Goal Setting - Transportation.org · 2018-02-09 · Goal Setting and Implementation Purpose of Overall Goal and Project Goal Approaches to Calculate Goal 8 Minimum Requirements 49
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Goal Setting
Goal Setting and Implementation
Purpose of Overall Goal and Project Goal
249 C.F.R. 26.45
Goal Setting and Implementation
Purpose of Overall Goal and Project Goal
Approaches to Calculate Goal
349 C.F.R. 26.45
Goal Setting and Implementation
Purpose of Overall Goal and Project Goal
Approaches to Calculate Goal
8 Minimum Requirements
449 C.F.R. 26.45
Purpose of Overall Goal
Establish Anticipated Amount of DBE Participation on DOT-Assisted Projects
FAA/FHWA/FTA Recipients: annual goal reviewed every 3 years FTA TVMs: annual goal reviewed each year
549 C.F.R. 26.45
Purpose of Overall Goal
The goal percentage represents the amount of DBE participation that would be expected absent the effects of current and past discrimination
649 C.F.R. 26.45
Overall Goal and Project Goals
Same Substantive and Procedure Requirements
749 C.F.R. 26.45
Must Follow USDOT’s “Tips for Goal-Setting in the DBE Program” http://www.transportation.gov/osdbu/disadvantaged-business-enterprise/tips-goal-setting-disadvantaged-business-enterprise
Operating Administrations (OAs) reviewing goals Using Same Guidance
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OA reviews Recipient’s proposed overall goal and may adjust the goal or require the Recipient to adjust the goal if it believes the goal has not been correctly calculated or the methodology is inadequate
Recipient may operate under proposed goal prior to OA approval
Overall Goal and Project Goal
49 CFR 26.45 (f)(4) 9
Goal Setting and Implementation
Purpose of Overall Goal and Project Goal
Approaches to Calculate Goal
8 Minimum Requirements
1049 C.F.R. 26.45
Approaches to Calculate the DBE Goal
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5 Approaches toCalculate the DBE Goal
1. Census Data + DBE Directory
2. Bidders List—49 C.F.R. 26.45(c)(2)
3. Disparity Study Data
4. Goal from another DOT Recipient
5. Alternative Methods—49 C.F.R. 26.45(c)(5)
1249 C.F.R. 26.45
1349 C.F.R. 26.45
5 Approaches toCalculate the DBE Goal
1. Census Data + DBE Directory Determine ready, willing, and able DBEs in your market
area from the DBE Directory Determine ready, willing, and able non-DBEs in your
market area from the Census Data Determine all ready, willing, and able firms performing
work under the same NAICS codes Number of DBEs ÷ Number of all firms = Base figure for
relative availability
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5 Approaches toCalculate the DBE Goal
2. Bidders List—49 C.F.R.26.45(c)(2) Bidders from the past 3 years 26.11 Successful and unsuccessful biddersMechanism used to capture this data
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5 Approaches toCalculate the DBE Goal
3. Disparity Study Data Percentage figured derived from data
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5 Approaches toCalculate the DBE Goal
4. Goal from another DOT Recipient Same or substantially similar market Overall goal must be in compliance with 49 C.F.R. 26.45 Goal can be used as base figure
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5 Approaches toCalculate the DBE Goal
5. Alternative Methods—49 C.F.R. 26.45(c)(5) Demonstrable evidence of local market conditions Prequalification list or bidders list must meet regulatory
requirements If using a prequalification list or bidders list exclusively,
it must meet the regulatory requirements If list does not meet the regulatory requirements, you
must supplement with additional sources
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5 Approaches toCalculate the DBE Goal
The exclusive use of a list of prequalified contractors or plan holders is NOT an acceptable alternative means of determining the availability of DBEs
1949 C.F.R. 26.45(c)(5)
Identify Method Selected
Goal Setting and Implementation
Purpose of Overall Goal and Project Goal
Approaches to Calculate Goal
8 Minimum Requirements
2049 C.F.R. 26.45
Minimum Requirements Included in each Method
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1. FTA-Assisted Contracting Opportunities
ALL OA-Assisted Activities that include Possible Contracting Opportunities
Include Sub-Recipient Contracting Opportunities
Assign Appropriate NAICS Code for Contracting Opportunities
2249 C.F.R. 26.45
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1. FTA-Assisted Contracting Opportunities
Example
Determine Relevant Geographic Market Area (GMA): Geographic distribution of contractors and subcontractors and area in which contracting dollars are spent
Note: relevant Market Area may not be the same State geographic boundaries
2449 C.F.R. 26.45
2. Geographic Market Area
Area(s) = state(s), region, etc.
Award a substantial majority of contracts
Boundaries of the geographic market area
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2. Geographic Market Area
“Even though the spending data was not comparable, the [Grantee]’s vendor pool has remained consistent. The majority of the [Grantee]’s vendor pool is located in [ ] County, therefore the [Grantee] determined [ ] County to be its local market.”
2. Geographic Market Area
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Example
DBEs Potential DBEs All other FirmsGeographic Market Area
NAICS Codes or Other Work Category
Willing to Comply27
3. Step 1: Base Figure
Applies to All Firms
May Include Potential DBEs in Goal Setting
May NOT Include Potential DBEs in Counting DBE Participation, Reporting, or Good Faith Efforts Determinations
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3. Step 1: Base FigureReady, Willing, and Able
Supplement certified firms list Minority and women-owned business lists Census data on minority and women-owned
businesses in market area
Adequate Outreach Needed to Encourage Firms to become Certified
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3. Step 1: Base FigurePotential DBEs
Determine number of ready, willing, and able DBEs from DBE Directory
Use Census Bureau County Business Pattern (CBP) database to determine number of all ready, willing, and able businesses available in your market performing work in same NAICS codes http://www.census.gov/epcd/cbp/view/cbpview.html.
= Base Figure
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3. Step 1: Base FigureCensus & DBE Directory
Search NAICS 236210
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3. Step 1: Base FigureExpand NAICS Search
Search NAICS 236210
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3. Step 1: Base FigureExpand NAICS Search
49 CFR §26.45(c)(2): Acceptable only if you have a method of collecting data on:
– ALL businesses, successful OR unsuccessful, that have bid or quoted on prime or subcontracts during the previous three or one year period
– ALL DBE and non-DBE subcontractors that submitted bids or quotes during time period.
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3. Step 1: Base FigureBidders List Method
10 DBEs bid or quotedon prime orsubcontracts
___________________ = 10.00 % Base Figure
100 Total Firms bid or quoted on prime or subcontracts
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3. Step 1: Base FigureBidders List Method
A disparity study typically yields best data available
If you have conducted a disparity study in market area and choose another method, explain why
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3. Step 1: Base FigureDisparity Study
Weighting by Work Type Provides a more narrowly-tailored model of
availability Weights used are proportion of dollars spent within
each industry: resulting percentage is more heavily influenced by availability in industries where more dollars are spent May use NAICS, internal work codes, etc.
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3. Step 1: Base FigureWeighing
Decide which work types best represent your DOT-assisted contracts (NAICS Codes)
Tally the dollars spent in each work type category as a percentage of the total contract dollars spent
Assign work types to each DBE and non-DBE firm
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3. Step 1: Base FigureWeighing
Industry% of Dollars (weight) DBEs Non‐DBEs Weighted %
Trucking 5.00% 1 18 0.28%
Engineering/Design 5.00% 1 17 0.29%
Construction 90.00% 8 65 11.08%
Total 100.00% 10 100 11.65%
Weighting Example: DOT contracts primarily in Trucking, Engineering/Design, and Construction:
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3. Step 1: Base FigureWeighing
3. Step 1: Base FigureWeighing Example
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DBE Directory
US Census Data
FAA DBE Connect
Supplemental Sources 40
4. Identify Sources
UCP and US Bidders List or Census Data PreQual List
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4. Identify SourcesSupplement Existing Sources
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4. Identify SourcesExample
Recipient must examine all available evidence and determine what adjustments, if any, are necessary
It is not necessary to make a Step Two adjustment but must include explanation
4349 C.F.R. 26.45
5. Step 2 Adjustment
Use DBE participation data from past 3 to 5 years to demonstrate capacity (percentages)
If MPP figure is very similar to Step One base figure, should not make any adjustment for past participation
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5. Step 2 AdjustmentMedian Past DBE Participation (MPP)
1. Tally total DBE achievement percentage for 5 years.
Total DBE Achieved (RC+RN) Total Contract Amt Total DBE %
2010 $750.00 $5,000.00 15.00%2011 $480.00 $4,000.00 12.00%2012 $200.00 $1,000.00 20.00%2013 $240.00 $6,000.00 4.00%2014 $360.00 $6,000.00 6.00%
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MPP Example
2. Choose median (not average) percentage:
3. Average MPP % with Base Figure %:
BF (11.65%) + MPP (12.00%) Adjusted BF2 = 11.83%
2013 4.00%2014 6.00%2011 12.00%2010 15.00%2012 20.00%
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MPP Example
Information from disparity studies
Lack of access to financing/bonding
Statistical employment data
Other data affecting likely DBE participation—drastic changes in the economy
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5. Step 2 AdjustmentOther Evidence
5. Step 2 AdjustmentExample
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Projection of Race-Neutral and Race-Conscious Participation
4949 C.F.R. 26.45 and 26.51
6. Race-Neutral/Race-Conscious Breakdown
Projection of Race-Neutral and Race-Conscious Participation
Maximum Feasible Portion of Overall Goal using Race Neutral Measures Specify which race neutral measures will be
implemented
5049 C.F.R. 26.45 and 26.51
6. Race-Neutral/Race-Conscious Breakdown
Projection of Race-Neutral and Race-Conscious Participation
Maximum Feasible Portion of Overall Goal using Race Neutral Measures Specify which race neutral measures will be
implemented
Must Establish Contract Goals to Meet Remaining Portion of Goal
5149 C.F.R. 26.45 and 26.51
6. Race-Neutral/Race-Conscious Breakdown
Race-Neutral DBE Amt Total Contract Amt RN DBE %
2010 $100.00 $5,000.00 2.00%2011 $200.00 $4,000.00 5.00%2012 $30.00 $1,000.00 3.00%2013 $420.00 $6,000.00 7.00%2014 $300.00 $6,000.00 5.00%
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1. Tally total RN DBE achievement percentage for 5 years.
Race-Neutral Projection Example
2. Choose median RN percentage:
3. Apply to Adjusted Base Figure for final Goal:
Adj. BF: 11.65%
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6.65% Race‐Conscious5.00% Race‐Neutral
=
2010 2.00%2012 3.00%2011 5.00%2014 5.00%2013 7.00%
Race-Neutral Projection Example
May Benefit DBEs and other Small Businesses
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6. Race-Neutral Measures
49 C.F.R. 26.51
May Benefit DBEs and other Small Businesses
Determine the Small Business Needs within your Geographic Area
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6. Race-Neutral Measures
49 C.F.R. 26.51
May Benefit DBEs and other Small Businesses
Determine the Small Business Needs within your Geographic Area
Incorporate Race-Neutral Measures that meet the Needs of your Small Business Community
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6. Race-Neutral Measures
49 C.F.R. 26.51
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DBE primes
DBE participation on non-goal contracts
DBE participation beyond goal
DBE participation on contracts with goals where prime awards DBE subcontract– not because of goal—but because it has strict low-bid policy
6. Race-Neutral Participation
Only Certified DBEs Benefit
Contract Goals
Good Faith Efforts (GFEs)
5849 C.F.R. 26.51 and 26.53
6. Race-Conscious Measures
Submit Complete and Accurate InformationEnsure bid/quote includes proper NAICS CodeEnsure NAICS Code corresponds with scope of
contract
5949 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
DBEs’ Responsibility
Meet Contract GoalSubmit DBE identifying informationSubmit DBE NAICS Codes and DBE scope of workSubmit amount of DBE subcontractSubmit written commitment to use DBE subcontractor Submit DBE’s written commitment to work on project
OR…
6049 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
Bidders’ Responsibility
Submit Sufficient GFEsAppendix A ScopeIntensityAppropriateness
Fact-Specific Determination
6149 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
Bidders’ Responsibility
Submit Sufficient GFEsAppendix A DBE and non-DBE subcontractor quotes when DBE
was not selected to perform on contract Requesting DBE bids through mailings is not
sufficient
6249 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
Bidders’ Responsibility
Thoroughly Review Response to Contract GoalsEnsure the DBE services can be counted
6349 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
Recipients’ Responsibility
Responsiveness:
Responsibility:
6449 C.F.R. 26.53
6. Race-Conscious MeasuresContract Goals:
Timeframe to Submit Information
49 C.F.R. 26.53
Responsiveness: Submit DBE Participation Information or GFE Documentation at Time Bid is Entered
Responsibility: Submit DBE Participation Information or GFE Documentation up to 7 Days after Bid Opening and Before Contract Award (5 days—January 2017)
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6. Race-Conscious MeasuresContract Goals:
Recipients’ Responsibility
Continuous and Active Small Business Community Engagement minority organizations, women's groups, and and general contractor groups
6649 C.F.R. 26.45
7. Meaningful Consultation
7. Meaningful Consultation
Small Business Community and Stakeholder Engagement minority organizations, women's groups, and general
contractor groups scheduled, direct, and interactive exchanges DBE and non-DBE availability Effects of discrimination Efforts to establish level playing field
6749 C.F.R. 26.45
Must submit evidence of public participation Comments/feedback received Persons/organizations contactedMeetings held
6849 C.F.R. 26.45
7. Meaningful Consultation
Stakeholder meetings must occur before you are required to submit your methodology to the OA
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7. Meaningful Consultation
Recipient may notimplement the proposedgoal until it has compliedwith this requirement
7. Meaningful Consultation
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Example
8. Proof of Publication
Must Post on Official Internet Webpage
May Post on other Media OutletsMust allow 30 day public comment period
7149 C.F.R. 26.45
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8. Proof of PublicationExample
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