FINAL USDOT Renewal Request Supporting Statement (003)

DEPARTMENT OF TRANSPORTATION
INFORMATION COLLECTION
SUPPORTING STATEMENT
Disadvantaged Business Enterprise Program Collections
OMB CONTROL NUMBER: 2105-0510
Introduction
This is to request the Office of Management and Budget’s (OMB) renewed three-year approved clearance for the information collection entitled
“Disadvantaged Business Enterprise Program Collections” (Collection). The Collection includes five instruments that OMB approved in August
2015 and October 2018.
The Disadvantaged Business Enterprise (DBE) program is statutorily mandated and intended to assist small businesses owned and controlled by
socially and economically disadvantaged individuals compete fairly in the Department’s highway, mass transit, and airport financial assistance
programs. The statutory provision governing the DBE program in the highway and mass transit financial assistance programs is the Infrastructure
Investment and Jobs Act (IIJA), Pub. L. 117-58 (Nov. 15, 2021) and the statutory provision governing the DBE program as it relates to airport
financial assistance programs is 49 U.S.C. 47113. The Department's final regulations implementing these statutes are found in 49 CFR Part 26.
The DBE program is implemented by recipients of DOT financial assistance (state highway agencies, transit authorities, and airports).
The five collection instruments described in this supporting statement all support DOT's mission of establishing economic equity for small
businesses owned by disadvantaged individuals and promoting development opportunities for them. The collections also help ensure that state and
local recipients that let federally funded contracts carry out their mandated responsibility to ensure that only eligible businesses may compete for
such contracts as a DBE or Airport Concession DBE (ACDBE). Hereinafter, DBE and ACDBE are referred to collectively (for purposes of this
renewal request) as “firm” or “DBE.” The five instruments are (1) Uniform Report of DBE Awards or Commitments and Payments (Uniform
Report), (2) Uniform Certification Application (UCA), (3) Annual Affidavit of No Change, (4) Personal Net Worth (PNW) Form, and (5)
Percentages of DBEs in Various Categories.
Part A. Justification
1.
Circumstances that make the collection of information necessary. Explain the circumstances that make the collection of information
necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of
each section of each statute and regulation mandating or authorizing the collection of information.

2
•

The Uniform Report is required by § 26.11 and 26.47. Without it, the Department would not be able to carry out its oversight
responsibilities because the Department would not be able to obtain information from funding recipients about the participation they
obtain in their DBE programs.

•

The UCA is necessary to implement 49 CFR § 26.83(c)(7)(i). Completion and submission of the UCA by DBE program applicants is
necessary for certifying agencies in the Unified Certification Programs (UCPs) to determine whether a particular firm qualifies for
certification as a DBE. This collection, therefore, serves the important goal of ensuring that firms participating in the program are owned
and controlled by socially and economically disadvantaged individuals.

•

The Annual Affidavit of No Change is mandated by 49 CFR § 26.83(j) and is necessary to ensure the integrity of the DBE program, which
requires DBEs to annually state that they remain eligible for the program. A firm that fails to submit this form will be deemed to have
failed to cooperate and could be subject to decertification. This collection is necessary to ensure the integrity of the DBE program because
it requires DBEs to affirm in a notarized affidavit that they are still eligible to participate in the program. Since DBEs are not required to
reapply after they are certified, this affidavit (along with information documenting the firm’s gross receipts) is the only information DBEs
are required to submit regularly to the UCP to maintain their certification, absent certain changes in circumstances identified in § 26.83(i).

•

The PNW Form is necessary to implement the requirement found in 49 CFR §26.67(a)(2) that a firm applying for DBE certification must
attest that the PNW of the qualifying owner does not exceed the current $1.32 million maximum and provide a corroborating PNW
statement. When submitted as part of the initial application, this collection allows recipients to determine whether a firm is truly owned
and controlled by a disadvantaged individual with a PNW below the regulatory cap and is therefore necessary to ensure that only qualified
firms are certified.

•

The Percentages of DBEs in Various Categories collection is necessary to implement a long-standing statutory requirement calling on
States to report the percentages of white women, minority men, and minority women who own and control DBE firms. This requirement is
most recently stated at section 1101(b)(4)(A) and (B) of the FAST Act. Submission of this information will also satisfy 49 CFR. §
26.11(e).

2.
How, by whom, and for what purpose the information is to be used. Indicate how, by whom, and for what purpose the information
is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current
collection.
•

The Uniform Report is collected bi-annually from recipients by the Department’s Federal Highway Administration (FHWA) and Federal
Transit Administration (FTA), and annually from recipients of the Federal Aviation Administration (FAA), is used to enable DOT to

3
conduct program oversight of recipients’ DBE programs and to identify trends or problem areas in the program. All three Operating
Administrations use an electronic collection system to collect these reports. The form requires recipients to include information about their
DBE goals for that year and the DBE participation they managed to achieve during that time. The collection of this information is
necessary to ensure that the DBE program is achieving its goal of encouraging DBE participation in Federal transportation-related
contracts.
•

For the UCA, businesses that wish to become certified as a DBE submit this information to a recipient of FAA/FHWA/or FTA funds that
are members of the Unified Certification Program (UCP) and perform certification functions. The exact method of submission varies by
recipient, but most applications, including the notarized form, and necessary attachments, are submitted electronically. The UPC then
evaluates the application to determine whether the applicant firm meets the certification requirements set forth in the Regulation. In doing
so, the UCP determines whether, among other things, the applicant firm exceeds the mandatory gross receipts cap for a DBE, and is
owned and controlled by a socially and economically disadvantaged individual(s) whose personal net worth does not exceed the current
cap. If a UCP is satisfied by the information provided in this collection, it will certify the DBE after conducting an onsite visit. The
information provided in this collection will also be used as a basis for DOT to determine whether a UCP correctly rejected an application
in the event the decision is appealed to the Department.

•

For the Annual Affidavit of No Change, firms certified as DBEs must submit this affidavit annually to the UCP of every State in which they
are certified. The affidavit requires that the DBE affirm that “there have been no changes in the firm’s circumstances affecting its ability to
meet size, disadvantaged status, ownership, or control requirements of this part or any material changes in the information provided in its
application form, except for changes about which you have notified the recipient under paragraph (i) of this section,” and that the firm
“continues to meet SBA business size criteria and the overall gross receipts cap of this part, documenting this affirmation with supporting
documentation of your firm's size and gross receipts.”

•

The PNW Form will be used in the same manner that Small Business Administration Form 413 is currently used. That is, prospective
DBEs will submit this form and necessary supporting documentation to demonstrate that the owner(s) on whom the firm relies for DBE
certification eligibility is, in fact, economically disadvantaged.

•

For the Percentages of DBEs in Various Categories collection, States, through their UCPs are the respondents. To carry out this
requirement, UCPs review their statewide directories and count the number of firms controlled, respectively, by white women, minority or
other men, and minority women. They then convert the numbers to percentages and send the results to the Departmental Office of Civil
Rights. The Department uses this statutorily required information to respond to public and governmental questions regarding the DBE
program, determine which States may need assistance in conducting outreach to DBEs, and assist in determining whether States’ DBE
goals are in line with the current make-up of DBE availability.

4
3. Extent of automated information collection. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting
electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of
using information technology to reduce burden.
•

Most recipients already use computer systems for many of these information collection tasks. FTA uses the Transit Award Management
System (TrAMS) (formerly the “Transportation Electronic Awards and Management system)” to receive reporting data
(https://faces.fta.dot.gov/suite/). FAA’s system is called the dbE-Connect (https://faa.dbeconnect.com/FAAfaa/login.asp). FHWA uses a
system called Civil Rights Connect (https://fhwa.civilrightsconnect.com/FHWA/login.asp).

•

For the UCA, the decision regarding how a UCP will accept this form is left to the recipient. The Department has available on the DBE
website copies of this form (in screen-fillable format) and links and contact information for all State UCPs. Nearly all recipients provide
additional information about the application process on their websites. However, recipients generally require that application forms be
submitted to the UCP by either mail or (more likely) through electronic means.

•

For the Annual Affidavit of No Change, the Department provides examples of an accepted affidavit on its website, as well as contact
information for all State UCP members. The UCP members also provide copies of the affidavit on their websites and many accept
submission of the affidavit electronically.

•

For the PNW Form, the Department makes the form available online in a screen-fillable format on the DBE website. A PDF copy is also
available in the Code of Federal Regulations. The Department encourages UCPs to make the form available online as well. Like the
Uniform Certification Application and Annual Affidavit, the Department anticipates that most recipients will continue the submission of
this form electronically.

•

For the Percentages of DBEs in Various Categories instrument, the Department anticipates that States will provide this information to the
Departmental Office of Civil Rights via letter or e-mail.

4.
Describe efforts to identify duplication. Describe efforts to identify duplication. Show specifically why any similar information
already available cannot be used or modified for use for the purposes described in item 2 above.

5
•

The Uniform Report does not contain duplicative information. It is possible that some recipients also collect similar information for their
own purposes, but the extent of such collections is not known and it is not required by the Department.

•

For the UCA, the Department has minimized the burden of this collection in three ways. First, because each state is required to maintain a
Unified Certification Program (UCP), firms need only apply once in each state in which they seek to be certified, not for each DOT
recipient within that state. That is, a DBE certified by a UCP member for work it has done on a contract with the member agency is not
required to resubmit this form if the DBE next wishes to perform work on a contract for a municipal transit agency or for any other
recipient in that state. Next, once certified in a state, a DBE is certified unless it is decertified through the procedures found in 49 CFR §
26.87. Thus, there is no requirement that a DBE resubmit this form at any regular interval to remain certified. Finally, although DBEs are
certified on a State-by-State, not federal, basis, the Department has taken steps to ease the process of a DBE that is already certified in one
state to become certified in another state. Most importantly, all states are required to use this form and are not permitted to create their
own form. Additionally, the Department has adopted an interstate certification process in § 26.85 that attempts to expedite the process for
a DBE already certified in one state gaining certification in another state without submitting a new application. The information being
requested in the form is not duplicative of other information requested as part of this program.

•

For the Annual Affidavit of No Change, certified firms are only required to submit one affidavit to each state in which they are certified.
However, DBEs must submit a separate affidavit to each state in which they certified; this is because certain aspects of DBE eligibility, for
example the requirement of control, may vary from state to state. The Department does not view this as creating any significant additional
burden, since firms may complete the affidavit and go through the notarization process for each state at the same time.

•

The PNW Form does not lead to the collection of duplicative information because it replaced the Department’s prior approach of
requesting the Small Business Administration (SBA) form with the Uniform Certification Application. Beyond basic identifying
information, the Personal Net Worth Form and Uniform Certification Application do not request the same information and are unique
collections.

•

The Percentages of DBEs in Various Categories is statutorily mandated, and is a different collection than the Uniform Report of
Awards/Commitments and Payments. This information will be reported separately (once per year) in a letter to the Director of the
Departmental Office of Civil Rights with the Office of the Secretary.

5.
Efforts to minimize the burden on small businesses. If the collection of information impacts small businesses or other small entities,
describe any methods used to minimize burden.

6
The Department does not foresee any increase in burden if the collections are renewed. In the past, the Department took steps to lessen the
potential burden of these collections, as explained in greater detail below.
•

For the Uniform Report, FTA and FAA have funding thresholds that exempt their smaller recipients from the DBE program requirements,
including this report. As noted above, reporting frequencies are only annual (for FAA recipients) or semi-annual (for FTA recipients). The
information on these matters is found in the DOT DBE regulation (see 49 CFR. §§ 26.11 and 26.21, and Appendix B).

•

For the UCA, the Department attempted to make this collection as streamlined and user-friendly as possible to minimize the burden on
applicants, while requiring sufficient information to maintain the integrity of the DBE program. For example, in its 2014 revision to the
rule, DOT shortened the form and removed redundant and/or unnecessary fields. Further, the Department made discretionary some
supporting documentation that was previously mandatory.

•

The Annual Affidavit of No Change minimizes as much as possible the burden on DBEs, all of which (by definition) are small businesses.
Firms are only required to submit this affidavit on an annual basis and the affidavit is essentially a “fill-in-the blank” statement, copies of
which are available online on both the Department’s and states’ websites. In addition, the annual affidavit causes considerably less burden
than any conceivable alternative, such as a requirement that DBEs go through a recertification process.

•

For the PNW Form, the Department streamlined the document in 2014 and no longer requires that all DBEs include with the form various
supporting documents and, instead, leaving it up to the UCP to request additional documentation on a case-by-case basis.

•

The Percentages of DBEs in Various Categories collection only burdens State Departments of Transportation (FHWA recipients), not
DBEs, airports, transit agencies, or other local government entities. (See 49 CFR. § 26.11(e)). There were no technical corrections made to
this collection.

6.
Impact of less frequent collection of information. Describe the consequence to federal program or policy activities if the collection is
not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.
•

For the Uniform Report, no change has been made regarding the frequency of collection. Without this information collection, there would
be no way to determine whether the program’s objectives were being met, it would be impossible to determine whether the program was
being administered consistent with legal and constitutional requirements, and there would be no accountability for any participants.

•

For the UCA, there is no opportunity for less frequent collections of this information since a DBE is only required to fill out this form
when applying to a state for the first time. The Department notes that it has long rejected any mandate that the DBEs would be required to

7
reapply after a set period of time, leaving it to the UCP’s discretion what additional information would be required periodically as part of
the UCP’s program documents. The form was streamlined in 2014.

7.

•

The Department believes that less frequent collection of the Annual Affidavit of No Change (e.g., every two years rather than annually)
would greatly affect the integrity of the DBE program and would lead to situations where federal money would be awarded to contracts
without the participation of firms that are correctly certified as DBEs. A less frequent collection would lead to an increased risk of fraud,
such as in situations where a DBE knowingly continues to participate despite changes in its circumstances. There were no revisions to this
form and the frequency of collection continues to be annual.

•

For the PNW Form, the requirement that the form be included with each application for certification cannot be reduced, as it is a necessary
part of the initial application process. The Department streamlined this form in 2014 and made minor editorial corrections in this renewal
submission.

•

For the Percentages of DBEs in Various Categories instrument, the clear and unambiguous language of the DBE Program’s statutory
language, most recently contained in the Infrastructure Investment and Jobs Act, mandates that this information be collected annually.
Historically, the Department has collected this information toward the end of the calendar year.

Special Circumstances. Explain any special circumstances that would cause an information collection to be conducted in a manner:
- Requiring respondents to report information to the agency more often than quarterly;
- Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;
- Requiring respondents to submit more than an original and two copies of any document;
- Requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more
than three years;
- In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the
universe of study;
- Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

8
- That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not
supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of
data with other agencies for compatible confidential use; or
- Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate
that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.
None.
8.
Compliance with 5 CFR §1320.8(d). If applicable, provide a copy and identify the date and page number of publication in the
Federal Register of the agency’s notice, required by 5 CFR §1320.8(d), soliciting comments on the information collection prior to
submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response
to those comments. Specifically address comments received on cost and hour burden.
Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the
clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or
reported.
Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at
least once every 3 years – even if the collection of information activity is the same as in prior periods. There may be circumstances that
may preclude consultation is a specific situation. These circumstances should be explained.
The Department published a 60-day Federal Register Notice addressing these five collections on April 29, 2021, FR Vol. 86, No. 80, page 22515.
No comments were received during the 60-day comment period. The Department published a 30-day Federal Register Notice on September 15,
2021, FR Vol. 86, No. 176, page 51444. No comments were received. In addition, the Department contacted fewer than 10 recipients of FAA,
FHWA, and FTA funds to gauge the burden associated with the instruments in this supporting statement.
Payment or gifts to respondents. Explain any decision to provide any payment or gift to respondents, other than remuneration of
contractors or grantees.
None.

9
10. Assurance of confidentiality. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in
statute, regulation, or agency policy.
The UCA and the PNW Form are the only two instruments that contain such assurances. Specifically, they include statements that the Department
will comply with both the Freedom of Information Act and the Privacy Act in collecting, using, and disclosing information in those documents. 49
CFR. § 26.109 contains assurances of confidentiality for any information provided by a DBE as part of the DBE program. Section 109(a)(2) states
that recipients “must not release any information that may reasonably be construed as confidential business information to any third party without
the written consent of the firm that submitted the information. This includes applications for DBE certification and supporting information.
However, you must transmit this information to DOT in any certification appeal proceeding under § 26.89 of this part or to any other state to
which the individual's firm has applied for certification under § 26.85 of this part.”
11. Justification for collection of sensitive information. Provide additional justification for any questions of a sensitive nature, such as
sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include
the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given
to persons from the information is requested, and any steps to be taken to obtain their consent.
Not applicable.
12. Estimate of burden hours for information requested. Provide estimates of the hour burden of the collection of information. The
statement should:
- Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was
estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden
estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is
expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain
the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.
- If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the
hour burdens.
- Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using
appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should
not be included here. Instead, this cost should be included in item 14.

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In the following table the description of “affected public” for each collection instrument is based on the requirements and activity
descriptions in the applicable provisions of 49 CFR Part 26. For the instruments in which recipients of DOT funds are the affected public,
the number of respondents is the number of recipients of DOT funds. For the instruments in which DBE applicant or certified firms are the
affected public, the number of respondents is derived from a database on DOT’s website that lists the names of all certified firms as well the
names of the firms that were denied certification or whose certification was removed.
DBE certification staff hourly wage rate is taken from the U.S. Bureau of Labor Statistics’ (BLS) estimate of an Eligibility Interviewer in
Government Programs (OEWS Designation). The wage rate is multiplied by 1.62 to get a fully loaded hourly wage rate of $34.77 to account
for the cost of employer provided benefits. For state and local government workers, wages represent 61.9% of total compensation in 2020,
therefore the multiplier is 1.62 (1/0.619). Given the number and geographic spread of DOT’s recipients, it was not feasible for DOT to
determine the exact job classifications of employees who perform each task. Further, the geographic variances will, to an unknown extent,
affect the wage rate.

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COLLECTION
INSTRUMENT

AFFECTED
PUBLIC

NUMBER OF
RESPONDEN
TS

FREQUENCY
OF REPONSE

Uniform Report
of DBE
Awards/Commit
ments (49 CFR
26.11)

Recipients of
DOT funds

1,198

Once per year

ESTIMATED
AVERAGE
ANNUALIZE
D HOURS
BURDEN
PER
RESPONSE
317 hours

ESTIMATED
TOTAL
ANNUALIZE
D HOURS
BURDEN

ANNUALIZED
HOURS
BURDEN
ESTIMATE
SOURCE

379,766 hours

DOT reached
out to FAA,
FHWA, and
FTA recipients.
In 2018, DOT
estimated that
the average
hours burden per
response was
five hours. In
2020 DOT
reached out to
fewer than 10
recipients. Their
feedback
resulted in the
estimates below.
The estimated
average hours
burden of 317 is
the average of
seven recipient
responses.

ESTIMATED
ANNUALIZED
COST FOR
RESPONDENTS
BASED ON
WAGE RATE
CATEGORY
$13.2 million

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COLLECTION
INSTRUMENT

AFFECTED
PUBLIC

NUMBER OF
RESPONDEN
TS

FREQUENCY
OF REPONSE

Uniform
Certification
Application
(Section
26.83(c)(7)(i) and
Appendix F of 49
CFR Part 26)

Firms applying
for DBE
certification

9,500

Once during
initial
certification

ESTIMATED
AVERAGE
ANNUALIZE
D HOURS
BURDEN
PER
RESPONSE
40 hours

ESTIMATED
TOTAL
ANNUALIZE
D HOURS
BURDEN

ANNUALIZED
HOURS
BURDEN
ESTIMATE
SOURCE

380,000 hours

Based on
discussions with
consultants who
assist firms with
completing the
Uniform
Certification
Application, it is
estimated that
the total burden
hours per
applicant to fill
out the Uniform
Certification
Application and
gather the
supporting
documentation to
be approximately
40 hours.
To estimate the
number of
respondents, in
December 2020
the Department
contacted four
recipients to get
a rough estimate
of how many

ESTIMATED
ANNUALIZED
COST FOR
RESPONDENTS
BASED ON
WAGE RATE
CATEGORY
There is no applicable
wage rate because there
is no standardized way
in which the many
hundreds of firms
applying each year
operate and how they
pay their employees. It
is not possible for DOT
to contact applicant
firms for estimates
because of wellestablished DOT
protocol and potential
ethical boundaries. In
addition, DOT does not
know the identities of
applicant firms. DOT
only has data about the
numbers of certified
firms, decertified firms,
and firms whose
applications were
denied.

13
applications they
receive each
month. Their
responses ranged
between 5 – 80
per month. The
number cannot
be precisely
calculated
because it is not
feasible for DOT
to contact all
1,198 recipients
to ask them how
many
applications they
receive each
year. Nor is there
a central
repository that
captures the
number of
applicants each
year. In addition,
the number of
respondents
varies
significantly
among the 52
jurisdictions that
have a DBE
program. There
are likely several
reasons for the
variance. DOT
infers that the
frequency of

14
submissions at
times varies
according to
construction
season (high
applications
when the season
is over), the
contracting
opportunities
available in the
marketplace, and
the number of
new
transportationrelated business
formations or
expansions.
Jurisdictions that
have a high DBE
applicant pool
may receive a
higher number
whereas
jurisdictions in
remote areas of
the country with
smaller numbers
of firms may
have lower
applicant
requests for DBE
certification.

15
COLLECTION
INSTRUMENT

AFFECTED
PUBLIC

NUMBER OF
RESPONDEN
TS

FREQUENCY
OF REPONSE

Annual Affidavit
of No Change (49
CFR 26.83(j))

Certified DBE
and ACDBE
firms

45,525 (41,800
DBEs and 3,725
ACDBEs

Once per year

Personal Net
Worth Form (49
CFR 26.67)

Firms applying
for DBE or
ACDBE
certification

9,500 applicants
each year

Once during
initial DBE or
ACDBE
application
submission

ESTIMATED
AVERAGE
ANNUALIZE
D HOURS
BURDEN
PER
RESPONSE
2 hours

ESTIMATED
TOTAL
ANNUALIZE
D HOURS
BURDEN

ANNUALIZED
HOURS
BURDEN
ESTIMATE
SOURCE

91,050 hours

DOT contacted
five consultants
who are familiar
with what this
collection
instrument
involves. Only
one responded.

10 hours

95,000 hours

Based on
experience with
adjudicating
appeals in which
issues of
personal net
worth are the

ESTIMATED
ANNUALIZED
COST FOR
RESPONDENTS
BASED ON
WAGE RATE
CATEGORY
There is no applicable
wage rate because
different consultants
charge different
amounts. There is no
industry standard for
how much DBE
program consultants
charge their clients.
Further, it is very
plausible that many
certified firms do not
hire a consultant to
perform this task and
will use their own
employees to do it.
Well established
protocol prevents
recipients or DOT to
directly contact firms
and obtain estimates.
There is no applicable
wage rate because there
is no standardized way
in which firms operate
and how they pay their
employees. It is not
possible for DOT to

16

COLLECTION
INSTRUMENT

AFFECTED
PUBLIC

NUMBER OF
RESPONDEN
TS

FREQUENCY
OF REPONSE

Percentages of
DBEs in Various
Categories
(49 CFR 26.11)

State
Departments of
Transportation

52 (50 states
plus the District
of Columbia
and Puerto
Rico)

Once per year

ESTIMATED
AVERAGE
ANNUALIZE
D HOURS
BURDEN
PER
RESPONSE
315 hours

ESTIMATED
TOTAL
ANNUALIZE
D HOURS
BURDEN

16,380 hours

Aggregate annualized hours burden for all five collection instruments: 962,196 hours

focus, the
Department
believes that
completing and
submitting this
form would
require no more
than 10 hours.
ANNUALIZED
HOURS
BURDEN
ESTIMATE
SOURCE

DOT contacted
six State
Departments of
Transportations
and asked them
to provide
estimates. There
was vast
variance in the
estimates they
provided,
ranging from
three hours to
915 hours for
their annual
hours burden
estimates. The
average of their
estimates is 315.

contact applicant firms
for estimates because of
well-established DOT
protocol and potential
ethical boundaries.

ESTIMATED
ANNUALIZED
COST FOR
RESPONDENTS
BASED ON
WAGE RATE
CATEGORY
$569,532

17

13. Estimate of the total annual costs burden. Provide an estimate of the total annual cost burden to respondents or recordkeepers
resulting from the collection of information. (Do not include the costs of any hour burden shown in items 12 and 14).
- The cost estimates should be split into two components: (A) a total capital and start-up cost component (annualized over its expected
useful life); and (B) a total operation and maintenance and purchase of services component. The estimates should take into account
costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to
estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount
rates(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations
for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and
record storage facilities.
- If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the
variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In
developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB
submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking
containing the information collection, as appropriate.
- Generally, estimates should not include purchases of equipment or services, or portions thereof, made (1) prior to October 1, 1995,
(2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to
provide information or keep records for the government, or (4) as part of customary and usual business or private practices.
The instruments described in this supporting statement do not require any respondents to obtain any equipment or services beyond what is part of
their customary and usual business or private practices. Information about capital and start-up costs and operation and maintenance and purchase
of services is not available, as costs to recipients and firms are not broken out in any way that allows the Department to identify costs specific to
each instrument.
14. Estimates of costs to the Federal Government. Provide estimates of annualized cost to the federal government. Also, provide a
description of the method used to estimate costs, which should include quantification of hours, operational expenses such as equipment,
overhead, printing, and support staff, and any other expense that would not have been incurred without this collection of information.
Agencies also may aggregate cost estimates from items 12, 13, and 14 in a single table.

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COLLECTION
INSTRUMENT

RESOURCE

PAY GRADE
(WASHINGTON,
DC)

Uniform Report of
DBE
Awards/Commitments
(49 CFR 26.11)
Percentages of DBEs
in Various Categories
(49 CFR 26.11)

Equal Opportunity
Specialist

GS 11 step 5
($39.51/hour)

Equal Opportunity
Specialist

GS 11 step 5
($39.51/hour)

ESTIMATED
TIME TO
REVIEW EACH
RESPONSE
One hour

.5 hour

ESTIMATED
ANNUALIZED
HOURS BURDEN

ESTIMATED
ANNUALIZED
COST BURDEN

1,800 hours

$71,118

26 hours

$1,027.26

The Uniform Certification Application, Personal Net Worth Form, and Annual Affidavit of No Change do not have costs to the federal
government because the federal government does not receive, review, or retain them. Applicant and certified firms submit the forms to their local
recipient, i.e., local certifying agency. Neither firms nor certifying agencies provide copies to the federal government.
15. Explanation of the program change or adjustments. Explain the reasons for any program changes or adjustments reported in items
13 or 14.
The adjustment to the total burden hours mentioned in this supporting statement results from an increase in the number of applicant and certified
firms each year, which in turn increases the hours and cost burdens. As stated in this collection, these firms must submit an annual affidavit and
the burden hours reflected account for this increase. When this collection was submitted for renewal in 2018, the estimate for federal review of the
“Uniform Report of DBE Awards or Commitments and Payments” was based on the reports being reviewed by a GS-13 step 5 in Washington,
DC. However, upon reevaluation of current staffing and other resources, DOT adjusted the estimates based on the cost of a GS-11 step 5 in
Washington, DC to review the reports.
16. Publication of results of data collection. For collections of information whose results will be published, outline plans for tabulation,
and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including
beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

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Not applicable.
17. Approval for not displaying the expiration date of OMB approval. If seeking approval to not display the expiration date for OMB
approval of the information collection, explain the reasons that display would be inappropriate.
Not applicable.
18. Exceptions to the certification statement. Explain each exception to the certification statement “Certification for Paperwork
Reduction Act Submissions.”
There are no such exceptions.