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Both HCR and HCC request that the Divisions incorporate this revised process into the review of goal 

methodologies beginning with the methodologies that are required to be submitted to FHWA by 

August 1, 2016.

Review Process Steps

1. States that are scheduled to submit a DBE overall goal methodology in a given year must

submit their methodologies to their respective FHWA Divisions by August 1.

2. Upon receipt, the FHWA Division should send a letter to the State DOT: (a) acknowledging 

receipt of the goal methodology; (b) directing the State to operate under the submitted goal 

unless and until the Division directs otherwise; (c) stating that FHWA will review the 

adequacy and soundness of the methodology; and (d) stating that FHWA may approve the 

submitted goal or, after consulting with the State DOT, adjust the overall goal or direct the 

State DOT to do so. 

3. The FHWA Division should review the goal methodology for consistency with the DOT DBE 

regulations at 49 CFR Part 26 and with DOT DBE goal-setting guidance and clarify any 

questions they may have with the State DOT. After reviewing the methodology with the State,

the Division should prepare a draft decision document to approve the goal methodology.

4. At any point during the Division’s review of the goal methodology, the Division may reach out 

to HCR’s DBE unit for guidance or assistance.

5. Regardless of whether the Division has worked with HCR to prepare its decision document, 

the Division should submit the final decision document to HCR’s DBE unit for review and 

comment. HCR may ask for a copy of the State’s methodology and a disparity study, if 

relevant. 

6. To the extent that HCR has questions or concerns about the goal methodology, it should work 

with the Division and the State to resolve those questions until it is satisfied that the goal 

methodology and the decision document are consistent with DOT DBE policy and guidance.

7. At any point during HCR’s review of the goal methodology, HCR may reach out to HCC for 

input on legal and/or programmatic issues. This consultation does not trigger HCC’s legal 

sufficiency review. If HCR chooses to reach out to HCC, HCR should contact the attorney in 

the appropriate HCC Field Legal Services office for the State under review and HCC’s Civil 

Rights Team Leader in headquarters. The HCC Field Legal Services office and HCC’s Civil 

Rights Team in headquarters will collectively coordinate HCC’s input to HCR. 

8. Regardless of whether HCR has worked with HCC to review the goal methodology, once HCR 

has completed its review and coordinated input on the Division’s decision document with the 

Division, the Division should submit its final decision document to the appropriate HCC Field 

Legal Services office for its geographic area and should copy HCR on its correspondence to 

HCC. The legal sufficiency review conducted by HCC is separate from and follows the review 

conducted by HCR. A goal methodology submitted to HCR is not under legal sufficiency 

review. HCC’s legal sufficiency review commences after the Division has consulted with 

HCR and only after the Division submits the goal methodology directly to the appropriate 

HCC Field Legal Services office for its geographic area.

9. The HCC Field Legal Services attorney should review the goal methodology and decision 

document for legal sufficiency, which includes review of the State’s compliance with DBE 

regulatory requirements, adherence to DOT’s basic DBE goal setting principles and guidance, 

and the adequacy of the State’s explanations of its methodology and process. The Field Legal 

Services attorneys are encouraged to reach out to the HCC Civil Rights Team members in 

Washington and/or members of HCR’s staff if they have any questions about the goal 

methodology.
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10. If the Field Legal Services attorney finds that the State’s methodology is not legally sufficient, 

the attorney should communicate his/her concerns to HCR and the Division for resolution of 

the issues. If necessary, FHWA may require the State to submit a revised methodology, at 

which point the above review process would start again.

11. If the Field Legal Services attorney is satisfied that the goal methodology is legally sufficient, 

the attorney should draft a legal sufficiency memorandum that should be sent to the Division 

office for its files and copy HCR. This memo is intended for internal use only, and should not 

be shared outside of FHWA.

12. Upon receipt of the legal sufficiency memo, the Division should send its decision document to

the State DOT, copying HCR, approving the State’s goal methodology.

Attached to this memorandum is the State DOT submission schedule for the upcoming three-year 

period; the link to the internal Sharepoint site in which Divisions should submit goal methodology 

decision documents; and HCC Field Legal Staff contacts by geographic region.

Questions about this memorandum should be directed to Jim Esselman, HCC Civil Rights Team 

Leader, at james.esselman@dot.gov, or to Martha Kenley, National DBE Program Manager, at 

Martha.Kenley@dot.gov.
 ATTACHMENT

FHWA THREE YEAR OVERALL DBE GOAL SUBMISSION SCHEDULE

The schedule for DBE goal submissions by State DOT listed below is as follows:

August 1, 2016

Nevada, Hawaii, Oregon, Idaho, Montana, Indiana, Michigan, Ohio, Kentucky, New York, 

Delaware, New Jersey, Massachusetts, Oklahoma, Arkansas, Louisiana, Mississippi, and Texas

August 1, 2017

Arizona, Alaska, Washington, Nebraska, Missouri, Iowa, Wisconsin, North Dakota, New 

Hampshire, Pennsylvania, Rhode Island, Virginia, Florida, Puerto Rico, South Carolina, 

Tennessee, and New Mexico

August 1, 2018

California, Utah, Wyoming, Colorado, South Dakota, Kansas, Minnesota, Illinois, District of 

Columbia, Connecticut, Maryland, West Virginia, Vermont, North Carolina, Maine, Alabama, 

Virgin Islands, and Georgia

Civil Rights Discipline SharePoint site

To submit a goal methodology decision document and a copy of the methodology itself, please 

click here. 

HCC Contact Information

HCC North: Vanessa Powell 410-962-3060 vanessa.powell@dot.gov

HCC South: Ailya Zaidi, 404-562-3670 ailya.zaidi@dot.gov

HCC Mid: Meghan Jones 708-283-3558 meghan.jones@dot.gov

HCC West: Mystery Bridgers 720-963-3200 mystery.bridgers@dot.gov