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13 work in a specific area. Although the questionnaire sought PUBLIC PARTICIPATION processes for overconcentration, most respondents annotated their responses, stating that overconcentration did not exist In addition to data collection on participation, the regulations or that they had not performed any analysis. Five respondents call for STAs to include public participation in the goal-setting indicated that they did not have a method for evaluating over- process. Several requirements concerning public participa- concentration. tion in goal setting are published in the regulation as follows (Section 26.45, 2003): If an STA determines that it has overconcentration, it needs to devise and implement appropriate procedures to cor- 1. Consultation with minority, women's, and general con- rect the situation. The regulation provides some limited insight tractor groups, community organizations, and other offi- into acceptable measures as follows: cials or organizations that could be expected to have information concerning the availability of disadvan- · Use of incentives, taged and nondisadvantaged businesses. · Technical assistance, 2. A published notice announcing that the proposed over- · Business development programs, all goal is to inform the public about the proposed goal · Mentorprotégé programs, and and its rationale. · Other appropriate measures designed to assist DBEs in 3. The notice must include addresses to which comments performing work outside of the specific field where over- may be sent, and it must be published in the general concentration is occurring. circulation media and available minority-focused media and trade association publications. Once approved, the overconcentration practice or procedure 4. Overall goals must provide for participation by all cer- becomes part of the operating DBE program. tified DBEs and must not be subdivided into group- specific goals. Without a requirement in the regulation for overconcen- tration analysis, 25% of the responding STAs have not per- Table 3 summarizes the public participation reported in formed an overconcentration analysis nor do they have a the study questionnaire. General contractor organizations were process for performing the analysis. Annual reviews were identified as state chapters of the Associated General Con- reported to be conducted at five (14%) of the responding STAs, tractors of America (AGC) and chapters of the American whereas six of the STAs (16%) reported that their process Road and Transportation Builders Association. In some cases, was complaint driven. Complaint-driven processes are imple- special committees have been established to act as a liaison mented only when a formal complaint is received. Only two with all groups and to be the primary channel for goal rec- STAs reported having received any complaints and they deter- ommendations. For example, in Wisconsin the Transportation mined that overconcentration was not present in both situa- Advisory Committee is a permanent standing committee that tions. Thus, strategies for remedying overconcentration have advises the Wisconsin DOT on DBE matters. This committee not been widely tested. The following strategies were pro- establishes the recommended overall goal. The committee is posed by the STAs in responses to the questionnaire: comprised of the following members: · Remove the item from DBE credit work items (Alaska). · A woman-owned DBE, · Set a 0% goal on contracts where only one item is iden- · Three members of the Wisconsin Chapter of the National tified for potential DBE participation, otherwise non- Association of Minority Contractors, DBE contractors would be unfairly prevented from com- · Three members from the Wisconsin Transportation peting for the contract (Colorado). Builders Association, Although not a direct response to known overconcentration, a TABLE 3 TYPES OF PUBLIC PARTICIPATION IN GOAL SETTING cap of 50% of the value for permanent materials provided under furnish and install items was implemented on the Mass- No. of STAs Public Participation Responding achusetts Central Artery/Tunnel Project to broaden partici- pation across subcontract areas. Minority and/or Women's Contracting Groups 11 General Contractor Groups 11 Community Organizations 8 In addition, mentorprotégé programs, business develop- Publications (newspapers, trade magazines, etc.) 8 ment activities, and technical assistance are also considered Direct Mailing 3 Personal Interviews 2 proactive measures to reduce overconcentration. However, Website 2 because a majority of the state STAs did not feel they were Contact Other Authorities 1 experiencing overconcentration, these were not described as Note: Only 11 of 36 survey respondents provided details on their methods they were employing to reduce overconcentration. public participation requirements to the open-ended goal-setting process.