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Disadvantaged Business Enterprises

DBE and ACDBE Certification Reevaluation

 

DBE and ACDBE Certification Reevaluation

 

MaineDOT is conducting the reevaluation of Maine-based DBEs and ACDBEs in accordance with the U.S. Department of Transportation's revised DBE and ACDBE regulations. The September 25, 2026, Final Rule requires individualized determinations of social and economic disadvantage and eliminates race- and sex-based presumptions of disadvantage. The Final Rule is effective September 25, 2026.

 

Reevaluation Requirements

 

Each applicable owner must submit:

 

  • A Personal Narrative (PN) of Social and Economic Disadvantage
  • A current Personal Net Worth (PNW) Statement

  • Any other financial information the owner considers relevant to the determination of economic disadvantage

     

The PN must establish, by a preponderance of the evidence, the owner's social and economic disadvantage based on the owner's individual experiences and circumstances. The PN must identify at least one objective basis for the disadvantage and describe specific economic hardship, social barriers, or denied opportunities that impeded the owner's progress or success in education, employment, business, or obtaining financing.

 

The PN must explain how and to what extent those experiences caused actual economic harm, including the type and magnitude of the harm. The owner must also compare the circumstances or outcomes to those of non-disadvantaged individuals with comparable qualifications.

 

Eligibility cannot be based on a presumption of disadvantage or generalized statements about the experiences of a particular racial, ethnic, or gender group.

 

A narrative should focus on the owner's individual experiences and should explain who, what, where, when, why, and how the disadvantage occurred. General business history or generalized statements about discrimination, without a connection to the owner's individual circumstances and resulting economic harm, do not establish social and economic disadvantage under the federal requirements.

 

Firms that do not wish to continue their DBE or ACDBE certification may submit a written notice of withdrawal. MaineDOT staff cannot draft, edit, or advise on narratives or financial statements, but can answer procedural questions.

 

For procedural questions, contact Sherry Tompkins at the MaineDOT Civil Rights Office.

Disadvantaged Business Enterprises (DBE) Final Rule


Federal Register website

DOT DBE Final Rule September 2026 (PDF)

DOT DBE and ACDBE Final Rule FAQs (PDF)

 

 


MaineDOT is committed to engaging small disadvantaged business enterprises, as defined herein, in all contracts to the maximum feasible extent and will continue working to ensure these businesses have the maximum feasible opportunity to participate in contracts financed in whole or in part with federal funds.

As a recipient of federal USDOT funding, MaineDOT is required to develop and administer the DBE Program. MaineDOT administers the DBE Program and certifies all DBEs in Maine in compliance with federal regulations under 49 CFR Part 26. This program is intended to foster equal opportunity in USDOT-assisted contracts; improve the flexibility and efficiency of the DBE Program; and reduce burdens on small businesses.

DBE Certification does not mean the contractor has the ability to work in the state of Maine; it is up to the contractor to verify eligibility.

General Information/DBE Documents
Subrecipient DBE Instructions and Reporting Forms

 

DBE Application Information

The following is a list of application forms and Instructions for applying as a Disadvantaged Business Enterprise (DBE). Please forward completed applications to the following address:

Maine Department of Transportation
Attn: Sherry Tompkins
Civil Rights Office
#16 State House Station
24 Child Street
Augusta, ME 04333-0016

Telephone: (207) 624-3066
Email Sherry Tompkins

MaineDOT In-State DBE Documents

MaineDOT Out-Of-State DBE Documents

If your firm has maintained its interstate DBE certification with MaineDOT and your certification is currently active, please provide MaineDOT with either:

  • A copy of your JOC reevaluation decision letter; or
  • A screenshot of your active listing in your JOC DBE Directory.

Any out-of-state firm that is not currently certified with MaineDOT will need to submit the following for consideration for certification in Maine:

  • Declaration of eligibility (PDF)
  • Cover letter with its application that specifies that the DBE is applying for interstate certification, identifies all UCPs in which the DBE is certified (including the UCP that originally certified it).
  • An electronic image of the UCP directory of the original UCP that shows the DBE certification.

Interstate DBE certifications are completed within 10 days of receipt of all information required by Section 26.85(d).

 Please send completed Interstate Certification applications by email to Sherry Tompkins

or:

Mail to the following address:

Maine Department of Transportation
Attn: Mary Bryant
Civil Rights Office
#16 State House Station
24 Child Street
Augusta, ME 04333-0016

Annual Review Documents

List of Required Documents

  • Declaration of Eligibility (PDF)
  • Proof of gross receipts for your company’s most recently completed fiscal year, calculated on a cash basis regardless of the overall accounting method. The following documents may generally be considered “safe harbors,” provided that they include all reportable receipts, properly calculated, for the full reporting period: audited financial statements, a CPA’s signed attestation of correctness and completeness, or all income-related portions of one or more (when there are affiliates) signed Federal income tax returns as filed
  • A cover letter that specifies that the DBE is submitting the required annual review documentation and identifies all UCPs in which the DBE is certified.
  • An electronic image of the UCP directory of the original UCP that shows the DBE certification.
DBE Goals and Methodologies
DBE Frequently Asked Questions

Q: What is the DBE Program?

A:  The agency promotes a Disadvantaged Business Enterprise Program, as an affirmative means to fulfill the philosophy that all businesses, regardless of ownership, are allowed equal freedom and opportunity to compete for all contracts. All small business owners providing transportation, construction, or related services are encouraged to apply for certification.

Q: How do I get my firm certified?

A:  Contact Sherry Tompkins at 207-624-3066 or sherry.tompkins@maine.gov

Q: How will this help my firm?

A:  Your firm will be listed in the online Maine DBE Directory that is constantly updated.  

Q: What is a socially or economically disadvantaged individual?

A:  A socially or economically disadvantaged individual is a citizen or lawfully admitted permanent resident of the United States who is socially and economically disadvantaged.

Q: My Maine firm is certified in Maine; can I get certified in other states as well?

A: A DBE certification is only valid in the state in which the certification was issued. However, to obtain certification in another state, you must first be certified in your home state. Once you have obtained certification in your home state, you should contact the DBE Administrator from the state in which you want to obtain certification, and they will inform you of the required documents. 

Q: My firm is not in Maine but has been certified by my JOC. How do I become certified in Maine?

For out-of-state firms, Maine requires the following information:

  • An electronic image of the UCP directory of the original UCP that shows the DBE certification;
  • A currently signed Declaration of Eligibility; and
  • A cover letter that specifies that the DBE is applying for interstate certification and identifies all UCPs in which the DBE is certified.

This information should be sent to the Maine Department of Transportation, Civil Rights Office, State House Station 16, Augusta, ME 04333, or via email at sherry.tompkins@maine.gov.

Certification in Maine will be determined by MaineDOT. 

Q: Once certified, can a firm be assured of getting contracts and subcontracts?

A: No. Certification does not guarantee work to a DBE; however, it does enhance a DBE's exposure to prime contractors, government agencies, and the business community.  To be successful, a firm must diligently seek out contracts and implement a strategic marketing plan.

Q: Where can I find information on upcoming MaineDOT contracting opportunities?

A: MaineDOT's Contract website