[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.
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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