Civil Rights Technical Service Team Takes to the Road to Assess Disadvantaged Business Enterprise Program
The Federal Highway Administration (FHWA) recently completed work to develop an innovative Disadvantaged Business Enterprise (DBE) Program Assessment Tool. This groundbreaking program feature is the result of an action plan and recommendations submitted to U.S. Department of Transportation (DOT) Secretary Norman Y. Mineta.
In 2005, Frederick D. Isler, Associate Administrator, FHWA Office of Civil Rights, convened a multi-disciplinary DBE Workgroup to carry out the recommendations. The fundamental strategy of the action plan includes conducting DBE program assessments that "most efficiently utilize our abilities and match our management infrastructure."
The seven key components of the DBE Program Assessment Tool:
- The DBE program is a key component of FHWA's oversight responsibility;
- The OIG has identified the DBE program as one of ten top management priorities because of issues related to abuse and fraud;
- The Tool assesses the administration and implementation of key components of the DBE program and identifies those areas that are at risk of not meeting regulatory requirements. (Please note that if a DOT recipient is administering its DBE program in compliance with the regulations, it should meet the program objectives and reduce the risk of DBE fraud and abuse);
- Divisions and States may use the Tool for self-assessment to identify areas that may need more attention;
- The Divisions will have an important role to validate answers from the State. The DBE Program Assessment Tool cannot be transmitted until the Division accepts it. Once the Division has accepted it, the Division can submit the Tool online. Submittal shall constitute acceptance and approval by the Division;
- The Headquarters Office of Civil Rights will be the recipient of the Tool and its results. This will be done for informational and evaluation purposes; and
- The Headquarters Office of Civil Rights has projected pilot availability in FY06.
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The implementation of the DBE Program Assessment Tool has two primary objectives: first, to determine the probability of a DBE firm being in compliance with required regulations and, second, to reduce and, ideally, eliminate and prevent fraud and/or abuse in the DBE program. The Tool will be field tested in eight States to expedite feedback and make recommended changes.
The Tool will be field tested in eight States to expedite feedback and make recommended changes.
Currently, the DBE Program Assessment Field Test process includes an opening conference with the FHWA Division Administrator or designee. This meeting has a threefold purpose: to introduce the members of the Field Assessment Team to Division representatives, to acknowledge the Division's participation, and to provide an overview of the assessment process. The Division Office Civil Rights representative is expected to accompany the Assessment Team throughout the assessment. It is envisioned that the Assessment Team will have a closeout with the State to cover what was learned from the particular section assessment and discuss any additional concerns that will need to be addressed in a report. During the closeout activities of the final day, the Assessment Team should schedule a session with the FHWA Division Administrator or his designee to discuss any relevant issues.
Charles Klemstine of FHWA's Office of Civil Rights (seated on the right) and Teresa Banks of the FHWA Resource Center Civil Rights Technical Service Team (CR-TST) (seated to his right) are co-leading this effort. CR-TST staff members will also be vital in the performance of the assessments conducted through this nationwide initiative. Each Field Assessment Team will consist of up to four individuals: one member from the respective FHWA Division Office, where the DBE Program Assessment Tool will be field-tested; and members from the HQ Civil Rights staff and the CR-TST.
What does FHWA hope to accomplish?
- Field testing provides the opportunity to collect valuable feedback to make this Tool a more effective instrument to assess weaknesses and clarify questions.
- This instrument is a learning Tool for all stakeholders, to include the Assessment Team, the Division Office, and the State.
- The field test will provide FHWA with insights on how this Tool could effectively be used in States of varying sizes, geography, and program magnitude.
". . . the Assessment Tool is designed to be used as a barometer of potential risk of abuse/fraud in the DBE program."
Deborah Johnson,
Team Leader, FHWA Resource Center CR-TST
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The purpose of this activity is to identify "triggering factors." These triggering factors are quantifiable factors that are compared to a matrix of outcomes. The triggering factors, when compared to the performance standards, may provide valuable data for compliance—such as personnel related to the likely success or possible failure of DBE program implementation on a Federal-Aid Highway construction contract. "Simply stated, the DBE Program Assessment Tool is designed to be used as a barometer of potential risk of abuse/fraud in the DBE program," according to Deborah Johnson, Team Leader, FHWA Resource Center Civil Rights TST.
Full deployment of the DBE Program Assessment Tool has been projected for FY 2006. Although this assessment Tool has been specifically developed to assess the DBE program, it may be adapted to other Civil Rights program emphasis areas. In the final phase, the Tool will be web-based, so it may be completed online.
For more
information, contact:
Charles Klemstine
Program Operations Team Leader
Office of Civil Rights
Federal Highway Administration
(202) 366-6753
charles.klemstine@fhwa.dot.gov
Teresa Banks
Civil Rights Specialist
Civil Rights Technical Service Team
FHWA Resource Center
(404) 562-3592
teresa.banks@fhwa.dot.gov
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