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Small Business Enterprise Program

The Ohio Department of Transportation is committed to fair and equal opportunities for firms of all size to do business with the state. The Small Business Enterprise (SBE) Program is established to ensure that small businesses receive fair opportunities to participate in ODOT contracting and consulting activities as prime contractors.
 
As required by federal regulation, the SBE Program restricts competition for prime contracts on certain federally-assisted projects to small businesses that have been certified through the program. The SBE Program staff is dedicated to facilitating opportunities for small businesses, and identifying and removing obstacles to participation.
 

 ODOT’s SBE Commitment

 

​ODOT will facilitate SBE participation on construction and consultant service contracts by the following means:

  1. ODOT will give all firms access to the prequalification process, and will evaluate requirements (see below) to ensure they are necessary and do not unreasonably obstruct an SBE from being able to bid as a prime contractor.
  2. ODOT will continue to analyze contracts to ensure that they are not unjustifiably bundled.  In determining whether a contract is unjustifiably bundled, ODOT may consider the following criteria.
    • Level of risk associated with maintaining smaller-sized projects vis-à-vis a “bundled” contract.
    • The ability to create stand-alone projects that are within work areas having a significant pool of ready, willing, and able SBE firms.
  3. ODOT will examine the possibility of facilitating joint ventures among SBEs to bid on contracts.
  4. ODOT will explore best practices to share the contracting process with SBEs.
 

 SBE Certification Procedures

 

​The SBE Certification Program will be administered by ODOT in a manner similar to the DBE Certification Program, but without the consideration of the gender and/or ethnicity of the firm’s owners. All SBE firms must be certified prior to submitting a bid.

STEP 1: Download and complete, sign, and have notarized the Personal Net Worth Statement. (Note: This specific form must be used. This is the same form as is used for DBE/ACDBE certification, which is why the form's title includes DBE and ACDBE. Although the form does not specifically mention SBE certification, the personal net worth information required for SBE certification is the same as for DBE/ACDBE certification.)

STEP 2: Fully complete and submit the SBE Certification application. (Attach the notarized Personal Net Worth Statement from step 1 where specified.)

STEP 3: If ODOT requires you to submit any additional information or documents, submit them using the SBE Certification Application Additional Documents form.

STEP 4: Receive ODOT’s written confirmation of certified SBE status.

STEP 5: Start submitting bids.
(Note: In order to submit bids, partners must be prequalified with ODOT. However, prequalification is not necessary to become a certified SBE.) 
 

 SBE Set-Aside Projects

 
 

 SBE Contact Information

 
DOT.SDBE@dot.ohio.gov
(614) 466-3957
 
Certification Section
(614) 466-2878
 
Deborah Green
Administrator, Office of Small & Disadvantaged Business Enterprise
 
Danette Shuler
Contractor Compliance Manager
(513) 933-6530
 
David Walker
Certification Manager
(614) 644-0301
 
Tom Yanka
Goal Attainment Manager
(614) 644-5649
 
 

 SBE Qualification and Selection Criteria

 
  • Ohio firms applying for Disadvantaged Business Enterprise (DBE) certification will be reviewed for SBE eligibility without needing to submit a separate SBE application. The preceding statement only applies if ODOT is the Ohio Unified Certification Program (UCP) representative that is reviewing the firm's DBE certification application.

  • Currently, ODOT is not certifying any brokerage businesses and is primarily focusing on firms related directly to heavy highway construction services.

  • Ownership, Management and Revenues:
    • The firm must specialize in the construction and/or construction-related consultant services industry, and be at least 51% owned by one or more individuals whose personal net worth and adjusted gross income do not exceed the amount stated in 49 CFR 26.67(a)(2)(i) (currently, $1.32 million for personal net worth and $350,000 for adjusted gross income, with adjusted gross income averaged over the most recent three year period), or in the case of any publicly-owned business, at least 51% of its stock is owned by one or more individuals whose personal net worth and adjusted gross income do not exceed the amount stated in 49 CFR 26.67(a)(2)(i); and

    • Whose management and daily business operations are controlled by one or more of the owners whose personal net worth and adjusted gross income do not exceed the amount stated in 49 CFR 26.67(a)(2)(i); and 

    • Whose annual receipts for the firm averaged over the most recent three years does not exceed $15,000,000 (construction firms) or $7,000,000 (construction-related consultant services firms).

  • ODOT will give all firms access to the prequalification process, and will evaluate prequalification requirements to ensure they are necessary and do not unreasonably obstruct an SBE from being able to bid as a prime contractor.

  • A certified SBE firm must perform a commercially useful function.  The SBE must perform or exercise responsibility for at least 30% of the total cost of its contract with its own work force.  If the SBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, ODOT must presume that it is not performing a commercially useful function.

  • A Joint Venture may bid on and/or be awarded a SBE contract provided that the Joint Venture consists of two or more properly certified SBE firms and provided the Joint Venture is otherwise properly prequalified in accordance with Ohio law and ODOT’s established prequalification specifications, policies and procedures at the time of bid opening.
 

 SBE Disqualification Criteria

 
  • ​All applications must be completed in their entirety before they will be considered by ODOT.  If an applicant knowingly supplies false or inaccurate information, the applicant shall be disqualified, and may be subject to further penalties as provided by law.
  • The business, or any principal owner of the business, must not have been debarred or convicted of bid-related crimes or violations within the past six years in any state or federal jurisdiction, or be under notice of intent to debar in any jurisdiction.