[Code of Federal Regulations] [Title 49, Volume 1] [Revised as of October 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 49CFR26.1] [Page 263-264] 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 A_General Sec. 26.1 What are the objectives of this part? Subpart A_General Sec. 26.1 What are the objectives of this part? 26.3 To whom does this part apply? 26.5 What do the terms used in this part mean? 26.7 What discriminatory actions are forbidden? 26.9 How does the Department issue guidance and interpretations under this part? 26.11 What records do recipients keep and report? 26.13 What assurances must recipients and contractors make? 26.15 How can recipients apply for exemptions or waivers? Subpart B_Administrative Requirements for DBE Programs for Federally- Assisted Contracting 26.21 Who must have a DBE program? 26.23 What is the requirement for a policy statement? 26.25 What is the requirement for a liaison officer? 26.27 What efforts must recipients make concerning DBE financial institutions? 26.29 What prompt payment mechanisms must recipients have? 26.31 What requirements pertain to the DBE directory? 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work? 26.35 What role do business development and mentor-protege programs have in the DBE program? 26.37 What are a recipient's responsibilities for monitoring the performance of other program participants? Subpart C_Goals, Good Faith Efforts, and Counting 26.41 What is the role of the statutory 10 percent goal in this program? 26.43 Can recipients use set-asides or quotas as part of this program? 26.45 How do recipients set overall goals? [[Page 264]] 26.47 Can recipients be penalized for failing to meet overall goals? 26.49 How are overall goals established for transit vehicle manufacturers? 26.51 What means do recipients use to meet overall goals? 26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals? 26.55 How is DBE participation counted toward goals? Subpart D_Certification Standards 26.61 How are burdens of proof allocated in the certification process? 26.63 What rules govern group membership determinations? 26.65 What rules govern business size determinations? 26.67 What rules determine social and economic disadvantage? 26.69 What rules govern determinations of ownership? 26.71 What rules govern determinations concerning control? 26.73 What are other rules affecting certification? Subpart E_Certification Procedures 26.81 What are the requirements for Unified Certification Programs? 26.83 What procedures do recipients follow in making certification decisions? 26.84 How do recipients process applications submitted pursuant to the DOT/SBA MOU? 26.85 How do recipients respond to requests from DBE-certified firms or the SBA made pursuant to the DOT/SBA MOU? 26.86 What rules govern recipients' denials of initial requests for certification? 26.87 What procedures does a recipient use to remove a DBE's eligibility? 26.89 What is the process for certification appeals to the Department of Transportation? 26.91 What actions do recipients take following DOT certification appeal decisions? Subpart F_Compliance and Enforcement 26.101 What compliance procedures apply to recipients? 26.103 What enforcement actions apply in FHWA and FTA programs? 26.105 What enforcement actions apply in FAA programs? 26.107 What enforcement actions apply to firms participating in the DBE program? 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation? Appendix A to Part 26--Guidance Concerning Good Faith Efforts Appendix B to Part 26--Uniform Report of DBE Awards or Commitments and Payments Form Appendix C to Part 26--DBE Business Development Program Guidelines Appendix D to Part 26--Mentor-Protege Program Guidelines Appendix E to Part 26--Individual Determinations of Social and Economic Disadvantage Appendix F to Part 26--Uniform Certification Application Form Authority: 23 U.S.C. 324; 42 U.S.C. 2000d, et seq.; 49 U.S.C 1615, 47107, 47113, 47123; Sec. 1101(b), Pub. L. 105-178, 112 Stat. 107, 113. Source: 64 FR 5126, Feb. 2, 1999, unless otherwise noted. This part seeks to achieve several objectives: (a) To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Department's highway, transit, and airport financial assistance programs; (b) To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; (c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law; (d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs; (e) To help remove barriers to the participation of DBEs in DOT- assisted contracts; (f) To assist the development of firms that can compete successfully in the marketplace outside the DBE program; and (g) To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs.