Document ID: DOT-OST-2021-0072-0001
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Disadvantaged Business Enterprise Program Requirements
Posted Date: 2021-06-15T04:00Z

[Federal Register Volume 86, Number 113 (Tuesday, June 15, 2021)]
[Notices]
[Pages 31813-31818]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-12500]

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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.

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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.

[[Page 31814]]

SUPPLEMENTARY INFORMATION: The DBE program is regulated by 49 CFR part 
26 (DBE regulation) and is authorized by the Fixing America's Surface 
Transportation (FAST) Act Public Law 114-94 (Dec. 4, 2015). The 
applicable statute for the Federal Aviation Administration's Airport 
Improvement Program-funded DBE Program is 49 U.S.C. 47113 and FAA's 
general nondiscrimination statute is 49 U.S.C. 47123.
    In preparing this notice, the Department identified various aspects 
of the DBE program that have existed as requirements for a long period 
of time, several decades in some cases, that include information 
collections that have not been appropriately accounted for in the 
current collection. To assist in estimating the potential paperwork 
burden of these collections, the Department reached out to a small 
number of stakeholders to gain a general understanding of how much time 
they spend each year responding to these collections. However, the 
stakeholder responses varied so significantly that the Department is 
concerned the responses blur lines between what aspects of the program 
are specifically information collections versus more general 
requirements of the program.
    To help commenters provide information that will better allow the 
Department to include the appropriate paperwork burden within this 
collection, the Department offers the following clarifications. A 
``collection of information'' is defined as ``the obtaining, causing to 
be obtained, soliciting, or requiring the disclosure to an agency, 
third parties or the public of information by or for an agency by means 
of identical questions posed to, or identical reporting, recordkeeping, 
or disclosure requirements imposed on, ten or more persons.'' 5 CFR 
1320.3(c)(1). The activities that constitute the ``burden'' associated 
with a collection are defined in 5 CFR 1320.3(b)(1) as ``the total 
time, effort, or financial resources expended by persons to generate, 
maintain, retain, or disclose or provide information to or for a 
Federal agency.'' Importantly, this burden is not necessarily the same 
as the entire regulatory burden for a program or an aspect of a 
program. For example, if a regulation requires an inspection and the 
completion of a form documenting the inspection, the full regulatory 
burden would likely include both actions, while the paperwork burden 
would only include the time and other resources needed to complete the 
form.
    In addition, the Department believes certain recordkeeping 
requirements have not been adequately accounted for in the current 
collection. For instance, the DBE regulation requires recipients to 
maintain a bidders list and a DBE Directory. These recordkeeping 
activities have not previously been included in the Department's 
paperwork burden calculation. As stated in 5 CFR 1320.3(m), 
``Recordkeeping requirement means a requirement imposed by or for an 
agency on persons to maintain specified records, including a 
requirement to: (1) Retain such records; (2) Notify third parties, the 
Federal government, or the public of the existence of such records; (3) 
Disclose such records to third parties, the Federal government, or the 
public; or (4) Report to third parties, the Federal government, or the 
public regarding such records.'' Thus, a requirement to retain records 
that do not necessarily require submission to the Department are 
covered under the PRA and are included in the current collection.
    For purposes of this 60-day notice, the Department has included the 
burden estimates we received from the small number of stakeholders we 
contacted. As noted above, the Department is concerned that at least 
several of these estimates pertain to regulatory burdens that are not 
subject to PRA requirements. To the extent feasible, the Department 
requests that commenters who provide burden estimates for aspects of 
the program identified below be as specific as possible about paperwork 
burdens, including what amount of time each task takes and what, if 
any, additional costs beyond labor costs (e.g., copying, mailing, 
storage, or other technology costs) are associated with each aspect of 
the collection.
    OMB Control Number: N/A.
    Title: Disadvantaged Business Enterprise (DBE) Program 
Requirements.
    Form Numbers: N/A.
    Type of Review: Initial Approval of Existing Information 
Collection.

1. Maintain Bidders Lists

    Section 26.11 and Appendix B of the DBE regulation require 
recipients to maintain a bidders list. The purpose of the list is to 
provide recipients the most precise data possible about the universe of 
DBE and non-DBE contractors and subcontractors who seek to work on 
federally-assisted contracts. Recipients use the bidders lists to 
accurately determine the availability of DBE and non-DBE firms and to 
measure the relative availability of ready, willing, and able DBEs when 
setting their overall goals under Sec.  26.45. The data on a bidders 
list includes each firm's name, address, DBE status, age, and 
approximate annual gross receipts.
    The annual burden hours that DOT received from six stakeholder 
responses ranged from 3-915 hours. The total estimated annual cost 
burden from four stakeholder responses ranged from $360-$35,000. 
Although the Department acknowledges the wide range of recipients that 
must comply with this requirement, it seems unlikely that full-time 
employees dedicate half of their time each year to this task, as these 
lists are only updated three times per year for each recipient. Thus, 
the Department believes that the total annual burden per recipient is 
likely towards the lower end of the estimates DOT received.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 Federal Aviation Administration 
(FAA) recipients, 53 Federal Highway Administration (FHWA) recipients, 
553 Federal Transit Administration (FTA) recipients).
    Frequency: 3 times per year, although recipients have significant 
flexibility under Sec.  26.11 to determine how often they update their 
bidders lists.
    Number of Responses: 3,594.
    Total Annual Burden: 636 hours and $30,000.

2. Maintaining DBE Directories

    Section 26.81(g) requires recipients to maintain an electronic DBE 
directory. Section 26.31 mandates that each directory listing include 
the firm's address, phone number, and the types of work the firm has 
been certified to perform as a DBE, using the most specific North 
American Industry Classification System (NAICS) code available to 
describe each type of work. The primary purpose of the directory is to 
show the results of the certification process, i.e., all firms that the 
recipient has certified. Prime contractors use the information to find 
potential DBE subcontractors.
    The total annual burden hours the Department received from five 
stakeholder responses ranged from 10-1,300 hours. The total annual cost 
burden from four stakeholder responses ranged from $240-$79,800. As 
with the above, the Department is concerned that the high estimate 
includes burdens beyond the paperwork requirement of updating and 
maintaining the directory, though the Department believes the lower 
value of 10 hours may be insufficient for larger stakeholders.
    Respondents: State and local recipients of DOT funds that perform 
DBE certification.
    Number of Respondents: 132.

[[Page 31815]]

    Frequency: Monthly, i.e., 12 times each year.
    Number of Responses: 1,584.
    Total Annual Burden: 4,500 hours and $426,000.

3. Monitoring the Performance of DBE Program Participants

    Section 26.37 requires recipients to implement monitoring 
mechanisms to ensure that all DBE program participants comply with the 
regulation's requirements. There are two required mechanisms: (1) 
Written certification that recipients have reviewed contracting records 
and monitored work sites in their state for this purpose, and (2) a 
running tally of actual DBE attainments (i.e., payments actually made 
to DBE firms). If a DOT Operating Administration (OA) conducts a 
compliance review or investigation, it checks to see if the recipient 
has the written certifications and tallies; recipients do not otherwise 
submit the information. Recipients collect the information so they can 
confirm at project sites that the DBE to whom the work was committed is 
in fact performing the work.
    The total estimated annual burden hours DOT received from the six 
stakeholder responses ranged from 45-2000 hours. The total annual cost 
burden was calculated based on the average of four stakeholder 
responses ranging from $10,000-$80,000. The Department believes that it 
is likely that the stakeholders who provided the higher estimates based 
their responses on the substantive monitoring requirement rather than 
the paperwork specific requirements.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA 
recipients, 553 FTA recipients).
    Frequency: 36 times each year (3 times per month).
    Number of Responses: 43,128.
    Total Annual Burden: 28,224 hours and $42,250.

4. Addressing Overconcentration of DBEs in Certain Types of Work

    Section 26.33 contemplates a situation in which DBEs in a certain 
work type are so prevalent that they unduly burden the ability of non-
DBE firms to participate in those work types. If a recipient determines 
that overconcentration of DBEs exists in certain types of work, the 
recipient must submit to the appropriate OA the reasons for the 
determination and the measures devised to address it. The recipient 
must review and analyze actual data concerning an overconcentration 
allegation to determine if it supports a finding of overconcentration. 
The OAs have never received submittals of overconcentration 
determinations from recipients.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA 
recipients, 553 FTA recipients).
    Frequency: Zero.
    Number of Responses: Zero.
    Total Annual Burden: Zero.

5. Setting Overall Goals for DBE Participation in DOT-Assisted 
Contracts

    Congress carefully considered and concluded that race-neutral means 
alone are insufficient to remedy the effects of discrimination in DOT-
assisted contracting. To meet Constitutional strict scrutiny 
requirements, DBE programs' race-conscious means must be narrowly 
tailored. Section 26.45 mandates that, in three-year intervals, 
recipients set and submit to DOT a race-conscious overall goal for DBE 
participation in DOT-assisted contracts based on the availability of 
DBE firms compared to all firms in each recipient's DOT-assisted 
contracting market. Recipients must include with their overall goal 
submission a description of the methodology they used to establish the 
goal and a projection of the portions of the overall goal that they 
expect to meet through race-neutral and race-conscious means.
    The total annual burden hours below were calculated based on the 
average of six stakeholder responses ranging from 16-500 hours. The 
total annual cost burden was calculated based on the average of four 
stakeholder responses ranging from $2,300-$50,000. The Department notes 
that the paperwork-specific burden does not apply to all the work that 
goes into the goal setting process, but rather only to those aspects of 
that work that is related to the submission of goal methodology.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA 
recipients, 553 FTA recipients).
    Frequency: Triennially.
    Number of Responses: 1,198.
    Total Annual Burden: 47 hours and $5,400.

6. Analyzing Discrepancies Between Uniform Report Data and Recipients' 
Overall Goals

    Section 26.47(c) mandates that if the awards and commitments shown 
on a recipient's Uniform Report at the end of any fiscal year are less 
than the overall goal applicable to that fiscal year, the recipient 
must, in order to be regarded by the Department as implementing the DBE 
program in good faith: (1) Analyze in detail the reasons for the 
difference between the overall goal and awards and commitments in that 
fiscal year, and (2) establish specific steps and milestones to correct 
the problems the recipient identified in the analysis and to enable the 
recipient to meet fully the goal for the new fiscal year. If the 
recipient is a state highway agency, one of the 50 largest transit 
authorities as determined by the FTA, or an Operational Evolution 
Partnership Plan airport or other airport designated by the FAA, the 
recipient must submit, within 90 days of the end of the fiscal year, an 
analysis and corrective action plan to the appropriate OA for approval. 
A transit authority or airport not meeting the criteria of Sec.  
26.47(c)(3)(i) must retain its analysis and corrective actions in its 
records for three years and make it available to the FTA or FAA on 
request.
    The total annual burden hours DOT received from seven stakeholder 
responses ranged from 3-2,000 hours. The total annual cost burden was 
calculated based on the average of five stakeholder responses ranging 
from $450-$80,000. The Department is concerned that the higher numbers 
account for aspects of the program beyond the narrow collection in this 
requirement.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 450.
    Frequency: Annually or triennially depending on which OA provided 
the funds.
    Number of Responses: 450.
    Total Annual Burden: 650 hours and $36,650 per respondent.

7. Requiring Transit Vehicle Manufacturers (TVMs) To Comply With the 
DBE Regulation's Goal Setting Requirements

    Under Sec.  26.49, FTA funding recipients must require that each 
TVM, as a condition of being authorized to bid or propose on FTA-
assisted transit vehicle procurements, certify that it has complied 
with the regulation's goal setting requirements. TVMs must establish 
and submit for the FTA's approval an annual overall percentage goal 
that is narrowly tailored and specific to its market area. The FTA 
reviews the goal setting methodologies to ensure that they are 
developed pursuant to regulatory requirements and the Department's 
official guidance. In addition to submitting an annual

[[Page 31816]]

percentage goal, FTA recipients must submit, within 30 days of making 
an award, the name of the successful bidder and the total dollar value 
of the contract in the manner prescribed in the grant agreement. Once 
collected, the FTA analyzes the information for oversight purposes. For 
example, when the FTA conducts triennial and DBE-specific reviews, FTA 
contractors check the TVM Award Report data to make sure that the 
information on file with the recipients is accurately reflected on the 
report.
    The total annual burden hours for FTA recipients were calculated 
based on the average of three stakeholder responses ranging from 1-40 
hours. The total annual cost burden for FTA recipients was calculated 
based on the average of two stakeholder responses ranging from $60-
$4,000. The total annual burden hours and cost for TVMs is the response 
from one stakeholder. The Department believes that these responses are, 
generally, consistent with its understanding of the paperwork burden 
associated with this requirement.
    Respondents: FTA recipients and TVMs.
    Number of Respondents: 391 (328 FTA recipients; 63 TVMs).
    Frequency: FTA recipients each submit contract award information 
once each time they award a contract to a TVM, i.e., cumulatively 1,255 
times each year. The 63 TVMs each annually submit one overall 
percentage goal to the FTA, i.e., cumulative total of 63 annual 
submissions.
    Number of Responses: 1,255 (1,192 FTA recipient responses and 63 
TVM responses).
    Total Annual Burden: 12,020 hours and $18,880 (11,920 hours and 
$17,880 for FTA recipients to submit contract award information; 100 
hours and $1,000 for each TVM to submit one overall percentage goal 
submission).

8. Projecting Which Portions of Overall Goals of DBE Participation Will 
Be Met Through Race-Neutral Means and Which Portions Will Be Met 
Through Race-Conscious Means

    Section 26.51(c) states that each time a recipient submits an 
overall goal for review by the concerned OA, the recipient must also 
submit a projection of the portion of the goal that the recipient 
expects to meet through race-neutral means and the basis for that 
projection. The projection is subject to approval by the concerned OA 
in conjunction with its review of the recipient's overall goal. 
Recipients use the information to determine what combination of race-
conscious and race-neutral efforts they should undertake to meet their 
overall goal.
    The total annual burden hours DOT received from six stakeholder 
responses ranged from 3-1,387 hours. The total annual cost burden from 
four stakeholder responses ranged from $360-$100,000. The Department 
believes that the higher totals include programmatic burdens beyond 
this specific collection.
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA 
recipients, 553 FTA recipients).
    Frequency: Triennially.
    Number of Responses: 1,198.
    Total Annual Burden: 171,713 hours and $9,000.

9. Submitting Evidence of Having Made ``Good Faith Efforts'' To Secure 
DBE Participation in DOT-Assisted Contracts

    Section 26.53(b)(2) and Appendix A state that in solicitations for 
DOT-assisted contracts for which a contract goal has been established, 
a recipient must require all bidders or offerors to submit the names 
and addresses of the DBE firms that will participate in the contract, a 
description of the work that each DBE will perform, the dollar amount 
of the participation of each DBE firm participating, written 
documentation of the bidder/offeror's commitment to use a DBE 
subcontractor whose participation it submits to meet a contract goal, 
and written confirmation from each listed DBE firm that it is 
participating in the contract in the kind and amount of work provided 
in the prime contractor's commitment. If the contract goal is not met, 
the recipient must require all bidders or offerors to submit evidence 
of their ``good faith efforts'' to achieve DBE participation on the 
contract. The documentation of good faith efforts must include copies 
of each DBE and non-DBE subcontractor quote submitted to the bidder 
when a non-DBE subcontractor was selected over a DBE.
    The total annual burden hours below were calculated based on the 
average of five recipient responses ranging from 2-192 hours. The total 
annual cost burden was calculated based on the average of four 
stakeholder responses ranging from $250-$7,300. The Department 
acknowledges that the requirement of submitting ``good faith efforts'' 
documentation imposes a paperwork burden on prime contractors as well. 
We request that prime contractors who comment on this collection 
provide hour and cost burden estimates that are as specific as 
possible, including what amount of time it takes to prepare and submit 
``good faith efforts'' documentation and any additional costs beyond 
labor costs (e.g., copying, mailing, storage, or other technology 
costs).
    Respondents: State and local recipients of DOT funds.
    Number of Respondents: 1,198 (592 FAA recipients, 53 FHWA 
recipients, 553 FTA recipients).
    Frequency: 72 times each year (6 times per month).
    Number of Responses: 86,256.
    Total Annual Burden: 4,680 hours and $359,400.

10. Drafting Unified Certification Program (UCP) Agreements

    The DBE program regulation requires all recipients and sponsors 
implementing DBE programs to establish a UCP in their respective 
jurisdictions. In January 2020, DOCR evaluated the UCP agreements of 
the 50 states, the District of Columbia, the Northern Mariana Islands, 
and Puerto Rico. DOCR found that over 20 UCP agreements have 
substantial errors, have not been updated to reflect changes to the DBE 
regulation made in 2011 and 2014, and contain significant changes that 
might not have been approved by the Department.
    One of the Department's concerns is that the UCP agreements and 
procedures are posted online and included in employee training 
materials, but contain information that misleads certified and 
applicant firms, as well as the recipients that created the agreements.
    The total annual burden hours for UCPs to update their program 
agreements was calculated based on two stakeholder responses ranging 
from 2-192 hours. The total annual cost burden was calculated based on 
the response of one stakeholder.
    Respondents: Unified Certification Programs.
    Number of Respondents: 53.
    Frequency: The Department proposes that this occur every four 
years. The Department or OAs may, as part of compliance activities, 
recommend or request the recipient and sponsor to make changes more 
frequently if necessary.
    Number of Responses: 53.
    Total Annual Burden: 50 hours and $3,700 per respondent.

11. Evaluating the DBE Certification Eligibility of Applicant Firms

    Recipients must take various steps in determining an applicant's 
eligibility, such as performing an on-site visit to the firm's 
principal place of business. Recipients often write a report

[[Page 31817]]

documenting the visit and maintain a copy of it. They send a copy to 
the Department if a firm found ineligible files an appeal.
    The total annual burden hours below were calculated based on the 
average of three stakeholder responses ranging from 240-2,000 hours. 
The total annual cost burden was calculated based on one stakeholder 
response of $80,000.
    Respondents: Recipients that perform DBE certification.
    Number of Respondents: 132.
    Frequency: 40 per respondent.
    Number of Responses: 5,280.
    Total Annual Burden: 44,000 hours and $3.2 million.

12. Maintaining Copies of Written Denial Letters Sent to Applicant 
Firms and Sending Copies to DOT Upon Request

    Under Sec.  26.86(a), when a recipient denies a certification 
application of a firm that is not currently certified by the UCP of 
which the recipient is a member, the recipient must provide the firm a 
written denial letter explaining the reasons for the decision, 
specifically referencing the evidence in the record that supports each 
reason for the denial. The recipient must maintain a copy of the denial 
letter. If the denied firm appeals to DOT, the recipient must send a 
copy of the letter to DOT. If the firm requests the documents and other 
information on which the denial was based, the recipient must provide 
them.
    The total annual burden hours below were calculated based on the 
average of three recipient responses within a narrow range. The total 
annual cost burden was calculated based on one stakeholder response of 
$7,000. This is an instance in which the Department believes that 
recipients included hours and costs beyond those attributable to the 
paperwork burden. As denial letters are not standardized, they are not 
considered an information collection and the burden associated with 
writing them is not a paperwork burden. The only paperwork burdens are 
for recipients to send electronic copies of the letters to firms and to 
the Department, and maintain a copy of the letters. Given the relative 
simplicity of those tasks, it seems unlikely that they require 3,360 
hours and $210,000.
    Respondents: Recipients that perform DBE certification.
    Number of Respondents: 132.
    Frequency: 2.5 each month.
    Number of Responses: 3,960 per year.
    Total Annual Burden: 3,360 hours and $210,000.

13. Removing the Eligibility of a DBE Firm

    Section 26.87 describes the process for a recipient to remove a 
firm's certification. If a recipient determines there is reasonable 
cause to believe that a certified firm is no longer eligible for DBE 
certification, the recipient must give the firm a written notice of its 
intent to decertify the firm. The notice must clearly describe the 
reasons for the proposed determination and the reasons for it, with 
specific references to the evidence in the record on which each reason 
is based. The recipient must offer the firm, in writing, an opportunity 
for an informal hearing at which the firm may respond to the reasons 
for the proposal to remove its eligibility. The recipient must maintain 
a verbatim record/transcript of the hearing. If a recipient reaches a 
final decision to decertify the firm, the recipient must provide the 
firm written notice of the decision and the reasons for it, including 
specific references to the evidence in the record that supports each 
reason for the decision. The notice must inform the firm of the 
consequences of the final decision and explain the process for filing 
an appeal with the Department. If the firm appeals to the Department, 
the recipient must provide the Department with a copy of the 
transcript, and on request, to the firm.
    The information collected during the decertification process is 
used in multiple ways. The decisionmaker appointed by the recipient 
uses the information in the notice of intent to decertify and any 
evidence presented during or after the hearing to make a final decision 
on whether the firm should be decertified. The firm uses the 
information in the notice of intent to decertify to determine what 
evidence or arguments it might want to submit at the informal hearing. 
The firm uses the information in the final decision, in part, to decide 
whether it wishes to file an appeal with the Department. If the firm 
files an appeal, the Department uses the information to determine 
whether substantial evidence supports the recipient's decision to 
remove the firm's certification eligibility.
    The total annual burden hours are based on the average of three 
stakeholder responses ranging from 60-180 hours. The total annual cost 
is based on one stakeholder response of $4,100.
    Respondents: Unified Certification Programs.
    Number of Respondents: 38.
    Frequency: 53 each year.
    Number of Responses: 2,014.
    Total Annual Burden: 6,095 hours and $217,300.

14. Mailing and Maintaining Copies of Summary Suspension Notices

    Under Sec.  26.88 when a recipient summarily suspends a firm's DBE 
certification, the recipient must immediately notify the firm of the 
suspension by certified mail, return receipt requested, to the last 
known address of the owner(s) of the firm. If the owner(s) responds to 
the notice with information demonstrating that the firm remains 
eligible, the recipient must respond in writing (within 30 days of 
receiving the information) and explain how it intends to proceed.
    The total annual burden hours below were calculated based on the 
average of three stakeholder responses ranging from 12-180 hours. The 
total annual cost burden was calculated based on one response from one 
stakeholder of $7,600. This is another instance in which the Department 
believes that recipients included hours and costs beyond those 
attributable to the paperwork burden. Given that, the hours and cost 
estimates the Department received are likely too high. Summary 
suspension notices are not standardized and thus not considered an 
information collection. The burden associated with writing them is not 
a paperwork burden. The only paperwork burdens are for recipients to 
send the notices by certified mail to firms and maintain an electronic 
copy.
    Respondents: Recipients that perform DBE certification.
    Number of Respondents: 132.
    Frequency: 5 times each year.
    Number of Responses: 660.
    Total Annual Burden: 420 hours and $38,000.

15. Sending the Department a Full Administrative Record When the 
Department Gives Notice That a Denied or Decertified Firm Appeals to 
the Department and Maintaining a Copy of the Record

    Under Sec.  26.89(d), recipients must comply with the Department's 
request to timely (within 20 days of the request) provide a full 
administrative record when the Department gives notice that a denied or 
decertified firm has filed an appeal with the Department.
    The total annual burden hours below were calculated based on the 
average of three stakeholder responses ranging from 2-200 hours. The 
total annual cost burden was calculated based on one response from one 
stakeholder response of $7,600.
    Respondents: Recipients that perform DBE certification that have 
denied or

[[Page 31818]]

decertified firms that appeal to the Department.
    Number of Respondents: 50.
    Frequency: 3 times each year.
    Number of Responses: 150.
    Total Annual Burden: 12,600 hours and $7,600.

16. Providing a Copy of Application Materials to an Additional State in 
Which a Firm Certified in Another State Applies to Another State for 
Certification (Interstate Certification)

    Under Sec.  26.85(c), when a firm currently certified in its home 
state (state A) applies to another state (state B) for DBE 
certification, state B is permitted to require the firm to submit a 
complete copy of all the materials the firm submitted to its home 
state/state A for initial certification. State B reviews the 
information to determine whether there is ``good cause'' (a term 
specifically described in the interstate certification rule) to believe 
that state A's certification is erroneous or should not apply in its 
state. The interstate certification rule describes the limited 
circumstances under which state B could validly make such a 
determination.
    Respondents: DBE firms applying for interstate certification.
    Number of Respondents: 68.
    Frequency: Once.
    Number of Responses: 68.
    Total Annual Burden: 20 hours and $2,000.

17. Writing and Submitting Narratives of Social and Economic 
Disadvantage When Applying for DBE Certification Based on an 
Individualized Showing of Disadvantage

    The DBE program is intended to be as inclusive as possible while 
remaining narrowly tailored. Individuals who are not members of groups 
whose members are presumed socially and economically disadvantaged may 
still qualify for DBE certification. Appendix E of the regulation 
states that to demonstrate their eligibility, these individuals must 
submit a narrative describing the individual's experiences of social 
disadvantage and a separate narrative in which the individual describes 
why the individual is economically disadvantaged. This information 
collection is critical for ensuring that only eligible firms receive 
DBE certification.
    Respondents: DBE certification applicants whose owners are not 
presumed socially and economically disadvantaged under the DBE 
regulation.
    Number of Respondents: 264.
    Frequency: Once.
    Number of Responses: 264.
    Total Annual Burden: 90 hours and $8,000.
    Public Comments Invited: You are asked to comment on any aspect of 
this information collection, including (a) whether the proposed 
collection of information is necessary for the Department's 
performance; (b) the accuracy of the estimated burden; (c) ways for the 
Department to enhance the quality, utility and clarity of the 
information collection; and (d) ways that the burden could be minimized 
without reducing the quality of the collected information. The agency 
will summarize and/or include your comments in the request for OMB's 
clearance of this information collection.

    Authority:  The Paperwork Reduction Act of 1995; 44 U.S.C. 
Chapter 35, as amended; and 49 CFR 1:48.

    Issued in Washington, DC, on June 9, 2021.
Irene Marion,
Director, Departmental Office of Civil Rights.
[FR Doc. 2021-12500 Filed 6-14-21; 8:45 am]
BILLING CODE 4910-9X-P