USDOT Requests Comments About DBE Good Faith Efforts

The USDOT recently published a request for comments concerning the costs of documenting and submitting Disadvantaged Business Enterprise (DBE) Program Requirements.

Comments are requested about 17 DBE requirements, most of which are isolated to efforts of federal fund recipients. Recipients of federal funds examples include Departments of Transportation, transit entities and airports. Item number nine (9), Submitting Evidence of Having Made ‘‘Good Faith Efforts’’ To Secure DBE Participation in DOT-Assisted Contracts, requests comments from contractors in addition to recipients. Comments should include information and data concerning time and cost committed to documenting and submitting good faith effort documentation when requested.

Written comments should be submitted by August 16, 2021.

You may submit comments [identified by Docket No. DOT–OST– 2021–0072] through one of the following methods: • Federal eRulemaking Portal: http:// Follow the online instructions for submitting comments. • Fax: (202) 493–2251. • Mail or Hand Delivery: Docket Management Facility, U.S. Department of Transportation, 1200 New Jersey Avenue SE, West Building, Room W12– 140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except on Federal holidays.

FOR FURTHER INFORMATION CONTACT: Marc D. Pentino, (202) 366–6968, or Aarathi Haig, (202) 366–5990, Departmental Office of Civil Rights, Office of the Secretary, U.S. Department of Transportation.

INDOT EOD Contract Compliance Updates

SOURCE: Kent Borggren, INDOT Economic Opportunity Division Contract Compliance Manager

Prior to the COVID 19 pandemic, the Contract Compliance section already had plans to update some of our processes.  Here are some of the things that we have been working on, and our future plans:

  • FHWA 1391 – This year the FHWA 1391 will be an ITAP application and must be submitted using that portal. We will not accept paper reports or excel reports. The report will also be ONE per company, not one per contract. This year’s reporting period to gather data on employees working on federally funded construction contracts is July 19 thru July 25, 2020. The ITAP application will be available beginning on July 18 and close on August 31, 2020. All prime contractors, subcontractors, and haulers working on Federally funded contracts with a value over $10,000.00 must report their workforce. If your company does not have workers present during that time period there is a “No Activity” box to check and then you submit your report. 
  • Subcontractor Payment Tracking System (SPT) –  A new version of the SPT system will be available very soon. It will resemble all of the other ITAP applications and will have a few added functions such as editing records, and PDF reports for your convenience. One of the biggest changes to the SPT system is the Subcontractor Verification. All contracts let as part of the July 2020 regular letting and beyond, will include Special Provision 108-C-264 SUBCONTRACTOR PAYMENT VERIFICATION. All subcontractors, and DBE, MBE, WBE, and IVOSB firms (haulers and suppliers) will be required to verify their payments received from the Prime Contractor no later than 20 days after the end of month in which payment was received. The Prime Contractor is responsible for timely reporting of all payments into the SPT system. 
  • DBE-3 –  We continue to meet our statewide DBE goal of 10.1%, this past report covering the period of October 1, 2019 thru March 31, 2020 we achieved 12.95% thanks to the Race Neutral participation of our prime contractors. Standard Specification 103.01(g) requires a DBE-3 form be submitted for all DBE subcontractor/lessor/supplier(s) utilized on any federal aid contract, whether or not they were listed on the Affirmative Action Certification. All completed forms should be submitted to: Our long range plan is for the DBE closeout process to be mostly automated.
  • MBE/WBE/IVOSB-3 – Beginning on July 1st our department will begin closing out the MBE/WBE/IVOSB-3 process much like we have been doing for the DBE program. We will be sending out the notification on contract close-out when the IC-642 has been sent to the prime contractor by the district final records section. We ask that beginning July 1 all of the completed MBE/WBE/IVOSB-3 forms be sent to Please be aware of the “_” between MBE and WBE in the email address. 
  • OJT Program – In the next few weeks, our department will begin working on turning our On the Job Training (OJT) Program into an ITAP application. We contemplate that this will greatly simplify email requirements and will store information so that it can be queried throughout the year. If you have any ideas on functionality as this application is developed, please let us know as we begin this development process by emailing Katie Daniels and/or Kent Borggren
  • Affirmative Action Certification (AAC) –  Thank you to all of the prime contractors who have submitted their DBE quotes to us within the 24 hour required time period after contract letting. It has allowed our department to audit all of the quotes and compare them to the AACs and resolve many of our past questions in a very timely fashion. As a reminder, if the quote does not match what you entered onto the AAC please provide written documentation on the quote as to what was revised. Handwriting out an explanation is just fine – so long as it is legible and understandable. Also, even if you meet the DBE goal on the contract and you are committed to using additional DBE firms, please include those on the AAC. In the event there is an error on the AAC and you have listed additional DBE participation, we all might avoid a “Good Faith Efforts” hearing on the contract prior to award due to the extra DBE participation.
  • Change in DBE Utilization – Remember to timely submit your Change in DBE Utilizations as soon as you realize there is an issue with what you have committed to on the AACs. Without an approved Change in DBE Utilization, any work that was performed by someone other than the listed DBE firm will not be paid for by INDOT.  Completed Change in DBE Utilizations should be submitted both to and the local EEO Officer for tracking purposes.
  • Prompt Payment –  Just as a reminder all contractors are to pay their subcontractors within 10 business days after being paid by INDOT. If a Subcontractor/hauler/supplier feels that they are not being paid timely by the prime contractor, please submit your concerns to We will investigate any and all of your concerns. 
  • SMGR Reports (in ITAP) – Within ITAP you can look at one of the applications SMGR Reports which gives you several good pieces of information from our SiteManager program. Once you have access to the SMGR Report application you simply enter in your INDOT contract number and you  have access to several reports. In the top section, the IC642CLN report will give you information on the whole contract. In the lower section, the Progressive Record Activity will give you information on a specific line item and what has been recorded on a daily basis. This is an easy and quick way to see what work has been recorded for payment by the INDOT or Consultant field staff on a particular contract.

If you have any questions or concerns please let me know at:

DBE and ACDBE Certification Procedures During COVID-19 Pandemic

INDOT’s Economic Opportunity Division will be following this federal guidance.  All DBEs should read this information carefully and forward any questions to

INDOT EOD will not be conducting in person on site visits for new applicants geographically located in the State of Indiana through at least May 6, 2020.  We will reevaluate at that time.  INDOT EOD is reviewing different ways to conduct onsite visits virtually at this time. 

INDOT EOD will not suspend DBEs for failure to submit the no change affidavit in a timely manner at this time.  If your no change affidavit is complete, please submit it using the normal protocols of logging into ITAP, uploading the appropriate paperwork and submitting.  If you do not have your business taxes for 2019 at this time, please just let us know by emailing  We are keeping a record of those who have requested a delay in submission and will catch those up as the situation allows. 

Other than these two changes, we are committed to continuing to provide the same level of service our DBE community expects.  Please stay safe and feel free to contact any of the INDOT EOD staff with additional questions.  As we are all working remotely, the best way to contact us is via email.  

Stay safe everyone! 

Elizabeth Kiefner Crawford
Director, Economic Opportunity Division
Indiana Department of Transportation
100 North Senate Avenue – Room N750
Indianapolis, Indiana 46204
Direct Dial: (317) 650-1689


INDOT Transit DBE Utilization Goal Setting

Source: Indiana Department of Transportation

INDOT’s Office of Transit is in the process of setting its goal for DBE Utilization. This is a process that determines our goal for spending with DBE firms on Public Transportation projects. INDOT and its grantees contract with DBE firms such as consultants, suppliers, and professional services. We are interested in explaining the procedure we use and hearing your comments, feedback and ideas.

INDOT is required to have a consultation process with stakeholders and these open houses will serve as part of our consultation process.

INDOT personnel will be on hand at INDOT Open Houses throughout the state to answer questions and provide information for further contact. The DBE Goal setting methodology can be found on the INDOT web site at:

If you have any questions or comments regarding the DBE Goal Methodology or the open house, please contact Jason Casteel at 317-2345161 or

  • Wednesday, June 13, 5:00 – 7:00 p.m. (local time)
    Crawfordsville High School | One Athenian Drive, Crawfordsville, IN 47933
  • Thursday, June 14, 5:00 – 7:00 p.m. (local time)
    Terre Haute South Vigo High School | 3737 S 7th St, Terre Haute, IN 47802
  • Wednesday, June 20, 5:00 – 7:00 p.m. (local time)
    Columbus East High School | 230 S Marr Rd, Columbus, IN 47201
  • Thursday, June 21, 5:00 – 7:00 p.m. (local time)
    Lawrenceburg High School | 100 Tiger Blvd, Lawrenceburg, IN 47205
  • Monday, June 25, 5:00 – 7:00 p.m. (local time)
    Ivy Tech (Main Indy Campus), Illinois Fall Creek Center | 2535 N Capital Ave, Indianapolis, IN 46208
  • Tuesday, June 26, 5:00 – 7:00 p.m. (local time)
    Yorktown High School | 1100 S Tiger Dr, Yorktown, IN 47396

AGC Recommends U.S. DOT Regulatory Reforms

Source: AGC Highway Facts Bulletin

On July 24, AGC submitted more than 50 pages worth of regulatory reform recommendations to the U.S. Department of Transportation (U.S. DOT) in response to the department’s request for comment. In this comprehensive document, AGC put forth recommendations for improving the highway work zone safety, Federal Motor Carrier Safety Administration mandate on electronic logging devices, the Disadvantaged Business Enterprise Program, and the federal environmental review and permitting processes, among other things. AGC also recommended that U.S. DOT eliminate its local hire pilot program and rescind the outstanding proposed rule for such a program.

This AGC submission comes on the heels of U.S. DOT putting forth its 2017 regulatory plan last week. As part of the semi-annual Unified Regulatory and Deregulatory Agenda, U.S. DOT revealed that it has not yet determined the next action on the Obama administration’s proposed regulation on local hiring requirements. In response, AGC was once again successful in pushing Congress to include a provision in annual spending legislation that—when signed into law—would restrict the use of local hire requirements on highway and transit projects that have federal funding.

Additionally, the U.S. DOT terminated a highway work zone safety rulemaking—mandated by statute under MAP-21—that would have ensured that positive protection measures and temporary longitudinal traffic barriers would be used in work zones in certain situations. The department, however, did indicate its intent to follow through on a rulemaking to establish a pilot program authorizing five states to conduct environmental reviews and make approvals for projects under state environmental laws and regulations, rather than through the National Environmental Policy Act.