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33 APPENDIX A Survey Questions This appendix shows the text of the online survey as it appeared to respondents, including the survey title and introductory text. NCHRP PROJECT 20-05, TOPIC 41-08: IMPLEMENTING RACE-NEUTRAL MEASURES IN STATE DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAMS Thank you for participating in this survey, which is being conducted as part of NCHRP Synthesis Topic 41-08, "Implementing Race- Neutral Measures in State Disadvantaged Business Enterprise (DBE) Programs." The project's goal is to gather and synthesize information from state departments of transportation on problems encountered in meeting DBE goals and on successful race-neutral strategies. For the purposes of this survey, the definition of "race-neutral" from 49 CFR 26.5 is: "Race-neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of this part, race-neutral includes gender-neutrality." From 49 CFR 26.51(a), the regulation also states: "You must meet the maximum feasible portion of your overall goal by using race-neutral means of facilitating DBE participation." This project's final report will be available in late 2010 for state DOTs and other agencies to use as a tool in implementing and improving their DBE programs. This online survey is a key component of the project. This survey focuses only on annual DBE goals for federal-aid highway contracts (NOT for federal transit and aviation contracts) and only on race-neutral means, which are aimed at removing barriers and enhancing opportunities for all small businesses, both DBEs and non-DBEs. There are a few questions directed specifically at the states in the western United States that are under the juris- diction of the Ninth Circuit Court of Appeals. Much of the survey consists of questions that ask you to rate on a 1 to 5 scale a particular problem or remedy in terms of your agency's experience. A few questions ask for additional details, and this information will greatly improve the quality of the final report, which will benefit all state DOTs. We hope that you will spend a few moments to provide brief comments in these sections if you are able to do so. The survey begins on the next page. You can view a PDF of the entire survey at https://app.sgizmo.com/users/64484/NCHRP Proj- ect 20-05, Topic 41-08 print version.pdf. To save your answers to the survey and complete it at a later time, click the Save and con- tinue survey later link in the upper right corner of the survey. You can also use this link to invite a colleague in your agency to answer parts of the survey--simply click the link and enter your colleague's e-mail address. Once you have clicked "Submit" on the last page of the survey, your responses will be received by the project investigators. Your survey responses will be kept confidential. Your responses will be aggregated with those of other responding agencies in the final report, but your response will not be associated with your name or state. Please complete this survey by Monday, March 22, 2010. If you have any questions about the survey, please contact investiga- tors Andrea Thomas (andrea.thomas@ctcandassociates.com) or Pat Casey (pat.casey@ctcandassociates.com). 1. Please provide your name and contact information. This information is required, but will be kept confidential and will not be asso- ciated with your survey responses in this project's final report. We may use this information to contact you if we have questions about your responses. First Name Last Name Title Agency/Organization Street Address City State Zip E-mail Address Phone Number

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34 SUPPORTIVE SERVICES AND TRAINING 2. Following are some common supportive services and training strategies used to encourage DBE participation in highway contract- ing and meet federal DBE participation goals. Please rate on a scale of 1 to 5 the effectiveness of each strategy that your agency has used (1 = Not at all effective, 2 = Somewhat effective, 3 = Effective, 4 = Very effective, 5 = Extremely effective) or click the "Have not used" button. Providing firms with business development assistance, such as marketing and training assistance or help with business man- agement, business plans, or financial statements. Providing firms with bidding assistance, such as holding mock workshops on the bidding process or providing assistance with plan reading, bidding and estimating, job costing, and writing/designing statements of qualifications (SOQs). Assisting firms in using technology, such as electronic bidding, Web site development, and conducting business over the Internet. Providing firms with one-on-one business reviews and/or technical assistance. Providing training classes and technical education. ADMINISTRATIVE SUPPORT 3. Following are some common administrative support strategies used to encourage DBE participation in highway contracting and meet federal DBE participation goals. Please rate on a scale of 1 to 5 the effectiveness of each strategy that your agency has used (1 = Not at all effective, 2 = Somewhat effective, 3 = Effective, 4 = Very effective, 5 = Extremely effective) or click the "Have not used" button. Unbundling contracts (breaking large contracts into multiple smaller contracts) to allow and encourage DBEs to bid as prime contractors or quote on subcontracts. Requiring pre-bid registration by prime contractors so that DBE subcontractors and suppliers know to whom to submit their quotes. Facilitating mentor/protg programs (in which established contractors assist smaller, developing firms). Arranging solicitations, quantities and specifications, presentation times, and/or delivery schedules to facilitate DBE and small business participation. Collecting data on DBE participation that exceeds contract goal requirements or that is achieved on contracts with no DBE par- ticipation goals. Streamlining the DBE certification process. Limiting certain small contracts to proposals by small firms only. MARKETING/OUTREACH 4. Following are some common marketing and outreach strategies used to encourage DBE participation in highway contracting and meet federal DBE participation goals. Please rate on a scale of 1 to 5 the effectiveness of each strategy that your agency has used (1 = Not at all effective, 2 = Somewhat effective, 3 = Effective, 4 = Very effective, 5 = Extremely effective) or click the "Have not used" button. Branding, marketing, and publicizing the state's DBE programs; creating a DBE directory; and/or providing information through outreach events, publications, Web sites and other vehicles. Publishing newsletters reaching out to DBEs (for example, publicizing contracting or subcontracting opportunities, small busi- ness programs, benefits, and training; outlining laws and regulations affecting small businesses). Facilitating meetings and networking between DBEs and prime contractors and technical assistance partners. Notifying DBEs of new construction projects by e-mail. Providing bidders list to DBEs so they can seek subcontracting opportunities. Publicizing new DBE firms to prime contractors via newsletter or e-mail. Partnering with local jurisdictions (such as counties and cities) for outreach and training efforts. Conducting outreach to firms identified during an availability or disparity study.

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35 FINANCIAL ASSISTANCE 5. Following are some common financial assistance strategies used to encourage DBE participation in highway contracting and meet federal DBE participation goals. Please rate on a scale of 1 to 5 the effectiveness of each strategy that your agency has used (1 = Not at all effective, 2 = Somewhat effective, 3 = Effective, 4 = Very effective, 5 = Extremely effective) or click the "Have not used" button. Assisting DBEs with bonding and financing. Participating in loan mobilization programs (assisting banks in providing loans to DBEs). ADDITIONAL MEASURES 6. (Optional) Please list any additional race-neutral strategies that your agency has used that are innovative or have been very effective--those that you would rate a 4 or 5 on a five-point scale of effectiveness. (Per federal regulations, a race-neutral mea- sure or program is one that is or can be used to assist all small businesses. For the purposes of this definition, race-neutral includes gender-neutrality.) 7. (Optional) Please list any additional race-neutral strategies that your agency has used that have been ineffective--those that you would rate a 1 or 2 on a five-point scale of effectiveness. 8. (Optional) For one or two strategies that your agency has used, please briefly list the characteristics that made the strategy success- ful or unsuccessful, and/or the challenges you encountered in implementing the strategy. PROBLEMS AND CHALLENGES IN MEETING DBE GOALS 9. Following are some common problems or challenges faced by states in meeting their goals for DBE participation in highway con- tracting. Please rate on a scale of 1 to 5 the degree to which each problem or challenge has affected your state's DBE efforts (1 = Not a problem at all, 2 = A minor problem, 3 = A problem, 4 = A significant problem, 5 = A severe problem) or click the "Don't know" button. DBEs' inability to obtain bonding. DBE firms' lack of access to capital and/or cash flow issues. DBE firms' lack of experience/skill at managing a business. Lack of DBEs certified or experienced in certain work areas (such as ITS or the full spectrum of construction work). DBE firms' lack of equipment necessary to meet contract/subcontract requirements. Lack of interest among DBE firms in participation in highway contracts. Lack of interest among DBE firms in becoming certified due to required paperwork. Lack of interest among DBE firms in participating in Supportive Services programs. Lack of DBE firms that work as prime contractors. Goals are set at levels that cannot reasonably be met with the existing DBE pool. Established, successful DBE firms that are leaving the program or retiring are not being replaced by an equal number of newer firms. Larger, more established DBEs overshadow newly emerging DBEs, making it difficult for new firms to grow. Lack of commitment, cooperation, or follow-through on the part of prime contractors in using DBE subcontractors. Prime contractors not willing to work with new DBE firms (for example, because primes have existing relationships with certain DBE firms or because of uncertainty about new firms' skills).

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36 Uncertainty among DBEs in how to expand their businesses. Challenges related to external factors, such as economic conditions or rising fuel costs. Administrative challenges (budget constraints, lack of staff). Internal agency challenges (lack of support or attention from upper management, bureaucracy, agency reluctance to alter method of procuring contracts or to unbundle contracts planned in advance). Challenges related to working with FHWA. ADDITIONAL PROBLEMS AND CHALLENGES 10. (Optional) Please list any additional problems or challenges (not listed above) that your agency has encountered. 11. (Optional) For one or two of the challenges listed on this page, please briefly describe what ideas you have tried or considered for overcoming these problems. IMPLEMENTING RACE-NEUTRAL STRATEGIES 12. Has your agency surveyed DBE firms (either through a formal survey or by informally gathering feedback) about which race- neutral strategies have been most helpful to them? No Yes (optional: please describe your efforts) 13. Has your state requested a waiver from FHWA that allows you to use race-conscious measures to target certain subgroups? No Yes (optional: please describe your request) 14. Did FHWA approve your waiver(s)? Yes No Approval pending 15. Does your agency have partnerships with other state DOTs or other agencies within your state to encourage or promote expansion of DBEs on government contracts? Yes No 16. Does your agency have partnerships with industry (contractors and consultants) to encourage the growth of DBEs? Yes No 17. Have you taken race-neutral measures to bring DBEs into the full range of highway contracting activities (as opposed to just certain areas, such as traffic control or landscaping)? No Yes (optional: please describe your efforts)

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37 18. Have you had compliance issues with contractors? No Yes (optional: please describe these issues) 19. Have you had fraud problems with contractors? No Yes (optional: please describe these issues) 20. Have you had compliance issues with DBE firms? No Yes (optional: please describe these issues) 21. Have you had fraud problems with DBE firms? No Yes (optional: please describe these issues) USING 100% RACE-NEUTRAL MEASURES 22. Does your state use 100% race-neutral measures to meet DBE goals, either because you are subject to the Ninth Circuit Court of Appeals decision or because your state has independently decided to do so? [If a respondent answered No, they were skipped to Question 28.] Yes No 23. What prompted your state to use 100% race-neutral measures to meet its goals for DBE participation? Ninth Circuit Court of Appeals decision Other (please describe) 24. Has your state completed an availability or disparity study? No Yes (please give year of completion) If your state is affected by the Ninth Circuit Court of Appeals decision, please answer the remaining questions on this page (ques- tions 2527). Otherwise, please scroll to the bottom of the page and press "Click to Next Page." 25. After the court's decision was handed down and your state began using solely race-neutral strategies, which strategies had the greatest immediate impact on helping your state meet its DBE participation goals? 26. Did eliminating all race-conscious measures affect your state's ability to meet its goals for DBE participation? If so, did the level of DBE participation increase or decrease after you eliminated race-conscious measures? DBE participation increased DBE participation decreased DBE participation did not change 27. If similar court decisions occur in other areas of the country in the future, what advice would you give to states that are just begin- ning to use solely race-neutral measures?

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38 ADDITIONAL COMMENTS AND MATERIALS 28. If you have any additional comments on any aspect of implementing race-neutral measures in a DBE program, please use this space to enter them. If you believe your agency has successful practices that would benefit other agencies or could serve as a case study for inclusion in this project's final report, please indicate that and we'll contact you. If you have documents or materials (forms, brochures, newsletters, manuals, etc.) that might be useful to other states in implementing new strategies, please e-mail them to andrea.thomas@ctcandassociates.com or provide links to the resources online in the space below. If you prefer, you may upload files using the "Browse" button below. Thank you for taking this survey. Your response will aid other DOTs in their efforts to implement race-neutral measures, and will help advance the state of the practice nationwide.