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Colette Holt & Associates
Transportation Research BoardTransportation Research Board2014 Annual Meeting2014 Annual Meeting
Disadvantaged Business Enterprise Disadvantaged Business Enterprise CommitteeCommittee
Identifying Successful Practices in Identifying Successful Practices in thethe
FHWA DBE ProgramFHWA DBE Program
National Cooperative Highway Research National Cooperative Highway Research Project 20-95Project 20-95
Colette Holt & AssociatesColette Holt & Associates
13 January 201413 January 2014
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Research TeamResearch Team
Colette Holt & Associates (certified DBE & MWBE)Colette Holt & Associates (certified DBE & MWBE) Colette Holt, JD – Project Manager & Legal Counsel
Nationally recognized expert, educator & author on D/S/M/WBE issues
Conducted court-approved disparity studies & designed court-approved D/S/M/WBE programs for over 20 years
Expert for USDOJ in defense of the SBA 8(a) program Expert for SDOTs & other agencies in defense of D/M/WBE
programs Co-authored National Academy of Sciences Transportation
Research Board’s “Guidelines for Conducting a Disparity and Availability Study for the Federal DBE Program”
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Research TeamResearch Team
Colette Holt & AssociatesColette Holt & Associates Robert Ashby, JD – Legal &Program Analysis,
Stakeholder Outreach & Community Education Deputy General Counsel for Regulations & Enforcement for the
USDOT; counseled the Department for over 37 years Responsible for all DOT DBE regulations; advising state, local
and federal officials concerning DBE certification, goal setting and other DBE issues; and serving as liaison with the Department of Justice on DBE matters
Qualified expert witness; has offered testimony in federal courts on issues related to the USDOT DBE Program
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Research Research TeamTeam
Colette Holt & AssociatesColette Holt & Associates Steven Pitts, Ph.D. – Economist & Statistician
Nationally recognized expert, educator & author on market issues regarding minorities for over 20 years
Associate Chair of the University of California at Berkeley’s Center for Labor Research & Education
Extensive experience using large databases, including Census Bureau files, to perform statistical analyses of labor & employment issues
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Research TeamResearch Team
Abaci Research & Consulting, LLCAbaci Research & Consulting, LLC Kim Stewart, MS – Quantitative &qualitative data
collection Most experienced researcher in the country on identifying,
collecting & preparing data for statistical analysis specifically for Disparity Studies & D/M/WBE program analysis
Extensive experience identifying & collecting data from agencies, prime contractors & subcontractors
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Research ObjectivesResearch Objectives
Identify Best Practices in the DBE Program to Identify Best Practices in the DBE Program to FacilitateFacilitate Broad participation of DBEs in SDOT contracts Successful “graduation” from the program Survivability outside the program
Address RFP Questions Concerning GraduatesAddress RFP Questions Concerning Graduates What are the numbers & percentage of DBEs who have
graduated in the last 5-10 years? What were the industry distributions of graduates?
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Research Objectives, cont.Research Objectives, cont.
How many have graduated for exceeding the PNW vs. the size cap?
How many graduates appealed decertification? What are successful graduates’ key characteristics? What has been firms’ experiences since graduation? What are the most important supportive services & what
additional services would be helpful?s
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Research Objectives, cont.Research Objectives, cont.
Address RFP Questions Concerning All DBEsAddress RFP Questions Concerning All DBEs What are the numbers & distribution of successful
awardees by industry; size; minorities versus white females?
What are impediments & disincentives to graduate? What are the characteristics & performance measures of
successful non-graduated DBEs? What supportive services are most important & what
additional services would be helpful?
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Research Objectives, cont.Research Objectives, cont.
Address RFP Questions Concerning PrimesAddress RFP Questions Concerning Primes What are the most commonly subcontracted items? Are primes aware of the SDOT’s DBE goal? How many different DBEs are used? How are subs selected? What information, methods & incentives would encourage
them to use new subs? Does the use of DBEs vary by the prime’s size &
industry? What is the effect of graduation on the use of DBEs?
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RFP Recommendation TopicsRFP Recommendation Topics
Best practices to expand the participation of DBEsBest practices to expand the participation of DBEs Effective supportive servicesEffective supportive services Effective management practices & approaches to Effective management practices & approaches to
support program successsupport program success DBE performance measuresDBE performance measures Effective data management practices to support Effective data management practices to support
programsprograms Further research to facilitate program Further research to facilitate program
improvementsimprovements
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Research Research PlanPlan
Survey SDOTs to Obtain:Survey SDOTs to Obtain: Information about all DBEs
Distribution across industries Information about gross receipts Racial, ethnic & gender breakdown of DBEs Likely DBE subcontracting industries Average DBE’s length of time in the program
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Research Research Plan, cont.Plan, cont.
Information about graduated DBEs Number & percentage who have graduated Basis for graduation: gross receipts &/or PNW Number & rate of appeals
Information about supportive services Types of services Mentor-protégé programs Participation rates Effectiveness of approaches
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Research Research Plan, cont.Plan, cont.
Information about successful DBEs Graduated DBEs & still eligible firms Entrepreneurial success factors
Industry networks Supportive services programs Bonding & capital access Access to prime contract opportunities Mentor-protégé programs
Suggestions for enhancing DBE opportunities & graduation rates
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Research Research Plan, cont.Plan, cont.
Survey DBEs to Obtain:Survey DBEs to Obtain: Information about the firm
Industry Size Location Years in business Racial, ethnic & gender ownership Work as prime, sub or both
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Research Research Plan, cont.Plan, cont.
Information about graduation status Has it graduated
NAICS codes Basis: gross receipts or PNW
Appealed the decision Experiences since graduation If it still eligible, what factors impede graduation
Experiences with supportive services Types of services Types of service providers Most & least helpful
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Research Research Plan, cont.Plan, cont.
Program suggestions Impediments to graduation Impediments to success Suggestions for SDOTs to:
Increase opportunities Encourage primes to use DBEs, unfamiliar DBEs &
graduated firms
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Research Research Plan, cont.Plan, cont.
Survey Prime Contractors & Consultants to Obtain:Survey Prime Contractors & Consultants to Obtain: Information about the firm
Industry Size Location Years in business Racial, ethnic & gender ownership Work as prime, sub or both
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Research Research Plan, cont.Plan, cont.
Utilization of subcontractors DBEs & non-DBEs
Scopes of work Size of contracts Criteria for subcontractor selection
Experiences with the DBE program Awareness of SDOT’s overall goal Utilization of graduated DBEs Solicitation factors for DBEs, unfamiliar DBEs & graduated
firms Market forces affecting DBEs, small firms & new market
entrants
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Research Research Plan, cont.Plan, cont.
Survey Supportive Services Consultants to Obtain:Survey Supportive Services Consultants to Obtain: DBEs served
Number/year Distribution by size, industry & years in business Number that have graduated during last 5 years
Services offered Types Most utilized Most helpful
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Research Research Plan, cont.Plan, cont.
Gather Data from Disparity StudiesGather Data from Disparity Studies Summarize DBE utilization by industries & race, ethnicity
& gender Review qualitative evidence
Traits of successful DBEs Effects of graduation Barriers to graduation Access to prime contracting opportunities Barriers to using new or unfamiliar DBEs
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Research Research Plan, cont.Plan, cont.
Review DBE program best practices Management structures Race-neutral measures Data collection & monitoring systems Program success measures
Gather data from other sourcesGather data from other sources TRB reports Literature on entrepreneurial success USDOT guidance, handbooks, etc. Industry presentations & reports
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Research Research Plan, cont.Plan, cont.
Produce Interim ReportProduce Interim Report Interview DBEsInterview DBEs
Selected for industry, location, race, ethnicity & gender Questions similar to surveys
Interview Prime ContractorsInterview Prime Contractors Selected for industry & location Questions similar to surveys
Interview SDOT PersonnelInterview SDOT Personnel Questions similar to surveys
Draft Preliminary & Final ReportsDraft Preliminary & Final Reports
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Anticipated Research ResultsAnticipated Research Results
Best PracticesBest Practices Expanding the industries & disadvantaged subgroups in
the DBE program Enhancing the factors supporting DBEs’ success Program design, structure, resources & management Effective Business Development services Performance measures for DBE growth & success in the
program & external markets Suggestions for Additional Research & Program Suggestions for Additional Research & Program
Data CollectionData Collection
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Implementation PlanImplementation Plan
Identify the Specific AudienceIdentify the Specific Audience Assess Potential Impediments to Successful Assess Potential Impediments to Successful
AdoptionAdoption Identify Potential LeadersIdentify Potential Leaders Determine Activities Necessary for Successful Determine Activities Necessary for Successful
ImplementationImplementation Develop Criteria for Measuring Progress & SuccessDevelop Criteria for Measuring Progress & Success
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Research ChallengesResearch Challenges
Obtaining Data from SDOTsObtaining Data from SDOTs Who has “graduated” & on what basis? Who has accessed supportive services & what was the
outcome? How to determine primes’ use of “new” firms, “graduated”
DBEs & make comparisons with non-DBEs? Obtaining Data from DBEsObtaining Data from DBEs
How to identify firms no longer in the programs? How to create pools of firms across industries, locations,
size, age, etc.?
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Research ChallengesResearch Challenges
Obtaining Data from PrimesObtaining Data from Primes How to increase cooperation (“what’s in it for them?”)? How to gather data on primes’ use of “new” firms,
“graduated” DBEs & comparisons with non-DBE subcontractors?
How to create pools of firms across industries, locations, size, age, etc.?
Obtaining Data from Supportive Services ProvidersObtaining Data from Supportive Services Providers What have been the SDOT’s record keeping
requirements? What, if any, success rubrics have been applied?
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Colette HoltColette Holt
3350 Brunell Drive3350 Brunell Drive
Oakland, CA 94602Oakland, CA 94602
773.255.6844773.255.6844
[email protected]@mwbelaw.com
www.mwbelaw.comwww.mwbelaw.com