Contracts And Audit Compliance Branch

The Contracts and Audit Compliance Branch (CACB) plays a critical role in supporting regional planning and funding efforts across Caltrans' twelve districts. The branch provides guidance on contract and audit compliance, collaborating with district contract managers, MPOs, RTPAs, and local governments to address auditing and compliance for planning funds administered through the Caltrans Office of Regional and Community Planning. CACB also works closely with the Caltrans Internal Audits Office (CIAO) to ensure alignment with State auditing procedures. Additionally, the branch provides expertise in meeting federal Disadvantaged Business Enterprise (DBE) requirements in regional planning activities.

Contract and Audit Compliance Guidance

These documents are to assist Caltrans District staff and Metropolitan Planning Organizations and Regional Transportation Planning Agencies with audit requirements, processes, and information.

(Link) Corrective Action Plan Overview for Planning Agencies
(Link) Common Findings Audit Flyer for DOTP Audits
(Link) Single Audit Report (SAR) Guide

Tools and Information

Definition of Commonly Used Audit and Investigation Terms

Helpful Links

CIAO Audits | Caltrans
IOAI Accounting and Audit Guidelines for Contracts with Caltrans | IOAI
SCO Single Audits, State Controller’s Office (SCO)
DOF – Audit Reports Department of Finance (DOF)
DOF – Single Audit Department of Finance (DOF)

DBE Program Requirements for Federally Assisted Contracts

The Disadvantaged Business Enterprise (DBE) Program promotes equal opportunities for businesses participating in federally funded contracts. Below are the key requirements for DBE compliance under contracts administered by ORCP:

Compliance Requirements

Pursuant to Section 6.14 of the Caltrans Regional Planning Handbook, Metropolitan Planning Organizations (MPOs), Regional Transportation Planning Agencies (RTPAs), and local government entities must meet DBE goals for federally assisted contracts administered through ORCP.

Applicable Federal Funds

DBE Program requirements apply to the following ORCP-administered federal Consolidated Planning Grant (CPG) funding sources:

FHWA Metropolitan Planning (FHWA PL)
FTA Metropolitan Planning, Section 5303 (FTA § 5303)
FHWA State Planning & Research - Part 1, Strategic Partnerships Grants
FTA Sustainable Communities Grants, Section 5304 (FTA § 5304)

Bidders List Requirement

All CPG Subrecipients are required to maintain a bidders list that includes information about all DBE and non-DBE firms that bid or submit quotes for federally assisted contracts. This list must include:

Firm name and address
DBE or non-DBE status
Firm age
Annual gross receipts

Bidders lists are mandatory when completing an ADM 0227F form.

Resources for Contracts and Audits Compliance

The Contracts and Audits Compliance Branch provides essential tools to streamline your processes and ensure compliance. Key resources include the Disadvantaged Business Enterprise (DBE) System, new ADM forms, guides, and tips for completing required documents.

Resources and Tools

Caltrans - Disadvantaged Business Enterprise System
ADM-0227 (New form)
ADM-3069 (New form)
Video for ADM-3069
Bidders List (New form coming soon)
Form 9D (New form)
Tips for Completing Form 9D
Black Cat Grant Management System Log-in

Applicability

DBE requirements apply to projects that include contracting opportunities. If no contracting opportunities exist, DBE requirements do not apply.

DBE Participation in Contracts

For projects with contracting opportunities, solicitation documents must include language from the "Disadvantaged Business Enterprise (DBE)" page. Recipients can locate certified DBE firms using the appropriate resources.

Note: Recipients cannot rely on the California Department of Transportation's (Caltrans) overall DBE goal for their specific project.

DBE PARTICIPATION REPORTING

Caltrans is required to report DBE participation in federal transit programs biannually to the Federal Transit Administration. Recipients with contracting opportunities must submit bidder and payment information to DMT. The following reporting forms will be available soon: