FY 2009 DBE/Supportive Services Program Prepared by: Vickie Anderson, DBE/SS Program Coordinator;...

FY 2009 FY 2009 DBE/Supportive DBE/Supportive

Services ProgramServices ProgramPrepared by: Vickie Anderson, DBE/SS Prepared by: Vickie Anderson, DBE/SS

Program Coordinator; FHWAProgram Coordinator; FHWAPresented by: Candace Groudine, Presented by: Candace Groudine,

Director, External Civil Rights Director, External Civil Rights Programs; FHWAPrograms; FHWA

August 2009August 2009

Federal Highway AdministrationOffice of Civil Rights

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DBE/SS Program as of 8-DBE/SS Program as of 8-0909

• # of Proposals received: 33# of Proposals received: 33

• # of States submitting proposals: 33# of States submitting proposals: 33

• Total $amount requested: $15,777,233.37Total $amount requested: $15,777,233.37

• Total $amount available: $10,323,483.84Total $amount available: $10,323,483.84

• Cap last year: $750,000Cap last year: $750,000

• Cap this year: $900,000-$1 millionCap this year: $900,000-$1 million

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Statement of Work Statement of Work ComponentsComponents

• Needs Assessment Needs Assessment • Purpose Statement Purpose Statement • Program Goals Program Goals • Objectives and Objectives and

Action Plan Action Plan • Performance Period Performance Period • State State

Transportation Transportation Agency Involvement Agency Involvement

• Project Personnel Project Personnel • Partnerships Partnerships • Budget and Budget and

Financial Financial Requirements Requirements

• Basis of Payment Basis of Payment • Evaluation and Evaluation and

Monitoring Plan Monitoring Plan • Reporting Reporting

RequirementsRequirements


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Needs AssessmentNeeds Assessment• To assist in writing your Statement of To assist in writing your Statement of

Work, ask the following questions:Work, ask the following questions:

– Why are we implementing this program?Why are we implementing this program?– What What currentcurrent and and futurefuture Federal-aid Federal-aid

highway construction highway construction projectsprojects have have been been identified in the communityidentified in the community??

– What Federal-aid highway construction What Federal-aid highway construction contracts and subcontractscontracts and subcontracts have been have been identifiedidentified based on the current and based on the current and future jobs cited in question 2?future jobs cited in question 2?


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Needs AssessmentNeeds Assessment

–– What skills/qualifications will be What skills/qualifications will be needed for the identified contracts and needed for the identified contracts and subcontracts cited in question 3?subcontracts cited in question 3?

– What are the What are the current barrierscurrent barriers to to DBE firms participating on these DBE firms participating on these Federal-aid highway construction Federal-aid highway construction projects and jobs? projects and jobs?

– What programs can be designed using What programs can be designed using information gathered in 4 and 5?information gathered in 4 and 5?


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Needs AssessmentNeeds Assessment• Identifying needed DBE Services:Identifying needed DBE Services:

– Identify the DBE firms’ current qualifications to Identify the DBE firms’ current qualifications to perform the specific tasks required for the perform the specific tasks required for the identified contracts.identified contracts.

– Develop a list of tasks and competencies needed Develop a list of tasks and competencies needed by the contractors/subcontractors in order to by the contractors/subcontractors in order to complete the job (identify established complete the job (identify established performance expectations).performance expectations).

– Identify the barriers to job performance (what is Identify the barriers to job performance (what is the difference between the current level of the difference between the current level of performance and the established performance performance and the established performance expectations).expectations).


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Needs AssessmentNeeds Assessment

– Identify what tasks/competencies are Identify what tasks/competencies are the most important for achieving the the most important for achieving the DBE/SS goal.DBE/SS goal.

– Develop DBE/SS programs that bundle Develop DBE/SS programs that bundle the identified tasks and, therefore, the identified tasks and, therefore, provide services that will reduce or provide services that will reduce or eliminate the barriers identified.eliminate the barriers identified.


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Needs AssessmentNeeds Assessment• Annual data can be collected from the Annual data can be collected from the

following participants:following participants:– DBE firm participantsDBE firm participants– DBE service providersDBE service providers– Construction company ownersConstruction company owners– State construction and project engineersState construction and project engineers– Other DBE related entities/participants Other DBE related entities/participants

including unions, and/or community based including unions, and/or community based organizationsorganizations


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Needs AssessmentNeeds Assessment• Instruments that can be used to Instruments that can be used to

Collect DataCollect Data– SurveysSurveys– Internal data collectionInternal data collection– InterviewsInterviews– Evaluations (e.g., of training)Evaluations (e.g., of training)– ObservationsObservations– Focus groupsFocus groups


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Purpose StatementPurpose Statement• Example of a purpose statementExample of a purpose statement

ABC State is requesting $XXX,XXX in ABC State is requesting $XXX,XXX in funding to enhance the growth and funding to enhance the growth and development of 50 under-utilized DBE development of 50 under-utilized DBE firms by administering an firms by administering an Entrepreneurial Development Program Entrepreneurial Development Program to increase the capacity of to increase the capacity of participating DBE firms to successfully participating DBE firms to successfully participate on highway contracts.participate on highway contracts.


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Program GoalsProgram Goals• DBE Program Goals:DBE Program Goals:

– Can be written in one to two sentencesCan be written in one to two sentences– Should be clear and conciseShould be clear and concise– No need to include measurements or No need to include measurements or

timelines (these should be included in timelines (these should be included in the program objectives)the program objectives)

– Goals should identify the targeted Goals should identify the targeted population. population.


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Program GoalsProgram Goals• A few examples of Program Goals:A few examples of Program Goals:

– Provide business enhancement/development services to the underutilized DBE firms through Entrepreneurial Development Institute.

– Provide targeted assistance to the DBE firms in securing bonds by developing a Bonding Program.

– Establish Mobilization and Micro Lending Program to provide loans to DBE firms for contract start up and emergency working capital needs.

– Provide assistance to DBE firms in loan packaging and financial management by creating Loan and Finance Program.

– Schedule and coordinate individualized training sessions with certified DBE firms to enhance technical expertise/credentials of DBE principals in areas such as cash management, business planning, independence, subcontract language, and legal issues (mainly for Basic level DBE firms).


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Action PlanAction Plan• Action plan should be detailed but Action plan should be detailed but

easily understood:easily understood:

– What services will DBE firms receive?What services will DBE firms receive?– What will the DBE firms do?What will the DBE firms do?– What benefits will the DBE firms gain What benefits will the DBE firms gain

from the services?from the services?– How will the success and completion of How will the success and completion of

the particular action be measured?the particular action be measured?


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Results-Oriented Results-Oriented ObjectivesObjectives

• Writing Program Objectives in Specific, Measurable Terms with Time Frames for Achievement

– STEP 1. State each identified program goal. – STEP 2. Determine what services/activities the

DBE/SS program will provide in order to reach each goal.

– STEP 3. Determine a realistic and attainable measurement the program should achieve by the end of the performance period.

– STEP 4. Identify the specific time (date) each objective will be measured and achieved.


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Examples of Results-Oriented Examples of Results-Oriented ObjectiveObjective

Technical Assistance Program Technical Assistance Program • Objective: Objective: By March 2010, provide technical assistance By March 2010, provide technical assistance

to develop and improve the capabilities of at least 150 to develop and improve the capabilities of at least 150 DBE firms in technical skills in order to increase the DBE firms in technical skills in order to increase the number of DBE firms bidding on Federal-aid highway number of DBE firms bidding on Federal-aid highway projects. projects. Action Plan: ACTIVITY Action Plan: ACTIVITY Provide DBE firms with Provide DBE firms with estimating and bidding assistance to improve their estimating and bidding assistance to improve their success rate in obtaining contracts. success rate in obtaining contracts. PERFORMANCE MEASURE PERFORMANCE MEASURE • # of DBE firms assisted • # of DBE firms assisted * # of bids/quotes submitted on State Highway projects * # of bids/quotes submitted on State Highway projects * # of DBE firms assisted that were awarded * # of DBE firms assisted that were awarded subcontracts * Increase the dollar amount and/or subcontracts * Increase the dollar amount and/or number of bids won by firms participating in the number of bids won by firms participating in the program. * # of Federal-aid contracts awarded * # of program. * # of Federal-aid contracts awarded * # of DBE firms that won contracts * # of Federal-aid DBE firms that won contracts * # of Federal-aid subcontracts awarded * # of DBE firms that won subcontracts awarded * # of DBE firms that won Federal-aid subcontracts Federal-aid subcontracts


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Example of a TimelineExample of a Timeline• The timeline portion of the scope of work The timeline portion of the scope of work

should include the following information:should include the following information:– Identify all Identify all key taskskey tasks or activitiesor activities that will be that will be

carried out to implement the program during the carried out to implement the program during the performance period.performance period.

– Provide a realistic Provide a realistic timeframetimeframe identifying when identifying when specific tasks will occur.specific tasks will occur.

– Identify Identify evaluation and monitoring evaluation and monitoring instrumentsinstruments that will be used to measure that will be used to measure activities and provide activities and provide datesdates for administration of for administration of these instruments.these instruments.

– Identify Identify dates for submission of evaluation and dates for submission of evaluation and monitoring data resultsmonitoring data results to FHWA (usually these to FHWA (usually these are required on a monthly or quarterly basis, and are required on a monthly or quarterly basis, and an annual report should be submitted within 60 an annual report should be submitted within 60 days of the program’s completion).days of the program’s completion).


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Budget SummaryBudget Summary• The budget summary is a skeletal The budget summary is a skeletal

outline showing how the DBE/SS outline showing how the DBE/SS program’s total cost is allocated to program’s total cost is allocated to line items. The budget summary line items. The budget summary should provide:should provide:– the main budget line item categoriesthe main budget line item categories– identification of in-kind fundsidentification of in-kind funds– the total amount for each category in the total amount for each category in

table formattable format


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Budget JustificationBudget Justification

• Follows the budget summary tableFollows the budget summary table

• Include explanation of all Include explanation of all

items/services discussed in the items/services discussed in the statement of workstatement of work


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Budget CategoriesBudget Categories• Performance-based BudgetPerformance-based Budget: :

– A performance-based budget is useful because it identifies A performance-based budget is useful because it identifies specific tasks and the dollar value associated with each. The specific tasks and the dollar value associated with each. The tasks are specifically related to the Statement of Work, tasks are specifically related to the Statement of Work, which is based upon a needs assessment. Payments are which is based upon a needs assessment. Payments are made based upon the completion of specific tasks. A made based upon the completion of specific tasks. A performance-based budget also serves as a good monitoring performance-based budget also serves as a good monitoring tool because on a monthly or quarterly basis, it can be tool because on a monthly or quarterly basis, it can be determined how much of the budget was expended; duration determined how much of the budget was expended; duration of the activity; and the dollar value of providing the most of the activity; and the dollar value of providing the most needed services. needed services.

• Operational-based Budget: Operational-based Budget: – An operational budget includes line items of all expenses An operational budget includes line items of all expenses

that are not tied to specific tasks. Program funds can be that are not tied to specific tasks. Program funds can be used to support the salary of a full-time or part-time used to support the salary of a full-time or part-time coordinator used exclusively to administer an “in-house” coordinator used exclusively to administer an “in-house” DBE/SS program. DBE/SS program.


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Overhead ExpensesOverhead Expenses• What does the overhead costs include What does the overhead costs include

(salaries, etc.), or how did the State (salaries, etc.), or how did the State arrive at its overhead rate (percentage arrive at its overhead rate (percentage of salaries, etc)?of salaries, etc)?

• Who has reviewed or approved the Who has reviewed or approved the rate the STA is using?rate the STA is using?

• If the overhead rate appears If the overhead rate appears unrealistic (as compared to services unrealistic (as compared to services being provided) negotiating a being provided) negotiating a reasonable rate should be encouraged.reasonable rate should be encouraged.


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Expenses FHWA Expenses FHWA Recommends NOT FundingRecommends NOT Funding

• Salaries for a STA staff to administer Salaries for a STA staff to administer the DBE programthe DBE program

• Training for STA staffTraining for STA staff• Equipment (computers, faxes, Equipment (computers, faxes,

copiers, furniture)copiers, furniture)• RentRent• Website development/maintenanceWebsite development/maintenance


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Evaluation/Monitoring Evaluation/Monitoring PlanPlan

• Your evaluation/monitoring plan should include:Your evaluation/monitoring plan should include:– A review of each program objective and a narrative A review of each program objective and a narrative

explaining how you will determine whether each explaining how you will determine whether each objective has been achieved (what evidence will objective has been achieved (what evidence will demonstrate that program objectives have been demonstrate that program objectives have been achieved). achieved).

– The type of information you will collect for evaluation The type of information you will collect for evaluation purposes. purposes.

– Identification of the frequency for which the Identification of the frequency for which the information will be collected (monthly or quarterly). information will be collected (monthly or quarterly).

– Identification of the person(s) responsible for Identification of the person(s) responsible for collecting the information. collecting the information.

– Identification of the person(s) responsible for Identification of the person(s) responsible for analyzing the information and reporting the results analyzing the information and reporting the results to FHWA. to FHWA.


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Evaluation/Monitoring Evaluation/Monitoring PlanPlan

• Examples of monitoring tools:Examples of monitoring tools:– Questionnaire sent to DBE firms – Progress reports and feedback – Onsite visits to DBE firms – Surveys to evaluate DBE satisfaction – Analysis of participant’s beginning status vs. end

status – On-going and routine contacts with DBE/SS

consultants– DBE evaluation of supportive service provider for

performance period (at least annually). Evaluations should be sent to the State Transportation Agency. For in-house programs, the evaluation should be sent to the Federal Highway Administration Division Office


.

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Reporting RequirementsReporting Requirements• Monthly/Quarterly reports should:Monthly/Quarterly reports should:

– Identify each objective and progress achieved as of the Identify each objective and progress achieved as of the reporting date (Data showing progress should be reporting date (Data showing progress should be measurable and include numerical data, include the measurable and include numerical data, include the number of participants the program impacted, how the number of participants the program impacted, how the program impacted them, what overall difference the program impacted them, what overall difference the program made, etc.)program made, etc.)

– Identify all successes to date for the DBE/SS program Identify all successes to date for the DBE/SS program (What did you accomplish?)(What did you accomplish?)

– Identify any problems to date for the DBE/SS program Identify any problems to date for the DBE/SS program and offer possible solutions in overcoming these problems and offer possible solutions in overcoming these problems (What changes could be made to improve the program? (What changes could be made to improve the program? Is this program worth funding again?).Is this program worth funding again?).

– Include any additional information (i.e., questions, Include any additional information (i.e., questions, concerns, improvements/recommendations for concerns, improvements/recommendations for administration of the program, etc.) that might be helpful.administration of the program, etc.) that might be helpful.


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STA Supplemental STA Supplemental EffortsEfforts

• Develop a list of training needs through a Develop a list of training needs through a survey of certified and potential DBE firms.survey of certified and potential DBE firms.

• Develop and maintain a list of qualified Develop and maintain a list of qualified trainers.trainers.

• Identify and develop a list of potential Identify and develop a list of potential sources of assistance to DBE firms.sources of assistance to DBE firms.

• Arrange for the use of the STA’s facilities Arrange for the use of the STA’s facilities and equipment. Track and record the type and equipment. Track and record the type of training and assistance requested and of training and assistance requested and provided to each DBE.provided to each DBE.

• Design and administer DBE/SS programs Design and administer DBE/SS programs that fit the needs of local DBE firms.that fit the needs of local DBE firms.


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• Market the program to the DBE community Market the program to the DBE community including maintenance of a website that DBE including maintenance of a website that DBE firms (and others) could access for on-line firms (and others) could access for on-line training.training.

• Provide access to construction plans for Provide access to construction plans for upcoming projects (to save money, DBE firms upcoming projects (to save money, DBE firms could review plans and copy only those sheets could review plans and copy only those sheets that they are interested in).that they are interested in).

• Provide timely notification (email, telephone, Provide timely notification (email, telephone, fax, newsletter, etc.) to DBE firms concerning fax, newsletter, etc.) to DBE firms concerning upcoming projects, training, and other upcoming projects, training, and other activities.activities.


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• Encourage DBE firms to participate in Encourage DBE firms to participate in projects and activities as appropriate. projects and activities as appropriate. Secure assistance/expertise from the Secure assistance/expertise from the STA project consultant personnel to STA project consultant personnel to provide any needed guidance during provide any needed guidance during project construction.project construction.

• Provide access to technology of Provide access to technology of interest to DBE firms, contractors, and interest to DBE firms, contractors, and consultants.consultants.


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Matching/In-Kind Matching/In-Kind ResourcesResources

• PersonnelPersonnel: Individuals (i.e. Project : Individuals (i.e. Project Administrator and Project Director) Administrator and Project Director) who will provide direct or indirect who will provide direct or indirect services for the DBE/SS program but services for the DBE/SS program but whose services will not be paid whose services will not be paid through the DBE/SS program’s budget through the DBE/SS program’s budget expenditures. This may include expenditures. This may include volunteers. Dollar amounts for each volunteers. Dollar amounts for each individual should be included. individual should be included.


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• Fringe BenefitsFringe Benefits: Fringe benefits for : Fringe benefits for administrative, clerical, contracted, and administrative, clerical, contracted, and facilities personnel. Eligible fringe facilities personnel. Eligible fringe benefits can be prorated based on the benefits can be prorated based on the actual amount of time contributed to the actual amount of time contributed to the DBE/SS program. DBE/SS program.

• Travel ExpensesTravel Expenses: All travel should be : All travel should be related to the DBE/SS program and related to the DBE/SS program and granted for key or ancillary personnel. granted for key or ancillary personnel.


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• EquipmentEquipment: Equipment should be existing or to : Equipment should be existing or to be purchased*. be purchased*.

• SuppliesSupplies: Supplies should be on hand from : Supplies should be on hand from existing inventory or newly purchased. existing inventory or newly purchased.

**If the STA purchases equipment with DBE/SS funds – the State must If the STA purchases equipment with DBE/SS funds – the State must establishestablish

a way to amortize the cost of the equipment and charge only the a way to amortize the cost of the equipment and charge only the value of the value of the

equipment associated with its use during the program. Because of equipment associated with its use during the program. Because of the complexitythe complexity

associated with the financial accounting for this arrangement, associated with the financial accounting for this arrangement, FHWA does not FHWA does not

recommend using DBE SS funds to purchase equipment. recommend using DBE SS funds to purchase equipment.


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• ContractualContractual: Contracted consultants : Contracted consultants can lend their expertise and time to the can lend their expertise and time to the DBE/SS program. (DBE/SS program. (pro bonopro bono services). services).

• Miscellaneous: Utilities, telephone, Miscellaneous: Utilities, telephone, printing, copying, postage and other printing, copying, postage and other costs can be a source of in-kind costs can be a source of in-kind contributions. contributions.


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Potential PartnershipsPotential Partnerships• American General Contractors (AGC)American General Contractors (AGC), , American American

Association of State Transportation Officials Association of State Transportation Officials (AASHTO)(AASHTO), , American Road Builders and American Road Builders and Transportation Association (ARTBA), and Transportation Association (ARTBA), and National Association of Minority Contractors National Association of Minority Contractors (NAMC)(NAMC)-- providing contract/subcontract information -- providing contract/subcontract information to DBE firms to help them find work. to DBE firms to help them find work.

• Banking Institutions and organizations like Banking Institutions and organizations like Small Business Administration and USDA (Rural Small Business Administration and USDA (Rural Development Loan Program) Development Loan Program) -- providing loans -- providing loans and/or loan assistance to DBE firms. and/or loan assistance to DBE firms.

• Bonding Companies like Small Business Bonding Companies like Small Business Administration Administration – providing bonding assistance to – providing bonding assistance to DBE firms by providing the needed bonds to get DBE firms by providing the needed bonds to get contracts. contracts.


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Potential PartnershipsPotential Partnerships• Financial Management OrganizationsFinancial Management Organizations -- providing -- providing

assistance in record keeping, bookkeeping, payroll, assistance in record keeping, bookkeeping, payroll, etc., for struggling DBE firms. etc., for struggling DBE firms.

• Historically Black Colleges and Universities Historically Black Colleges and Universities (HBCUs), Tribal Colleges and Universities, or (HBCUs), Tribal Colleges and Universities, or any Minority Institution of Higher Education any Minority Institution of Higher Education (MIHEs)(MIHEs) – providing training courses for DBE – providing training courses for DBE (sometimes free of charge) in marketing, curriculum (sometimes free of charge) in marketing, curriculum assistance, business management, and other business assistance, business management, and other business related courses. related courses.

• Private organizationsPrivate organizations that have expertise in that have expertise in management, marketing, and financial education, and management, marketing, and financial education, and companies with expertise in evolving computer companies with expertise in evolving computer and/or information sharing technology. and/or information sharing technology.

• Contractors, private consultantsContractors, private consultants – administering – administering the DBE/SS program. the DBE/SS program.


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Changes for FY2010 Changes for FY2010 ProgramProgram

• Earlier Call for Statements of Work: Begin developing the SOW in Earlier Call for Statements of Work: Begin developing the SOW in January.January.

• Earlier Due Date: May (If not submitted by the due date, the SOW will not Earlier Due Date: May (If not submitted by the due date, the SOW will not be reviewed.)be reviewed.)

• Page limit for SOWs: 10 pagesPage limit for SOWs: 10 pages

• Page limit for Accomplishment Reports: 15 pagesPage limit for Accomplishment Reports: 15 pages

• If the budget items and/or the budget total reported in the SOW does not If the budget items and/or the budget total reported in the SOW does not add up to the exact amount stated in the purpose statement, the proposal add up to the exact amount stated in the purpose statement, the proposal will not be reviewed.will not be reviewed.

• Webinar in Fall 2009Webinar in Fall 2009

• Reporting Requirements for SOWs and Accomplishment Reports: Will Reporting Requirements for SOWs and Accomplishment Reports: Will follow what has become “the new normal” as a result of ARRA.follow what has become “the new normal” as a result of ARRA.

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THE ENDTHE ENDContact Information:Contact Information:

Vickie AndersonVickie AndersonDBE/SS Program CoordinatorDBE/SS Program CoordinatorFederal Highway AdministrationFederal Highway Administration1200 New Jersey Avenue, SE., Rm. E81-3261200 New Jersey Avenue, SE., Rm. E81-326Washington, DC 20590Washington, DC 20590(202) 366-1607(202) 366-1607email: email: [email protected]@dot.gov

Candace GroudineCandace GroudineDirector, External Civil Rights ProgramsDirector, External Civil Rights ProgramsFederal Highway AdministrationFederal Highway Administration1200 New Jersey Avenue, SE, Rm. E81-3321200 New Jersey Avenue, SE, Rm. E81-332Washington, DC 20590Washington, DC 20590(202) 366-4634(202) 366-4634email: email: [email protected]@fhwa.dot.gov


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