California Department of Transportation

Disadvantaged Business Enterprise (DBE)

The Office of Regional Planning (ORP) is responsible for administration of the federal Consolidated Planning Grant (CPG).  The CPG fund sources and types are:

  1. Federal Highway Administration, Metropolitan Planning (FHWA PL)
  2. Federal Transit Administration (FTA), Metropolitan Planning, Section 5303 (FTA § 5303)
  3. FHWA State Planning and Research – Partnership Planning Discretionary Grants
  4. FTA State Planning and Research, Section 5304 – Transit Planning Discretionary Grants (FTA § 5304)

The FHWA and FTA require administering agencies, such as ORP, to ensure that subrecipients of CPG funds are in compliance with the U.S. Department of Transportation, Title 49 Code of Federal Regulation Part 26.  Part 26 sets forth requirements for participation by disadvantaged business enterprises (DBE) in federal funding programs. 


DBE program requirements apply to subrecipients of CPG funds.

RTPAs receiving only Rural Planning Assistance funds are not impacted by DBE requirements.

For more information about DBE requirements, please refer to section 6.14 of the Regional Planning Handbook, and section IX.C of the California State Disadvantaged Business Enterprise Program Plan.


Disadvantaged Business Enterprise: Program Implementation Modifications

The Department has issued a final rule amending its DBE Program. The Final Rule Changes Effective as of November 3, 2014. For more information, visit the United States Department of Transportation website at



Subrecipients with contracting opportunities can find a listing of certified DBEs at


Biannually, the Department must report DBE participation in its federal programs to the FTA and FHWA. To this end, subrecipients with contracting opportunities must submit information regarding successful bidders and contract payments to ORP. Subrecipients without contracting opportunities must also submit information.   

The Uniform Report of DBE Commitments/Awards and Payments is due twice a year, typically 45 days after the reporting period ends. The completed forms and appropriate supporting documentation are sent to and the appropriate Headquarters District Liaison listed below. 

The designated DBE contacts for each subrecipient will receive an electronic reminder to submit a DBE report.

Districts 2 &10
Districts 3 &11
Districts 1, 4 & 5
Districts 6, 7,  8,  9 & 12





The DBE Information/Underutilized DBE Participation form (ADM-0227f) is used upon contract initiation. All contracts using federal dollars are subject to this requirement.

The DBE Good Faith Efforts Documentation form (ADM-3012F) is used if the contract does not have DBE goal(s).  Form ADM-3012F should be submitted with the ADM-0227F to demonstrate good faith efforts AND protect the bidder’s/proposer’s eligibility for contract award in the event Caltrans determines the bidder/proposer failed to meet the UDBE goal. 

The DBE Utilization Report (ADM-3069) with every invoice in accordance with the MFTA.  All contracts using federal dollars are subject to this requirement.  This reporting requirement increases Contract Manager and Prime Contractor accountability, tracks federal dollars, and confirms actual DBE usage as stated in the Prime Contractor’s DBE Contract commitment.



For assistance with completing the DBE report, please contact Ed Philpot at (916) 653-8817.