The following is adapted from the FTA Office of Civil Rights.
DBE Shortfall = A recipient’s failure to meet its Triennial DBE Goal by the end of the fiscal year.
If the awards and commitments shown on the Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall goal applicable to that fiscal year, a Shortfall Analysis and Corrective Action Plan are required.Uniform Report of Awards and Commitments or End of FY Commitments and Payments less than Triennial DBE Goal Percentage = Shortfall
DBE Shortfall Analysis Purpose
DBE Shortfall Submission Dates
The 50 largest transit authorities must submit, within 90 days of the end of the fiscal year (December 29th), the analysis and corrective actions to the appropriate operating administration for approval.
All other FTA grantees must perform a Shortfall Analysis, create a Corrective Action Plan, and maintain these documents in a file (e.g., TEAM, DBE Program file, etc.) for production upon FTA’s request or during an oversight review.
Example: FFY 2014-2016 is 10% Goal
DBE Shortfall Analysis
Analyze in detail the reasons for the difference between the overall goal and the awards and commitments in that fiscal year
1. Evaluate projects used to establish the Triennial Goal and don’t include all open/active projects in the analysis—even if these projects were completed within the respective FY
2. Accurate Uniform DBE reports are critical.
DBE Corrective Action Plan
Establish specific steps and milestones to correct the problems identified in the analysis and to enable fully meeting the goal for the new fiscal year.
1. Increasing DBE participation
2. Strengthening race-neutral measures
3. Implementing a race-conscious component
4. Detailed timeline for implementing all corrective action