Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Notices 51439 

2The Council on Environmental Quality (CEQ) 

issued new regulations on July 14, 2020, effective 

September 14, 2020, updating the NEPA 

implementing procedures at 40 CFR parts 1500 

through 1508. However, this project initiated NEPA 

before the effective date and relies on the CEQ 

regulations as they existed prior to September 14, 

2020. All subsequent citations to the CEQ 

regulations in the ROD and Final EIS refer to the 

1978 regulations, consistent with 40 CFR 1506.13 

(2020) and the preamble at 85 FR 43340. 

all laws under which such actions were 

taken, including but not limited to: 

1. NEPA; 

2. Council on Environmental Quality 

regulations (1978); 2

3. Fixing America’s Surface 

Transportation Act (FAST Act); 

4. Department of Transportation Act 

of 1966, Section 4(f); 

5. Land and Water Conservation Fund 

(LWCF) Act of 1965, Section 6(f); 

6. Clean Air Act Amendments of 

1990; 

7. Clean Water Act of 1977 and 1987; 

8. Endangered Species Act of 1973; 

9. Migratory Bird Treaty Act; 

10. National Historic Preservation Act 

of 1966, as amended; 

11. Executive Order 11990, Protection 

of Wetlands; 

12. Executive Order 11988, 

Floodplain Management; 

13. Executive Order 12898, Federal 

Actions to Address Environmental 

Justice in Minority Populations and 

Low-Income Populations; 

14. Executive Order 13112, Invasive 

Species. 

Issued in Washington, DC. 

Jamie P. Rennert, 

Director, Office of Infrastructure Investment. 

[FR Doc. 2021–19914 Filed 9–14–21; 8:45 am] 

BILLING CODE 4910–06–P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

[Docket No. DOT–OST–2021–0104] 

Agency Request for Approval of a New 

Information Collection(s): 

Disadvantaged Business Enterprise 

(DBE) Program Requirements 

AGENCY: Office of the Secretary, 

Department of Transportation. 

ACTION: Notice and request for 

comments. 

SUMMARY: The Department of 

Transportation (DOT or Department) 

invites public comments about our 

intention to request the Office of 

Management and Budget’s (OMB) 

approval for an information collection 

for the Department’s Disadvantaged 

Business Enterprise (DBE) program. The 

information collected is necessary to 

maintain successful implementation of 

the DBE program, as it helps ensure that 

state and local recipients of DOT funds 

carry out the program’s mission of 

providing a level playing field for small 

businesses owned and controlled by 

socially and economically 

disadvantaged individuals. We are 

required to publish this notice in the 

Federal Register by the Paperwork 

Reduction Act of 1995 (PRA). 

DATES: Written comments should be 

submitted by October 15, 2021. 

ADDRESSES: You may submit comments 

[identified by Docket No. DOT–OST– 

2021–0104] through one of the 

following methods: 

• Federal eRulemaking Portal: http:// 

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, 

aarathi.haig@dot.gov/Departmental 

Office of Civil Rights, Office of the 

Secretary, U.S. Department of 

Transportation, 1200 New Jersey 

Avenue SE, Washington, DC 20590. 

SUPPLEMENTARY INFORMATION: 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 we 

are 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, we offer the following 

clarifications. A ‘‘collection of 

information’’ is defined as ‘‘the 

obtaining, causing to be obtained, 

soliciting, or requiring the disclosure to 

an agency, 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. As stated in 5 

CFR 1320(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, recordkeeping requirements can 

attach to records that are not necessarily 

covered by the PRA itself if, as in the 

DBE program, a requirement exists to 

maintain a complete case file. In that 

case, as the case file itself is not 

standardized, it would not be 

considered an information collection 

and the burden associated with 

developing the file would not be a 

paperwork burden. However, the 

requirement to keep that case file and, 

upon request, submit it to the 

Department, would be part of the 

paperwork burden. 

For purposes of this 30-day notice, we 

have included the burden estimates we 

received from the small number of 

stakeholders we contacted as well as 

from the seven comments we received 

from the 60-day notice published in the 

Federal Register on June 15, 2021. As 

noted above, the Department is 

concerned that at least several of these 

estimates contain burdens associated 

with aspects of the program that are not 

paperwork burdens. 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, 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. 


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51440 Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Notices 

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 

accurate 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 more 

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, address, DBE status, age, 

and approximate annual gross receipts. 

The annual burden hours we received 

from six stakeholder responses ranged 

from 3–915 hours. The total estimated 

annual cost burden we received 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 a 

fulltime employee dedicates half of his 

or her 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 

we 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 we 

received from the five stakeholder 

responses ranged from 10–1,300 hours. 

The total annual cost burden we 

received from four stakeholder 

responses ranged from $240–$79,800. 

As with the above, the Department is 

concerned that the high estimate 

includes burden beyond the paperwork 

requirement of updating and 

maintaining the directory, though the 

Department believes the lower value of 

10 hours may be insufficient for our 

larger stakeholders. 

The General Contractors Association 

of New York (GCANY) commented that 

a requirement for recipients to include 

a detailed business description of each 

DBE in the directories would help prime 

contractors to conduct more targeted 

and meaningful outreach to DBEs. 

GCANY did not give examples of what 

additional details should be included 

beyond those that recipients already 

provide. The trade association American 

Road & Transportation Builders 

(ARTBA) commented that DBE 

directories in their current form should 

be improved, but did not provide 

specific suggestions. 

Respondents: State and local 

recipients of DOT funds that perform 

DBE certification. 

Number of Respondents: 132. 

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. 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 we 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 numbers were basing their 

response on the substantive monitoring 

requirement rather than the paperwork 

specific requirements. 

In response to the Department’s 60- 

day Federal Register notice, the 

Associated General Contractors of Texas 

(AGCT) commented that there is much 

fluctuation in the amount of time it 

takes to report DBE payments, with a 

range of 36–2,500 annual hours to 

gather and report the necessary data. 

AGCT attributes the difficulties 

involved to flaws in the Texas DOT’s 

DBE management software. 

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 OA have never 

received submittals of 

overconcentration determinations from 

recipients. ARTBA commented that 

overconcentration of DBEs in the 

trucking industry is well known and 

that better data is needed to inform the 

Department, recipients, and others to 

develop new DBE firms within 

industries where they are needed. 

ARTBA did not specify what type(s) of 

data might be helpful; thus, the 

Department cannot estimate what the 

burden impact would be of collecting 

additional data. 

Respondents: State and local 

recipients of DOT funds. 


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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 

insufficient to remedy the effects of 

discrimination in DOT-assisted 

contracting. Thus, § 26.45 mandates 

that, in three-year intervals, recipients 

set and submit to DOT an 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 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 goals. 

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 § 26.47(c)(3)(i) 

must retain 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 we 

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 

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 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 we 

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. 


khammond on DSKJM1Z7X2PROD with NOTICES
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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. Documenting and 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. It has not been feasible for the 

Department to survey prime contractors 

to calculate their burden. We request 

that prime contractors comment on this 

collection and provide hour and cost 

burden estimates that are as specific as 

possible, especially 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). In response to the 

Department’s 60-day notice, GCANY 

commented that some of its members 

have reported spending approximately 

$10,000–$15,000 per year on newspaper 

advertisements that did not result in 

DBE interest or participation. GCANY 

also responded that on average it takes 

four days for one full-time employee to 

call 300 DBEs, explaining that one 

person can call 15–20 DBEs in one hour, 

it takes 15 hours to contact 300 DBEs for 

the first round of calls, and then an 

additional 10 hours for the second 

round of calls. Prime contractor 

Milestone Contractors LP commented 

that its annual average burdens for 

documenting and submitting evidence 

of having made good faith efforts is 168 

hours and $17,000. Contractor Jonathan 

Nolting shared that good faith efforts 

documentation takes approximately 1–2 

days of multiple employees compiling, 

editing, reviewing, and submitting the 

required information. ARTBA 

commented that that its average annual 

burden related to good faith efforts is 

168 hours and $17,000, based bidding 

on 24 contracts per year. 

Respondents: State and local 

recipients of DOT funds and prime 

contractors. 

Number of Respondents: 1,198 (592 

FAA recipients, 53 FHWA recipients, 

553 FTA recipients). 

Frequency: 72 times each year (6 

times per month) for state and local 

recipients of DOT funds. 

Number of Responses: 86,256 (state 

and local recipients of DOT funds). 

Total Annual Burden: 4,680 hours 

and $359,400 for state and local 

recipients of DOT funds; approximately 

96.5 hours and $15,000 for prime 

contractors (based on the comments 

described above). 

10. Drafting Unified Certification 

Program (UCP) Agreements 

The DBE program regulation requires 

all recipients and sponsors 

implementing DBE and Airport 

Concession DBE (ACDBE) 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 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. For 

instance, some agreements contain 

outdated standards (e.g., listing 

$750,000 instead of the current $1.32 

million personal net worth limit), and/ 

or inaccurate procedures (e.g., reference 

to nonexistent regulatory requirements, 

such as DBE certification expiration, 

and impermissibly requiring interstate 

certification applicants to participate in 

telephone interviews). 

The total annual burden hours for 

UCPs to update their program 

agreements were 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 

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 240–2000 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 § 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 


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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 § 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 § 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 

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 § 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 not 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. 


khammond on DSKJM1Z7X2PROD with NOTICES
51444 Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Notices 

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 still 

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 fully qualified 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 September 8, 

2021. 

Irene B. Marion, 

Director, Departmental Office of Civil Rights, 

U.S. Department of Transportation. 

[FR Doc. 2021–19940 Filed 9–14–21; 8:45 am] 

BILLING CODE 4910–9X–P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

[Docket No. DOT–OST–2021–0105] 

Agency Request for Renewal of a 

Previously Approved Information 

Collection(s): Disadvantaged Business 

Enterprise (DBE) Program Collections 

AGENCY: Office of the Secretary, 

Department of Transportation. 

ACTION: Notice and request for 

comments. 

SUMMARY: The Department of 

Transportation (DOT) invites public 

comments about our intention to request 

the Office of Management and Budget 

(OMB) approval to renew information 

collections associated with DOT’s 

Disadvantaged Business Enterprise 

(DBE) and Airport Concessions DBE 

(ACDBE) program. These collections 

are: Uniform Report of DBE Awards or 

Commitments and Payments, the 

Uniform Certification Application 

(UCA), Annual Affidavit of No Change, 

DOT Personal Net Worth Form, and 

Reporting Requirements for Percentages 

of DBEs in Various Categories. 

DATES: Written comments should be 

submitted by October 15, 2021. 

ADDRESSES: You may submit comments 

[identified by Docket No. DOT–OST– 

2021–0105] through one of the 

following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the online 

instructions for submitting comments. 

• Fax: 1–202–493–2251. 

• 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 Pentino, (202)366–6968, 

marc.pentino@dot.gov, or Aarathi Haig, 

aarathi.haig@dot.gov/Departmental 

Office of Civil Rights, Office of the 

Secretary, U.S. Department of 

Transportation, 1200 New Jersey 

Avenue SE, Washington, DC, 20590 

SUPPLEMENTARY INFORMATION: All five 

collections were previously approved 

under one OMB Control Number to 

allow DOT to more efficiently 

administer the DBE program. The 

information to be collected is necessary 

because it helps to ensure that State and 

local recipients that let federally funded 

contracts carry out their mandated 

responsibility to provide a level playing 

field for small businesses owned and 

controlled by socially and economically 

disadvantaged individuals. We are 

required to publish this notice in the 

Federal Register by the Paperwork 

Reduction Act of 1995, 44 U.S.C. 

Chapter 35, as amended (Pub. L. 104– 

13). 

OMB Control Number: 2105–0510. 

Title: Disadvantaged Business 

Enterprise Program Collections. 

Form Numbers: Not applicable. 

Type of Review: Renewal of an 

information collection. 

Background: DOT’s DBE program is 

mandated by statute, including Section 

1101(b) of the Fixing America’s Surface 

Transportation Act (FAST Act) (Pub. L. 

114–94) and 49 U.S.C. 47113. The 

Department’s final regulations 

implementing these statutes are 49 CFR 

parts 23 and 26. The program is 

implemented by recipients of DOT 

financial assistance (State highway 

agencies, transit authorities, and 

airports). 

The ‘‘Uniform Report of DBE Awards 

or Commitments and Payments’’ is 

necessary for the Department to be able 

to carry out its oversight 

responsibilities. It implements statutory 

reporting requirements and 49 CFR 

26.11 and 26.47. 

The ‘‘Uniform Certification 

Application Form’’ is required under 49 

CFR 26.83(c)(2) and is necessary for 

determining whether a particular firm 

qualifies for DBE certification. 

The ‘‘Annual Affidavit of No Change’’ 

is mandated under 49 CFR 26.83(j) and 

is necessary to ensure the integrity of 

the DBE program that requires DBEs 

annually state that they remain eligible 

for the program. 

The ‘‘Personal Net Worth Form’’ is 

necessary to implement the requirement 

found in 49 CFR 26.67(a)(2) that a firm 

applying for DBE status must certify that 

the personal net worth of the 

disadvantaged owner(s) on whom the 

firm relies for certification eligibility 

does not exceed the current limit of 

$1.32 million. 

The ‘‘Percentages of DBEs in Various 

Categories’’ collection is necessary to 

implement a long-standing statutory 

requirement calling on States to report 

annually, a list of small businesses 

certified as DBEs that are owned and 

controlled by socially and economically 

disadvantaged individuals, most 

recently included at section 

1101(b)(4)(A) and (B) of the FAST Act. 

Submission of this information will also 

satisfy 49 CFR 26.11(e). 

The information collections support 

one of DOT’s strategic objectives of 

mission efficiency and support. The 

collection also helps ensure that State 

and local recipients that let federally 

funded contracts carry out their 


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