Current Practices to Set and Monitor DBE Goals on Design-Build Projects and Other Alternative Project Delivery Methods (2015)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

50 APPENDIX A Structured Telephone Interview Guide for State Departments of Transportation This document serves as a rough interview guide. Actual interviews will vary depending on the history of design-build at that state DOT and the knowledge and experience of the interviewee. We may also change or add questions for the particular state transportation department depending upon what we know about the state DOT prior to the interviews. INTRODUCTORY INFORMATION The National Cooperative Highway Research Program (NCHRP) Transportation Research Board is conducting a study of the Federal DBE Program and alternative delivery method projects such as design-build, CMAR/CMGC, or P3. This study will review methods and approaches used and issues that state departments of transportation face when setting DBE contract goals and monitoring compliance on alternative project delivery methods. Keen Independent Research is the outside consultant directing the study. Keen Independent is contacting representatives from state DOTs to better understand use of alternative delivery methods by states and identify states for further investigation concerning application of the Federal DBE Program on past and current projects. INTERVIEW GUIDE 1. What has been your personal experience with design-build, CMAR/CMGC or P3 projects? (Probe for whether involved and at what level, and with current agency or another.) 2. Our research indicates the following concerning whether there is legislation in your state that allows your state trans- portation department to use the following types of alternative delivery methods for projects. – Design-build (combines design services and construction in a single contract). – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC), which provide flexibility to involve a construction manager or contractor across both the design and construction phases of a project. – Public-private partnerships (P3s). P3 projects involve a private sector entity working and contracting with the government agency in the design, construction, operation, maintenance and financing of projects. Other comments concerning this question: __________________________ 3. Our research indicates that your state DOT has used the following types of alternative delivery methods for projects (including projects that have not yet been bid). – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) Other comments related to this question: ____________________________ 4. Was FHWA or other federal money used to at least partially fund those project(s)? – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3)

51 5. Were DBE contract goals set for any of the federally funded alternative delivery method project(s)? – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) 6. Has your state DOT completed any of those alternative delivery method projects? – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) 7. About how many U.S.DOT-funded alternative delivery method projects has your state DOT completed since 2000? (Estimates are acceptable.) – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) 8. About how many other U.S.DOT-funded alternative delivery method projects has your state DOT initiated (including pre-award) that are not yet complete? – Design-build – Construction Manager at Risk (CMAR) and/or Construction Manager/General Contractor (CMGC) – Public-private partnership (P3) 9. Have any of your sub-recipients (cities, counties, regional transportation agencies, or others) had U.S.DOT-funded alternative delivery method projects where they applied the Federal DBE Program? – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) 10. Have any of those sub-recipient projects been completed? – Design-build – Construction manager at risk (CMAR) and/or construction manager/general contractor (CMGC) – Public-private partnership (P3) 11. In general, are there components of the Federal DBE Program that are challenging to apply to alternative delivery method projects? Which ones? 12. Thinking about your current or recent experiences, at what point in the project planning process is application of the DBE Program considered and/or DBE Program staff involved? (At very beginning, just when need to set a goal, etc.) 13. What is your general methodology for setting goals for alternative delivery method projects? Is it any different from traditional construction contracts? Do you set a goal at the beginning that covers the entire project? Different goals for design and construction phases? 14. How do you monitor whether the prime is complying with the Federal DBE Program in the course of an alternative delivery method project?

52 15. Is your application of the Federal DBE Program to any of these alternative delivery method projects any different from traditional design-bid-build projects? If so, how? 16. What have you learned from the experience applying the Federal DBE Program to any of these projects that will help you or others with future projects? 17. Are there consequences for the prime contractor if it does not comply with the Program? What teeth does your agency have to encourage or require compliance? (e.g., contract remedies such as liquidated damages) 18. Any additional comments about any federally funded alternative delivery method projects? 19. Any other comments or insights as we begin this study? 20. What information from this study would be most helpful to you? 21. Who should we talk to at your agency in order to learn more about the DBE program on these alternative delivery method projects? (And please provide contact information, including phone number and e-mail.) _____________________________________________________________ Phone: ________________________________________________________ E-mail: _______________________________________________________ 22. What about any prime contractors or DBEs, or others in your state? (Get names and contact info.) _____________________________________________________________