/Management Plan/Work Plan

1. Project Understanding

The State of Ohio, Department of Transportation (ODOT) is one of three certifying authorities in the Ohio Unified Certification Program (UCP) for “one-stop” Disadvantaged

Business Enterprise (DBE) certification. Other certifying agencies include the City of

Dayton and Greater Cleveland Regional Transit Authority.

One of the objectives of the DBE program is to ensure that only firms that fully meet the eligibility standards are permitted to participate as DBEs. Proper evaluation of firms seeking entry in the DBE program is critical. The U.S. DOT Office of Inspector General has noted that certification is the first line of defense in ensuring the integrity of the program. The failure to conduct adequate and complete on-site reviews allows that line to be breached. They additionally noted that political pressure and personal influence have allowed illegible firms to obtain access to the program.

To ensure that firms in the Ohio UCP meet the eligibility standards of the DBE program, ODOT is seeking a consultant to provide various DBE certification services. ODOT desires an experienced full-time Technical Lead to conduct certification support functions to verify

DBEs’ eligibility in the Ohio UCP. This includes refining ODOT’s DBE and SBE Program

Standard Operating Procedures (SOPs), assisting with investigations regarding third-party complaints, evaluating requests for North American Industry Classification System

(NAICS) code changes, processing annual updates, conducting on-site reviews and conducting certification triennial reviews.

The consultant team will also conduct Quality Assurance Reviews (QARs), as needed. The consultant will review current DBE certification records of the UCP certifying authorities to verify that determinations followed 49 CFR Parts 23 and 26 of the DBE regulations. If discrepancies are discovered, the consultant will provide corrective action steps for the certifying authority in the Ohio UCP to obtain full compliance.

2. Capabilities

CSI’s Managing Principal, Benjamin Sumpter has conducted oversight compliance reviews for various modes of the U.S. Department of Transportation (USDOT). In 2009, the USDOT initiated Unified Certification Compliance Reviews for the FTA, Federal

Highway Administration (FHWA) and FAA with FTA as the contract lead. Mr. Sumpter

Contract Service Innovations, LLC 5 | P a g e designed the review protocols and lead the first multi-modal UCP reviews for USDOT. He served as lead reviewer for UCP reviews in Texas, Utah, North Carolina, California, Florida, Virginia, Massachusetts, Oregon, North Dakota, Colorado, Washington, Georgia, New York, Minnesota and Illinois. These UCP reports are available for review on FTA’s

Civil Rights/DBE/Compliance Reviews webpage.

Mr. Sumpter has also conducted DBE Compliance reviews at many large transit, airports and state departments of transportation throughout the country. He served as the DBE

Program Instructor for the National Transit Institute and is nationally known as an expert in DBE program implementation. Mr. Sumpter has directly performed federal level certification functions as a Business Analyst for the U.S. Small Business Administration

(8a) program and as an Executive Director for a Regional Certification Agency.

CSI currently conducts compliance reviews for FTA’s oversight programs to include the

Comprehensive Oversight Review and Technical Assistance Program and Procurement

System Reviews. CSI personnel also conduct workshops for State Departments of

Transportation and Transit agencies for Triennial and State Management Reviews. CSI has also conducted UCP training across the country for many states in the past five years.

3. Implementation Plan

a. Work Plan

The Engagement Manager will serve as the point of contact regarding contract administration and invoicing matters. The Project Manager will ensure timely performance of all tasks and manage all special projects such as QARs, training, and other certification-based tasks. The Project Manager will be available to perform certification-based tasks on an on-call basis. It is anticipated that ODOT will send a task order request for additional assignments for the Project Manager.

Upon acceptance of this proposal, the Technical Lead will reside in Ohio working at

ODOT Central Office, or at an ODOT approved telework location, Monday through

Friday from 8:00 am to 4:30 pm. The Lead will be able to travel throughout the state of Ohio to perform onsite reviews of firms.

The Technical Associate will work at an ODOT approved telework location, Monday through Friday from 8:00 am to 4:30 pm. The Associate will support the Lead and

ODOT with other certification assignments as deemed necessary. The proposed

Technical Associate has worked on the ODOT project over the past year.

b. Task Orders

For performance of QARs, CSI will discuss the scope of work with ODOT to determine staffing levels and anticipated hours to complete the task. A task order or work order process works well in these circumstances so that a budget and measurable objective are established prior to commencement of work.

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A detailed QAR work plan will be provided to ODOT within two weeks or as agreed.

CSI will work with ODOT to determine the appropriate methodology for QARs. The review approach will be through a pre-determined sample percentage of certification records reviewed.

CSI’s Managing Principal designed the UCP review protocol for the U.S. DOT and will take a similar approach to design the Ohio UCP review process. The CSI

Management Team will conduct the QARs at each of the Ohio UCP certifying authorities. CSI will work with the certifying authorities to establish a private area for file review that creates minimum interference with normal operations. The review will also consist of interviews with certification staff for understanding of their certification procedures. The interview responses will be balanced with written policies and procedures to evaluate implementation, duplication and other performance measures.

CSI has successfully conducted performance assessments for transportation and other government organizations. An assessment allows the consultant to understand the current process, review the intended results and provide an action plan for compliance.

c. Notification Letters

Notification letters will be forwarded to the certification authority advising that a QAR is scheduled to review certification files. CSI will work with ODOT to determine if this will be a random sample or directed sample based on known issues.

d. Innovative Techniques & Tools

CSI has developed compliance review tools to conduct DBE Compliance Reviews and

UCP Compliance Reviews. The toolkit consists of interview questions for staff and department heads, preliminary review of documents, file review checklists, along with finding and corrective action templates. This toolkit can be an off-the-shelf process that can be utilized to conform with the review objectives and activities stated in the request for proposal.

CSI personnel has acquired best practices by conducting USDOT compliance reviews and training, through the National Transit Institute, in over 40 states. Innovative techniques will be incorporated in not only the review process but also in ODOT’s procedure and policies manual. Process improvement recommendations will be based on demonstrated standards that net optimal performance in organizations.

e. Recommendations

Recommendations grant direction for agency process improvement. CSI will provide action plans resultant of compliance reviews with step-by-step implementation tasks to create a compliant procedure for the DBE program.

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4. Deliverables

CSI will provide one or more consultants to deliver the services for the scopes of work defined in the request for proposal.

a. Review, Draft and Refine ODOT’s DBE and SBE Procedures

The CSI Technical Lead has over 20 years of SBE/DBE program experience for a state DOT. He has experience drafting standard operating procedures for small business programs and the state UCP. These drafting and refining functions will be performed under the Technical Lead deliverables.

The CSI key personnel consist of former DBE/SBE Program Directors, Managers, and Liaison Officers for state and local transit agencies. A review of ODOT’s SBE program will be conducted and recommendations for improvement will be drafted.

b. Conduct DBE and SBE Investigations

Prior to working in the transportation industry, the CSI Engagement Manager was a

Presentence Investigations Officer with a Texas county probation department. The investigative techniques acquired in that position proved very useful during the transition to business certification investigations. The Technical Lead also has experience conducting third-party complaint certification reviews for a state

Department of Transportation.

CSI has trained personnel with experience in auditing, investigating and interviewing businesses and personnel to extract pertinent information concerning implementation of rules and regulations.

c. Conduct DBE and SBE Desk Reviews and Onsite Reviews

The Technical Lead will conduct desk reviews of existing certification files for continued eligibility as per ODOT standard operating procedures (SOPs). The desk review will entail examining files to make sure all the required documents were collected and are maintained in the certification file.

Desk reviews will follow a workflow process that ensures timely completion in accordance with the ODOT SOPs. The Technical Lead will review certification files to ensure that owners claiming social and economic disadvantage continue to meet the requirements of 49 CFR Part 26 Subpart D. The financial data will be analyzed to determine if the DBE firm continues to meet SBA size requirements. Documents will be gathered and examined in preparation of the on-site visits.

Conducting state-wide onsite visits requires strategic coordination between the reviewer and DBE firm. The Technical Lead has experience conducting state-wide on-site reviews which require extensive travel to rural and urban areas throughout the state.

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The Technical Lead will develop a work plan to conduct onsite visits in the most effective and efficient manner possible.

d. Process Annual Declarations

The Ohio UCP Annual Declaration process is automated and requires electronic submission of requested documents for continued eligibility reviews. The CSI

Technical Lead will review Federal tax return submissions to ensure they meet the SBA and USDOT size standards. If changes occur during the term, CSI will also conduct an onsite visit if necessary to verify eligibility. CSI has historically provided a

Technical Associate to assist ODOT in processing annual declarations.

e. Process Notices of Change

DBE regulations, section 26.83(i) requires DBEs to notify the UCP in writing of any change in circumstances affecting their ability to meet size, disadvantaged status, ownership, or control requirements or any material change in the information provided in the application form. CSI understands that many DBEs do not report changes in their eligibility circumstances. If ODOT has reason to believe that a DBE is no longer eligible, the Technical Lead will implement approved procedures to initiate an eligibility investigation. Based upon the findings and on-site review, removal or continued eligibility will be recommended to ODOT staff.

f. Review Documentation for NAICS Code Addition Requests

The North American Industry Classification System (NAICS) code forms the basis when determining how DBEs can be counted on project goals. It is imperative that certification specialists assign the most accurate code(s) that can be controlled by the socially and economically disadvantaged individuals. Since the adoption of 49 CFR

Part 26 in 1999, the NAICS code process has been a topic of discussion in the 2003, 2011 and 2014 federal registers.

DBEs are often prompted by prime contractors to make requests to add NAICS in their certification profile to meet project goals. Certification specialists must apply strict scrutiny when determining appropriate codes, such as heavy highway construction and other corresponding index codes. CSI will evaluate requests and conduct on-site visits for code additions based on the revised certification procedures developed/revised by

CSI and approved by ODOT.

g. Conduct Quality Assurance Reviews

CSI understands that these reviews may be requested by the Office of Small &

Disadvantaged Business Enterprise. As previously mentioned in the work plan, the

CSI Management Team will conduct the QAR reviews in teams of two to three individuals. The Technical Lead is not anticipated to participate in QARs so as to not disrupt the ODOT certification processing plan.

h. Perform Additional Certification Tasks

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CSI’s Engagement Manager has experience developing a unified certification program in South Texas where multiple agencies formed a UCP prior to the DOT requirement.

This required the creation of policies and procedures, forms, templates and a directory of firms certified in various inclusion programs. Best practices acquired from conducting USDOT UCP reviews, state DOT certifications and Small Business

Administration 8(a) certifications will all be incorporated into this Ohio DOT DBE

Certification Services project. The Project Manager will be available to perform additional certification tasks as needed.

IV. Organizational Structure/Staffing Plan

i. Project Organizational Chart

The above chart shows the organizational structure for the personnel on the DBE Certification

Services project. The table below outlines the percent of time each individual is proposed to devote for each task in the scope of work.

ii. Staffing Plan and Labor of Effort Scope of Work Personnel Time %

a. Draft ODOT SOPs Project Manager – Wilkes 50

Technical Lead – Moore 50

Technical Assoc. – Michael 50

b. Conduct DBE and SBE Investigations

Project Manager – Wilkes 50

Technical Lead – Moore 100

Technical Assoc. – Michael 0

c. Conduct DBE and SBE Desk Reviews and On-site Reviews

Project Manager – Wilkes 50

Technical Lead – Moore 100

Technical Assoc. – Michael 0

d. Review Annual Declarations Project Manager – Wilkes 0

Technical Lead – Moore 50

Technical Assoc. – Michael 100

Project Manager – Wilkes 0

Technical Lead – Moore 100

Engagement Manager

B. Sumpter

Project Manager

E. Wilkes

Technical Lead

D. Moore

Technical Associate

E. Michael

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e. Conduct NAICS Addition Requests

Technical Assoc. – Michael 50

f. Conduct QARs Project/Engagement Manager(s) –

Wilkes/ Sumpter

Technical Lead – Moore 0

Technical Assoc. – Michael 0

g. Review ODOT’s SBE program Project Manager – Wilkes 50

Technical Lead – Moore 50

Technical Associate - Michael 50

h. Perform Additional Certification Tasks as needed

Project Manager – Wilkes 50

Technical Lead – Moore 100

Technical Assoc. - Michael 100

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iii. Resumes Name Project Title

Benjamin Sumpter Engagement Manager

Experience Summary:

20 years of public service experience implementing government programs, policies and procedures.

Owner of firm providing management consulting, training and contract compliance solutions. Lead

Reviewer on DBE and UCP compliance reviews for Federal Transit Administration (FTA). Served as

Project Specialist for DBE/EEO monitoring on mega transit rail project. Provided contractor support to

Small Business Administration (8a) Program Division of Program Certification & Eligibility in

Philadelphia Office. Selected by a consortium of government officials as Executive Director to design, implement and manage a City Council approved, quasi-government organization for unified certification services of Minority/Women/Disadvantaged Business Enterprises (M/W/DBEs). Performed certification training for California, Missouri, Texas, North Carolina, and Ohio UCPs.

Education & Certifications

Master of Public Administration – Texas A&M University - Corpus Christi, Thesis: Department of Transportation (DOT)-DBE Program Outreach;

Bachelor of Arts - University of Louisville, Major: Communication and Sociology

Employer Job Title

Contract Service Innovations, LLC Managing Principal

Employment Duration Contact Name Phone

From: 2015 To: Present Benjamin Sumpter 512-501-5455

Duties & Responsibilities

Principal-In-Charge on client engagements with oversight of firm administration, management, business development and financial decisions. Provide project quality controls, cost controls and ensure timely project deliverables.

Milligan & Company, LLC Program Manager

Employment Duration Contact Name Phone

From: 2004 To: 2015 Denis Bailey/Sandra Swiacki 215-496-9100

Duties & Responsibilities

Consulting Projects:

U.S. Department of Transportation – Federal Transit Administration

Triennial Reviews – Reviewer on congressionally mandated examination of grantee performance and adherence to current FTA requirements and policies. Review recipients of Urbanized Area

Formula Program funds compliance with statutory requirements in seventeen (17) functional areas to include operational and risk management areas (maintenance, charter bus, school bus, and satisfactory continuing control); financial areas (financial management and capacity, technical capacity and procurement); civil rights areas (Title VI, DBE, ADA, and EEO); and other areas (legal, planning, public comment, half fare, security and drug free workplace).

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Procurement System Reviews –Reviewer on an engagement with the FTA to conduct reviews of procurement policies and procedures at state and municipal transit agencies receiving FTA grant funds to finance procurements. Examine agency compliance with regulatory and statutory requirements of FTA Circular 4220.1F for third-party contracting.

Disadvantage Business Enterprise Program Reviews – Lead Reviewer on an engagement with the FTA to conduct review of DBE programs at municipal transit agencies. Examine agency compliance with regulatory and statutory requirements of 49 CFR Part 26 for contracting with socially and economically disadvantaged businesses.

Unified Certification Program Reviews – Designed UCP review protocol for a multi-modal effort as Lead Reviewer. Review certification standards and procedures of agency evaluation of applicants seeking entry into the Disadvantaged Business Enterprise program.

Missouri Department of Transportation (MoDOT), Sub-Recipient Monitoring – Perform statewide onsite visit reviews of organizations receiving federal funds to provide rural transit services, transportation for elderly and persons with disabilities, and other alternative transportation options.

Pennsylvania Public Utility Commission Bureau of Audits – Serve on contractor team for comprehensive

Stratified Management and Operations Audit of Philadelphia Gas Works (PGW). Conducted audit review of PGW’s supplier diversity program and made recommendations for minority and women-owned business inclusion enhancement.

National Transit Institute (NTI) DBE Training Program – Instructor – for the DBE Training Program

Course. Revises course materials to reflect changes in the USDOT regulation. Conducted training program for federal grantees at transit agencies throughout the nation.

Airport Minority Advisory Council (AMAC) – Conducted DBE Liaison Officer Certification Training at AMAC Annual Conferences. Training focuses on certification standards and procedures in accordance to 49 CFR Part 23 and Part 26. Attendees learn the latest information regarding regulations, guidelines and best practices to assess complex business structures and financial analysis.

Federal Aviation Administration – Served as a Lead Reviewer on the firm’s engagement to conduct joint venture reviews of airport sponsors. These reviews covered compliance with 49 CFR Part 23 and 26, with a special emphasis on joint ventures and concessionaires.

Southeastern Pennsylvania Transportation Authority (SEPTA) DBE/EEO Monitoring – Served as project specialist on the firm’s engagement with SEPTA to provide monitoring of DBE and EEO achievements on its

$750 million reconstruction of the Market Street Elevated line. In this position, he conducted field monitoring of contractors and employees, developed reporting mechanisms for accurate recording of achievements and ensured compliance with 49 CFR Part 26 and OFCCP requirements, as well as local regulations.

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U. S. Small Business Administration Business Analyst (Contractor)

Employment Duration Contact Name Phone

From: 2004 To: 2004 Joe Donini 610-382-3062

Analyzed and process applications from 20 states for admission to SBA’s 8(a) Business

Development Program in accordance to 13 CFR Part 124. Reviewed financial statements, corporate records and tax records and made certification recommendations to SBA Headquarters for federal contracting and procurement. Designed tracking system for compliance with processing time requirements.

South Central Texas Regional Certification

Agency

Executive Director

Employment Duration Contact Name Phone

From: 1999 To: 2003 Terry Williams 210-458-2458

Established in 1999, Mr. Sumpter served as the first Executive Director of the South Central Texas

Regional Certification Agency (SCTRCA). He was responsible for creating budgets, job descriptions, policies and procedures, office layout, application forms, templates, and the database. The agency is responsible for the investigation, audit, review and approval of applications from socially and economically disadvantaged individuals seeking certification in equal opportunity business procurement programs in accordance with 49 CFR Parts 23 & 26. Served as central liaison for City, County, Airport, Transit, Power, Water, River & Housing Authorities in South Texas region.

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Erick D. Wilkes Project Manager

Experience Summary:

Knowledge of USDOT federal regulations 49 CFR, Parts 26 and 23, relative to certifications of DBE and/or ACDBE companies, DBE program administration, management, and consulting, Small business development, Stakeholder presentations, Public speaking, Computer proficiencies in MS Excel, MS

Power Point, MS Word, Internet research using Internet Explorer and Mozilla Firefox, Experience using SAP and PeopleSoft databases, Contract negotiations for small business participation and prime contractor/subcontractor disputes, Supervisory experience, Customer service, Intermediate Spanish-speaking skills, Program and contract compliance.

Master of Public Administration – Strayer University

Master of Business Administration – Strayer University Bachelor of Arts – North Carolina State University Major; Spanish Languages and Literature

Post-Baccalaureate Certificates – Project Management Specialization; Leadership Specialization

The Bilingual Center – Cuernavaca, Morelos, Mexico – Spanish Languages and Literature

Employer Job Title

Contract Service Innovations, LLC Director

Employment Duration Contact Name Phone

From: 2018 To: Present Benjamin Sumpter 512-501-5455

Duties & Responsibilities

Disadvantaged Business Enterprise (DBE) and Airport Concessionaire Disadvantaged Business

Enterprise consulting experience gained through participation on project assignment from the Division of Opportunity, Diversity and Inclusion of the Ohio Department of Transportation (ODOT).

Application of USDOT regulations 49 CFR Parts 26 and 23 to the review and recommendation process. Details of DBE/ACDBE consulting assignment are presented below:

❖ Review, analyze, and process new applications for firms seeking Disadvantaged Business

Enterprise (DBE) and Airport Concessionaire Disadvantaged Business Enterprise

(ACDBE) certifications while requesting additional supporting documentation as needed.

❖ Conduct in-state on-site inspections and owner interviews with small business owners and other staff and take photos of office space and equipment.

❖ Generate reports containing information obtained during on-site inspections and owner interviews.

❖ Review and research North American Industry Classification System (NAICS) code submissions in DBE/ACDBE files for appropriate industry classifications.

❖ Generate recommendation letters for DBE/ACDBE certification files including approval recommendation letters with suggested NAICS code(s) and denial recommendation letters with applicable regulations and explanation of applicable deficiencies.

North Carolina DOT Independent Contractor

Employment Duration Contact Name Phone

From: 2018 To: 2018 Benny Sloan 919-508-1940

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Disadvantaged Business Enterprise (DBE) and Airport Concessionaire Disadvantaged Business

Enterprise consulting experience gained through participation on project assignment from the

Contractor Utilization, Certification & Compliance Section of North Carolina Department of

Transportation (NCDOT)’s Office of Civil Rights. Member of consulting team assigned to North

Carolina’s Eastern region as well as additional state-wide DBE file reviews as tasked. Application of

USDOT regulations 49 CFR Parts 26 and 23 to the review and recommendation process. Details of

DBE/ACDBE consulting assignment are presented below:

❖ Review, analyze, and process new applications for firms seeking Disadvantaged Business

Enterprise (DBE) and Airport Concessionaire Disadvantaged Business Enterprise

(ACDBE) certifications while requesting additional supporting documentation as needed.

❖ Conduct in-state on-site inspections and owner interviews with small business owners and other staff and take photos of office space and equipment.

❖ Generate reports containing information obtained during on-site inspections and owner interviews.

❖ Review and research North American Industry Classification System (NAICS) code submissions in DBE/ACDBE files for appropriate industry classifications.

❖ Generate recommendation letters for DBE/ACDBE certification files including approval recommendation letters with suggested NAICS code(s) and denial recommendation letters with applicable regulations and explanation of applicable deficiencies.

Washington Metro Area Transit Authority DBE Program Manager

Employment Duration Contact Name Phone

From: 2016 To: 2017 Human Resources 202-962-1234

Duties & Responsibilities

Experience and expertise in DBE program administration and compliance under USDOT regulations

49 CFR Part 26 for WMATA’s DBE & Compliance Office (inclusive of the Disadvantaged Business

Enterprise (DBE) Program, Small Business Enterprise (SBE) Program, and Small Business and Local

Preference Program). Able to supervise a staff that supports small business program implementation and small business development. Highlights of DBE program management experience are presented below:

❖ Developed, implemented, administered, monitored, and evaluated policies, procedures, and programs to support small business development and local, state, and federal compliance with WMATA's small business program contract provisions and the Metropolitan

Washington Unified Certification Program (MWUCP).

❖ Analyzed and approved bids/proposals to ensure compliance with DBE participation goals and documentation requirements.

❖ Participated as a founding member of the agency’s Procurement Review Committee and managed the evaluation of small business utilization on WMATA contracts (Equipment, Supply, Services, and Construction).

❖ Supervised a staff of six employees, handled all personnel and labor matters for the office, conducted monthly staff meetings, and scheduled associated trainings for the staff members.

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❖ Provided guidance and informal training to staff. Reviewed and approved the staff's DBE certification and contract compliance actions, to include developing and maintaining the internal DBE program operating standards.

❖ Briefed and consulted with the Chief Procurement Officer, General Counsel and External

Auditors on issues related to contract compliance.

❖ Established and maintained effective working relationships with WMATA vendors, Federal, state, and local agencies, and civic, non-profit, and community groups.

❖ Monitored agency submission of triennial DBE goal and semi-annual Federal Transit

Administration (FTA) reports of contract awards and payments to DBE and non-DBE firms.

❖ Monitored all outreach efforts into the regional business community to attract small businesses and increase small business program participation.

❖ Prepared and assisted in the preparation of documents related to presentations to the

General Manager/Chief Executive Officer and the Board of Directors.

Hampton Roads Transit DBE Program Manager

Employment Duration Contact Name Phone

From: 2014 To: 2016 Keisha Branch 757-222-6173

Duties & Responsibilities

Experience and expertise in Disadvantaged Business Enterprise (DBE) program administration and compliance under USDOT regulations 49 CFR Part 26 for Hampton Roads Transit’s DBE Program

Office. Able to establish a DBE program for both certifying and non-certifying agencies and provide oversight to ensure proper DBE program implementation, goal setting, good faith efforts, DBE contractor utilization and compliance, and, as needed, DBE certification practices. Highlights of DBE program management experience are presented below:

❖ Reviewed bid proposal packets to make sure prospective bidders follow DBE document submittal requirements.

❖ Reviewed good faith effort request to determine if bidders met DBE subcontractor solicitation requirements.

❖ Established DBE goals on agency projects that contained federal funding from USDOT and established overall DBE agency goals on a triennial basis.

❖ Conducted outreach sessions for small business owners seeking procurement opportunities.

❖ Established standard operating procedures for agency performance of DBE commercially useful function (CUF) reviews to ensure DBE participation compliance. Performed on-site compliance reviews and provided compliance review training to project managers.

❖ Monitored and enforced DBE prompt payments through review of prompt payment report submittals and implementation of appropriate administrative actions in response to complaints of non-payment and DBE non-participation.

❖ Submitted semi-annual reports to Federal Transit Administration for DBE and non-DBE contract awards and payments.

❖ Attended pre-bid meetings and gave presentations on DBE requirements.

❖ Held monthly briefings with the President/CEO to provide DBE program updates.

North Carolina DOT DBE Certification Officer

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From:2007 To: 2014 Benny Sloan 919-508-1940

Over 7 years of experience and expertise in DBE and ACDBE certifications under USDOT regulations

49 CFR Parts 26 and 23 under North Carolina’s UCP program. Thoroughly knowledgeable in all aspects of certification, from application review to site visits, to detailed reports on approvals or denials, if needed. Highlights of certification experience are presented below:

❖ Reviewed, analyzed, and processed new applications, annual renewals, and recertification review applications to determine certification eligibility while requesting additional supporting documentation as needed.

❖ Conducted in-state on-site inspections and interviews with small business owners seeking

Disadvantaged Business Enterprise (DBE) and Airport Concessionaire Disadvantaged

Business Enterprise (ACDBE) certifications.

❖ Provided guidance to newly hired certification officers on processing procedures.

❖ Developed standard operating procedures as needed for coordinated efforts between the

DBE certification program and consulting firms assisting with DBE and ACDBE application review.

❖ Performed investigations to respond to third-party complaints regarding the eligibility of

DBE & ACDBE firms already certified and made determinations for continued eligibility or removal.

❖ Utilized SAP database to update status of DBE & ACDBE firms and process information change request forms for clients updating business information.

Dwayne Moore Technical Lead

Experience Summary:

25+ years of Small Business Development program experience with Florida Department of

Transportation (FDOT) and supporting organizations, 17 years of Disadvantaged Business Enterprise

(DBE) program experience (reviewing applicant files, on-site reviews, on-site reporting, etc.) and 15 years of establishing and implementing a state-funded small business program.

Bachelor of Science -Liberty University, Major – Christian Counseling/Biblical & Theological Studies

Associate of Arts – Liberty University, Major – Religion

Certified Public Manager – Florida Center for Public Management, Florida State University

Florida Department of Transportation DBE/SB Development Manager

Employment Duration Contact Name Phone

Feb 2021 – Mar 2023 Victoria Smith 850-414-4747

Duties & Responsibilities

Supervises and manages the activities of the Disadvantaged Business Enterprise (DBE) Certification

Section, produces reports and manages the allocation and processing of the DBE files. This position is responsible for planning, coordinating work assignments, training, motivating and evaluating employees on the performance of their duties.

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Reviews new Unified Certification Program (UCP) DBE applications after being completed by the

Certification staff and makes recommendation to the Equal Opportunity Office (EOO) Manager in a timely fashion to ensure compliance with the 90-day requirement of the federal regulations. This includes reviewing all the necessary information such as the personal statements of net worth, personal and business tax data, and North American Industry Classification System (NAICS)/Specialty Code assignments. The review should determine if the business meets the requirements of the federal regulations related to group membership, size, social and economic disadvantage, ownership, and control. Identifies areas that do not meet the standards and criteria in the federal regulations and meets with the EOO Manager for approval as required. Approves or denies applications as delegated by the

EOO Manager.

Develops new initiatives and policies for DBE Certification; Develops and updates rules, procedures and guidelines for the certification of DBEs in accordance with federal regulations; Keeps abreast of all the federal regulations and United States Department of Transportation (USDOT) appeals decisions as they apply to DBE certification.

Oversees the administration of the Florida Unified Certification Program and acts as the lead Florida

Department of Transportation (FDOT) staff member associated with the Program.

Employer Job Title

Florida Department of Transportation DBE Certification Consultant

Employment Duration Contact Name Phone

Oct 2016 – Feb 2021 Victoria Smith/Sammy Febres 850-414-4747

Duties & Responsibilities

Reviews Uniform Certification Program (UCP) Disadvantaged Business Enterprise (DBE) applications, Affidavits for Continuing Eligibility and attached documents such as, personal statements of net worth, personal and business tax data, North American Industry Classification System (NAICS) and Florida Department of Transportation (FDOT) Specialty work codes for completeness and compliance. Prepares written requests for additional information in a timely manner. Schedules and conducts on-site reviews per the federal regulation. Prepares and signs the On-site Review and

Continuing Eligibility Summary, identifying areas of concern. Finalizes the file for DBE management review. Updates the tracking system.

Provides direct organizational support to the Certification Manager including, but not limited to, assisting in developing and updating procedures, policies, guidelines, forms, and regulations. Prepares documents for and participates in the administrative hearing process. Participates in workshops, trade fairs, seminars, outreach programs, and any other public outreach activities. Performs or assists with any special on-site reviews or investigations. Assists with day-to-day certification and administrative duties as assigned. Advises the Certification Manager of potential problems and possible solutions.

Schedules administrative time for required paperwork, attend staff meetings, attending training/personal development courses, and other activities within Florida Department of

Transportation (DOT) policy and procedures.

Responds to the general public, applicants, city and county governments, other state DOT’s, federal agencies and other certifying agencies on matters of the DBE program as needed.

Employer Job Title

Florida Department of Transportation Business Development Specialist

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Sep 2008 – Oct 2016 Arthur Wright/Tom Rush 850-414-4747

Coordinates and reports on the statewide activities of the Department's Business Development

Initiative. The Business Development Initiative (Initiative) is designed to support the Department’s efforts to increase competition, lower prices, and increase support to meet its contracting needs over the next 10 years. Monitors work activities of the Equal Opportunity Office (EOO) for the Manager;

develops measures and reports trends and accomplishments; develops and maintains functional business plans, and the EOO Business Plan; Produces a yearly accomplishments report for the EOO.

Assists all sections in various tasks as requested including Equal Employment Opportunity (EEO) and

Title VI investigations; works on special projects assigned by the manager; makes recommendations to improve the efficiency and effectiveness of office operations. Conducts research and obtains information for the Manager; provides responses to surveys and other requests; prepares various reports for meetings and conferences; develops and makes presentations. Handles all personnel and budget related activities; updates the EOO Internet site and ensures its accuracy. Research issues and publishes information related to the DBE program which includes the DBE goals, policies and procedures measures to determine the success of outreach efforts; prepares various status reports, success stories;

analyzes trends, conveys basic information promoting the DBE Program in various newsletters or publications, assists with nominations for awards in the DBE and Equal Employment Opportunity areas and other special projects.

Employer Job Title

Florida Department of Transportation Specifications Development Specialist

Employment Duration Contact Name Phone

Jun 2007 – Sep 2008 Rudy Powell 850-414-4100

Duties & Responsibilities

Format and process, through adoption or rejection, proposed specification revisions to the Standard

Specifications. These revisions may be in the form of either Special Provisions or Supplemental

Specifications and are used to assemble workbooks which detail conditions under which each Special

Provision or Supplemental Specification may be used. These workbooks are produced and distributed to the districts bi-annually and are the main documents from which specification packages are compiled. These packages, prepared by the Districts or their consulting personnel, then become part of

The Department's contracts. Maintain various electronic files detailing the history of individual specification revisions, from origination to adoption and any topic related to specification development issues. Assist in the processing and tracking of District requests for authority to use Developmental and blanket approval specifications. These specifications must be reviewed for agreement with Standard

Specifications and any conflicts identified and resolved. Provide liaison between the Specification

Developmental Section and various statewide entities, on specification issues.

Employer Job Title

Blackmon Roberts Group, Inc. Senior Consultant

Employment Duration Contact Name Phone

Apr 2006 – Sep 2008 Sylvia Blackmon-Roberts 863-802-1280

Duties & Responsibilities

Assist disadvantaged business enterprises (DBE) participants in complying with required licensing, federal regulations and FDOT contract requirements; Conduct on-the-job instruction and inspection for

Small and Disadvantaged Business Enterprises (S/DBEs) working on FDOT contracts including but not limited to: setting up jobsites, cash flow methods, project scheduling, quantity take offs, outlining, reading plans and specifications, department procedures on billing and payments, quality assessment and control methods, bonding requirements and bid preparation methods; Meet reporting requirements

Contract Service Innovations, LLC 20 | P a g e for tracking the development of Florida Department of Transportation (FDOT) DBEs; assisted with financial statements and other financial mechanisms to assist with the growth of the business. Monitor

FDOT S/DBE contracts for performance, invoicing and payments to contractor for our clients. Assist small businesses with completing the certification process.

Employer Job Title

Florida A&M/FDOT Construction

Management Development Program

Assistant Director

Employment Duration Contact Name Phone

Jul 1997 – Apr 2006 Keith Bowers 850-599-3407

Duties & Responsibilities

Responsible for the daily function of a state funded grant program. Assist disadvantaged business enterprises (DBE) participants in complying with required licensing, federal regulations and FDOT contract requirements; Coordinate activities of the classroom training, on-the-job instruction/technical assistance and bond guarantee program. Conduct on-the-job instruction and inspection for recipients of bond guarantees for small and disadvantaged business enterprises (S/DBEs) working on FDOT contracts including setting up jobsites, cash flow methods, project scheduling, quantity take offs, outlining, reading plans and specifications, department procedures on billing and payments, quality assessment and control methods, and bid preparation methods; Meet reporting requirements for tracking the development of program recipients; Act as backup instructor; and counsel recipients on locating additional assistance.

Employer Job Title

New Life Steel, Incorporated Vice President of Operations

Employment Duration Contact Name Phone

Jan 1997 – Oct 2000 Robert Brinson 850-491-9482

Duties & Responsibilities

Managed all operating procedures: monitored accounts receivables/ payables, payroll, operational budget and project budgets; supervised project managers, project superintendents and foremen;

Assisted with business development; provided estimations for prospective projects; Conducted employee meetings & training sessions; and Acted as financial officer for…