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NATIONAL NCHRP SYNTHESIS 416 COOPERATIVE HIGHWAY RESEARCH PROGRAM Implementing Race-Neutral Measures in State Disadvantaged Business Enterprise Programs A Synthesis of Highway Practice

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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS Chair: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Vice Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA WILLIAM A.V. CLARK, Professor, Department of Geography, University of California, Los Angeles EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX PAULA J. HAMMOND, Secretary, Washington State DOT, Olympia ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley SUSAN MARTINOVICH, Director, Nevada DOT, Carson City MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA STEVEN T. SCALZO, Chief Operating Officer, Marine Resources Group, Seattle, WA HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA LAWRENCE A. SELZER, President and CEO, The Conservation Fund, Arlington, VA KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis KIRK T. STEUDLE, Director, Michigan DOT, Lansing DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS PETER H. APPEL, Administrator, Research and Innovative Technology Administration, U.S.DOT J. RANDOLPH BABBITT, Administrator, Federal Aviation Administration, U.S.DOT REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT JOHN T. GRAY, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC DAVID T. MATSUDA, Deputy Administrator, Maritime Administration, U.S.DOT VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC TARA O'TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of March 2011.

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 416 Implementing Race-Neutral Measures in State Disadvantaged Business Enterprise Programs A Synthesis of Highway Practice CONSULTANTS PATRICK CASEY and ANDREA THOMAS CTC & Associates LLC Madison, Wisconsin and JAMES S. THIEL Attorney at Law Madison, Wisconsin S UBSCRIBER C ATEGORIES Highways Administration and Management Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 416 Systematic, well-designed research provides the most effective Project 20-05, Topic 41-08 approach to the solution of many problems facing highway ISSN 0547-5570 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-14332-5 interest and can best be studied by highway departments Library of Congress Control No. 2011921584 individually or in cooperation with their state universities and 2011 National Academy of Sciences. All rights reserved. others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a COPYRIGHT INFORMATION coordinated program of cooperative research. Authors herein are responsible for the authenticity of their materials and for In recognition of these needs, the highway administrators of the obtaining written permissions from publishers or persons who own the American Association of State Highway and Transportation copyright to any previously published or copyrighted material used herein. Officials initiated in 1962 an objective national highway research Cooperative Research Programs (CRP) grants permission to reproduce program employing modern scientific techniques. This program is material in this publication for classroom and not-for-profit purposes. supported on a continuing basis by funds from participating Permission is given with the understanding that none of the material will be member states of the Association and it receives the full cooperation used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit and support of the Federal Highway Administration, United States Development Corporation endorsement of a particular product, method, or Department of Transportation. practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment The Transportation Research Board of the National Academies of the source of any reprinted or reproduced material. For other uses of the was requested by the Association to administer the research material, request permission from CRP. program because of the Board's recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation NOTICE subject may be drawn; it possesses avenues of communications and The project that is the subject of this report was a part of the National cooperation with federal, state, and local governmental agencies, Cooperative Highway Research Program, conducted by the Transportation universities, and industry; its relationship to the National Research Research Board with the approval of the Governing Board of the National Council is an insurance of objectivity; it maintains a full-time Research Council. research correlation staff of specialists in highway transportation The members of the technical panel selected to monitor this project and matters to bring the findings of research directly to those who are in to review this report were chosen for their special competencies and with a position to use them. regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and The program is developed on the basis of research needs overseen by the Transportation Research Board and approved by the identified by chief administrators of the highway and transportation Governing Board of the National Research Council. departments and by committees of AASHTO. Each year, specific The opinions and conclusions expressed or implied in this report are those areas of research needs to be included in the program are proposed of the researchers who performed the research and are not necessarily those to the National Research Council and the Board by the American of the Transportation Research Board, the National Research Council, or the Association of State Highway and Transportation Officials. program sponsors. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research The Transportation Research Board of the National Academies, the National contracts are the responsibilities of the National Research Council Research Council, and the sponsors of the National Cooperative Highway and the Transportation Research Board. Research Program do not endorse products or manufacturers. Trade or The needs for highway research are many, and the National manufacturers' names appear herein solely because they are considered Cooperative Highway Research Program can make significant essential to the object of the report. contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW NOTE: The Transportation Research Board of the National Academies, the Washington, DC 20001 National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at: states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academys p urposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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NCHRP COMMITTEE FOR PROJECT 20-05 COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research CHAIR Programs CATHERINE NELSON, Oregon DOT CRAWFORD F. JENCKS, Deputy Director, Cooperative Research Programs MEMBERS NANDA SRINIVASAN, Senior Program Officer KATHLEEN S. AMES, Michael Baker, Jr., Inc. EILEEN P. DELANEY, Director of Publications STUART D. ANDERSON, Texas A&M University CYNTHIA J. BURBANK, PB Americas, Inc. NCHRP SYNTHESIS STAFF LISA FREESE, Scott County (MN) Public Works Division STEPHEN R. GODWIN, Director for Studies and Special Programs MALCOLM T. KERLEY, Virginia DOT JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies RICHARD D. LAND, California DOT JO ALLEN GAUSE, Senior Program Officer JAMES W. MARCH, Federal Highway Administration (retired) GAIL R. STABA, Senior Program Officer JOHN M. MASON, JR., Auburn University DONNA L. VLASAK, Senior Program Officer ANANTH PRASAD, HNTB Corporation DON TIPPMAN, Senior Editor ROBERT L. SACK, New York State DOT CHERYL KEITH, Senior Program Assistant FRANCINE SHAW-WHITSON, Federal Highway Administration DEBBIE IRVIN, Program Associate MARY LYNN TISCHER, Federal Highway Administration LARRY VELASQUEZ, QUALCON, Inc. TOPIC PANEL SYLVIA BLACKMON-ROBERTS, Blackmon Roberts Group, FHWA LIAISON Lakeland, FL JACK JERNIGAN MICHAEL G. COOPER, Georgia Department of Transportation JULIE CUNNINGHAM, Conference of Minority Transportation TRB LIAISON Officials STEPHEN F. MAHER BRIAN DEERY, Associated General Contractors OLIVIA FONSECA, California Department of Transportation DEBRA A. GALLEGOS, Colorado Department of Transportation FREDERICK HEJL, Transportation Research Board HOPE JENSEN, Minnesota Department of Transportation JOANNE LICHTENSTEIN LUBART, Pennsylvania Department of Transportation Office of General Counsel CYNTHIA J. WILSON ORNDOFF, Florida Gulf Coast University, Fort Myers, FL MARTHA G. KENLEY, Federal Highway Administration (Liaison)

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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information on nearly every subject of concern to highway administrators and engineers. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evalu- ating such useful information and to make it available to the entire highway community, the American Association of State Highway and Transportation Officials--through the mechanism of the National Cooperative Highway Research Program--authorized the Transportation Research Board to undertake a continuing study. This study, NCHRP Project 20-05, "Synthesis of Information Related to Highways Problem," searches out and synthe- sizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an NCHRP report series, Synthesis of Highway Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measure found to be the most successful in resolving specific problems PREFACE As state departments of transportation (DOTs) carry out their highway construction pro- By Jo Allen Gause grams, they are required to direct a portion of their federal-aid fund expenditures toward Senior Program Officer small businesses called Disadvantaged Business Enterprises (DBEs). A DBE is defined as Transportation a small, for-profit business concern that is at least 51% owned and controlled by one or more Research Board socially and economically disadvantaged individuals. States are required to meet the max- imum feasible portion of their DBE participation goals using race-neutral means designed to remove barriers and enhance opportunities for all small businesses, not just DBEs. This synthesis compiles and documents race-neutral strategies being used effectively by state DOTs to meet their DBE participation goals. It also reviews and synthesizes problems faced by state DOTs in the administration of their DBE programs and identifies race-neutral remedies used to overcome these challenges. Information used in this study was acquired through a review of the literature and a survey of state DOTs. Follow-up interviews were conducted with three states as case examples. Patrick Casey and Andrea Thomas, CTC & Associates LLC, and James S. Thiel, attor- ney at law, Madison, Wisconsin, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This syn- thesis is an immediately useful document that records the practices that were acceptable with the limitations of the knowledge available at the time of its preparation. As progress in re- search and practice continues, new knowledge will be added to that now at hand.

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CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Purpose of Report, 5 Background, 5 Study Approach, 6 Report Organization, 7 8 CHAPTER TWO SUMMARY OF SURVEY RESPONSES Survey Results, 8 Responses from the Subset of States That Have Used 100% Race-Neutral Measures, 12 15 CHAPTER THREE STATE STRATEGIES FOR IMPLEMENTING RACE-NEUTRAL MEASURES Supportive Services and Training Measures, 15 Administrative Support Strategies, 17 Marketing and Outreach Strategies, 18 Financial Assistance Strategies, 20 Additional Race-Neutral Strategies, 21 Survey Responses on Other Topics, 21 23 CHAPTER FOUR STATE DISADVANTAGED BUSINESS ENTERPRISE PROGRAM CHALLENGES AND SOLUTIONS Financial Challenges, 23 Disadvantaged Business Enterprises' Lack of Experience or Equipment, 24 Issues with Prime Contractors, 24 Challenges Related to Disadvantaged Business Enterprise Development, 25 26 CHAPTER FIVE CASE EXAMPLES Case Example #1: Florida Department of Transportation: Reserving Small Contracts for Small Businesses, 26 Case Example #2: Rhode Island Department of Transportation: Loan Program for Underutilized Disadvantaged Business Enterprise Firms, 27 Case Example #3: Colorado Department of Transportation: One-on-One Assessments and Customized Training, 28 30 CHAPTER SIX CONCLUSIONS

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31 REFERENCES 32 BIBLIOGRAPHY 33 APPENDIX A SURVEY QUESTIONS 39 APPENDIX B SURVEY RESPONSES 54 APPENDIX C SAMPLE COLLATERAL MATERIALS FROM STATE DBE PROGRAMS