State Department of Transportation Small Business Programs (2013)

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APPENDIX E Survey Questionnaire 43 NCHRP SYNTHESIS TOPIC 43-08 DBE SMALL BUSINESS PROGRAMS Introduction The Transportation Research Board (TRB) is preparing a synthesis on Topic 43-08, “DBE Small Business Programs.” This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration (FHWA). The project’s goal is to gather and synthesize existing state DOT transportation-related small business programs and identify successful strategies that maximize DBE program achievements through race-neutral measures. 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 § 26.39(a), the regulation states: “Your DBE program must include an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors.” This survey focuses only on Small Business Programs included as part of FHWA DBE Programs and only on race-neutral means, which are aimed at removing barriers and enhancing opportunities for all small businesses, both DBEs and non- DBEs. This project’s final report will be available in late 2012 for state DOTs and other agencies to use as a tool in meeting the recent revision to 49 CFR § 26 that requires state DOTs to include a small business element in their DBE program plan to facilitate participation on federally assisted contracts for all small businesses, including DBEs. This online survey is a key component of the project. Much of the survey consists of multiple choice questions and a few questions ask you to rate on a 1 to 5 scale the effectiveness of some methods of small business participation used by your agency. A few questions ask for additional details, 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. 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. This questionnaire is being sent to U.S. state DOTs. Your cooperation in completing the questionnaire will ensure the success of this effort. If you are not the appropriate person at your agency to complete this questionnaire, please forward it to the correct person. We estimate that it should take approximately 10 minutes to complete. If you have any questions, please contact our principal investigators Deirdre Kyle or Debbie Griffin via e-mail or by calling 904-757- can be sent directly to these contacts by e-mail or at the postal address shown at the end of the survey. 9300. Any supporting materials

44 QUESTIONNAIRE INSTRUCTIONS 1. To view and print the entire questionnaire, click on the following link and print using “control p” DBE Small Business Program Survey. 2. To save your partial answers and complete the questionnaire later, click on the “Save and Continue Later” link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be e-mailed to you from SurveyGizmo. To return to the questionnaire later, open the e-mail from SurveyGizmo and click on the link. 3. To pass a partially completed questionnaire to a colleague, click on the on the “Save and Continue Later” link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be e-mailed to you from SurveyGizmo.” Open the e-mail from SurveyGizmo and forward it to a colleague. 4. To view and print your answers before submitting the survey, click forward to the page following question 42. Print using “control p.” 5. To submit the survey, click on “Submit” on the last page. Thank you very much for your time and expertise. Contact Information 1) Please provide your name and contact information. This information is required, but will be kept confidential and will not be associated 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*: ______________________________________________ Suite: _______________________________________________________ City*: _______________________________________________________ State*: ______________________________________________________ Zip Code*: ___________________________________________________ Country: _____________________________________________________ E-mail Address*: ______________________________________________ Phone Number*: ______________________________________________ Fax Number: _________________________________________________ Mobile Phone: ________________________________________________ URL: _______________________________________________________ Disadvantaged Business Enterprise (DBE) Program Plan 2) Do you have a Disadvantaged Business Enterprise (DBE) Program Plan? ( ) Yes ( ) No ( ) Don’t know 3) When was it approved by the Federal Highway Administration (FHWA)? ( ) Date (MM/DD/YYYY): _____________________________________ ( ) Still waiting ( ) Don't Know

45 4) Approximately how many firms are currently certified to participate in your DBE Program? ( ) <100 ( ) 100–200 ( ) 200–300 ( ) 300–400 ( ) 400–500 ( ) 500–600 ( ) 600–700 ( ) 700–800 ( ) 800–900 ( ) 900–1,000 ( ) 1,000–1,250 ( ) 1,250–1,500 ( ) 1,500–1,750 ( ) 1,750–2,000 ( ) Greater than 2,000 ( ) Don’t know 5) Is your agency DBE Liaison Officer (DBELO) actively involved in implementing the DBE Program Plan? ( ) Yes ( ) No ( ) Don’t know 6) Does your State DOT DBE Program Plan include an element to facilitate participation of all small businesses, including DBEs, on federally assisted contracts? ( ) Yes (Federal Aid Projects) ( ) No ( ) Don’t know 7) Does the DBE Program Plan’s small business element apply to Local Public Agencies that receive federal funds? ( ) Yes ( ) No ( ) Don’t know 8) February 28, 2012, was the deadline to submit Small Business Element plans to FHWA. When do you anticipate your agency to implement this new program? ( ) January–March 2012 ( ) April–June 2012 ( ) July–September 2012 ( ) October–December 2012 ( ) Don’t know (please explain): Small Business Program 9) Did/does your state require legislative action to implement your SBE program? ( ) Yes ( ) No ( ) Don’t know

46 10) How long did/will it take for the legislature to approve? ( ) 1 year ( ) 2 years ( ) More than 2 years ( ) Did not approve ( ) Don’t know 11) Please let us know if there are any state legislative or legal impediments to implementing an SBE program in your organization. _________________________________________________________________________ 12) Will your agency DBE Liaison Officer (DBELO) be involved in the implementation of an SBE program? ( ) Yes ( ) No ( ) Don’t know 13) Does your organization currently have any type of small business program other than a race-conscious DBE Program? ( ) Yes ( ) No ( ) Don't Know Small Business Program 14) Following are some common small business race-neutral participation programs that have been implemented by various state DOTs to facilitate participation of federally assisted contracts for all small businesses, including DBEs. Please select the name of your program. ( ) Emerging Small Business Program ( ) Emerging Small Business Enterprise Program ( ) Small Business Enterprise Program ( ) Small Business Program ( ) Micro-Small Business Program ( ) Other (Please provide name of program): _________________________________________ 15) How long has the program been in place? ( ) <6 months ( ) 6–12 months ( ) 1 year–5 years ( ) > 5 years ( ) Don’t know 16) ( ) Yes ( ) Don’t know ( ) No (please provide a definition of your agency’s Small Business Program): __________________________ Does your program’s definition of small business mirror the definition set out in 49 CFR Part 26? (Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a business with gross receipts averaged over a three-year period that do not exceed the size standards set forth in 13 CFR Part 121 associated with the type of business it performs on federally-assisted contracts, but in no case exceeds $22.41 million as specified in §26.65(b)).

47 17) Is there a personal net worth requirement for your Small Business Program? If so, does it conform with the PNW limit of $1.32 million as set forth in the DBE program? ( ) Yes ( ) No ( ) Don’t know 18) What is the personal net worth requirement for your Small Business Program? ( ) $1,320,000 ( ) $750,000 to $1,319,999 ( ) $500,000 to $749,999 ( ) $250,000 to $499,999 ( ) Less than $250,000 ( ) Don’t know Small Business Program 19) What is the overall estimated annual cost of the Small Business Program (including staffing requirements)? ( ) Less than $50,000 ( ) $50,001 to $100,000 ( ) $100,001 to $200,000 ( ) $200,001 to $300,000 ( ) $300,001 to $500,000 ( ) $500,001 to $750,000 ( ) Greater than $750,000 ( ) Don’t know 20) Is there a certification process in place for the Small Business Program; e.g., does your staff confirm firm size and/or PNW if applicable? ( ) No ( ) Don’t know ( ) Yes (please describe this process): ________________________________________ 21) Does an online directory exist for the Small Business Program? ( ) Yes ( ) No ( ) Don’t know 22) Approximately how many firms are currently certified to participate in the Small Business Program? ( ) <50 ( ) 50–100 ( ) 101–150 ( ) 150–200 ( ) 201–300 ( ) 301–500 ( ) Greater than 500 ( ) Don’t know

48 23) Are current certified DBEs automatically qualified to participate in the Small Business Program? ( ) Yes ( ) Don’t know ( ) No (please explain): ________________________________________ Methods Used to Foster Small Business Participation 24) [ ] Structuring contracting requirements to facilitate competition by small business concerns. [ ] Unbundling of contract requirements to facilitate small business participation in procurements as prime contractors or subcontractors. [ ] Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1 million). [ ] In multi-year design-build contracts or other large contracts (e.g., for “megaprojects”) requiring bidders on the prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses, including DBEs, can reasonably perform. [ ] On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved. 25) If your agency restricts or sets aside projects for small business participation only, what is the approximate dollar threshold for those projects? ( ) $25,000 ( ) $50,000 ( ) $100,000 ( ) $250,000 ( ) $500,000 ( ) $500,001–$1 million ( ) Over $1 million ( ) Do not have restricted projects ( ) Don’t know 26) 1 2 3 4 5 Have not used Structuring contracting requirements to facilitate competition by small business concerns. ( ) ( ) ( ) ( ) ( ) ( ) Unbundling of contract requirements to facilitate small business participation in procurements as prime contractors or subcontractors. ( ) ( ) ( ) ( ) ( ) ( ) Establishing a race-neutral small business set- aside for prime contracts under a stated amount (e.g., $1 million). ( ) ( ) ( ) ( ) ( ) ( ) In multi-year design-build contracts or other large contracts (e.g., for “megaprojects”) requiring bidders on the prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses, including DBEs, can reasonably perform. ( ) ( ) ( ) ( ) ( ) ( ) Please rate on a scale of 1 to 5 the effectiveness of each method that is used by your agency to foster small business participation (1 = Not at all effective, 2 = Somewhat effective, 3 = Effective, 4 = Very effective, 5 = Extremely effective) or click the “Have not used” button. Following are methods for fostering small business participation which are explicitly mentioned in the 49 CFR § 26.39 regulatory guidelines. Please indicate any that are currently used by your agency. (Please check as many as appropriate.)

49 On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved. ( ) ( ) ( ) ( ) ( ) ( ) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts. ( ) ( ) ( ) ( ) ( ) ( ) Ensuring that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. ( ) ( ) ( ) ( ) ( ) ( ) Range of Contract Sizes Over the Last Five Years 27) Over the last five (5) years, please indicate the average size of prime construction contracts awarded: ( ) $500,000 or less ( ) $500,001 to $1,000,000 ( ) $1,000,001 to $5,000,000 ( ) $5,000,001 to $10,000,000 ( ) Over $10,000,000 ( ) Don’t know 28) Over the last five (5) years, please indicate the average size of construction subcontracts in place on construction contracts: ( ) $150,000 or less ( ) $150,001 to $350,000 ( ) $350,001 to $750,000 ( ) $750,001 to $1,000,000 ( ) $1,000,001 to $5,000,000 ( ) Over $5,000,000 ( ) Don’t know 29) Over the last five (5) years, please indicate the average size of prime consultant contracts awarded: ( ) $500,000 or less ( ) $500,001 to $1,000,000 ( ) $1,000,001 to $5,000,000 ( ) $5,000,001 to $10,000,000 ( ) Over $10,000,000 ( ) Don’t know 30) Over the last five (5) years, please indicate the average size of consultant subcontracts in place on consultant contracts: ( ) $150,000 or less ( ) $150,001 to $350,000 ( ) $350,001 to $750,000 ( ) $750,001 to $1,000,000 ( ) $1,000,001 to $5,000,000 ( ) Over $5,000,000 ( ) Don’t know 1 2 3 4 5 Have not used

50 Contracting Process 31) Who in your agency decides how a construction contract will be structured for letting? ( ) Highway Construction/Engineering Contracting ( ) Procurement/Purchasing ( ) Other (please describe): __________________________________ 32) Who in your agency decides how an architectural/engineering (A&E) contract will be structured for letting? ( ) A&E/Professional Services Contracting ( ) Procurement/Purchasing ( ) Other (please describe): __________________________________ 33) How is the size of a contract determined? Please explain. _________________________________________________________________________ 34) What dictates the size of a project? ( ) Engineer’s estimate of project ( ) Budget ( ) Other (please describe): __________________________________ Challenges in Facilitating Small Business Participation 35) 1 2 3 4 5 Don’t Know 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). ( ) ( ) ( ) ( ) ( ) ( ) 36) Please provide information regarding other challenges faced by your agency: _________________________________________________________________________ Small Business Program Supportive Services 37) Please indicate all applicable supportive services that are provided by your Agency to help only small businesses, including DBEs compete on contracts: [ ] Currently only provide supportive services to DBE certified firms. [ ] Provide firms with business development assistance, such as marketing and training assistance or help with business management, business plans, or financial statements. [ ] Provide 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). [ ] Assist firms in using technology, such as electronic bidding, Web site development, and conducting business over the Internet. Following are some common challenges faced by states in implementing a small business program or facilitating small business participation. Please rate on a scale of 1 to 5 the degree to which each challenge has affected your states small business participation efforts (1 = Not a problem at all, 2 = A minor problem, 3 = A problem, 4 = A significant problem, 5 = A severe problem).

51 [ ] Provide firms with one-on-one business reviews and/or technical assistance. [ ] Provide training classes and technical education. [ ] Other (please provide additional information below): 38) Does your Agency fund a supportive services program for non-DBE firms? ( ) Yes ( ) No ( ) Don’t Know 39) How are supportive services funded? [ ] State funds [ ] Local funds [ ] Other Additional Comments and Materials 40) If you know of any local government, who has a small business program, please identify the agency and a contact if available. ________________________________________________________________________ 41) If you have any additional comments on any aspect of implementing a small business program that facilitates toparticipation of federally assisted contracts for all small businesses, including DBEs, please use this space enter them. Thank You! Thank you for taking this survey. Your response will aid other DOTs in their efforts to implement a small business program that facilitates participation of federally assisted contracts for all small businesses, including DBEs. If you have any questions or comments, please feel free to contact the principal investigators. Deirdre Kyle E-mail: ddkyle@dwilsongroup.net Phone: (904) 757-9300 Mailing Address: 14816 Amelia View Drive Jacksonville, FL 32226 Debbie Griffin E-mail: dgriffin@dwilsongroup.net Phone: (904) 945-1647 Mailing Address: 14816 Amelia View Drive Jacksonville, FL 32226