Document ID: DOT-OST-2018-0075-0003
Agency: dot
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2018-08-13T04:00Z

[Federal Register Volume 83, Number 156 (Monday, August 13, 2018)]
[Notices]
[Pages 40117-40140]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-17301]

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DEPARTMENT OF TRANSPORTATION

[Docket No. DOT-OST-2018-0075]

Request for Comments of a Previously Approved Information 
Collection(s)

AGENCY: Office of the Secretary, DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, this 
notice announces that the Information Collection Request (ICR) 
abstracted below is being forwarded to the Office of Management and 
Budget (OMB) for review and comment. A Federal Register Notice with a 
60-day comment period soliciting comments on the information collection 
was published on June 4, 2018. One comment was received that does not 
warrant any adjustments to the forms.

DATES: Comments must be submitted on or before September 12, 2018.

ADDRESSES: Send comments regarding the burden estimate, including 
suggestions for reducing the burden, to the Office of Management and 
Budget, Attention: Desk Officer for the Office of the Secretary of 
Transportation, 725 17th Street NW, Washington, DC 20503.
    Comments are invited on: Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the Department, including whether the information will have practical 
utility; the accuracy of the Department's estimate of the burden of the 
proposed information collection; ways to enhance the quality, utility 
and clarity of the information to be collected; and ways to minimize 
the burden of the collection of information on respondents, including 
the use of automated collection techniques or other forms of 
information technology.

FOR FURTHER INFORMATION CONTACT: Mr. Marc Pentino, Departmental Office 
of Civil Rights, Office of the Secretary, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590, (202) 
366-6968, or at [email protected].

SUPPLEMENTARY INFORMATION:
    Title: Disadvantaged Business Enterprise Program Collections.
    OMB Control Number: 2105-0510.
    Type of Request: Renewal of a Previously Approved Information 
Collection.
    Abstract: The following information collections are associated with 
the U.S. Department of Transportation's (DOT) Disadvantaged Business 
Enterprise (DBE) program: Uniform Report of DBE Awards or Commitments 
and Payments, Uniform Certification Application Form, Annual Affidavit 
of No Change, DOT Personal Net Worth Form, and Reporting Requirements 
for Percentages of DBEs in Various Categories. All five collections 
were previously approved under one OMB Control Number (2105-0510) to 
allow DOT to more efficiently administer the DBE program. The DBE 
program is mandated by statute, including Section 1101(b) of the Fixing 
America's Surface Transportation Act (FAST Act) (Pub. L. 114-94) and 49 
U.S.C. 47113. DOT's final regulations implementing these statutes are 
49 CFR parts 23 and 26. The information to be collected is necessary 
because it helps to ensure that State and local recipients that let 
federally-funded contracts carry out their mandated responsibility to 
provide a level playing field for small businesses owned and controlled 
by socially and economically disadvantaged individuals.

Uniform Report of DBE Awards/Commitments and Payments

    Affected Public: DOT financially-assisted State and local 
transportation agencies.

[[Page 40118]]

    Number of Respondents: 1,250.
    Frequency: Once/twice per year.
    Number of Responses: One/two.
    Total Annual Burden: 9,000 hours.

Uniform Certification Application Form

    Affected Public: Firms applying to be certified as DBEs.
    Number of Respondents: 9,500.
    Frequency: Once during initial certification.
    Number of Responses: One.
    Total Annual Burden: 76,000 hours.

Annual Affidavit of No Change

    Affected Public: Certified DBEs.
    Number of Respondents: Approximately 38,465 certified DBE firms.
    Frequency: Once per year.
    Number of Responses: One.
    Total Annual Burden: 57,698 hours.

Personal Net Worth Form

    Affected Public: Firms applying to be DBEs.
    Number of Respondents: 9,500.
    Frequency: Once.
    Number of Responses: One.
    Total Annual Burden: 19,000 hours.

Percentage of DBEs in Various Categories

    Affected Public: States (through their Unified Certification 
Programs).
    Number of Respondents: 53 (50 states, plus the District of 
Columbia, Puerto Rico, and the Virgin Islands).
    Frequency: Once per year.
    Number of Responses: One.
    Total Annual Burden: 161.6 hours.

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

    Issued in Washington, DC.
Charles E. James, Sr.,
Director, Departmental Office of Civil Rights, U.S. Department of 
Transportation.
BILLING CODE 4910-9X-P

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BILLING CODE 4910-9X-C

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Appendix B to Part 26--Uniform Report of DBE Awards or Commitments and 
Payments Form

Instructions for Completing the Uniform Report of DBE Awards/
Commitments and Payments

    Recipients of Department of Transportation (DOT) funds are 
expected to keep accurate data regarding the contracting 
opportunities available to firms paid for with DOT dollars. Failure 
to submit contracting data relative to the DBE program will result 
in noncompliance with Part 26. All dollar values listed on this form 
should represent the DOT share attributable to the Operating 
Administration (OA): Federal Highway Administration (FHWA), Federal 
Aviation Administration (FAA) or Federal Transit Administration 
(FTA) to which this report will be submitted.
    1. Indicate the DOT (OA) that provides your Federal financial 
assistance. If assistance comes from more than one OA, use separate 
reporting forms for each OA. If you are an FTA recipient, indicate 
your Vendor Number in the space provided.
    2. If you are an FAA recipient, indicate the relevant AIP 
Numbers covered by this report. If you are an FTA recipient, 
indicate the Grant/Project numbers covered by this report. If more 
than ten attach a separate sheet.
    3. Specify the Federal fiscal year (i.e., October 1-September 
30) in which the covered reporting period falls.
    4. State the date of submission of this report.
    5. Check the appropriate box that indicates the reporting period 
that the data provided in this report covers. For FHWA and FTA 
recipients, if this report is due June 1, data should cover October 
1-March 31. If this report is due December 1, data should cover 
April 1-September 30. If the report is due to the FAA, data should 
cover the entire fiscal year.
    6. Provide the name and address of the recipient.
    7. State your overall DBE goal(s) established for the Federal 
fiscal year of the report being submitted to and approved by the 
relevant OA. Your overall goal is to be reported as well as the 
breakdown for specific Race Conscious and Race Neutral projections 
(both of which include gender-conscious/neutral projections). The 
Race Conscious projection should be based on measures that focus on 
and provide benefits only for DBEs. The use of contract goals is a 
primary example of a race conscious measure. The Race Neutral 
projection should include measures that, while benefiting DBEs, are 
not solely focused on DBE firms. For example, a small business 
outreach program, technical assistance, and prompt payment clauses 
can assist a wide variety of businesses in addition to helping DBE 
firms.

Section A: Awards and Commitments Made During This Period

    The amounts in items 8(A)-10(I) should include all types of 
prime contracts awarded and all types of subcontracts awarded or 
committed, including: professional or consultant services, 
construction, purchase of materials or supplies, lease or purchase 
of equipment and any other types of services. All dollar amounts are 
to reflect only the Federal share of such contracts and should be 
rounded to the nearest dollar.
    Line 8: Prime contracts awarded this period: The items on this 
line should correspond to the contracts directly between the 
recipient and a supply or service contractor, with no intermediaries 
between the two.
    8(A). Provide the total dollar amount for all prime contracts 
assisted with DOT funds and awarded during this reporting period. 
This value should include the entire Federal share of the contracts 
without removing any amounts associated with resulting subcontracts.
    8(B). Provide the total number of all prime contracts assisted 
with DOT funds and awarded during this reporting period.
    8(C). From the total dollar amount awarded in item 8(A), provide 
the dollar amount awarded in prime contracts to certified DBE firms 
during this reporting period. This amount should not include the 
amounts sub contracted to other firms.
    8(D). From the total number of prime contracts awarded in item 
8(B), specify the number of prime contracts awarded to certified DBE 
firms during this reporting period.
    8(E&F). This field is closed for data entry. Except for the very 
rare case of DBE-set asides permitted under 49 CFR part 26, all 
prime contracts awarded to DBES are regarded as race-neutral.
    8(G). From the total dollar amount awarded in item 8(C), provide 
the dollar amount awarded to certified DBEs through the use of Race 
Neutral methods. See the definition of Race Neutral in item 7 and 
the explanation in item 8 of project types to include.
    8(H). From the total number of prime contracts awarded in 8(D), 
specify the number awarded to DBEs through Race Neutral methods.
    8(I). Of all prime contracts awarded this reporting period, 
calculate the percentage going to DBEs. Divide the dollar amount in 
item 8(C) by the dollar amount in item 8(A) to derive this 
percentage. Round the percentage to the nearest tenth.
    Line 9: Subcontracts awarded/committed this period: Items 9(A)-
9(I) are derived in the same way as items 8(A)-8(I), except that 
these calculations should be based on subcontracts rather than prime 
contracts. Unlike prime contracts, which may only be awarded, 
subcontracts may be either awarded or committed.
    9(A). If filling out the form for general reporting, provide the 
total dollar amount of subcontracts assisted with DOT funds awarded 
or committed during this period. This value should be a subset of 
the total dollars awarded in prime contracts in 8(A), and therefore 
should never be greater than the amount awarded in prime contracts. 
If filling out the form for project reporting, provide the total 
dollar amount of subcontracts assisted with DOT funds awarded or 
committed during this period. This value should be a subset of the 
total dollars awarded or previously in prime contracts in 8(A). The 
sum of all subcontract amounts in consecutive periods should never 
exceed the sum of all prime contract amounts awarded in those 
periods.
    9(B). Provide the total number of all sub contracts assisted 
with DOT funds that were awarded or committed during this reporting 
period.
    9(C). From the total dollar amount of sub contracts awarded/
committed this period in item 9(A), provide the total dollar amount 
awarded in sub contracts to DBEs.
    9(D). From the total number of sub contracts awarded or 
committed in item 9(B), specify the number of sub contracts awarded 
or committed to DBEs.
    9(E). From the total dollar amount of sub contracts awarded or 
committed to DBEs this period, provide the amount in dollars to DBEs 
using Race Conscious measures.
    9(F). From the total number of sub contracts awarded or 
committed to DBEs this period, provide the number of sub contracts 
awarded or committed to DBEs using Race Conscious measures.
    9(G). From the total dollar amount of sub contracts awarded/
committed to DBEs this period, provide the amount in dollars to DBEs 
using Race Neutral measures.
    9(H). From the total number of sub contracts awarded/committed 
to DBEs this period, provide the number of sub contracts awarded to 
DBEs using Race Neutral measures.
    9(I). Of all subcontracts awarded this reporting period, 
calculate the percentage going to DBEs. Divide the dollar amount in 
item 9(C) by the dollar amount in item 9(A) to derive this 
percentage. Round the percentage to the nearest tenth.
    Line 10: Total contracts awarded or committed this period. These 
fields should be used to show the total dollar value and number of 
contracts awarded to DBEs and to calculate the overall percentage of 
dollars awarded to DBEs.
    10(A)-10(B). These fields are unavailable for data entry.
    10(C-H). Combine the total values listed on the prime contracts 
line (Line 8) with the corresponding values on the subcontracts line 
(Line 9).
    10(I). Of all contracts awarded this reporting period, calculate 
the percentage going to DBEs. Divide the total dollars awarded to 
DBEs in item 10(C) by the dollar amount in item 8(A) to derive this 
percentage. Round the percentage to the nearest tenth.

Section B: Breakdown by Ethnicity & Gender of Contracts Awarded to 
DBEs This Period

    11-17. Further breakdown the contracting activity with DBE 
involvement. The Total Dollar Amount to DBEs in 17(C) should equal 
the Total Dollar Amount to DBEs in 10(C). Likewise, the total number 
of contracts to DBEs in 17(F) should equal the Total Number of 
Contracts to DBEs in 10(D).
    Line 16: The ``Non-Minority'' category is reserved for any firms 
whose owners are not members of the presumptively disadvantaged 
groups already listed, but who are either ``women'' OR eligible for 
the DBE program on an individual basis. All DBE firms must be 
certified by the Unified Certification Program to be counted in this 
report.

[[Page 40140]]

Section C: Payments on Ongoing Contracts

    Line 18(A-E). Submit information on contracts that are currently 
in progress. All dollar amounts are to reflect only the Federal 
share of such contracts, and should be rounded to the nearest 
dollar.
    18(A). Provide the total number of prime and sub-contracts where 
work was performed during the reporting period.
    18(B). Provide the total dollar amount paid to all firms 
performing work on contracts.
    18(C). From the total number of contracts provided in 18(A) 
provide the total number of contracts that are currently being 
performed by DBE firms for which payments have been made.
    18(D). From the total dollar amount paid to all firms in 18(A), 
provide the total dollar value paid to DBE firms currently 
performing work during this period.
    18(E). Provide the total number of DBE firms that received 
payment during this reporting period. For example, while 3 contracts 
may be active during this period, one DBE firm may be providing 
supplies or services on all three contracts. This field should only 
list the number of DBE firms performing work.
    18(F). Of all payments made during this period, calculate the 
percentage going to DBEs. Divide the total dollar value to DBEs in 
item 18(D) by the total dollars of all payments in 18(B). Round the 
percentage to the nearest tenth.

Section D: Actual Payments on Contracts Completed This Reporting 
Period

    This section should provide information only on contracts that 
are closed during this period. All dollar amounts are to reflect the 
entire Federal share of such contracts, and should be rounded to the 
nearest dollar.
    19(A). Provide the total number of contracts completed during 
this reporting period that used Race Conscious measures. Race 
Conscious contracts are those with contract goals or another race 
conscious measure.
    19(B). Provide the total dollar value of prime contracts 
completed this reporting period that had race conscious measures.
    19(C). From the total dollar value of prime contracts completed 
this period in 19(B), provide the total dollar amount of dollars 
awarded or committed to DBE firms in order to meet the contract 
goals. This applies only to Race Conscious contracts.
    19(D). Provide the actual total DBE participation in dollars on 
the race conscious contracts completed this reporting period.
    19(E). Of all the contracts completed this reporting period 
using Race Conscious measures, calculate the percentage of DBE 
participation. Divide the total dollar amount to DBEs in item 19(D) 
by the total dollar value provided in 19(B) to derive this 
percentage. Round to the nearest tenth.
    20(A)-20(E). Items 21(A)-21(E) are derived in the same manner as 
items 19(A)-19(E), except these figures should be based on contracts 
completed using Race Neutral measures.
    20(C). This field is closed.
    21(A)-21(D). Calculate the totals for each column by adding the 
race conscious and neutral figures provided in each row above.
    21(C). This field is closed.
    21(E). Calculate the overall percentage of dollars to DBEs on 
completed contracts. Divide the Total DBE participation dollar value 
in 21(D) by the Total Dollar Value of Contracts Completed in 21(B) 
to derive this percentage. Round to the nearest tenth.
    22. Name of the Authorized Representative preparing this form.
    23. Left blank for future use.
    24. Signature of the Authorized Representative.
    25. Phone number of the Authorized Representative.
    **Submit your completed report to your Regional or Division 
Office.

[FR Doc. 2018-17301 Filed 8-10-18; 8:45 am]
 BILLING CODE 4910-9X-P