Untitled Document

Department of Transportation

Print Print Page     Font Adjust Font Size

DBE Certification Program

Robert Highsmith, Supervisor

DBECert@dot.ny.gov
Phone: (518) 417-6631

Fax: (518) 457-1675

The Disadvantaged Business Enterprise (DBE) program is a federal program administered by the United States Department of Transportation (USDOT) through each State’s Unified Certification Program.  The New York State Department of Transportation (NYSDOT) is one of four certifying members in the New York State Unified Certification Program (NYSUCP).  The NYSUCP members are responsible for determining if firms meet the DBE certification or Airport Concession DBE (ACDBE) eligibility requirements, as detailed in Title 49 Part 26 of the Code of Federal Regulations The preceeding external link opens a new browser window or Title 49 Part 23 of the Code of Federal Regulations The preceeding external link opens a new browser window respectively.

Only small businesses that are independently owned and controlled in both substance and form by one or more socially and economically disadvantaged persons are eligible for certification.  In addition, each owner must have a personal net worth less than $1.32 million.

The USDOT DBE web page The preceeding external link opens a new browser window includes additional information on the DBE program as well as an informative video.

How to Apply for DBE or ACDBE Certification

Businesses interested in becoming certified should apply via the NYSUCP’s online system at https://nysucp.newnycontracts.com The preceeding external link opens a new browser window.  The NYSUCP online system specifies the required documentation you must submit to apply and directs you through the process appropriate for your firm, e.g. in-state vs. interstate.  For businesses located in New York State, the system will also guide you to the appropriate NYSUCP certifying  member, who will be responsible for reviewing your application, based primarily on the location of your principal place of business.  

Use of the NYSUCP online system is strongly encouraged and is intended to facilitate the application process. Paper submissions must include the DBE Certification Application The preceeding external link opens a new browser window, a Personal Net Worth (PNW) Statement The preceeding external link opens a new browser window and all the support documentation described in the application. The first page of the application includes guidance to help firms determine if they should apply.

After all required information is submitted, the NYSUCP certifying member to which the firm applied will conduct a thorough analysis of the information, perform an on-site interview and issue a certification determination to the applicant firm.  The review process generally takes approximately 90 days once an application is deemed complete. If supporting documentation, signatures, or notarizations are missing, or if additional information is needed, the application is considered to be incomplete.

In order to make more efficient the review process of the applications and expansion requests we receive, (both New [New York State] and Interstate), NYSDOT’s DBE Certification Unit requests that supporting documentation be submitted according to the format listed on the checklist (page 15) of the USDOT Certification Application. This means that all documents should be submitted separately and named in same way as is indicated on the checklist. The checklist should be included in its own category as part of the application. Any areas of the application that are not applicable must be listed as such on the checklist. Interstate firms will still have to submit the New York State UCP Interstate Certification Affidavit along with a copy of their entire administrative record from their home state.

If you choose to submit the application in a single file, please ensure that such administrative records are well organized by category in the aforementioned checklist, indexed, and paginated. Records that do not comport with these requirements are not acceptable and will be returned to you to be corrected immediately.

Applications not submitted in these formats will be returned without further review.

DBE Application Tripwires Adobe Portable Document Format

With which UCP partner should you apply?

When you apply, please ensure that you are selecting the appropriate New York State UCP agency based on your firm’s location. Please see below a list of counties that each partner handles. If your firm previously applied for DBE certification in New York, and your application was denied or your certification was removed, you must re-apply at the same agency which denied or removed the firm’s certification.

New York State Department of Transportation: Albany, Broome, Cayuga, Chemung, Chenango, Clinton, Columbia, Cortland, Delaware, Essex, Franklin, Fulton, Greene, Hamilton, Herkimer, Jefferson, Lewis, Livingston, Madison, Montgomery, Oneida, Onondaga, Ontario, Oswego, Otsego, Rensselaer, Saint Lawrence, Saratoga, Schenectady, Schoharie, Schuyler, Seneca, Steuben, Sullivan, Tioga, Tompkins, Ulster, Warren, Washington, Wayne and Yates counties.

Metropolitan Transportation Authority and Port Authority of New York & New Jersey: Bronx, Dutchess, Kings (Brooklyn), Nassau, New York (Manhattan), Orange, Putnam, Queens, Richmond (Staten Island), Rockland, Suffolk and Westchester counties.

Niagara Frontier Transportation Authority: Allegany, Cattaraugus, Chautauqua, Erie, Genesee, Monroe, Niagara, Orleans and Wyoming counties. 

 

Interstate DBE Certification

New York State is not a reciprocal state.  Businesses whose principal place of business is located outside of New York State, as defined by 49 CFR 26.5 and 23 CFR 23.3, must be certified as a DBE in their home state before they can be certified as a DBE by the NYSUCP.

To apply for interstate certification, the following will be required:

Documentation from your Home State Certification: A complete copy of the application form, all supporting documents, and any other information submitted to the home state since your certification, including copies of any correspondence with the home state's UCP; copies of all affidavits of no change with tax information and any notices of change submitted to the home state.

Documentation from Other States Where You Have Applied: Copies of any notices or correspondence from states, other than the home state, relating to the status as an applicant or certified DBE in those states. This includes, but is not limited to, decertification actions and denials of certification.

USDOT appeals: If the firm has filed a certification appeal with the U.S. Department of Transportation (USDOT), the firm must inform NYSDOT of this and provide a copy of the letter of appeal and the USDOT response.

Affirming Affidavit: A sworn affidavit affirming that all the information required by 49 CFR §26.85(c), as outlined above, has been submitted, and that the information is complete and identical to the information submitted to the firm’s home state. 

Interstate Certification Regulations The preceeding external link opens a new browser window

DBE Directory

Businesses granted DBE certification will be listed in the NYSUCP Directory. See https://nysucp.newnycontracts.com The preceeding external link opens a new browser window.

Manage Your Certification

Businesses become certified based on the information provided at the time of certification.  It is the DBEs responsibility to notify its certification agency within 30 days of any change that can impact a firm’s certification.  DBEs must also annually affirm that there have been no changes other than the changes previously reported. 

DBEs certified by NYSDOT should process the following certification management actions through the NYSUCP online system. 

Report changes required under 49 CFR §26.83(i) The preceeding external link opens a new browser window within 30 days of the occurrence of the change,

  • changes in firm circumstances affecting its eligibility, or
    material changes in the information provided in the firm's application form;
  • Submission of Annual Affidavit of No-Change Microsoft Word and supporting documents every year on the anniversary of the date of your certification;
  • Work code change/expansion requests;
  • Notification of address, phone, or other contact information changes; and
  • Withdrawal of certification

Failure to notify your certifying agency of changes or submit an Annual Affidavit of No Change within required time frames is deemed a failure to cooperate and is a ground for removal of a firm’s certification.

The DBE Supportive Services Program (DBE/SS) increases DBE self-sufficiency and competitiveness, provides training and promotes increased participation in projects generated by NYSDOT. Please visit our DBE/SS page for more information.

Reporting Allegations of Ineligibility or Fraud, Waste and Abuse

Any person may file a complaint alleging that a currently-certified firm is ineligible and specify the alleged reasons.  Allegations may be sent to the NYSDOT DBE Certification Unit verbally or in writing.  The NYSDOT Certification Unit will review its records, any information provided, and conduct other procedures as deemed necessary.  The confidentiality of complainants’ identities will be protected.

If adequate evidence indicates that a firm is not eligible, NYSDOT will pursue removal proceedings as outlined in 49 CFR 26.87.

Allegations of Fraud, Waste, and Abuse in the DBE Program can also be sent to any and/or all of the entities below:

New York State Department of Transportation Investigations Bureau

New York State Office of the Inspector General The preceeding external link opens a new browser window

USDOT Inspector General The preceeding external link opens a new browser window

 

MWBE Program

DBE certification is a federal program. It is separate and distinct from the New York State M/WBE program. For more information on the M/WBE program please visit Empire State Development's MWBE page The preceeding external link opens a new browser window and go to the section titled Navigating New York State's MWBE Certification Process.  

(Last updated June 22, 2022.)