[Code of Federal Regulations]
[Title 49, Volume 1]
[Revised as of October 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR26.81]

[Page 282-283]
 
                        TITLE 49--TRANSPORTATION
 
          Subtitle A--Office of the Secretary of Transportation
 
PART 26_PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF 
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS--Table of Contents
 
                   Subpart E_Certification Procedures
 
Sec.  26.81  What are the requirements for Unified Certification Programs?


    (a) You and all other DOT recipients in your state must participate 
in a Unified Certification Program (UCP).
    (1) Within three years of March 4, 1999, you and the other 
recipients in your state must sign an agreement establishing the UCP for 
that state and submit the agreement to the Secretary for approval. The 
Secretary may, on the basis of extenuating circumstances shown by the 
recipients in the state, extend this deadline for no more than one 
additional year.
    (2) The agreement must provide for the establishment of a UCP 
meeting all the requirements of this section. The agreement must specify 
that the UCP will follow all certification procedures and standards of 
this part, on the same basis as recipients; that the UCP shall cooperate 
fully with oversight, review, and monitoring activities of DOT and its 
operating administrations; and that the UCP shall implement DOT 
directives and guidance concerning certification matters. The agreement 
shall also commit recipients to ensuring that the UCP has sufficient 
resources and expertise to carry out the requirements of this part. The 
agreement shall include an implementation schedule ensuring that the UCP 
is fully operational no later than 18 months following the approval of 
the agreement by the Secretary.
    (3) Subject to approval by the Secretary, the UCP in each state may 
take any form acceptable to the recipients in that state.
    (4) The Secretary shall review the UCP and approve it, disapprove 
it, or remand it to the recipients in the state for revisions. A 
complete agreement which is not disapproved or remanded within 180 days 
of its receipt is deemed to be accepted.
    (5) If you and the other recipients in your state fail to meet the 
deadlines set forth in this paragraph (a), you shall have the 
opportunity to make an explanation to the Secretary why a deadline could 
not be met and why meeting the deadline was beyond your control. If you 
fail to make such an explanation, or the explanation does not justify 
the failure to meet the deadline, the Secretary shall direct you to 
complete the required action by a date certain. If you and the other 
recipients fail to carry out this direction in a timely manner, you are 
collectively in noncompliance with this part.

[[Page 283]]

    (b) The UCP shall make all certification decisions on behalf of all 
DOT recipients in the state with respect to participation in the DOT DBE 
Program.
    (1) Certification decisions by the UCP shall be binding on all DOT 
recipients within the state.
    (2) The UCP shall provide ``one-stop shopping'' to applicants for 
certification, such that an applicant is required to apply only once for 
a DBE certification that will be honored by all recipients in the state.
    (3) All obligations of recipients with respect to certification and 
nondiscrimination must be carried out by UCPs, and recipients may use 
only UCPs that comply with the certification and nondiscrimination 
requirements of this part.
    (c) All certifications by UCPs shall be pre-certifications; i.e., 
certifications that have been made final before the due date for bids or 
offers on a contract on which a firm seeks to participate as a DBE.
    (d) A UCP is not required to process an application for 
certification from a firm having its principal place of business outside 
the state if the firm is not certified by the UCP in the state in which 
it maintains its principal place of business. The ``home state'' UCP 
shall share its information and documents concerning the firm with other 
UCPs that are considering the firm's application.
    (e) Subject to DOT approval as provided in this section, the 
recipients in two or more states may form a regional UCP. UCPs may also 
enter into written reciprocity agreements with other UCPs. Such an 
agreement shall outline the specific responsibilities of each 
participant. A UCP may accept the certification of any other UCP or DOT 
recipient.
    (f) Pending the establishment of UCPs meeting the requirements of 
this section, you may enter into agreements with other recipients, on a 
regional or inter-jurisdictional basis, to perform certification 
functions required by this part. You may also grant reciprocity to other 
recipient's certification decisions.
    (g) Each UCP shall maintain a unified DBE directory containing, for 
all firms certified by the UCP (including those from other states 
certified under the provisions of this section), the information 
required by Sec.  26.31. The UCP shall make the directory available to 
the public electronically, on the internet, as well as in print. The UCP 
shall update the electronic version of the directory by including 
additions, deletions, and other changes as soon as they are made.
    (h) Except as otherwise specified in this section, all provisions of 
this subpart and subpart D of this part pertaining to recipients also 
apply to UCPs.