DOT 49 CFR PART 26-2010 PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS.pdf

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1、293 Office of the Secretary of Transportation Pt. 26 25.545 Pre-employment inquiries. (a) Marital status. A recipient shall not make pre-employment inquiry as to the marital status of an applicant for employment, including whether such applicant is Miss or Mrs. (b) Sex. A recipient may make pre- emp

2、loyment inquiry as to the sex of an applicant for employment, but only if such inquiry is made equally of such applicants of both sexes and if the re-sults of such inquiry are not used in connection with discrimination prohib-ited by these Title IX regulations. 25.550 Sex as a bona fide occupa-tiona

3、l qualification. A recipient may take action other-wise prohibited by 25.500 through 25.550 provided it is shown that sex is a bona fide occupational qualification for that action, such that consideration of sex with regard to such action is essen-tial to successful operation of the em-ployment func

4、tion concerned. A recipi-ent shall not take action pursuant to this section that is based upon alleged comparative employment characteris-tics or stereotyped characterizations of one or the other sex, or upon pref-erence based on sex of the recipient, employees, students, or other persons, but nothi

5、ng contained in this section shall prevent a recipient from consid-ering an employees sex in relation to employment in a locker room or toilet facility used only by members of one sex. Subpart FProcedures 25.600 Notice of covered programs. Within 60 days of September 29, 2000, each Federal agency th

6、at awards Fed-eral financial assistance shall publish in the FEDERAL REGISTER a notice of the programs covered by these Title IX regulations. Each such Federal agency shall periodically republish the notice of covered programs to reflect changes in covered programs. Copies of this no-tice also shall

7、 be made available upon request to the Federal agencys office that enforces Title IX. 25.605 Enforcement procedures. The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (Title VI) are hereby adopted and applied to these T

8、itle IX regulations. These procedures may be found at 49 CFR part 21. 65 FR 52895, Aug. 30, 2000 PART 26PARTICIPATION BY DIS-ADVANTAGED BUSINESS ENTER-PRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS Subpart AGeneral Sec. 26.1 What are the objectives of this part? 26.3 To whom do

9、es this part apply? 26.5 What do the terms used in this part mean? 26.7 What discriminatory actions are forbid-den? 26.9 How does the Department issue guid-ance and interpretations under this part? 26.11 What records do recipients keep and report? 26.13 What assurances must recipients and contractor

10、s make? 26.15 How can recipients apply for exemp-tions or waivers? Subpart BAdministrative 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

11、.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 Wh

12、at role do business development and mentor-protege programs have in the DBE program? 26.37 What are a recipients responsibilities for monitoring the performance of other program participants? Subpart CGoals, Good Faith Efforts, and Counting 26.41 What is the role of the statutory 10 percent goal in

13、this program? 26.43 Can recipients use set-asides or quotas as part of this program? 26.45 How do recipients set overall goals? VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00303 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo

14、 reproduction or networking permitted without license from IHS-,-,-294 49 CFR Subtitle A (10110 Edition) 26.1 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 ove

15、rall goals? 26.53 What are the good faith efforts proce-dures recipients follow in situations where there are contract goals? 26.55 How is DBE participation counted to-ward goals? Subpart DCertification Standards 26.61 How are burdens of proof allocated in the certification process? 26.63 What rules

16、 govern group membership determinations? 26.65 What rules govern business size deter-minations? 26.67 What rules determine social and eco-nomic disadvantage? 26.69 What rules govern determinations of ownership? 26.71 What rules govern determinations con-cerning control? 26.73 What are other rules af

17、fecting certifi-cation? Subpart ECertification 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

18、 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 DBEs eligibility? 26.89 What is the process for certification

19、 appeals to the Department of Transpor-tation? 26.91 What actions do recipients take fol-lowing DOT certification appeal deci-sions? Subpart FCompliance and Enforcement 26.101 What compliance procedures apply to recipients? 26.103 What enforcement actions apply in FHWA and FTA programs? 26.105 What

20、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 infor-mation, confidentiality, cooperation, and intimidation or retaliation? APPENDIX A TO PART 26GUIDANCE CON-CERNING GOOD FAITH EFFORTS AP

21、PENDIX B TO PART 26UNIFORM REPORT OF DBE AWARDS OR COMMITMENTS AND PAY-MENTS FORM APPENDIX C TO PART 26DBE BUSINESS DE-VELOPMENT PROGRAM GUIDELINES APPENDIX D TO PART 26MENTOR-PROTEGEPROGRAM GUIDELINES APPENDIX E TO PART 26INDIVIDUAL DETER-MINATIONS OF SOCIAL AND ECONOMIC DIS-ADVANTAGE APPENDIX F TO

22、 PART 26UNIFORM CERTIFI-CATION 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. 105178, 112 Stat. 107, 113. SOURCE: 64 FR 5126, Feb. 2, 1999, unless oth-erwise noted. Subpart AGeneral 26.1 What are the objectives of this p

23、art? This part seeks to achieve several ob-jectives: (a) To ensure nondiscrimination in the award and administration of DOT- assisted contracts in the Departments highway, transit, and airport financial assistance programs; (b) To create a level playing field on which DBEs can compete fairly for DOT

24、-assisted contracts; (c) To ensure that the Departments DBE program is narrowly tailored in accordance with applicable law; (d) To ensure that only firms that fully meet this parts eligibility stand-ards are permitted to participate as DBEs; (e) To help remove barriers to the participation of DBEs i

25、n 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 as-sistance in establishing and providing opportunities for DBEs. 26.3 To whom does

26、 this part apply? (a) If you are a recipient of any of the following types of funds, this part ap-plies to you: (1) Federal-aid highway funds author-ized under Titles I (other than Part B) and V of the Intermodal Surface Trans-portation Efficiency Act of 1991 (ISTEA), Pub. L. 102240, 105 Stat. 1914,

27、 VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00304 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-295 Office of the Secretary of Transportation 26.5 or Titles

28、 I, III, and V of the Transpor-tation Equity Act for the 21st Century (TEA21), Pub. L. 105178, 112 Stat. 107. (2) Federal transit funds authorized by Titles I, III, V and VI of ISTEA, Pub. L. 102240 or by Federal transit laws in Title 49, U.S. Code, or Titles I, III, and V of the TEA21, Pub. L. 105

29、178. (3) Airport funds authorized by 49 U.S.C. 47101, et seq. (b) Reserved (c) If you are letting a contract, and that contract is to be performed en-tirely outside the United States, its territories and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to th

30、e contract. (d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the contract. 26.5 What do the terms used in this part mean? Affiliation has the same meaning the term has in the Small Business Admin-istration (SBA) regulations, 13 CFR

31、 part 121. (1) Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or in-directly: (i) One concern controls or has the power to control the other; or (ii) A third party or parties controls or has the power to control both; or (iii) An identity

32、 of interest between or among parties exists such that af-filiation may be found. (2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common ownership, common management, and contractual relationships. Affiliates must be considered together i

33、n deter-mining whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE program. Alaska Native means a citizen of the United States who is a person of one- fourth degree or more Alaskan Indian (including Tsimshian Indians not en-rolled in th

34、e Metlaktla Indian Commu-nity), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any cit-izen whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Nativ

35、e. Alaska Native Corporation (ANC) means any Regional Corporation, Vil-lage Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in ac-cordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). Compliance means that a

36、recipient has correctly implemented the require-ments of this part. Contract means a legally binding re-lationship obligating a seller to furnish supplies or services (including, but not limited to, construction and profes-sional services) and the buyer to pay for them. For purposes of this part, a

37、lease is considered to be a contract. Contractor means one who partici-pates, through a contract or sub-contract (at any tier), in a DOT-as-sisted highway, transit, or airport pro-gram. Department or DOT means the U.S. Department of Transportation, includ-ing the Office of the Secretary, the Federal

38、 Highway Administration (FHWA), the Federal Transit Adminis-tration (FTA), and the Federal Avia-tion Administration (FAA). Disadvantaged business enterprise or DBE means a for-profit small business concern (1) That is at least 51 percent owned by one or more individuals who are both socially and eco

39、nomically dis-advantaged or, in the case of a corpora-tion, in which 51 percent of the stock is owned by one or more such individuals; and (2) Whose management and daily business operations are controlled by one or more of the socially and eco-nomically disadvantaged individuals who own it. DOT-assi

40、sted contract means any con-tract between a recipient and a con-tractor (at any tier) funded in whole or in part with DOT financial assistance, including letters of credit or loan guar-antees, except a contract solely for the purchase of land. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 F

41、rm 00305 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-296 49 CFR Subtitle A (10110 Edition) 26.5 DOT/SBA Memorandum of Under-standing or MOU, refers to the agree-ment sign

42、ed on November 23, 1999, be-tween the Department of Transpor-tation (DOT) and the Small Business Administration (SBA) streamlining certification procedures for participa-tion in SBAs 8(a) Business Develop-ment (8(a) BD) and Small Disadvan-taged Business (SDB) programs, and DOTs Disadvantaged Busines

43、s Enter-prise (DBE) program for small and dis-advantaged businesses. Good faith efforts means efforts to achieve a DBE goal or other require-ment of this part which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement. Immedi

44、ate family member means fa-ther, mother, husband, wife, son, daughter, brother, sister, grandmother, grandfather, grandson, granddaughter, mother-in-law, or father-in-law. Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is

45、 recognized as eligi-ble for the special programs and serv-ices provided by the United States to Indians because of their status as Indi-ans, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See defi-nition of tribally-owned concern in this section

46、. Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for-profit business enterprise, for which the par-ties combine their property, capital, ef-forts, skills and knowledge, and in which the DBE is responsible for a dis-tinct, clearly defined portion o

47、f the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest. Native Hawaiian means any indi-vidual whose ancestors were natives, prior to 1778, of the area which now comprises the St

48、ate of Hawaii. Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit or-ganization chartered by the State of Hawaii, is controlled by Native Hawai-ians, and whose business activities will principally benefit su

49、ch Native Hawai-ians. Noncompliance means that a recipient has not correctly implemented the re-quirements of this part. Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA), Federal Highway Administra-tion (FHWA), and Federal Transit Ad-ministration (FTA). The Adminis-trator of an operating administration includes his or her designees. Personal net worth m