Federal Register / Vol. 86, No. 113 / Tuesday, June 15, 2021 / Notices 31813 

Note: If you mail or hand-deliver your 

comments, we recommend that you include 

your name and a mailing address, an email 

address, or a telephone number in the body 

of your document so that we can contact you 

if we have questions regarding your 

submission. 

Instructions: All submissions received 

must include the agency name and 

specific docket number. All comments 

received will be posted without change 

to the docket at www.regulations.gov, 

including any personal information 

provided. For detailed instructions on 

submitting comments, see the section 

entitled Public Participation. 

FOR FURTHER INFORMATION CONTACT: 

James Mead, U.S. Department of 

Transportation, Maritime 

Administration, 1200 New Jersey 

Avenue SE, Room W23–459, 

Washington, DC 20590. Telephone 202– 

366–5723, Email James.Mead@dot.gov. 

SUPPLEMENTARY INFORMATION: As 

described in the application, the 

intended service of the vessel 

SIMPATICA is: 

—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 

as MARAD 2021–0063 at http://

www.regulations.gov. Interested parties 

may comment on the effect this action 

may have on U.S. vessel builders or 

businesses in the U.S. that use U.S.-flag 

vessels. If MARAD determines, in 

accordance with 46 U.S.C. 12121 and 

MARAD’s regulations at 46 CFR part 

388, that the employment of the vessel 

in the coastwise trade to carry no more 

than 12 passengers will have an unduly 

adverse effect on a U.S.-vessel builder or 

a business that uses U.S.-flag vessels in 

that business, MARAD will not issue an 

approval of the vessel’s coastwise 

endorsement eligibility. Comments 

should refer to the vessel name, state the 

commenter’s interest in the application, 

and address the eligibility criteria given 

in section 388.4 of MARAD’s 

regulations at 46 CFR part 388. 

Public Participation 

How do I submit comments? 

Please submit your comments, 

including the attachments, following the 

instructions provided under the above 

heading entitled ADDRESSES. Be advised 

that it may take a few hours or even 

days for your comment to be reflected 

on the docket. In addition, your 

comments must be written in English. 

We encourage you to provide concise 

comments and you may attach 

additional documents as necessary. 

There is no limit on the length of the 

attachments. 

Where do I go to read public comments, 

and find supporting information? 

Go to the docket online at http://

www.regulations.gov, keyword search 

MARAD–2021–0063 or visit the Docket 

Management Facility (see ADDRESSES for 

hours of operation). We recommend that 

you periodically check the Docket for 

new submissions and supporting 

material. 

Will my comments be made available to 

the public? 

Yes. Be aware that your entire 

comment, including your personal 

identifying information, will be made 

publicly available. 

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) 

* * * * * 

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 

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: 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, 

(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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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 § 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 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. 

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 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 

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 raceneutral 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, 

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. 

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. 

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 


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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) 

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. 

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 

DEPARTMENT OF THE TREASURY 

Alcohol and Tobacco Tax and Trade 

Bureau 

[Docket No. TTB–2021–0003] 

Proposed Information Collections; 

Comment Request (No. 82) 

AGENCY: Alcohol and Tobacco Tax and 

Trade Bureau (TTB); Treasury. 

ACTION: Notice and request for 

comments. 

SUMMARY: 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. 

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 


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