California Department of Transportation

Division of Mass Transportation

 

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MAILING ADDRESS

Department of Transportation Division of Mass Transportation, MS #39
P.O. Box 942874 Sacramento, CA 94274-0001

PHONE: (916) 654-8811
FAX: (916) 654-9366
TTY: 711

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Division of Rail and Mass Transportation
Disadvantaged Business Enterprise (DBE) Program Requirements

Lea Simpson
Liaison
(916) 654-7184

INTRODUCTION

The Division of Mass Transportation (DMT) administers four Federal Transit Administration (FTA) funding programs. These programs are:

1) Elderly Individuals and Individuals with Disabilities Program, Section 5310

2) Nonurbanized Area Formula Program, Section 5311

3) Job Access and Reverse Commute Program, Section 5316

4) New Freedom Program, Section 5317

FTA requires administering agencies, such as DMT, to ensure that subrecipients of Section 5310, 5311, 5316, and 5317 funds are in compliance with the U. S. Department of Transportation, Title 49 Code of Federal Regulation Part 26 (Part 26). Part 26 sets forth requirements for participation by disadvantaged business enterprises (DBE) in federal transit funding programs. Subrecipients with contracting opportunities must submit a Disadvantaged Business Enterprise Race-Neutral Implementation Agreement for Federal Transit Administration Subrecipients (Implementation Agreement). All DBE Race-Neutral Implementation Agreements will be submitted to Division of Mass Transportation.



APPLICABILITY

DBE requirements apply to projects with contracting opportunities. Where no contracting opportunities exist, DBE requirements are not applicable.

Subrecipients of operating assistance and non-vehicle capital projects with contracting opportunities must meet the requirements of the federal DBE program as they pertain to local agencies. DBE requirements for vehicle projects are satisfied by the vehicle manufacturer and are not passed on to the subrecipient.

Important Note Regarding Operating Assistance: Subrecipients using federal funds to pay a percentage of their net project cost are subject to DBE requirements for any purchase that is paid from the operating budget. This is also the case for preventive maintenance projects.



DBE PROGRAM PLAN

First, subrecipients must adhere to the California State Disadvantaged Business Enterprise Program Plan as it applies to local agencies. Additionally, subrecipients must submit a completed Disadvantaged Business Enterprise Race-Neutral Implementation Agreement For Federal Transit Administration Subrecipients (Implementation Agreement). Private non-profit transit providers, large transit operators and state agencies should submit the completed Implementation Agreement to their Section 5310 contact. Private for profit transit providers and subrecipients of Section 5311 funds should submit the completed Implementation Agreement to their local District Transit Representative.

Subrecipients need only resubmit the Implementation Agreement should the DBE Liaison Officer or significant staff changes occur, or should the Implementation Agreement be reissued by DMT as a result of changes in federal or state guidance. Should state or federal guidance necessitate changing the language of the Implementation Agreement, DMT will notify subrecipients. Please see the attached letter dated February 18, 2009, requiring subrecipients to submit an updated Implementation Agreement. (Letter to subrecipients)

DBE PARTICIPATION CONTRACTS

The language contained in the page titled “Disadvantaged Business Enterprise (DBE)” must be included the solicitation document. Subrecipient with contracting opportunities can find a listing of certified DBEs at http://www.dot.ca.gov/hq/bep/find_certified.htm.

Subrecipients cannot rely on the California Department of Transportation’s (Department) overall goal for their project.

REPORTING

Biannually, the Department must report DBE participation in its federal transit programs to the Federal Transit Administration. To this end, subrecipients with contracting opportunities must submit information regarding successful bidders and contract payments to DMT. Reporting forms with instructions for the Sections 5310, 5311, 5316 and 5317 programs are listed below.
DBE Reporting Form Instructions Revised 10/12/10
DBE Awards/Commitments and Actual Payments Reporting Forms Revised 10/8/13

Other Resources

    Small Business Administration (SBA) Loan Program
    America's Recovery Capital (ARC) Loan Program can provide up to $35,000 in short-term relief for viable small businesses facing immediate financial hardship to help ride out the current uncertain economic times and return to profitability. Each small business is limited to one ARC loan.

    SBA Bond Guarantee Program
    Prior Approval Program:
    SBA guarantees a surety company between 80% and 90% of the bond amount in the event a small business defaults on the contract.

    Preferred Program:
    Under the Preferred Program, the participating surety companies are authorized to issue bonds with the SBA guarantee without prior SBA approval.

    California Construction Contracting Program (CCCP)
    The CCCP is a Caltrans - Small Business Development Center Program partnership created to provide at no cost, individual construction and business management counseling and training to small businesses, with an emphasis on construction and professional service contracting.

    Disadvantaged Business Enterprise Liaison Officers
    http://www.dot.ca.gov/hq/bep/sbdcdsbllist.htm
    Caltrans Title VI Public Participation Survey

    Title VI 3 Year Compliance Report