Agency Requests for Approval of a New Information Collection(s): Disadvantaged Business Enterprise (DBE) Program Requirements, 31813-31818 [2021-12500]
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Federal Register / Vol. 86, No. 113 / Tuesday, June 15, 2021 / Notices
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entitled Public Participation.
FOR FURTHER INFORMATION CONTACT:
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SUPPLEMENTARY INFORMATION: As
described in the application, the
intended service of the vessel
SIMPATICA is:
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—Intended Commercial Use of Vessel:
‘‘Charter’’.
—Geographic Region Including Base of
Operations: ‘‘California’’ (Base of
Operations: Marina del Rey, CA)
—Vessel Length and Type: 89′ Motor
Yacht
The complete application is available
for review identified in the DOT docket
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may have on U.S. vessel builders or
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MARAD’s regulations at 46 CFR part
388, that the employment of the vessel
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adverse effect on a U.S.-vessel builder or
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in section 388.4 of MARAD’s
regulations at 46 CFR part 388.
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Public Participation
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Go to the docket online at https://
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MARAD–2021–0063 or visit the Docket
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By Order of the Acting Maritime
Administrator.
T. Mitchell Hudson, Jr.,
Secretary, Maritime Administration.
[FR Doc. 2021–12531 Filed 6–14–21; 8:45 am]
BILLING CODE 4910–81–P
DEPARTMENT OF TRANSPORTATION
[Docket No. DOT–OST–2021–0072]
Agency Requests for Approval of a
New Information Collection(s):
Disadvantaged Business Enterprise
(DBE) Program Requirements
Office of the Secretary (OST).
Notice and request for
comments.
AGENCY:
Will my comments be made available to
the public?
ACTION:
Yes. Be aware that your entire
comment, including your personal
identifying information, will be made
publicly available.
SUMMARY:
May I submit comments confidentially?
If you wish to submit comments
under a claim of confidentiality, you
should submit three copies of your
complete submission, including the
information you claim to be confidential
business information, to the Department
of Transportation, Maritime
Administration, Office of Legislation
and Regulations, MAR–225, W24–220,
1200 New Jersey Avenue SE,
Washington, DC 20590. Include a cover
letter setting forth with specificity the
basis for any such claim and, if possible,
a summary of your submission that can
be made available to the public.
Privacy Act
In accordance with 5 U.S.C. 553(c),
DOT solicits comments from the public
to better inform its rulemaking process.
DOT posts these comments, without
edit, to www.regulations.gov, as
described in the system of records
notice, DOT/ALL–14 FDMS, accessible
through www.dot.gov/privacy. To
facilitate comment tracking and
response, we encourage commenters to
provide their name, or the name of their
organization; however, submission of
names is completely optional. Whether
or not commenters identify themselves,
all timely comments will be fully
considered. If you wish to provide
comments containing proprietary or
confidential information, please contact
the agency for alternate submission
instructions.
(Authority: 49 CFR 1.93(a), 46 U.S.C. 55103,
46 U.S.C. 12121)
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31813
The Department of
Transportation (DOT or Department)
invites public comments about our
intention to request approval from the
Office of Management and Budget
(OMB) for an information collection for
the Department’s Disadvantaged
Business Enterprise (DBE) program. The
DBE program has been in existence
since 1983. The information collections
described in this notice are necessary to
maintain successful implementation of
the DBE program, as it helps ensure that
state and local agencies receiving DOT
funds (hereinafter, recipients) carry out
the program’s mission of providing a
level playing field for small businesses
owned and controlled by socially and
economically disadvantaged
individuals. DOT is publishing this
notice in the Federal Register to meet
the requirements of the Paperwork
Reduction Act of 1995.
DATES: Written comments should be
submitted by August 16, 2021.
ADDRESSES: You may submit comments
[identified by Docket No. DOT–OST–
2021–0072] through one of the
following methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the online
instructions for submitting comments.
• Fax: (202) 493–2251.
• Mail or Hand Delivery: Docket
Management Facility, U.S. Department
of Transportation, 1200 New Jersey
Avenue SE, West Building, Room W12–
140, Washington, DC 20590, between 9
a.m. and 5 p.m., Monday through
Friday, except on Federal holidays.
FOR FURTHER INFORMATION CONTACT:
Marc D. Pentino, (202) 366–6968,
marc.pentino@dot.gov or Aarathi Haig,
(202) 366–5990, aarathi.haig@dot.gov/
Departmental Office of Civil Rights,
Office of the Secretary, U.S. Department
of Transportation.
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The DBE
program is regulated by 49 CFR part 26
(DBE regulation) and is authorized by
the Fixing America’s Surface
Transportation (FAST) Act Public Law
114–94 (Dec. 4, 2015). The applicable
statute for the Federal Aviation
Administration’s Airport Improvement
Program-funded DBE Program is 49
U.S.C. 47113 and FAA’s general
nondiscrimination statute is 49 U.S.C.
47123.
In preparing this notice, the
Department identified various aspects of
the DBE program that have existed as
requirements for a long period of time,
several decades in some cases, that
include information collections that
have not been appropriately accounted
for in the current collection. To assist in
estimating the potential paperwork
burden of these collections, the
Department reached out to a small
number of stakeholders to gain a general
understanding of how much time they
spend each year responding to these
collections. However, the stakeholder
responses varied so significantly that
the Department is concerned the
responses blur lines between what
aspects of the program are specifically
information collections versus more
general requirements of the program.
To help commenters provide
information that will better allow the
Department to include the appropriate
paperwork burden within this
collection, the Department offers the
following clarifications. A ‘‘collection of
information’’ is defined as ‘‘the
obtaining, causing to be obtained,
soliciting, or requiring the disclosure to
an agency, third parties or the public of
information by or for an agency by
means of identical questions posed to,
or identical reporting, recordkeeping, or
disclosure requirements imposed on,
ten or more persons.’’ 5 CFR
1320.3(c)(1). The activities that
constitute the ‘‘burden’’ associated with
a collection are defined in 5 CFR
1320.3(b)(1) as ‘‘the total time, effort, or
financial resources expended by persons
to generate, maintain, retain, or disclose
or provide information to or for a
Federal agency.’’ Importantly, this
burden is not necessarily the same as
the entire regulatory burden for a
program or an aspect of a program. For
example, if a regulation requires an
inspection and the completion of a form
documenting the inspection, the full
regulatory burden would likely include
both actions, while the paperwork
burden would only include the time and
other resources needed to complete the
form.
In addition, the Department believes
certain recordkeeping requirements
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SUPPLEMENTARY INFORMATION:
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have not been adequately accounted for
in the current collection. For instance,
the DBE regulation requires recipients to
maintain a bidders list and a DBE
Directory. These recordkeeping
activities have not previously been
included in the Department’s paperwork
burden calculation. As stated in 5 CFR
1320.3(m), ‘‘Recordkeeping requirement
means a requirement imposed by or for
an agency on persons to maintain
specified records, including a
requirement to: (1) Retain such records;
(2) Notify third parties, the Federal
government, or the public of the
existence of such records; (3) Disclose
such records to third parties, the Federal
government, or the public; or (4) Report
to third parties, the Federal government,
or the public regarding such records.’’
Thus, a requirement to retain records
that do not necessarily require
submission to the Department are
covered under the PRA and are
included in the current collection.
For purposes of this 60-day notice, the
Department has included the burden
estimates we received from the small
number of stakeholders we contacted.
As noted above, the Department is
concerned that at least several of these
estimates pertain to regulatory burdens
that are not subject to PRA
requirements. To the extent feasible, the
Department requests that commenters
who provide burden estimates for
aspects of the program identified below
be as specific as possible about
paperwork burdens, including what
amount of time each task takes and
what, if any, additional costs beyond
labor costs (e.g., copying, mailing,
storage, or other technology costs) are
associated with each aspect of the
collection.
OMB Control Number: N/A.
Title: Disadvantaged Business
Enterprise (DBE) Program Requirements.
Form Numbers: N/A.
Type of Review: Initial Approval of
Existing Information Collection.
1. Maintain Bidders Lists
Section 26.11 and Appendix B of the
DBE regulation require recipients to
maintain a bidders list. The purpose of
the list is to provide recipients the most
precise data possible about the universe
of DBE and non-DBE contractors and
subcontractors who seek to work on
federally-assisted contracts. Recipients
use the bidders lists to accurately
determine the availability of DBE and
non-DBE firms and to measure the
relative availability of ready, willing,
and able DBEs when setting their overall
goals under § 26.45. The data on a
bidders list includes each firm’s name,
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address, DBE status, age, and
approximate annual gross receipts.
The annual burden hours that DOT
received from six stakeholder responses
ranged from 3–915 hours. The total
estimated annual cost burden from four
stakeholder responses ranged from
$360–$35,000. Although the Department
acknowledges the wide range of
recipients that must comply with this
requirement, it seems unlikely that fulltime employees dedicate half of their
time each year to this task, as these lists
are only updated three times per year
for each recipient. Thus, the Department
believes that the total annual burden per
recipient is likely towards the lower end
of the estimates DOT received.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
Federal Aviation Administration (FAA)
recipients, 53 Federal Highway
Administration (FHWA) recipients, 553
Federal Transit Administration (FTA)
recipients).
Frequency: 3 times per year, although
recipients have significant flexibility
under § 26.11 to determine how often
they update their bidders lists.
Number of Responses: 3,594.
Total Annual Burden: 636 hours and
$30,000.
2. Maintaining DBE Directories
Section 26.81(g) requires recipients to
maintain an electronic DBE directory.
Section 26.31 mandates that each
directory listing include the firm’s
address, phone number, and the types of
work the firm has been certified to
perform as a DBE, using the most
specific North American Industry
Classification System (NAICS) code
available to describe each type of work.
The primary purpose of the directory is
to show the results of the certification
process, i.e., all firms that the recipient
has certified. Prime contractors use the
information to find potential DBE
subcontractors.
The total annual burden hours the
Department received from five
stakeholder responses ranged from 10–
1,300 hours. The total annual cost
burden from four stakeholder responses
ranged from $240–$79,800. As with the
above, the Department is concerned that
the high estimate includes burdens
beyond the paperwork requirement of
updating and maintaining the directory,
though the Department believes the
lower value of 10 hours may be
insufficient for larger stakeholders.
Respondents: State and local
recipients of DOT funds that perform
DBE certification.
Number of Respondents: 132.
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Frequency: Monthly, i.e., 12 times
each year.
Number of Responses: 1,584.
Total Annual Burden: 4,500 hours
and $426,000.
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3. Monitoring the Performance of DBE
Program Participants
Section 26.37 requires recipients to
implement monitoring mechanisms to
ensure that all DBE program
participants comply with the
regulation’s requirements. There are two
required mechanisms: (1) Written
certification that recipients have
reviewed contracting records and
monitored work sites in their state for
this purpose, and (2) a running tally of
actual DBE attainments (i.e., payments
actually made to DBE firms). If a DOT
Operating Administration (OA)
conducts a compliance review or
investigation, it checks to see if the
recipient has the written certifications
and tallies; recipients do not otherwise
submit the information. Recipients
collect the information so they can
confirm at project sites that the DBE to
whom the work was committed is in
fact performing the work.
The total estimated annual burden
hours DOT received from the six
stakeholder responses ranged from 45–
2000 hours. The total annual cost
burden was calculated based on the
average of four stakeholder responses
ranging from $10,000–$80,000. The
Department believes that it is likely that
the stakeholders who provided the
higher estimates based their responses
on the substantive monitoring
requirement rather than the paperwork
specific requirements.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
FAA recipients, 53 FHWA recipients,
553 FTA recipients).
Frequency: 36 times each year (3
times per month).
Number of Responses: 43,128.
Total Annual Burden: 28,224 hours
and $42,250.
4. Addressing Overconcentration of
DBEs in Certain Types of Work
Section 26.33 contemplates a
situation in which DBEs in a certain
work type are so prevalent that they
unduly burden the ability of non-DBE
firms to participate in those work types.
If a recipient determines that
overconcentration of DBEs exists in
certain types of work, the recipient must
submit to the appropriate OA the
reasons for the determination and the
measures devised to address it. The
recipient must review and analyze
actual data concerning an
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overconcentration allegation to
determine if it supports a finding of
overconcentration. The OAs have never
received submittals of
overconcentration determinations from
recipients.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
FAA recipients, 53 FHWA recipients,
553 FTA recipients).
Frequency: Zero.
Number of Responses: Zero.
Total Annual Burden: Zero.
5. Setting Overall Goals for DBE
Participation in DOT-Assisted
Contracts
Congress carefully considered and
concluded that race-neutral means alone
are insufficient to remedy the effects of
discrimination in DOT-assisted
contracting. To meet Constitutional
strict scrutiny requirements, DBE
programs’ race-conscious means must
be narrowly tailored. Section 26.45
mandates that, in three-year intervals,
recipients set and submit to DOT a raceconscious overall goal for DBE
participation in DOT-assisted contracts
based on the availability of DBE firms
compared to all firms in each recipient’s
DOT-assisted contracting market.
Recipients must include with their
overall goal submission a description of
the methodology they used to establish
the goal and a projection of the portions
of the overall goal that they expect to
meet through race-neutral and raceconscious means.
The total annual burden hours below
were calculated based on the average of
six stakeholder responses ranging from
16–500 hours. The total annual cost
burden was calculated based on the
average of four stakeholder responses
ranging from $2,300–$50,000. The
Department notes that the paperworkspecific burden does not apply to all the
work that goes into the goal setting
process, but rather only to those aspects
of that work that is related to the
submission of goal methodology.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
FAA recipients, 53 FHWA recipients,
553 FTA recipients).
Frequency: Triennially.
Number of Responses: 1,198.
Total Annual Burden: 47 hours and
$5,400.
6. Analyzing Discrepancies Between
Uniform Report Data and Recipients’
Overall Goals
Section 26.47(c) mandates that if the
awards and commitments shown on a
recipient’s Uniform Report at the end of
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31815
any fiscal year are less than the overall
goal applicable to that fiscal year, the
recipient must, in order to be regarded
by the Department as implementing the
DBE program in good faith: (1) Analyze
in detail the reasons for the difference
between the overall goal and awards
and commitments in that fiscal year,
and (2) establish specific steps and
milestones to correct the problems the
recipient identified in the analysis and
to enable the recipient to meet fully the
goal for the new fiscal year. If the
recipient is a state highway agency, one
of the 50 largest transit authorities as
determined by the FTA, or an
Operational Evolution Partnership Plan
airport or other airport designated by
the FAA, the recipient must submit,
within 90 days of the end of the fiscal
year, an analysis and corrective action
plan to the appropriate OA for approval.
A transit authority or airport not
meeting the criteria of § 26.47(c)(3)(i)
must retain its analysis and corrective
actions in its records for three years and
make it available to the FTA or FAA on
request.
The total annual burden hours DOT
received from seven stakeholder
responses ranged from 3–2,000 hours.
The total annual cost burden was
calculated based on the average of five
stakeholder responses ranging from
$450–$80,000. The Department is
concerned that the higher numbers
account for aspects of the program
beyond the narrow collection in this
requirement.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 450.
Frequency: Annually or triennially
depending on which OA provided the
funds.
Number of Responses: 450.
Total Annual Burden: 650 hours and
$36,650 per respondent.
7. Requiring Transit Vehicle
Manufacturers (TVMs) To Comply With
the DBE Regulation’s Goal Setting
Requirements
Under § 26.49, FTA funding
recipients must require that each TVM,
as a condition of being authorized to bid
or propose on FTA-assisted transit
vehicle procurements, certify that it has
complied with the regulation’s goal
setting requirements. TVMs must
establish and submit for the FTA’s
approval an annual overall percentage
goal that is narrowly tailored and
specific to its market area. The FTA
reviews the goal setting methodologies
to ensure that they are developed
pursuant to regulatory requirements and
the Department’s official guidance. In
addition to submitting an annual
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percentage goal, FTA recipients must
submit, within 30 days of making an
award, the name of the successful
bidder and the total dollar value of the
contract in the manner prescribed in the
grant agreement. Once collected, the
FTA analyzes the information for
oversight purposes. For example, when
the FTA conducts triennial and DBEspecific reviews, FTA contractors check
the TVM Award Report data to make
sure that the information on file with
the recipients is accurately reflected on
the report.
The total annual burden hours for
FTA recipients were calculated based
on the average of three stakeholder
responses ranging from 1–40 hours. The
total annual cost burden for FTA
recipients was calculated based on the
average of two stakeholder responses
ranging from $60–$4,000. The total
annual burden hours and cost for TVMs
is the response from one stakeholder.
The Department believes that these
responses are, generally, consistent with
its understanding of the paperwork
burden associated with this
requirement.
Respondents: FTA recipients and
TVMs.
Number of Respondents: 391 (328
FTA recipients; 63 TVMs).
Frequency: FTA recipients each
submit contract award information once
each time they award a contract to a
TVM, i.e., cumulatively 1,255 times
each year. The 63 TVMs each annually
submit one overall percentage goal to
the FTA, i.e., cumulative total of 63
annual submissions.
Number of Responses: 1,255 (1,192
FTA recipient responses and 63 TVM
responses).
Total Annual Burden: 12,020 hours
and $18,880 (11,920 hours and $17,880
for FTA recipients to submit contract
award information; 100 hours and
$1,000 for each TVM to submit one
overall percentage goal submission).
8. Projecting Which Portions of Overall
Goals of DBE Participation Will Be Met
Through Race-Neutral Means and
Which Portions Will Be Met Through
Race-Conscious Means
Section 26.51(c) states that each time
a recipient submits an overall goal for
review by the concerned OA, the
recipient must also submit a projection
of the portion of the goal that the
recipient expects to meet through raceneutral means and the basis for that
projection. The projection is subject to
approval by the concerned OA in
conjunction with its review of the
recipient’s overall goal. Recipients use
the information to determine what
combination of race-conscious and race-
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neutral efforts they should undertake to
meet their overall goal.
The total annual burden hours DOT
received from six stakeholder responses
ranged from 3–1,387 hours. The total
annual cost burden from four
stakeholder responses ranged from
$360–$100,000. The Department
believes that the higher totals include
programmatic burdens beyond this
specific collection.
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
FAA recipients, 53 FHWA recipients,
553 FTA recipients).
Frequency: Triennially.
Number of Responses: 1,198.
Total Annual Burden: 171,713 hours
and $9,000.
9. Submitting Evidence of Having Made
‘‘Good Faith Efforts’’ To Secure DBE
Participation in DOT-Assisted
Contracts
Section 26.53(b)(2) and Appendix A
state that in solicitations for DOTassisted contracts for which a contract
goal has been established, a recipient
must require all bidders or offerors to
submit the names and addresses of the
DBE firms that will participate in the
contract, a description of the work that
each DBE will perform, the dollar
amount of the participation of each DBE
firm participating, written
documentation of the bidder/offeror’s
commitment to use a DBE subcontractor
whose participation it submits to meet
a contract goal, and written
confirmation from each listed DBE firm
that it is participating in the contract in
the kind and amount of work provided
in the prime contractor’s commitment. If
the contract goal is not met, the
recipient must require all bidders or
offerors to submit evidence of their
‘‘good faith efforts’’ to achieve DBE
participation on the contract. The
documentation of good faith efforts
must include copies of each DBE and
non-DBE subcontractor quote submitted
to the bidder when a non-DBE
subcontractor was selected over a DBE.
The total annual burden hours below
were calculated based on the average of
five recipient responses ranging from
2–192 hours. The total annual cost
burden was calculated based on the
average of four stakeholder responses
ranging from $250–$7,300. The
Department acknowledges that the
requirement of submitting ‘‘good faith
efforts’’ documentation imposes a
paperwork burden on prime contractors
as well. We request that prime
contractors who comment on this
collection provide hour and cost burden
estimates that are as specific as possible,
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including what amount of time it takes
to prepare and submit ‘‘good faith
efforts’’ documentation and any
additional costs beyond labor costs (e.g.,
copying, mailing, storage, or other
technology costs).
Respondents: State and local
recipients of DOT funds.
Number of Respondents: 1,198 (592
FAA recipients, 53 FHWA recipients,
553 FTA recipients).
Frequency: 72 times each year (6
times per month).
Number of Responses: 86,256.
Total Annual Burden: 4,680 hours
and $359,400.
10. Drafting Unified Certification
Program (UCP) Agreements
The DBE program regulation requires
all recipients and sponsors
implementing DBE programs to
establish a UCP in their respective
jurisdictions. In January 2020, DOCR
evaluated the UCP agreements of the 50
states, the District of Columbia, the
Northern Mariana Islands, and Puerto
Rico. DOCR found that over 20 UCP
agreements have substantial errors, have
not been updated to reflect changes to
the DBE regulation made in 2011 and
2014, and contain significant changes
that might not have been approved by
the Department.
One of the Department’s concerns is
that the UCP agreements and procedures
are posted online and included in
employee training materials, but contain
information that misleads certified and
applicant firms, as well as the recipients
that created the agreements.
The total annual burden hours for
UCPs to update their program
agreements was calculated based on two
stakeholder responses ranging from
2–192 hours. The total annual cost
burden was calculated based on the
response of one stakeholder.
Respondents: Unified Certification
Programs.
Number of Respondents: 53.
Frequency: The Department proposes
that this occur every four years. The
Department or OAs may, as part of
compliance activities, recommend or
request the recipient and sponsor to
make changes more frequently if
necessary.
Number of Responses: 53.
Total Annual Burden: 50 hours and
$3,700 per respondent.
11. Evaluating the DBE Certification
Eligibility of Applicant Firms
Recipients must take various steps in
determining an applicant’s eligibility,
such as performing an on-site visit to
the firm’s principal place of business.
Recipients often write a report
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documenting the visit and maintain a
copy of it. They send a copy to the
Department if a firm found ineligible
files an appeal.
The total annual burden hours below
were calculated based on the average of
three stakeholder responses ranging
from 240–2,000 hours. The total annual
cost burden was calculated based on
one stakeholder response of $80,000.
Respondents: Recipients that perform
DBE certification.
Number of Respondents: 132.
Frequency: 40 per respondent.
Number of Responses: 5,280.
Total Annual Burden: 44,000 hours
and $3.2 million.
khammond on DSKJM1Z7X2PROD with NOTICES
12. Maintaining Copies of Written
Denial Letters Sent to Applicant Firms
and Sending Copies to DOT Upon
Request
Under § 26.86(a), when a recipient
denies a certification application of a
firm that is not currently certified by the
UCP of which the recipient is a member,
the recipient must provide the firm a
written denial letter explaining the
reasons for the decision, specifically
referencing the evidence in the record
that supports each reason for the denial.
The recipient must maintain a copy of
the denial letter. If the denied firm
appeals to DOT, the recipient must send
a copy of the letter to DOT. If the firm
requests the documents and other
information on which the denial was
based, the recipient must provide them.
The total annual burden hours below
were calculated based on the average of
three recipient responses within a
narrow range. The total annual cost
burden was calculated based on one
stakeholder response of $7,000. This is
an instance in which the Department
believes that recipients included hours
and costs beyond those attributable to
the paperwork burden. As denial letters
are not standardized, they are not
considered an information collection
and the burden associated with writing
them is not a paperwork burden. The
only paperwork burdens are for
recipients to send electronic copies of
the letters to firms and to the
Department, and maintain a copy of the
letters. Given the relative simplicity of
those tasks, it seems unlikely that they
require 3,360 hours and $210,000.
Respondents: Recipients that perform
DBE certification.
Number of Respondents: 132.
Frequency: 2.5 each month.
Number of Responses: 3,960 per year.
Total Annual Burden: 3,360 hours
and $210,000.
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17:02 Jun 14, 2021
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31817
13. Removing the Eligibility of a DBE
Firm
Total Annual Burden: 6,095 hours
and $217,300.
Section 26.87 describes the process
for a recipient to remove a firm’s
certification. If a recipient determines
there is reasonable cause to believe that
a certified firm is no longer eligible for
DBE certification, the recipient must
give the firm a written notice of its
intent to decertify the firm. The notice
must clearly describe the reasons for the
proposed determination and the reasons
for it, with specific references to the
evidence in the record on which each
reason is based. The recipient must offer
the firm, in writing, an opportunity for
an informal hearing at which the firm
may respond to the reasons for the
proposal to remove its eligibility. The
recipient must maintain a verbatim
record/transcript of the hearing. If a
recipient reaches a final decision to
decertify the firm, the recipient must
provide the firm written notice of the
decision and the reasons for it,
including specific references to the
evidence in the record that supports
each reason for the decision. The notice
must inform the firm of the
consequences of the final decision and
explain the process for filing an appeal
with the Department. If the firm appeals
to the Department, the recipient must
provide the Department with a copy of
the transcript, and on request, to the
firm.
The information collected during the
decertification process is used in
multiple ways. The decisionmaker
appointed by the recipient uses the
information in the notice of intent to
decertify and any evidence presented
during or after the hearing to make a
final decision on whether the firm
should be decertified. The firm uses the
information in the notice of intent to
decertify to determine what evidence or
arguments it might want to submit at the
informal hearing. The firm uses the
information in the final decision, in
part, to decide whether it wishes to file
an appeal with the Department. If the
firm files an appeal, the Department
uses the information to determine
whether substantial evidence supports
the recipient’s decision to remove the
firm’s certification eligibility.
The total annual burden hours are
based on the average of three
stakeholder responses ranging from 60–
180 hours. The total annual cost is
based on one stakeholder response of
$4,100.
Respondents: Unified Certification
Programs.
Number of Respondents: 38.
Frequency: 53 each year.
Number of Responses: 2,014.
14. Mailing and Maintaining Copies of
Summary Suspension Notices
Under § 26.88 when a recipient
summarily suspends a firm’s DBE
certification, the recipient must
immediately notify the firm of the
suspension by certified mail, return
receipt requested, to the last known
address of the owner(s) of the firm. If
the owner(s) responds to the notice with
information demonstrating that the firm
remains eligible, the recipient must
respond in writing (within 30 days of
receiving the information) and explain
how it intends to proceed.
The total annual burden hours below
were calculated based on the average of
three stakeholder responses ranging
from 12–180 hours. The total annual
cost burden was calculated based on
one response from one stakeholder of
$7,600. This is another instance in
which the Department believes that
recipients included hours and costs
beyond those attributable to the
paperwork burden. Given that, the
hours and cost estimates the Department
received are likely too high. Summary
suspension notices are not standardized
and thus not considered an information
collection. The burden associated with
writing them is not a paperwork burden.
The only paperwork burdens are for
recipients to send the notices by
certified mail to firms and maintain an
electronic copy.
Respondents: Recipients that perform
DBE certification.
Number of Respondents: 132.
Frequency: 5 times each year.
Number of Responses: 660.
Total Annual Burden: 420 hours and
$38,000.
PO 00000
Frm 00125
Fmt 4703
Sfmt 4703
15. Sending the Department a Full
Administrative Record When the
Department Gives Notice That a Denied
or Decertified Firm Appeals to the
Department and Maintaining a Copy of
the Record
Under § 26.89(d), recipients must
comply with the Department’s request
to timely (within 20 days of the request)
provide a full administrative record
when the Department gives notice that
a denied or decertified firm has filed an
appeal with the Department.
The total annual burden hours below
were calculated based on the average of
three stakeholder responses ranging
from 2–200 hours. The total annual cost
burden was calculated based on one
response from one stakeholder response
of $7,600.
Respondents: Recipients that perform
DBE certification that have denied or
E:\FR\FM\15JNN1.SGM
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31818
Federal Register / Vol. 86, No. 113 / Tuesday, June 15, 2021 / Notices
decertified firms that appeal to the
Department.
Number of Respondents: 50.
Frequency: 3 times each year.
Number of Responses: 150.
Total Annual Burden: 12,600 hours
and $7,600.
16. Providing a Copy of Application
Materials to an Additional State in
Which a Firm Certified in Another
State Applies to Another State for
Certification (Interstate Certification)
khammond on DSKJM1Z7X2PROD with NOTICES
Under § 26.85(c), when a firm
currently certified in its home state
(state A) applies to another state (state
B) for DBE certification, state B is
permitted to require the firm to submit
a complete copy of all the materials the
firm submitted to its home state/state A
for initial certification. State B reviews
the information to determine whether
there is ‘‘good cause’’ (a term
specifically described in the interstate
certification rule) to believe that state
A’s certification is erroneous or should
not apply in its state. The interstate
certification rule describes the limited
circumstances under which state B
could validly make such a
determination.
Respondents: DBE firms applying for
interstate certification.
Number of Respondents: 68.
Frequency: Once.
Number of Responses: 68.
Total Annual Burden: 20 hours and
$2,000.
Number of Responses: 264.
Total Annual Burden: 90 hours and
$8,000.
Public Comments Invited: You are
asked to comment on any aspect of this
information collection, including (a)
whether the proposed collection of
information is necessary for the
Department’s performance; (b) the
accuracy of the estimated burden; (c)
ways for the Department to enhance the
quality, utility and clarity of the
information collection; and (d) ways
that the burden could be minimized
without reducing the quality of the
collected information. The agency will
summarize and/or include your
comments in the request for OMB’s
clearance of this information collection.
Authority: The Paperwork Reduction Act
of 1995; 44 U.S.C. Chapter 35, as amended;
and 49 CFR 1:48.
Issued in Washington, DC, on June 9, 2021.
Irene Marion,
Director, Departmental Office of Civil Rights.
[FR Doc. 2021–12500 Filed 6–14–21; 8:45 am]
BILLING CODE 4910–9X–P
DEPARTMENT OF THE TREASURY
Alcohol and Tobacco Tax and Trade
Bureau
[Docket No. TTB–2021–0003]
Proposed Information Collections;
Comment Request (No. 82)
17. Writing and Submitting Narratives
of Social and Economic Disadvantage
When Applying for DBE Certification
Based on an Individualized Showing of
Disadvantage
AGENCY:
The DBE program is intended to be as
inclusive as possible while remaining
narrowly tailored. Individuals who are
not members of groups whose members
are presumed socially and economically
disadvantaged may still qualify for DBE
certification. Appendix E of the
regulation states that to demonstrate
their eligibility, these individuals must
submit a narrative describing the
individual’s experiences of social
disadvantage and a separate narrative in
which the individual describes why the
individual is economically
disadvantaged. This information
collection is critical for ensuring that
only eligible firms receive DBE
certification.
Respondents: DBE certification
applicants whose owners are not
presumed socially and economically
disadvantaged under the DBE
regulation.
Number of Respondents: 264.
Frequency: Once.
SUMMARY:
VerDate Sep<11>2014
17:02 Jun 14, 2021
Jkt 253001
Alcohol and Tobacco Tax and
Trade Bureau (TTB); Treasury.
ACTION: Notice and request for
comments.
As part of our continuing
effort to reduce paperwork and
respondent burden, and as required by
the Paperwork Reduction Act of 1995,
we invite comments on the proposed or
continuing information collections
listed below in this notice.
DATES: We must receive your written
comments on or before August 16, 2021.
ADDRESSES: You may send comments on
the information collections described in
this document using one of the two
methods described below—
• Internet: To submit comments
electronically, use the comment form for
this document posted on the
‘‘Regulations.gov’’ e-rulemaking website
at https://www.regulations.gov within
Docket No. TTB–2021–0003.
• Mail: Send comments to the
Paperwork Reduction Act Officer,
Regulations and Rulings Division,
Alcohol and Tobacco Tax and Trade
Bureau, 1310 G Street NW, Box 12,
Washington, DC 20005.
PO 00000
Frm 00126
Fmt 4703
Sfmt 4703
Please submit separate comments for
each specific information collection
described in this document. You must
reference the information collection’s
title, form or recordkeeping requirement
number (if any), and OMB control
number in your comment.
You may view copies of this
document, the relevant TTB forms, and
any comments received at https://
www.regulations.gov within Docket No.
TTB–2021–XXXX. TTB has posted a
link to that docket on its website at
https://www.ttb.gov/rrd/informationcollection-notices. You also may obtain
paper copies of this document, the
listed forms, and any comments
received by contacting TTB’s Paperwork
Reduction Act Officer at the addresses
or telephone number shown below.
FOR FURTHER INFORMATION CONTACT:
Michael Hoover, Regulations and
Rulings Division, Alcohol and Tobacco
Tax and Trade Bureau, 1310 G Street
NW, Box 12, Washington, DC 20005;
202–453–1039, ext. 135; or
informationcollections@ttb.gov (please
do not submit comments to this email
address).
SUPPLEMENTARY INFORMATION:
Request for Comments
The Department of the Treasury and
its Alcohol and Tobacco Tax and Trade
Bureau (TTB), as part of their
continuing effort to reduce paperwork
and respondent burden, invite the
general public and other Federal
agencies to comment on the proposed or
continuing information collections
described below, as required by the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.).
Comments submitted in response to
this document will be included or
summarized in our request for Office of
Management and Budget (OMB)
approval of the relevant information
collection. All comments are part of the
public record and subject to disclosure.
Please do not include any confidential
or inappropriate material in your
comments.
We invite comments on: (a) Whether
an information collection is necessary
for the proper performance of the
agency’s functions, including whether
the information has practical utility; (b)
the accuracy of the agency’s estimate of
the information collection’s burden; (c)
ways to enhance the quality, utility, and
clarity of the information collected; (d)
ways to minimize the information
collection’s burden on respondents,
including through the use of automated
collection techniques or other forms of
information technology; and (e)
estimates of capital or start-up costs and
E:\FR\FM\15JNN1.SGM
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]]>Agencies
[Federal Register Volume 86, Number 113 (Tuesday, June 15, 2021)]
[Notices]
[Pages 31813-31818]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-12500]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
[Docket No. DOT-OST-2021-0072]
Agency Requests for Approval of a New Information Collection(s):
Disadvantaged Business Enterprise (DBE) Program Requirements
AGENCY: Office of the Secretary (OST).
ACTION: Notice and request for comments.
-----------------------------------------------------------------------
SUMMARY: The Department of Transportation (DOT or Department) invites
public comments about our intention to request approval from the Office
of Management and Budget (OMB) for an information collection for the
Department's Disadvantaged Business Enterprise (DBE) program. The DBE
program has been in existence since 1983. The information collections
described in this notice are necessary to maintain successful
implementation of the DBE program, as it helps ensure that state and
local agencies receiving DOT funds (hereinafter, recipients) carry out
the program's mission of providing a level playing field for small
businesses owned and controlled by socially and economically
disadvantaged individuals. DOT is publishing this notice in the Federal
Register to meet the requirements of the Paperwork Reduction Act of
1995.
DATES: Written comments should be submitted by August 16, 2021.
ADDRESSES: You may submit comments [identified by Docket No. DOT-OST-
2021-0072] through one of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the online instructions for submitting comments.
Fax: (202) 493-2251.
Mail or Hand Delivery: Docket Management Facility, U.S.
Department of Transportation, 1200 New Jersey Avenue SE, West Building,
Room W12-140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday
through Friday, except on Federal holidays.
FOR FURTHER INFORMATION CONTACT: Marc D. Pentino, (202) 366-6968,
[email protected] or Aarathi Haig, (202) 366-5990,
[email protected]/Departmental Office of Civil Rights, Office of the
Secretary, U.S. Department of Transportation.
[[Page 31814]]
SUPPLEMENTARY INFORMATION: The DBE program is regulated by 49 CFR part
26 (DBE regulation) and is authorized by the Fixing America's Surface
Transportation (FAST) Act Public Law 114-94 (Dec. 4, 2015). The
applicable statute for the Federal Aviation Administration's Airport
Improvement Program-funded DBE Program is 49 U.S.C. 47113 and FAA's
general nondiscrimination statute is 49 U.S.C. 47123.
In preparing this notice, the Department identified various aspects
of the DBE program that have existed as requirements for a long period
of time, several decades in some cases, that include information
collections that have not been appropriately accounted for in the
current collection. To assist in estimating the potential paperwork
burden of these collections, the Department reached out to a small
number of stakeholders to gain a general understanding of how much time
they spend each year responding to these collections. However, the
stakeholder responses varied so significantly that the Department is
concerned the responses blur lines between what aspects of the program
are specifically information collections versus more general
requirements of the program.
To help commenters provide information that will better allow the
Department to include the appropriate paperwork burden within this
collection, the Department offers the following clarifications. A
``collection of information'' is defined as ``the obtaining, causing to
be obtained, soliciting, or requiring the disclosure to an agency,
third parties or the public of information by or for an agency by means
of identical questions posed to, or identical reporting, recordkeeping,
or disclosure requirements imposed on, ten or more persons.'' 5 CFR
1320.3(c)(1). The activities that constitute the ``burden'' associated
with a collection are defined in 5 CFR 1320.3(b)(1) as ``the total
time, effort, or financial resources expended by persons to generate,
maintain, retain, or disclose or provide information to or for a
Federal agency.'' Importantly, this burden is not necessarily the same
as the entire regulatory burden for a program or an aspect of a
program. For example, if a regulation requires an inspection and the
completion of a form documenting the inspection, the full regulatory
burden would likely include both actions, while the paperwork burden
would only include the time and other resources needed to complete the
form.
In addition, the Department believes certain recordkeeping
requirements have not been adequately accounted for in the current
collection. For instance, the DBE regulation requires recipients to
maintain a bidders list and a DBE Directory. These recordkeeping
activities have not previously been included in the Department's
paperwork burden calculation. As stated in 5 CFR 1320.3(m),
``Recordkeeping requirement means a requirement imposed by or for an
agency on persons to maintain specified records, including a
requirement to: (1) Retain such records; (2) Notify third parties, the
Federal government, or the public of the existence of such records; (3)
Disclose such records to third parties, the Federal government, or the
public; or (4) Report to third parties, the Federal government, or the
public regarding such records.'' Thus, a requirement to retain records
that do not necessarily require submission to the Department are
covered under the PRA and are included in the current collection.
For purposes of this 60-day notice, the Department has included the
burden estimates we received from the small number of stakeholders we
contacted. As noted above, the Department is concerned that at least
several of these estimates pertain to regulatory burdens that are not
subject to PRA requirements. To the extent feasible, the Department
requests that commenters who provide burden estimates for aspects of
the program identified below be as specific as possible about paperwork
burdens, including what amount of time each task takes and what, if
any, additional costs beyond labor costs (e.g., copying, mailing,
storage, or other technology costs) are associated with each aspect of
the collection.
OMB Control Number: N/A.
Title: Disadvantaged Business Enterprise (DBE) Program
Requirements.
Form Numbers: N/A.
Type of Review: Initial Approval of Existing Information
Collection.
1. Maintain Bidders Lists
Section 26.11 and Appendix B of the DBE regulation require
recipients to maintain a bidders list. The purpose of the list is to
provide recipients the most precise data possible about the universe of
DBE and non-DBE contractors and subcontractors who seek to work on
federally-assisted contracts. Recipients use the bidders lists to
accurately determine the availability of DBE and non-DBE firms and to
measure the relative availability of ready, willing, and able DBEs when
setting their overall goals under Sec. 26.45. The data on a bidders
list includes each firm's name, address, DBE status, age, and
approximate annual gross receipts.
The annual burden hours that DOT received from six stakeholder
responses ranged from 3-915 hours. The total estimated annual cost
burden from four stakeholder responses ranged from $360-$35,000.
Although the Department acknowledges the wide range of recipients that
must comply with this requirement, it seems unlikely that full-time
employees dedicate half of their time each year to this task, as these
lists are only updated three times per year for each recipient. Thus,
the Department believes that the total annual burden per recipient is
likely towards the lower end of the estimates DOT received.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 Federal Aviation Administration
(FAA) recipients, 53 Federal Highway Administration (FHWA) recipients,
553 Federal Transit Administration (FTA) recipients).
Frequency: 3 times per year, although recipients have significant
flexibility under Sec. 26.11 to determine how often they update their
bidders lists.
Number of Responses: 3,594.
Total Annual Burden: 636 hours and $30,000.
2. Maintaining DBE Directories
Section 26.81(g) requires recipients to maintain an electronic DBE
directory. Section 26.31 mandates that each directory listing include
the firm's address, phone number, and the types of work the firm has
been certified to perform as a DBE, using the most specific North
American Industry Classification System (NAICS) code available to
describe each type of work. The primary purpose of the directory is to
show the results of the certification process, i.e., all firms that the
recipient has certified. Prime contractors use the information to find
potential DBE subcontractors.
The total annual burden hours the Department received from five
stakeholder responses ranged from 10-1,300 hours. The total annual cost
burden from four stakeholder responses ranged from $240-$79,800. As
with the above, the Department is concerned that the high estimate
includes burdens beyond the paperwork requirement of updating and
maintaining the directory, though the Department believes the lower
value of 10 hours may be insufficient for larger stakeholders.
Respondents: State and local recipients of DOT funds that perform
DBE certification.
Number of Respondents: 132.
[[Page 31815]]
Frequency: Monthly, i.e., 12 times each year.
Number of Responses: 1,584.
Total Annual Burden: 4,500 hours and $426,000.
3. Monitoring the Performance of DBE Program Participants
Section 26.37 requires recipients to implement monitoring
mechanisms to ensure that all DBE program participants comply with the
regulation's requirements. There are two required mechanisms: (1)
Written certification that recipients have reviewed contracting records
and monitored work sites in their state for this purpose, and (2) a
running tally of actual DBE attainments (i.e., payments actually made
to DBE firms). If a DOT Operating Administration (OA) conducts a
compliance review or investigation, it checks to see if the recipient
has the written certifications and tallies; recipients do not otherwise
submit the information. Recipients collect the information so they can
confirm at project sites that the DBE to whom the work was committed is
in fact performing the work.
The total estimated annual burden hours DOT received from the six
stakeholder responses ranged from 45-2000 hours. The total annual cost
burden was calculated based on the average of four stakeholder
responses ranging from $10,000-$80,000. The Department believes that it
is likely that the stakeholders who provided the higher estimates based
their responses on the substantive monitoring requirement rather than
the paperwork specific requirements.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA
recipients, 553 FTA recipients).
Frequency: 36 times each year (3 times per month).
Number of Responses: 43,128.
Total Annual Burden: 28,224 hours and $42,250.
4. Addressing Overconcentration of DBEs in Certain Types of Work
Section 26.33 contemplates a situation in which DBEs in a certain
work type are so prevalent that they unduly burden the ability of non-
DBE firms to participate in those work types. If a recipient determines
that overconcentration of DBEs exists in certain types of work, the
recipient must submit to the appropriate OA the reasons for the
determination and the measures devised to address it. The recipient
must review and analyze actual data concerning an overconcentration
allegation to determine if it supports a finding of overconcentration.
The OAs have never received submittals of overconcentration
determinations from recipients.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA
recipients, 553 FTA recipients).
Frequency: Zero.
Number of Responses: Zero.
Total Annual Burden: Zero.
5. Setting Overall Goals for DBE Participation in DOT-Assisted
Contracts
Congress carefully considered and concluded that race-neutral means
alone are insufficient to remedy the effects of discrimination in DOT-
assisted contracting. To meet Constitutional strict scrutiny
requirements, DBE programs' race-conscious means must be narrowly
tailored. Section 26.45 mandates that, in three-year intervals,
recipients set and submit to DOT a race-conscious overall goal for DBE
participation in DOT-assisted contracts based on the availability of
DBE firms compared to all firms in each recipient's DOT-assisted
contracting market. Recipients must include with their overall goal
submission a description of the methodology they used to establish the
goal and a projection of the portions of the overall goal that they
expect to meet through race-neutral and race-conscious means.
The total annual burden hours below were calculated based on the
average of six stakeholder responses ranging from 16-500 hours. The
total annual cost burden was calculated based on the average of four
stakeholder responses ranging from $2,300-$50,000. The Department notes
that the paperwork-specific burden does not apply to all the work that
goes into the goal setting process, but rather only to those aspects of
that work that is related to the submission of goal methodology.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA
recipients, 553 FTA recipients).
Frequency: Triennially.
Number of Responses: 1,198.
Total Annual Burden: 47 hours and $5,400.
6. Analyzing Discrepancies Between Uniform Report Data and Recipients'
Overall Goals
Section 26.47(c) mandates that if the awards and commitments shown
on a recipient's Uniform Report at the end of any fiscal year are less
than the overall goal applicable to that fiscal year, the recipient
must, in order to be regarded by the Department as implementing the DBE
program in good faith: (1) Analyze in detail the reasons for the
difference between the overall goal and awards and commitments in that
fiscal year, and (2) establish specific steps and milestones to correct
the problems the recipient identified in the analysis and to enable the
recipient to meet fully the goal for the new fiscal year. If the
recipient is a state highway agency, one of the 50 largest transit
authorities as determined by the FTA, or an Operational Evolution
Partnership Plan airport or other airport designated by the FAA, the
recipient must submit, within 90 days of the end of the fiscal year, an
analysis and corrective action plan to the appropriate OA for approval.
A transit authority or airport not meeting the criteria of Sec.
26.47(c)(3)(i) must retain its analysis and corrective actions in its
records for three years and make it available to the FTA or FAA on
request.
The total annual burden hours DOT received from seven stakeholder
responses ranged from 3-2,000 hours. The total annual cost burden was
calculated based on the average of five stakeholder responses ranging
from $450-$80,000. The Department is concerned that the higher numbers
account for aspects of the program beyond the narrow collection in this
requirement.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 450.
Frequency: Annually or triennially depending on which OA provided
the funds.
Number of Responses: 450.
Total Annual Burden: 650 hours and $36,650 per respondent.
7. Requiring Transit Vehicle Manufacturers (TVMs) To Comply With the
DBE Regulation's Goal Setting Requirements
Under Sec. 26.49, FTA funding recipients must require that each
TVM, as a condition of being authorized to bid or propose on FTA-
assisted transit vehicle procurements, certify that it has complied
with the regulation's goal setting requirements. TVMs must establish
and submit for the FTA's approval an annual overall percentage goal
that is narrowly tailored and specific to its market area. The FTA
reviews the goal setting methodologies to ensure that they are
developed pursuant to regulatory requirements and the Department's
official guidance. In addition to submitting an annual
[[Page 31816]]
percentage goal, FTA recipients must submit, within 30 days of making
an award, the name of the successful bidder and the total dollar value
of the contract in the manner prescribed in the grant agreement. Once
collected, the FTA analyzes the information for oversight purposes. For
example, when the FTA conducts triennial and DBE-specific reviews, FTA
contractors check the TVM Award Report data to make sure that the
information on file with the recipients is accurately reflected on the
report.
The total annual burden hours for FTA recipients were calculated
based on the average of three stakeholder responses ranging from 1-40
hours. The total annual cost burden for FTA recipients was calculated
based on the average of two stakeholder responses ranging from $60-
$4,000. The total annual burden hours and cost for TVMs is the response
from one stakeholder. The Department believes that these responses are,
generally, consistent with its understanding of the paperwork burden
associated with this requirement.
Respondents: FTA recipients and TVMs.
Number of Respondents: 391 (328 FTA recipients; 63 TVMs).
Frequency: FTA recipients each submit contract award information
once each time they award a contract to a TVM, i.e., cumulatively 1,255
times each year. The 63 TVMs each annually submit one overall
percentage goal to the FTA, i.e., cumulative total of 63 annual
submissions.
Number of Responses: 1,255 (1,192 FTA recipient responses and 63
TVM responses).
Total Annual Burden: 12,020 hours and $18,880 (11,920 hours and
$17,880 for FTA recipients to submit contract award information; 100
hours and $1,000 for each TVM to submit one overall percentage goal
submission).
8. Projecting Which Portions of Overall Goals of DBE Participation Will
Be Met Through Race-Neutral Means and Which Portions Will Be Met
Through Race-Conscious Means
Section 26.51(c) states that each time a recipient submits an
overall goal for review by the concerned OA, the recipient must also
submit a projection of the portion of the goal that the recipient
expects to meet through race-neutral means and the basis for that
projection. The projection is subject to approval by the concerned OA
in conjunction with its review of the recipient's overall goal.
Recipients use the information to determine what combination of race-
conscious and race-neutral efforts they should undertake to meet their
overall goal.
The total annual burden hours DOT received from six stakeholder
responses ranged from 3-1,387 hours. The total annual cost burden from
four stakeholder responses ranged from $360-$100,000. The Department
believes that the higher totals include programmatic burdens beyond
this specific collection.
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA
recipients, 553 FTA recipients).
Frequency: Triennially.
Number of Responses: 1,198.
Total Annual Burden: 171,713 hours and $9,000.
9. Submitting Evidence of Having Made ``Good Faith Efforts'' To Secure
DBE Participation in DOT-Assisted Contracts
Section 26.53(b)(2) and Appendix A state that in solicitations for
DOT-assisted contracts for which a contract goal has been established,
a recipient must require all bidders or offerors to submit the names
and addresses of the DBE firms that will participate in the contract, a
description of the work that each DBE will perform, the dollar amount
of the participation of each DBE firm participating, written
documentation of the bidder/offeror's commitment to use a DBE
subcontractor whose participation it submits to meet a contract goal,
and written confirmation from each listed DBE firm that it is
participating in the contract in the kind and amount of work provided
in the prime contractor's commitment. If the contract goal is not met,
the recipient must require all bidders or offerors to submit evidence
of their ``good faith efforts'' to achieve DBE participation on the
contract. The documentation of good faith efforts must include copies
of each DBE and non-DBE subcontractor quote submitted to the bidder
when a non-DBE subcontractor was selected over a DBE.
The total annual burden hours below were calculated based on the
average of five recipient responses ranging from 2-192 hours. The total
annual cost burden was calculated based on the average of four
stakeholder responses ranging from $250-$7,300. The Department
acknowledges that the requirement of submitting ``good faith efforts''
documentation imposes a paperwork burden on prime contractors as well.
We request that prime contractors who comment on this collection
provide hour and cost burden estimates that are as specific as
possible, including what amount of time it takes to prepare and submit
``good faith efforts'' documentation and any additional costs beyond
labor costs (e.g., copying, mailing, storage, or other technology
costs).
Respondents: State and local recipients of DOT funds.
Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA
recipients, 553 FTA recipients).
Frequency: 72 times each year (6 times per month).
Number of Responses: 86,256.
Total Annual Burden: 4,680 hours and $359,400.
10. Drafting Unified Certification Program (UCP) Agreements
The DBE program regulation requires all recipients and sponsors
implementing DBE programs to establish a UCP in their respective
jurisdictions. In January 2020, DOCR evaluated the UCP agreements of
the 50 states, the District of Columbia, the Northern Mariana Islands,
and Puerto Rico. DOCR found that over 20 UCP agreements have
substantial errors, have not been updated to reflect changes to the DBE
regulation made in 2011 and 2014, and contain significant changes that
might not have been approved by the Department.
One of the Department's concerns is that the UCP agreements and
procedures are posted online and included in employee training
materials, but contain information that misleads certified and
applicant firms, as well as the recipients that created the agreements.
The total annual burden hours for UCPs to update their program
agreements was calculated based on two stakeholder responses ranging
from 2-192 hours. The total annual cost burden was calculated based on
the response of one stakeholder.
Respondents: Unified Certification Programs.
Number of Respondents: 53.
Frequency: The Department proposes that this occur every four
years. The Department or OAs may, as part of compliance activities,
recommend or request the recipient and sponsor to make changes more
frequently if necessary.
Number of Responses: 53.
Total Annual Burden: 50 hours and $3,700 per respondent.
11. Evaluating the DBE Certification Eligibility of Applicant Firms
Recipients must take various steps in determining an applicant's
eligibility, such as performing an on-site visit to the firm's
principal place of business. Recipients often write a report
[[Page 31817]]
documenting the visit and maintain a copy of it. They send a copy to
the Department if a firm found ineligible files an appeal.
The total annual burden hours below were calculated based on the
average of three stakeholder responses ranging from 240-2,000 hours.
The total annual cost burden was calculated based on one stakeholder
response of $80,000.
Respondents: Recipients that perform DBE certification.
Number of Respondents: 132.
Frequency: 40 per respondent.
Number of Responses: 5,280.
Total Annual Burden: 44,000 hours and $3.2 million.
12. Maintaining Copies of Written Denial Letters Sent to Applicant
Firms and Sending Copies to DOT Upon Request
Under Sec. 26.86(a), when a recipient denies a certification
application of a firm that is not currently certified by the UCP of
which the recipient is a member, the recipient must provide the firm a
written denial letter explaining the reasons for the decision,
specifically referencing the evidence in the record that supports each
reason for the denial. The recipient must maintain a copy of the denial
letter. If the denied firm appeals to DOT, the recipient must send a
copy of the letter to DOT. If the firm requests the documents and other
information on which the denial was based, the recipient must provide
them.
The total annual burden hours below were calculated based on the
average of three recipient responses within a narrow range. The total
annual cost burden was calculated based on one stakeholder response of
$7,000. This is an instance in which the Department believes that
recipients included hours and costs beyond those attributable to the
paperwork burden. As denial letters are not standardized, they are not
considered an information collection and the burden associated with
writing them is not a paperwork burden. The only paperwork burdens are
for recipients to send electronic copies of the letters to firms and to
the Department, and maintain a copy of the letters. Given the relative
simplicity of those tasks, it seems unlikely that they require 3,360
hours and $210,000.
Respondents: Recipients that perform DBE certification.
Number of Respondents: 132.
Frequency: 2.5 each month.
Number of Responses: 3,960 per year.
Total Annual Burden: 3,360 hours and $210,000.
13. Removing the Eligibility of a DBE Firm
Section 26.87 describes the process for a recipient to remove a
firm's certification. If a recipient determines there is reasonable
cause to believe that a certified firm is no longer eligible for DBE
certification, the recipient must give the firm a written notice of its
intent to decertify the firm. The notice must clearly describe the
reasons for the proposed determination and the reasons for it, with
specific references to the evidence in the record on which each reason
is based. The recipient must offer the firm, in writing, an opportunity
for an informal hearing at which the firm may respond to the reasons
for the proposal to remove its eligibility. The recipient must maintain
a verbatim record/transcript of the hearing. If a recipient reaches a
final decision to decertify the firm, the recipient must provide the
firm written notice of the decision and the reasons for it, including
specific references to the evidence in the record that supports each
reason for the decision. The notice must inform the firm of the
consequences of the final decision and explain the process for filing
an appeal with the Department. If the firm appeals to the Department,
the recipient must provide the Department with a copy of the
transcript, and on request, to the firm.
The information collected during the decertification process is
used in multiple ways. The decisionmaker appointed by the recipient
uses the information in the notice of intent to decertify and any
evidence presented during or after the hearing to make a final decision
on whether the firm should be decertified. The firm uses the
information in the notice of intent to decertify to determine what
evidence or arguments it might want to submit at the informal hearing.
The firm uses the information in the final decision, in part, to decide
whether it wishes to file an appeal with the Department. If the firm
files an appeal, the Department uses the information to determine
whether substantial evidence supports the recipient's decision to
remove the firm's certification eligibility.
The total annual burden hours are based on the average of three
stakeholder responses ranging from 60-180 hours. The total annual cost
is based on one stakeholder response of $4,100.
Respondents: Unified Certification Programs.
Number of Respondents: 38.
Frequency: 53 each year.
Number of Responses: 2,014.
Total Annual Burden: 6,095 hours and $217,300.
14. Mailing and Maintaining Copies of Summary Suspension Notices
Under Sec. 26.88 when a recipient summarily suspends a firm's DBE
certification, the recipient must immediately notify the firm of the
suspension by certified mail, return receipt requested, to the last
known address of the owner(s) of the firm. If the owner(s) responds to
the notice with information demonstrating that the firm remains
eligible, the recipient must respond in writing (within 30 days of
receiving the information) and explain how it intends to proceed.
The total annual burden hours below were calculated based on the
average of three stakeholder responses ranging from 12-180 hours. The
total annual cost burden was calculated based on one response from one
stakeholder of $7,600. This is another instance in which the Department
believes that recipients included hours and costs beyond those
attributable to the paperwork burden. Given that, the hours and cost
estimates the Department received are likely too high. Summary
suspension notices are not standardized and thus not considered an
information collection. The burden associated with writing them is not
a paperwork burden. The only paperwork burdens are for recipients to
send the notices by certified mail to firms and maintain an electronic
copy.
Respondents: Recipients that perform DBE certification.
Number of Respondents: 132.
Frequency: 5 times each year.
Number of Responses: 660.
Total Annual Burden: 420 hours and $38,000.
15. Sending the Department a Full Administrative Record When the
Department Gives Notice That a Denied or Decertified Firm Appeals to
the Department and Maintaining a Copy of the Record
Under Sec. 26.89(d), recipients must comply with the Department's
request to timely (within 20 days of the request) provide a full
administrative record when the Department gives notice that a denied or
decertified firm has filed an appeal with the Department.
The total annual burden hours below were calculated based on the
average of three stakeholder responses ranging from 2-200 hours. The
total annual cost burden was calculated based on one response from one
stakeholder response of $7,600.
Respondents: Recipients that perform DBE certification that have
denied or
[[Page 31818]]
decertified firms that appeal to the Department.
Number of Respondents: 50.
Frequency: 3 times each year.
Number of Responses: 150.
Total Annual Burden: 12,600 hours and $7,600.
16. Providing a Copy of Application Materials to an Additional State in
Which a Firm Certified in Another State Applies to Another State for
Certification (Interstate Certification)
Under Sec. 26.85(c), when a firm currently certified in its home
state (state A) applies to another state (state B) for DBE
certification, state B is permitted to require the firm to submit a
complete copy of all the materials the firm submitted to its home
state/state A for initial certification. State B reviews the
information to determine whether there is ``good cause'' (a term
specifically described in the interstate certification rule) to believe
that state A's certification is erroneous or should not apply in its
state. The interstate certification rule describes the limited
circumstances under which state B could validly make such a
determination.
Respondents: DBE firms applying for interstate certification.
Number of Respondents: 68.
Frequency: Once.
Number of Responses: 68.
Total Annual Burden: 20 hours and $2,000.
17. Writing and Submitting Narratives of Social and Economic
Disadvantage When Applying for DBE Certification Based on an
Individualized Showing of Disadvantage
The DBE program is intended to be as inclusive as possible while
remaining narrowly tailored. Individuals who are not members of groups
whose members are presumed socially and economically disadvantaged may
still qualify for DBE certification. Appendix E of the regulation
states that to demonstrate their eligibility, these individuals must
submit a narrative describing the individual's experiences of social
disadvantage and a separate narrative in which the individual describes
why the individual is economically disadvantaged. This information
collection is critical for ensuring that only eligible firms receive
DBE certification.
Respondents: DBE certification applicants whose owners are not
presumed socially and economically disadvantaged under the DBE
regulation.
Number of Respondents: 264.
Frequency: Once.
Number of Responses: 264.
Total Annual Burden: 90 hours and $8,000.
Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) whether the proposed
collection of information is necessary for the Department's
performance; (b) the accuracy of the estimated burden; (c) ways for the
Department to enhance the quality, utility and clarity of the
information collection; and (d) ways that the burden could be minimized
without reducing the quality of the collected information. The agency
will summarize and/or include your comments in the request for OMB's
clearance of this information collection.
Authority: The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended; and 49 CFR 1:48.
Issued in Washington, DC, on June 9, 2021.
Irene Marion,
Director, Departmental Office of Civil Rights.
[FR Doc. 2021-12500 Filed 6-14-21; 8:45 am]
BILLING CODE 4910-9X-P
