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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/22112.
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92+ pages; Perfect Bind with SPINE COPY = 14 pts Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 481 N CH R P SYN TH ESIS 481 Current Practices to Set and M onitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery M ethods NEED SPINE WIDTH Job No. XXXX Pantone 202 C TRANSPORTATION RESEARCH BOARD 500 F ifth S treet, N .W . W ashing to n, D .C . 20001 A D D R ESS SER VICE R EQ UESTED TRB A Synthesis of Highway Practice

NEED SPINE WIDTH TRANSPORTATION RESEARCH BOARD 2015 EXECUTIVE COMMITTEE* OFFICERS Chair: Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies, University of California, Davis Vice Chair: James M. Crites, Executive Vice President of Operations, Dallas/Fort Worth International Airport, TX Executive Director: Neil J. Pedersen, Transportation Research Board MEMBERS VICTORIA A. ARROYO, Executive Director, Georgetown Climate Center; Assistant Dean, Centers and Institutes; and Professor and Director, Environmental Law Program, Georgetown University Law Center, Washington, DC SCOTT E. BENNETT, Director, Arkansas State Highway and Transportation Department, Little Rock DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA MALCOLM DOUGHERTY, Director, California Department of Transportation, Sacramento A. STEWART FOTHERINGHAM, Professor, School of Geographical Sciences and Urban Planning, University of Arizona, Tempe JOHN S. HALIKOWSKI, Director, Arizona DOT, Phoenix MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort SUSAN HANSON, Distinguished University Professor Emerita, School of Geography, Clark University, Worcester, MA STEVE HEMINGER, Executive Director, Metropolitan Transportation Commission, Oakland, CA CHRIS T. HENDRICKSON, Professor, Carnegie Mellon University, Pittsburgh, PA JEFFREY D. HOLT, Managing Director, Bank of Montreal Capital Markets, and Chairman, Utah Transportation Commission, Huntsville GERALDINE KNATZ, Professor, Sol Price School of Public Policy, Viterbi School of Engineering, University of Southern California, Los Angeles MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence JOAN McDONALD, Commissioner, New York State DOT, Albany ABBAS MOHADDES, President and CEO, Iteris, Inc., Santa Ana, CA DONALD A. OSTERBERG, Senior Vice President, Safety and Security, Schneider National, Inc., Green Bay, WI SANDRA ROSENBLOOM, Professor, University of Texas, Austin HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN KIRK T. STEUDLE, Director, Michigan DOT, Lansing GARY C. THOMAS, President and Executive Director, Dallas Area Rapid Transit, Dallas, TX PAUL TROMBINO III, Director, Iowa DOT, Ames PHILLIP A. WASHINGTON, General Manager, Denver Regional Council of Governments, Denver, CO EX OFFICIO MEMBERS THOMAS P. BOSTICK (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC TIMOTHY P. BUTTERS, Acting Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. DOT ALISON JANE CONWAY, Assistant Professor, Department of Civil Engineering, City College of New York, NY, and Chair, TRB Young Members Council T. F. SCOTT DARLING III, Acting Administrator and Chief Counsel, Federal Motor Carrier Safety Administration, U.S. DOT SARAH FEINBERG, Acting Administrator, Federal Railroad Administration, U.S. DOT DAVID J. FRIEDMAN, Acting Administrator, National Highway Traffic Safety Administration, U.S. DOT LeROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC JOHN T. GRAY II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC MICHAEL P. HUERTA, Administrator, Federal Aviation Administration, U.S. DOT PAUL N. JAENICHEN, SR., Administrator, Maritime Administration, U.S. DOT THERESE W. McMILLAN, Acting Administrator, Federal Transit Administration, U.S. DOT MICHAEL P. MELANIPHY, President and CEO, American Public Transportation Association, Washington, DC GREGORY G. NADEAU, Acting Administrator, Federal Highway Administration, U.S. DOT PETER M. ROGOFF, Acting Under Secretary for Transportation Policy, Office of the Secretary, U.S. DOT MARK R. ROSEKIND, Administrator, National Highway Traffic Safety Administration, U.S. DOT CRAIG A. RUTLAND, U.S. Air Force Pavement Engineer, Air Force Civil Engineer Center, Tyndall Air Force Base, FL BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA GREGORY D. WINFREE, Assistant Secretary for Research and Technology, Office of the Secretary, U.S. DOT FREDERICK G. (BUD) WRIGHT, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC PAUL F. ZUKUNFT (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security * Membership as of February 2015. Abbreviations used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S.DOT United States Department of Transportation

TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org NAT IONAL COOPERAT IVE H IGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 481 Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration SubScriber categorieS Highways • Law • Policy • Society Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods A Synthesis of Highway Practice conSultantS David J. Keen and Linsay Edinger Keen Independent Research LLC Denver, Colorado Keith Wiener Holland & Knight LLP and Ed Salcedo GCAP Services, Inc.

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administra- tors and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in coop- eration with their state universities and others. However, the accelerat- ing growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Asso- ciation and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Research Coun- cil was requested by the Association to administer the research pro- gram 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 subject may be drawn; it possesses avenues of communication and cooperation with federal, state, and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objec- tivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. 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 contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Coop- erative Highway Research Program can make significant 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. NOTE: The Transportation Research Board of the National Acad- emies, the National Research Council, the Federal Highway Adminis- tration, the American Association of State Highway and Transportation Offi cials, and the individual states participating in the National Coop- erative Highway Research Program do not endorse products or manufac- turers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of this report. NCHRP SYNTHESIS 481 Project 20-05 (Topic 45-03) ISSN 0547-5570 ISBN 978-0-309-27191-2 Library of Congress Control No. 2015937578 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their manuscripts and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to repro- duce material in this publication for classroom and not-for-profit pur- poses. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMSCA, FTA, or Transit development Corporation endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any development or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transporta- tion Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Coopera- tive Highway Research Program do not endorse products or manufac- turers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America

THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine 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. Upon 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. C. D. Mote, Jr., 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, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau 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 Academy’s purposes 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. C. D. Mote, Jr., 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

TOPIC PANEL 45-03 MICHELE CARTER, Wisconsin Department of Transportation, Milwaukee OLIVIA FONSECA, Padilla and Associates, Inc., Sacramento, CA DOUGLAS GRANSBERG, Iowa State University, Ames FREDERICK HEJL, Transportation Research Board WALTER MUSE, Texas Department of Transportation, Austin SHAY PONQUINETTE, Virginia Department of Transportation, Richmond YVONNE G. SCHUMAN, Nevada Department of Transportation, Las Vegas RAYMOND S. TRITT, California Department of Transportation, Sacramento JERRY BLANDING, Federal Highway Administration, Baltimore, MD (Liaison) MARTHA G. KENLEY, Federal Highway Administration (Liaison) SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs CHRISTOPHER HEDGES, Manager, National Cooperative Highway Research Program EILEEN P. DELANEY, Director of Publications NCHRP COMMITTEE FOR PROJECT 20-05 CHAIR BRIAN A. BLANCHARD, Florida DOT MEMBERS STUART D. ANDERSON, Texas A&M University SOCORRO “COCO” BRISENO, California Department of Transportation CYNTHIA L. GERST, Ohio Department of Transportation DAVID M. JARED, Georgia Department of Transportation MALCOLM T. KERLEY, Virginia Department of Transportation (retired) JOHN M. MASON, JR., Auburn University CATHERINE NELSON, Salem, Oregon ROGER C. OLSON, Minnesota Department of Transportation BENJAMIN I. ORSBON, South Dakota Department of Transportation RANDALL R. “RANDY” PARK, Utah Department of Transportation ROBERT L. SACK, New York State Department of Transportation JOYCE N. TAYLOR, Maine Department of Transportation FRANCINE SHAW WHITSON, Federal Highway Administration FHWA LIAISONS JACK JERNIGAN MARY LYNN TISCHER TRB LIAISON STEPHEN F. MAHER

Highway administrators, engineers, and researchers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and unevaluated. As a con- sequence, 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 evaluating such useful information and to make it available to the entire highway commu- nity, 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 Proj- ect 20-5, “Synthesis of Information Related to Highway Problems,” searches out and syn- thesizes 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 measures found to be the most successful in resolving specific problems. This report reviews and synthesizes current practices and challenges that state depart- ments of transportation (DOTs) face as they set and monitor the Federal Disadvantaged Business Enterprise (DBE) program goals on design-build and other alternative delivery projects. This study focuses on key issues associated with DBE contract goals, including how requirements are established, how submissions are evaluated, how program compli- ance is monitored through the contract, and what mechanisms are available to state DOTs for enforcement. Information used in this study was acquired through a literature review, a compilation of documents relevant to state DOT practices, in-depth interviews with state DOT staff, and follow-up reviews. David J. Keen and Linsay Edinger, Keen Independent Research LLC, Denver, Colorado; Keith Wiener, Holland & Knight LLP; and Ed Salcedo, GCAP Services, Inc., collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. FOREWORD PREFACE By Tanya M. Zwahlen Consultant Transportation Research Board

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TRB’s National Cooperative Highway Research Program (NCHRP) Synthesis 481: Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods synthesizes current practices and challenges that state departments of transportation (DOTs) face as they set and monitor the Federal Disadvantaged Business Enterprise (DBE) program goals on design-build and other alternative delivery projects. This study focuses on key issues associated with DBE contract goals, including how requirements are established, how submissions are evaluated, how program compliance is monitored through the contracts, and what mechanisms are available to state DOTs for enforcement.

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