Document ID: DOT-OST-2021-0104-0001
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Disadvantaged Business Enterprise Program Requirements
Posted Date: 2021-09-15T04:00Z

[Federal Register Volume 86, Number 176 (Wednesday, September 15, 2021)]
[Notices]
[Pages 51439-51444]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-19940]

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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.

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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, a9c8c8dbc8ddc1c087c1c8c0cee9cdc6dd87cec6df/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.

[[Page 51440]]

    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 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 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 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 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.

[[Page 51441]]

    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, Sec.  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 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 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 Sec.  
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 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 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 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.

[[Page 51442]]

    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 
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. 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 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

[[Page 51443]]

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 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 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.

[[Page 51444]]

    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