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CHECKLIST OF EPA TRANSMITTALS
TITLE Guidance for Utilization of Small, Minority, and Women's
Business Enterprises in Procurement Under Assistance Agrp^mpnt-c
When kept current, this checklist permits the user to see at a glance which transmittals have been filed.
SERIES
NUMBER
6010





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DATE
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EPA Form 131S-4 (R.v. 7-73)
                                                    PREVIOUS EDITIONS ARE OBSOLETE.

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united States               Office of Snail              6010
Environmental Protection    and Disadvantaged            5/22/86
Agency                      Business Utilization
    EPA                     GUIDANCE FOR UTILIZATION  OP SMALL, MINORITY AND

                            WOMEN'S  BUSINESS   ENTERPRISES   IN   PROCUREMENT

                            UNDER ASSISTANCE  AGREEMENTS
                                 U.S.  Environmental Protpotion Agency
                                 P- '  -m 5,  library (   -L-ij)
                                 L .'•-  :,•.  Dearborn Street, Room 1670
                                 Chicago,  IL   60604

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                                                           6010
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EPA GUIDANCE FOR UTILIZATION OF SMALL,  MINORITY AND WOMEN'S  BUSINESS
       ENTERPRISES IN PROCUREMENT UNDER ASSISTANCE  AGREEMENTS
     THE OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION

                     OFFICE  OF THE ADMINISTRATOR
                       WASHINGTON, D.C.   20460

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                                                                    /86
            EPA  GUIDANCE FOR UTILIZATION OP S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                                    NOTICE
    This guidance  was prepared by the  United States Environmental Protection
Agency  for  use  by EPA  personnel,  State  and local  government  officials  and
business  persons  interested  in  participating  in  EPA  financial assistance
programs.   The  purpose of  the guidance  is  to provide  information  regarding
the  utilization of  small,  minority  and  women-owned  business  entities  under
EPA's financial assistance programs.

    In  the  event   there  are  any  conflicts  between this  guidance  and  EPA
regulations, the regulations will govern.
PREPARED BY:
PROJECT MEMBERS;
ACKNOWLEDGEMENTS

Office of Small and Disadvantaged
  Business Utilization  (A-149C)
Office of the Administrator
U.S. Environmental Protection Agency
Washington, D.C.  20460

George K. Mori
Office of Small and Disadvantaged
  Business Utilization  (A-149C)
Office of the Administrator

J. Kent Holland, Jr., Esquire
Grants, Contracts and General
  Law Division  (LE-132G)
Office of General Counsel

Richard A^ Johnson
Grants Administration
  Division (PM-216)
Office of Administration

Tod A. Gold
Municipal Construction Division  (WH-547)
Office of Municipal Water Control

Camilla J. Lee
Hazardous Support
Response Division  (WH-548)
Office of Emergency and Remedial Response

Elaine T. Rice
Office of Small and Disadvantaged
  Business Utilization  (A-149C)
Office of the Administrator

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           EPA GUIDANCE  FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                                   Foreword

    As  the  Environmental Protection  Agency moves forward  to promote greater
use  of  small,   minority  and  women-owned   businesses   under  our  assistance
programs, it is well  to  note  that this can only be accomplished with the  full
commitment of EPA's  senior  management, program officers, Office  of Small and
Disadvantaged Business  Utilization personnel and  recipients of our  financial
assistance awards.

    This  Guidance  has  been developed  with you,  the  user  in mind.   We are
certain  that with  your  conscientious effort, a greater  use  of small, minority
and women-owned  businesses  will be possible.  We  believe that special  effort
is  needed to assure that  they are  afforded  the opportunity  to  participate
fully  in our financial  assistance programs to enable them to take  their place
in our nation's economic mainstream.

    We  believe  that  this objective can be achieved through  the implementation
of  the  EPA  regulations  and "EPA's Guidance for Utilization  of Small, Minority
and  Women's Business Enterprise  in  Procurement  Under Assistance  Agreements"
and  through  the sincere efforts of  everyone involved with  the EPA assistance
program.
                                         John™.  Ropes
                                         Director
                                         Office of  Small'and  Disadvantaged
                                            Business Utilization  (A-149C)

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            EPA  GUIDANCE  FOR  UTILIZATION  OF  S/M/WBE  IN PROCUREMENT
                         UKDER ASSISTANCE AGREEMENTS
                            CONTENTS OF CHAPTERS

CHAPTER                                                                PAGE

    1.  GENERAL INFORMATION 	   1-1

        A.  GENERAL 	   1-1
        B.  POLICY 	   1-1
        C.  BACKGROUND 	   1-2

    2.  AUTHORITY	   2-1

            1.  OMB Circular A-102, Attachment "0" 	   2-1
            2.  Executive Order 12138 	   2-1
            3.  Executive Order 11625 	   2-1
            4.  Executive Order 12432 	   2-2
            5.  40 CPR Part 33 	   2-2

    3.  DEFINITIONS 	   3-1

            1.  Delegated State 	   3-1
            2.  Fair Share 	   3-1
            3.  Minority Business Enterprise (MBE) 	   3-1
            4.  Small Business Concern 	   3-3
            5.  Labor Surplus Area 	   3-4
            6.  Labor Surplus Area Concern 	   3-4
            7.  Positive Efforts 	•	   "3-4
            8.  Women's Business Enterprise (WBE)  	   3-4

    4.  FAIR SHARE 	   4-1

        A.  FAIR SHARE POLICY 	   4-1

            1.  Wastewater Treatment Construction Grant Program 	   4-1
            2.  Superfund Program 	   4-2
            3.  Asbestos Removal Program 	   4-2
            4.  Other Programs 	   4-2

        B.  AFFIRMATIVE STEPS 	   4-2

            1.  Construction, Superfund, Asbestos and
                  Program Grants 	   4-2
            2.  Institutions of Higher Education, Hospitals and Other
                  Non-Profit Organizations 	   4-3

        C.  SUGGESTED GUIDANCE FOR CARRYING OUT THE 6 STEPS 	   4-3

            1.  Including S/M/WBEs on Solicitation Lists 	   4-3
            2.  Assuring that S/M/W Businesses are Solicited 	   4-3

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           EPA GUIDANCE FOR UTILIZATION OF S/M/WBE  IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                            CONTENTS OF CHAPTERS

CHAPTER                                                                PAGE

            3.  Dividing Total Requirements Into Small Tasks or
                Quantities To Permit Participation of S/M/W
                Businesses 	   4-4
            4.  Establishing Delivery Schedules Which Will Permit
                SBEs, MBEs and WBEs to Participate	   4-4
            5.  Using Services and Assistance of SBA and MBDA	   4-5

    5.  RESPONSIBILITIES 	   5-1

            1.  Headquarters,  Office of Small and Disadvantaged
                Business Utilization (OSDBU) 	....   5-1
            2.  Award Official 	   5-1
            3.  Assistant Administrators & Regional Administrators ..   5-2
            4.  Regional MBE/WBE Staff 	   5-2
            5.  Delegated States of EPA Financial Assistance 	   5-4
            6.  Recipients of EPA Financial Assistance 	   5-4
            7.  Institutions of Higher Education and Other Non-
                profit Organizations 	   5-5

    6.  CERTIFICATION OF SBE'S, MSB'S AND WBE'S	   6-1

            1.  Bona Fide MBE's or WBE's 	   6-1
            2.  Acceptance of Certification or Self-Certification ...   6-1
            3.  State or Local Certification Processes 	   6-1
            4.  EPA's Reason to Question Certification 	   6-1
            5.  Challenging the Status of a MBE/WBE	   6-2

    7.  REPORTING REQUIREMENTS 	   7-1

        A.  REPORTING REQUIREMENTS	   7-1

            1.  EPA Form 6005-1 	   7-1
            2.  EPA Form 6005-2 	   7-2

        B.  REPORTING ON CONTINUING ENVIRONMENTAL PROGRAMS  	   7-2

            1.  Continuing Environmental Program Grants  	   7-2

        C.  ACTUAL REPORTING 	   7-3

            1.  Explaining How the Reporting System Operates 	   7-3
            2.  Reporting on Total Subagreement Awards 	   7-4

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            EPA  GUIDANCE  FOR UTILIZATION OP S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                             CONTENTS OF  CHAPTERS

CHAPTER                                                                PAGE

        D.  OTHER REPORTING REQUIREMENTS 	   7-4

            1.  MBDA-91 Report 	   7-4

    8.  COUNTING MBB/WBB PARTICIPATION	   8-1

            1.  Calculating MBE/WBE Participation 	   8-1
            2.  Questions Calculating MBE/WBE Participation  	   8-2
            3.  MBE/WBE as a Prime Contractor 	   8-2
            4.  Use of Minority Press 	   8-2

    9.  MANAGEMENT AND TECHNICAL ASSISTANCE 	   9-1

            1~  Use of Prime Contractors for Technical Assistance  ...   9-1
            2.  Bonding 	   9-1
            3.  Cooperation Between EPA Staff and MBDCs  	   9-1

    10. BID PROTESTS 	  10-1

        A.  CHALLENGE TO MBE/WBE STATUS  	  10-1

        B.  MBE/WBE COMPLIANCE-BIDDER RESPONSIBILITY VS
            RESPONSIVENESS 	  10-1

            1.  General Rule on Responsibility vs Responsiveness  ....  10-1
            2.  Making MBE/WBE Requirements a Matter
                of Responsiveness 	  10-2
            3.  Protest Examples 	  10-2
            4.  Language Failures in Bid Packages 	  10-2
            5.  Specific Language in Bid Solicitations 	  10-3
            6.  If MBE/WBE Documentation are Matters
                of Responsiveness 	  10-4

        C.  EPA PROTEST APPEALS PUBLICATION	  10-4



            1.  Debarment and Suspension 	  11-1
            2.  Master List  	  11-1
            3.  Master List Updates 	  11-1
            4.  Debarred Bidder's List 	  11-1

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            EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                            CONTENTS OF CHAPTERS

CHAPTER                                                                PAGE

    12. CENTRAL RESOURCE DIRECTORY 	  12-1

            1.  Reasons for Establishment 	  12-1
            2.  CRD Information Requirements 	  12-1
            3.  Transmittal of CRD Entries 	  12-2
            4.  Does Not Replace Other Directories 	  12-2

    ATTACHMENT                                             ATTACHMENTS NUMBER

            EPA FORM 6005-1 	      1
            EPA FORM 6005-2 	      2
            MBDA-91 FORM 	      3
            RECOMMENDED CERTIFICATION FORMAT 	      4
            EPA/MBDA MEMORANDUM OF UNDERSTANDING 	      5
            LISTING OF MBE COORDINATORS 	      6
            DIRECTORY of MBDA REGIONAL AND DISTRICT OFFICES...      7
            MINORITY BUSINESS DEVELOPMENT CENTERS	      8*
            SURVEY OF STATES, CITIES AND COUNTIES MBE/WBE
              PROGRAMS  	      9*
            40 CFR PART 33, MARCH 28, 1983  	     10*
*   Attachments 8, 9 & 10 are available upon request.

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       EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                    UNDER ASSISTANCE AGREEMENTS

                         GENERAL INFORMATION
                              CHAPTER 1
                          TABLE OF CONTENTS
                                                                PAGE
A.  General 	   1-1
B.  Policy 	   1-1
C.  Background 	   1_1

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                                                                 6010
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                                  CHAPTER 1
                             GENERAL INFORMATION
A.  GENERAL

    The  Office of  Small and  Disadvantaged Business  utilization  (OSDBU)  is
responsible  for  establishing  policy and  providing procedural  guidance  for
the  utilization  of small,  minority  and  women-owned businesses  under  the
Agency's  financial  assistance programs.   Some of this  guidance/  however,
applies  only  to   minority  and  women's   businesses.   An  example   is  the
reporting  requirement  wherein  minority  and women's business utilization  are
reportable  items  and  small business  utilization  is not.   This particular
exclusion was  directed by  the  Office of Management and Budget  (OMB) inasmuch
as  no  Federal  statute  or  Executive  Order  has   been  established  for  the
gathering of  data for  small business, whereas Executive Orders for minority
and women's  business require the compilation  and  reporting of data relative
to these business entities.

    This  guidance  does  not constitute  a  regulation  but  rather  guides  and
assists  individuals in  their  efforts  to  understand  and  implement  the  EPA
policies published  in 40 CFR Part 33.

B.  POLICY

    It  is  EPA policy  (40  CFR  Sec.   33.240)  that recipients of EPA financial
assistance  through grants and cooperative agreements award a  fair  share  of
subagreements  to small,  minority  and women's businesses.  Since each is  a
separate  entity,   the  objective  is  to  assure that  each  of  these  three
business  entities  is  given the  opportunity  to participate in  subagreement
awards  under  EPA financial assistance  agreements.   This  policy applies  to
all  subagreements  for   supplies,  construction  and  services   under  any  EPA
grant or cooperative agreement.   The provisions of 40 CFR  Sec.  33.240  do  not
apply to  institutions  of higher  education or  non-profit organizations.   (See
40 CFR Sec. 33.815(f).

    Small  purchases as  cited  in  40  CFR Sec.  33.305  are subject to the fair
share policy  and recipients are encouraged to utilize MBEs/WBEs when  making
such purchases.

C.  BACKGROUND

    In  1978,  the  Environmental  Protection  Agency   issued  its  MBE  policy
statement  setting  forth  goals   for  minority  business  utilization  in  the
Wastewater   Treatment   Construction  Grants   Program.    This  policy   was
established  as a result of  the President's National Urban Policy Statement
of March  27f  1978.  The policy required regional offices  to establish goals
to achieve a  fair  share of procurement dollars for  minority businesses.
                                     1-1

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                                                                 6010
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    A  policy directive  was  also instituted  for  women's business  enterprise
and set a  national  goal  of two  (2%) percent  for women's  business  utilization
in  EPA's  construction grants  program.  This policy  is  no longer  in  effect
due  to  the promulgation  of  40 CFR Part  33.   However,  EPA  does  include
women's business enterprise in the  "fair share" considerations.

    On  December 17,  1982, the  President issued  a  statement regarding  his
commitment  to  the  goal  of  greater  opportunity  for economic  progress  and
independence  for  all  Americans.  At  that  time the  President announced  the
Administration's  program  to   promote  an  economic  environment   in   which
minority entrepreneurs could achieve  better  lives for  themselves,  and as  a
result contribute to  a stronger  economic base for  the country.  This  program
is based on  the following  principles:

    1.  A   healthy,   growing   economy  is   fundamental   to  creating   the
opportunity  for the formation and growth of minority-owned  businesses.

    2.  Greater  economic  independence for minority   Americans  will best  be
achieved through  increased opportunities for private  employment and business
ownership.

    3.  Creativity, private  entrepreneurship, and  individual initiative will
ultimately   determine   the  success   or  failure  of   individual   minority
businesses.

    4.  Expanded  involvement of the  private sector  is  crucial  to minority
enterprise  developmental efforts.

    The  President directed major  federal  grant-making agencies to  encourage
their  recipients  to achieve reasonable minority business participation under
-assistance  agreements.   Executive Order  12432,  issued  on   July   14,  1983,
directed the heads  of departments and agencies to  move  forward  and  implement
the directives.

    Simultaneous  with these activities,  the  Environmental Protection  Agency
(EPA)  was  revising  its  policy related  to  the   methods  for  using  small,
minority   and  women's   businesses   in   the  Agency's  federally   assisted
procurements.   On March 28, 1983,  EPA promulgated final regulations,  40  CFR
Part 33  (48 Fed.  Reg. 12922).    under  these regulations,  instead of requiring
recipients  to set  goals  for MBE  or  WBE participation,  EPA  requires  that  a
recipient  award a  "fair  share* of subagrcements   to  SBEs, MBEs and WBEs  by
following six affirmative  steps.

    The  Secretary of  Commerce acting  as Chairman  pro-tempore of  the  Cabinet
Council  on Commerce and Trade   issued  additional  instructions   for  the
implementation  of  E.O.  12432   by  directing  Federal agencies  to  establish
numeric  objectives  for  any program using Federal  funds.   These  instructions
                                     1-2

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were  in  accordance  with directives set  forth  in the Presidential Executive
Order.   EPA  moved promptly to  fully  implement  the  Executive  Order  and the
additional instructions.
                                     1-3

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       EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                    UNDER ASSISTANCE AGREEMENTS
                             AUTHORITY
                             CHAPTER 2
                         TABLE OF CONTENTS
                                                                PAGE
1.  OMB Circular A-102,  Attachment1^"  	     2-1
2.  Executive Order 12138 	'	     2-1
3.  Executive Order 11625	     2-1
4.  Executive Order 12432 	     2-1
5.  40 CFR Part 33 	     2-1

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           EPA GUIDANCE FOR UTILIZATION OF  S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                                  CHAPTER 2
                                  AUTHORITY
AUTHORITY

    EPA's authority  to  adopt  and implement guidelines for the procurement  of
construction  services  and  supplies  from small,  minority  and women-owned
businesses stems  directly from OMB Circular A-102,  Attachment "0", and  from
Executive Orders  11625, 12138 and 12432.

    1.  OMB Circular A-102,  Attachment "O" outlines standards to be  used  by
Federal agencies  in  establishing procedures for the procurement  of  supplies,
services  and  construction  with Federal  assistance  funds.   42  Fed.  Reg.
45828, 45890   (Sept.  12,   1977).   Section  (3) (c) (3)  of the  1977 version  of
Attachment  "0" provided  in  part  that "positive  efforts* shall  be made  by
grantees  to  utilize  small business  and  minority-owned business sources  of
supplies and  services.   Such efforts  should allow these sources the  maximum
feasible  opportunity  to   compete  for  contracts  to be  performed  utilizing
federal grant  funds.

        On August 15,  1979,  OMB promulgated a  revised version of Attachment
"0",  (44  Fed.  Reg.  47874),  which  reiterated the  Government's commitment  to
increase the  use of  Small and  Minority  Firms, Women's  Business Enterprise
and  Labor  Surplus  Area  Firms  in   Federally  funded  projects  and  outlined
certain  "affirmative  steps"   that   grantees  must  take  to  implement these
objectives.

    2.  Executive Order   12138  was  issued  on  May  18,   1979.   The Order
directed  all  Federal  agencies  to:    (1) facilitate,  preserve and strengthen
women's business  enterprise  and to ensure full participation  by  women  in the
free  enterprise  system;  (2)  take affirmative  action in  support of  women's
business  enterprise;  and  (3)  extend- Federal  financial  assistance  to  any
program or  activity  ... Each department or  agency empowered  to, shall  issue
regulations  requiring the recipient of such  assistance to take  appropriate
affirmative action  in support of women's  business enterprise  and to prohibit
actions or  policies which discriminate against women's business  enterprise.
Pursuant  to  Executive  Order  12138,  the  regulations  implemented  by  the
agencies  shall prescribe  sanctions  for noncompliance.  Sanctions by  EPA are
set forth in 40 CFR  Part  30.

    3.  Executive Order  11625  was  issued on October 13,  1971.   The Order
clarified the  authority of the Secretary  of Commerce  to implement policy and
to  assist minority  business enterprise.   One  of the  factors  was,  "...  to
coordinate  the  participation  of  Federal departments  and  agencies  in  an
increased  minority  enterprise  effort."   As  a  result of  this,  the Order
required  the  Secretary  of  Commerce  to,  "...  promote  the  mobilization  of
                                     2-1

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           EPA GUIDANCE FOR UTILIZATION OF S/M/WBE  IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
activities  and resources  of  State  and  local  governments,  businesses and
trade  associations,  universities,   foundations,  professional  organizations
and volunteer  groups  toward  the growth of  minority business enterprise, and
facilitate  the coordination  efforts  of these  groups with  those  of Federal
departments and agencies."

        The   Order   further   requires  that   the   Secretary,   with  the
participation  of   other  Federal  departments and  agencies,  as appropriate,
develop  comprehensive plans  and specific  program  goals;  establish regular
program,  monitoring  and  reporting  systems;  and  evaluate  the   impact  of
Federal support in  achieving the objectives  established by  this Order.

        The  Order  requires the head of each Federal department or  agency  to
furnish  information and reports  in a  manner prescribed  by the Secretary  of
Commerce.   It  further  stipulates  that within  the  constraints of law and
appropriations, Federal departments  and agencies  shall  foster  and promote
minority business  enterprise.

    4.  Executive   Order  12432  was  issued  on  July 14,  1983.   The   Order
directed  all  Federal  agencies  to:   (1)  develop  an MBE plan  on   an  annual
basis;  (2) establish  MBE objectives,-  (3)   identify methods for  encouraging
prime  contractors  and  grantees  to  utilize MBEs;   (4)   build  upon  programs
administered  by  the  Small  Business   Administration and  Minority  Business
Development    Agency;"    (5)   furnish   an   annual   report   regarding   the
accomplishments of their MBE programs; and  (6) establish programs  to deliver
management and technical  assistance to  MBEs.

    5.  40 CFR Part  33.   EPA  has  implemented its  current, small  business,
minority  business  and women-owned  business programs through  its  Procurement
Under  Assistance  Agreements  Regulation, 40 CFR Part  33.  This  regulation was
promulgated  as an  interim final rule  on May 12,  1982,   and was  subsequently
published  as a final rule on  March 28, 1983.  The  SBE/MBE/WBE provisions  in
both  the  interim-final  and  final  rule  are  the   same  with  respect to  the
affirmative steps  requirement.

        NOTE:  For  the  purposes of  this guidance,  whenever  reference is  made
to  40  CFR Part 33, it  will be to  the final rule  as published on  March 28,
1983.
                                     2-2

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       EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                     UNDER ASSISTANCE  AGREEMENTS
                             DEFINITIONS
                              CHAPTER  3
                          TABLE  OP  CONTENTS
                                                                 PAGE
1.  Delegated State 	     3-1
2.  Pair Share 	     3-1
3.  Minor ity Business Enterpr ise (MBE)	     3-1
4.  Small Business Concern 	     3-3
5.  Labor Surplus Area (LSA)  	     3-4
6.  Labor Surplus Area Concern 	     3-4
7.  positive Efforts 	     3-4
8.  Women's Business Enterprise (WBE)  	     3-4

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           EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
                                  CHAPTER 3

                                 DEFINITIONS

    The  following  definitions are provided  for  your use when utilizing  this
guidance.

    1.   Delegated  State.   EPA's policy  is  to  delegate managenent  of  the
wastewater  treatment  works  construction grants program to the maxima extent
possible   consistent   with   the  objectives  of  the  Act,  prudent   fiscal
management  and EPA's  overall national responsibility  for  the program.   The
policy  is  premised  on  an  on-going  partnership between EPA and the State*
that  includes  consultation with  the  States  in  formulation of  policy  and
guidance  by EPA.   EPA  expects  States to  undertake full  delegation of  all
project  level  activities.    Program  delegation  is accomplished  through  a
formal  delegation  agreement  between  the  Regional  Administrator  and  the
State.   The delegation agreement will list the functions delegated and  to be
delegated,  with  a schedule  for  their assumption  by  the  State.   For  the
purpose of  this guidance, whenever  reference is made to a delegated State it
will mean that the MBE/WBE  functions  have been delegated.

    2>  Fair Share.   Fair Share  is  a reasonable amount of funds commensurate
with the  total  project  funding, demographic  factors and the availability of
minority  and  women's  businesses.    A fair  share  does  not constitute  an
absolute  goal,  but a  commitment on the part of  the recipient to attempt to
use  minority and  women's  businesses  by  carrying  out the  six affirmative
steps  in  33.240.   The  recipient  must document  the actions taken to comply
with  the affirmative  steps.   If a  State  or  local  government has  a  law,
ordinance,  or  executive order which  establishes a  goal  for minority and/or
women's  businesses,   the recipient  may use  that goal  as  the  "fair  share*
objective for the project.

    3.  Minority Business Enterprise  (MBE) is a business concern which is:

        a.  Certified  as  socially  and  economically  disadvantaged   by   the
Small Business Administration;

            (1) Socially disadvantaged individuals  means  such persons which
are  socially  disadvantaged  because  of their  identification as  members  of
certain groups that have suffered the effects of discriminatory practices or
similar invidious circumstances.

            (2) Economically   disadvantaged   individuals    means   socially
disadvantaged  individuals  whose  ability  to  compete in  the free enterprise
system  is  impaired due to  diminished opportunities  to obtain  capital  and
credit  as  compared  to  others   in  the same line  of  business  who  are  not
socially  disadvantaged.  Individuals  who certify  that they are  members  of
named  groups   (Black  Americans,  Hispanic  Americans,   Native  Americans,
                                     3-1

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Asian-Pacific  Americans,  Asian-Indian  Americans),  are  to  be  considered
socially and economically disadvantaged.

        b.  Certified  as  a  minority  business  enterprise  by  a  State or
Federal agency; or

        c.  An  independent business  concern  which  is  at  Least 51  percent
owned and controlled by minority group member(s).

             (1) A minority group member  is an individual who is  a citizen of
the united States and one of the following:

                (a) Black American;

                (b) Hispanic   American   (with  origins   from  Puerto   Rico,
                    Mexico, Cuba, South or Central  America);

                (c) Native American  (American  Indian,  Eskimo,  Aleut,  native
                    Hawaiian); or

                (d) Asian-Pacific  American  (with origins  from Japan,  China,
                    the  Phillipines,  Vietnam,  Korea, Samoa, Guam,  the  U.S.
                    Trust  Territories  of  the  Pacific,  Northern  Marianas,
                    Laos, Cambodia, Taiwan or  the Indian subcontinent).

        (2)  In  order  to satisfy this third criteria of the MBE  definition,
the minority ownership's interest must  be real,  substantial and  continuing.
Such interest is characterized by:

             (a) Risk   of  loss/share  of   profit    commensurate  with   the
proportional ownership; and

             (b) Receipt  of the  customary  incidents of ownership,  such as
salary and/or intangible benefits.

        (3) A minority  owner  must have and  exercise control of  the business
decisions.  Characteristics of control include, but are  not  limited  to:

             (a) Authority to sign bids and contracts;

             (b) Decisions in price negotiations;

             (c) Incurring liabilities for  the  firm;

             (d) Final staffing decisions;

             (e) Policy-making; and

             (f) General company management decisions.
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        d.  Only  those  firms performing a useful business  function  according
to  custom  and practice  in  the  industry,  are  qualified as  MBEs.   Acting
merely as  a passive conduit of  funds  to some other firm where  such activity
is  unnecessary  to accomplish   the  project  does  not  constitute  a  "useful
business  function according  to  custom  and  practice in  the  industry".   The
purpose of  this approach is to  discourage  the use of MBE  "fronts"  and limit
the creation of an artificial supplier and broker marketplace.

    4.  Small  Business  Concern.   Means  a concern,  including its  affiliates,
that  is   independently  owned  and  operated,   not  dominant  in   the  field  of
operation in which  it is  bidding on Government contracts,  and qualified as a
small business under the criteria and size standards set forth in  13 CPR 121.

        a.  Concern.  Means any business entity  located  inside  the  United
States that is organized  for profit  (even  if  it  is owned  by a non-profit
entity),  pays  U.  S. taxes,  and/or  uses  American products, materials,  and/or
labor, etc.  A "concern"  may be  an individual, a partnership, a corporation,
a joint venture, an association, or a cooperative.

        b.  Not  dominant  in  the field  of  operation means not  exercising  a
controlling  or  major   influence in  an  industry.   A  controlling  or  major
influence  can  be  derived  from  factors  such  as business  volume,  number  of
employees,  financial resources, competitiveness,  ownership  or  control  of
materials,   processes,    patent   license   agreements,    facilities,   sales
territory, and nature of business activity.

        c-  Affiliates.    Business  concerns are  affiliates of each  other,  if
directly or indirectly:

             (1) Either  one  controls or has the power to control  the  other;  or
             (2) Another concern  controls  or has  the power  to control both.

            In  determining  whether  affiliation   exists,  consideration  is
given  to   all  appropriate   factors   including  common   ownership,   common
management  and contractual  relationships;  provided  that   restraints  imposed
by  a  franchise agreement  are  not considered   in determining  whether  the
franchisor  controls or has  the  power  to  control  the   franchisee,   if  the
franchisee  has  the right  to profit   from  its  efforts,   commensurate  with
ownership,  and bears the risk of loss  or failure.  Any business entity may
be an affiliate,  whether  or not  it is organized  for profit or located  inside
the United States.

        d.  Annual  r ece ipts.  Means  the  gross  income    (less   returns  and
allowances,  sales of  fixed  assets,  and  interaffiliate   transactions) of  a
concern (and its  domestic and  foreign  affiliates)  from sales of products and
services,   interest, rents,  fees,  commissions,   and/or  from  whatever  other
source derived for  its most  recently  completed  fiscal  year  (whether  on  a
cash,  accrual,  completed  contracts,   percentage  of  completion,  or   other
                                     3-3

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acceptable accounting  basis).   If  a concern has been in business  less  than a
year,  its  annual receipts  for  the purpose of a  size standard will be  based
on 1  year's receipts  and shall be  computed by dividing  its average weekly
figure  by  52.   If  a  concern  has  been  in  business  less  than  3  years,  its
average annual receipts  for  the  purpose  of a size standard based  on 3 years'
receipts shall  be computed  by determining  its  average weekly receipts  for
the period  in which  it has  been  in business,  and multiplying such figure  by
52.   If a  concern  acquired an affiliate  during the  applicable accounting
period,  the  affiliate's receipts  for  the period  during  which  it  was  an
affiliate  must   be  added  to the  applicant's receipts.   The  receipts  of  a
former  affiliate  are  not   included  even   if  such  a  concern  had  been  an
affiliate during a portion of the applicable accounting period.

    5.  Labor  Surplus Area.   Means a  civil jurisdiction  determined by  the
Bureau  of  Labor  Statistics   (Department   of  Labor)  to   have  an   average
unemployment  rate  of  120 percent of  the  national average  or 10 percent  or
higher, except that  no area will qualify if the average unemployment  rate  is
less than 6 percent.

    6.  Labor Surplus  Area  Concern.  Means  a concern that together with  its
first-tier  subcontractors  will  perform  work  substantially   (at  least  50
percent  of the  costs  for   manufacturing  production or  services)  in  labor
surplus areas.

    7.  Positive Efforts are documentable  attempts  to use  small businesses
and minority businesses.

    8.  Women's  Business Enterprise  (WBE)  is a  business  which is certified
as  such  by  a  State  or  Federal  agency,  or   which  meets  the following
definition:

        "A  women's  business  enterprise is  an independent   business  concern
which  is at  least  51 percent owned by a woman or  women, who  also  control  and
operate  it.   Determination  of  whether  a  business  is at  least  51  percent
owned  by  a woman or  otherwise  qualified WBE which  is  51  percent owned by a
married woman in a  community property State will  not be disqualified because
her  husband  has a  50 percent  interest  in  her  share.  Similarly, a  business
which  is  51  percent  owned by  a  married  man  and  49 percent  owned  by  an
unmarried  woman  will  not become a qualified WBE  by virtue  of  his wife's  50
percent interest in  his  share of the  business*.

        As  in  the  case of an MBE,  only  United States citizens will  be deemed
to be  WBEs.   Similar to  the MBE criteria,  WBE should meet the criteria cited
in subparagraphs 3.c. (2)  and (3)  and  3.d.
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                             FAIR SHARE
                              CHAPTER 4
                          TABLE OP CONTENTS
                                                                 PAGE
A.  Fair Share Policy 	   4-1

    1.  Wastewater Treatment Construction Grant Program	   4-1
    2.  Superfund Program 	   4-2
    3.  Asbestos Removal Program	   4-2
    4.  Other Programs	   4-2

B.  Affirmative Steps	'...   4-2

    1.  Construction, Superfund, Asbestos and Program Grants...   4-2
    2.  Institutions of Higher Education, Hospitals and Other
        Non-Profit Organizations 	  4-3

C.  Suggested Guidance For Carrying Out The Six (6) Steps	  4-3

    1.  Including S/M/WBEs on Solicitation Lists	  4-3
    2.  Assuring That S/M/WBEs are Solicited	  4-3
    3.  Dividing Total Requirements Into Small Tasks or
        Quantities To Permit Participation of S/M/WBEs 	  4-4
    4.  Establishing Delivery Schedules Which Will Permit
        S/M/WBEs to Participate 	  4-4
    5.  Using Services and Assistance of SBA and MBDA	  4-5

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                          UNDER ASSISTANCE  AGREEMENTS
                                  CHAPTER 4

                                  FAIR SHARE
A.  FAIR SHARE  POLICY

    It  is  EPA's policy  that recipients award  a fair share  of subagreements
to  small,  minority  and  women's  businesses.   The policy  requires  that  fair
share  objectives   for   minority   and   women-owned   business   enterprises  be
negotiated  with the States  and/or recipients,  but  does not require  fair
share   objectives    be   established  for   small   businesses.   Fiscal   year
objectives  are  set  based  upon   the   negotiations  which  have  taken  place
between  the Regions and either the delegated  State or the  recipient as the
case may warrant.

    The  Regional  MBE/WBE  Staff   function  must  report the  negotiated  fair
share   for   delegated   States  and  major  program  grants   and   cooperative
agreements  to  Headquarters,  Office  of  Small  and  Disadvantaged  Business
Utilization   (OSDBD).    Headquarters,  OSDBU  will  use  these  objectives  to
assist  in  the establishment  of  the National Objective.   The  National
Objective  is  comprised  of the Regional  and National  inputs which  are  used
for  EPA  purposes   only  and are  not  imposed  on  individual  recipients  or
projects.

Fair share applies  to EPA programs as follows:

    1«  Wastewater   Treatment  Construction  Grants  Program;   The  Regional
Administrator   or   designee  will  negotiate  an  overall  fair   share   with
delegated   States,    (i.e.,    States   delegated   by  EPA    with  MBE/WBE
responsibilities).   A State's  fair  share should  be  based   upon the  State
project  priority list,  cumulative grant awards  and/or  projected  awards for
the current fiscal  year,  or other  State or recipient  established  goals  or
standards.   A  fair  share  objective   is  not  required  on  each   particular
grant.   The  delegated  State  may  allocate  its  fair  share  to   particular
construction  projects  as  it sees  fit.    The  delegated  State and  not  EPA
determines  the  amount of  the fair  share for each  project,  if an objective
has not been  established for a specific  grant  project, the  recipient should
establish an objective which it considers reasonable and achievable  based on
a  number  of  factors such  as  the  availability of  minority  and  women-owned
businesses  in  the  geographic  area  where  the  project is  being built.   The
absence of a  fair  share  objective on a  particular grant does not  relieve the
recipient or  the prime  contractor from the  requirement  that  they carry out
the affirmative steps cited  in  40  CFR Sec.  33.240.

        For Wastewater   Treatment  Construction  Grants  which  are  awarded  in
States  not  having  been  delegated  the  procurement activity,  a  fair   share
negotiation  shall   take  place  between the  Regional  Administrator  or  his
designee and each recipient.
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        The fair share  is  to be used as an administrative guide.   Failure  by
a prospective contractor to  meet an objective does not necessarily reflect a
lack  of  positive  efforts  or  affirmative steps.   The  contractor  must  be
prepared, however, to provide documentation of  the  positive efforts made  if
a subcontract is awarded.

    2.  Superfund  Program.   The  fair  share objective  on Superfund  projects
operates  in much  the  same  way as  it  does on  other  forms  of financial
assistance.  However,  the  recipient must  either agree to  a specific dollar
amount  as  a  fair  share  objective  and  incorporate  that  amount  into the
cooperative  agreement or  must  negotiate  a  fair  share  objective  with EPA
prior to procurement of supplies or services.

    3.  Asbestos Removal Program.  The  fair  share objective on the  Asbestos
Removal projects operates  in  the same  manner  as other programs, however, the
fair share  should  be  negotiated and made a part of the grant or loan package
prior to the award.

    4.  Other EPA  Programs.   For other  EPA financial  assistance programs,
the  Assistant  Administrator,  Regional Administrator  or  a  designated EPA
official  as appropriate,  will conduct  fair  share  negotiations directly  with
the award recipients.

B.  AFFIRMATIVE STEPS

    !•  Construction  Grants,  Superfund,  Asbestos,   and  Program  Grants.
Pursuant  to Sec.  33.240,  the affirmative  steps  to  be followed by  recipients
are:

        a.  Including  qualified  small,  minority,  and  women's  businesses  on
solicitation lists;

        b.  Assuring  that   small,   minority,  and  women's  businesses  are
solicited whenever they are potential sources;

        c.  Dividing  total  requirements,  when  economically  feasible,   into
small   tasks  or   quantities   to  permit  maximum  participation  of small,
minority, and women's businesses;

        d.  Establishing delivery schedules,  where  the  requirements of the
work  permit,  which   will  encourage  participation by  small,  minority, and
women's businesses;

        e.  Using  the   services  and   assistance   of  the  Small   Business
Administration   and   the   Minority   Business  Development   Agency,   U.  S.
Department  of Commerce, as appropriate;  and
                                     4-2

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         f.   If   the  prime  contractor  awards  subagreements,  requiring  the
contractor  to  take  the affirmative  steps  in  paragraphs  l.a through  l.e  of
this  section.

    2.   Institutions  of  Higher Education,  Hospitals,  and Other  Non-profit
Organizations.   These  entities are required  to make positive efforts  to  use
small and minority businesses  as  sources  of supplies and  services.   (See  40
CFR  Sec. 33.815 (f) (1)).  They  are not required  to meet the  six  affirmative
steps   in   Sec.   33.240(a)(l)   through    (6),    however,   because   40 CFR
Sec.  33.815 (f)   limits   these    recipients    to   .the   "positiye   efforts"
requirements of OMB Circular  A-110.

C.  SUGGESTED GUIDANCE  FOR CARRYING OUT THE  SIX AFFIRMATIVE STEPS

    EPA  offers  the   following   suggestions  to  assist   State   and   local
government  recipients  and contractors in  carrying out the  affirmative  steps
of  40 CFR Sec.   33.240.   EPA  or delegated States  should  encourage recipients
to  adopt these  suggestions and use  them  to evaluate  recipient's  affirmative
actions.   These  suggestions  may  also  be  used  by  institutions  of  higher
education,   hospitals,  and  non-profit  organizations  in  carrying  out  the
"positive efforts" standard.  The  suggestions are  as follows:

    1.   Including  qualified  small, minority and women's  business  enterprises
on solicitation lists.

         a.   Do   you,   the  recipient,  maintain  and  update  a   listing   of
qualified  SBEs,   MBEs,   and   WBEs  that   can  be   solicited  for   supplies,
construction and/or services?

         b.   Is  this  listing  appropriately provided  to all  interested parties
who  requested  to  be  placed  on   your  bidder's  mailing  lists  or  requested
copies  of the bidding or proposing documents?

        c.   Do  you contact appropriate  sources within  your geographic area
and State to identify  qualified MBEs and  WBEs  for  placement on your  minority
and women's  business listings?

        d.   Are any other  MBE/WBE  listings  utilized  such as  the  State's
minority  business  office,   the  Small  Business   Administration,   Minority
Business  Development  Agency,  u.  S.  Environmental  Protection Agency,  Office
of  Small and Disadvantaged  Business  Utilization  (OSDBU),  or the  Department
of Transportation?

    2.  Assuring that small, minority and women's businesses are solicited.

        a.   Do  you  conduct  meetings,  conferences,  and follow-ups  with  SBEs,
MBEs  and  WBEs,   small,   minority  and/or  women's  business  associations,
minority  media, etc.,   to  inform  these  groups  of  opportunities  to provide
supplies, services, and construction?
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        b.  Do  you   conduct  pre-bid,  pre-solicitation,   and  post  award
conferences  to  ensure  that consultants,  suppliers,  and  builders solicit
SBEs, MBEs and WBEs?

        c.  Do  you  provide  bidders  and offerers with  listings of  qualified
SBEs, MBEs and  WBEs  and establish that  a  fair share of subagreements should
be awarded?

        d.  Do  you  advertise  in  general  circulation,  trade  publications,
State  agency  publications  of   identified HBEs/WBEs,   minority  or women's
business  focused  media  etc.,  concerning  contracting opportunities on your
projects?  Do  you maintain  a  list of minority or  women's business-focused
publications that may be utilized to solicit MBEs or WBEs?

        e.  Do  you  provide  interested  SBEs,  MBEs  or  WBEs  with  adequate
information  about plans,  specifications,  timing  and other  requirements of
the proposed projects?

        f.  Do  you  provide  SBE,  MBE  and  WBE  trade  organizations  with
succinct summaries of solicitations?

        g.  Do  you  consider  notifying  SBEs,  MBEs,  and  WBEs  of  future
procurement  opportunities  so that  they may  establish  bidding solicitations
and procurement plans?

    3.  Dividing  total  requirements,  when economically feasible,  into small
tasks or  quantities  to permit maximum participation of  small,  minority and
women's businesses.

        a.  is  an analysis performed  to  identify portions  of  work  that can
be divided and performed by qualified SBEs, MBEs and WBEs?

        b.  Are  the  elements  of  the  total  project scrutinized  to develop
economically  feasible  units of  work  that are  within  the  bonding  range of
SBEs, MBEs, or WBEs?

        c.  Are bid  packages analyzed  to afford  SBEs,  MBEs and WBEs maximum
participation?

    4.  Establishing  delivery  schedules,  where  requirements  of  the work
permit,  which  will  encourage  participation  by small,  minority  and women's
businesses.

        a.  Do  you  consider lead  times  and scheduling  requirements often
needed by SBE, MBE or WBE participation?

        b.  Do  you develop  realistic  delivery  schedules which  may provide
for greater SBE, MBE or WBE participation?
                                     4-4

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    5.  Using   the   services   and   assistance   of   the   Small   Business
Administration  and the  Minority Business  Development Agency  of the  U. S.
Department of Commerce, as appropriate.

        a.  Do  you use  the  services of  outreach  programs  sponsored  by the
Minority   Business    Development    Agency   and/or   the   Small   Business
Administration  to  recruit bona  fide firms  for  placement on  SBEs,  MBEs, or
WBEs  bidders  lists  and  to  assist  these  firms  in  the  development  of bid
packaging?

        b.  Do you seek  out  Minority Business Development Centers (MBDCs) to
assist  you  in  identifying  MBEs  for  potential  work  opportunities on your
projects?  A memorandum  of understanding  (Attachment 5)  between EPA and MBDA
to assist in providing management and technical assistance?
                                    4-5

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                     UNDER ASSISTANCE  AGREEMENTS
                          RESPONSIBILITIES
                              CHAPTER 5
                          TABLE OF CONTENTS
                                                                 PAGE
1.  Headquarters,  Office of Small and Disadvantaged
    Business Utilization ....	     5-1
2.  Award Official	     5-1
3.  Assistant Administrators and Regional Administrators	     5-2
4.  Regional MBE/WBE Staff	     5-2
5.  Delegated States of EPA Financial Assistance	     5-4
6.  Recipients of  EPA Financial Assistance	     5-4
7.  Institutions of Higher  Education and Other Non-Profit
    Organizations  	     5-5

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                                  CHAPTER 5
                               RESPONSIBILITIES
ROLES  AND  RESPONSIBILITIES

     1.  Headquarters,  Office  of  Small  and  Disadvantaged Business  utiliza-
tion,  (OSDBU);   The Director,  OSDBU has  the  principal responsibility  for
developing and  promulgating  the  Agency's  policies  to  assure  reasonable
participation by   small,   minority   and  women's  businesses  in  performing
activities under EPA's  financial  assistance agreements.  OSDBU  will  perform
the  following:

        a. Prepare an  annual  plan   in  consultation  with  the  program  and
Regional   Offices   for  submission  to  the  Administrator  for  approval  and
signature. The  plan will encompass the projections for  minority and  women's
business  utilization in  activities  assisted by EPA  grants and  cooperative
agreements;

        b.  Provide guidance and  training  to  EPA  Headquarters  and Regional
staff,  and   to  State   personnel  performing  activities   under   delegated
agreements with  EPA;

        c.  Develop,  and  provide  guidelines suggesting  ways and  means  of
promoting  fair  share activities and  provide  training  in their use  to Agency
program  and  Regional  officials  as  well  as  State   and  local  government
officials;

        d.  Maintain   records   of   MBE/WBE  participation   and   prepare   a
quarterly  report  (MBDA  Form 91)  which  will be  a  composite  of  all  reports
from the   Headquarters  elements as well  as  the  Regions.  The MBDA  Form  91
will be prepared for the Deputy Administrator's signature and transmitted  to
the  Director, Minority   Business  Development  Agency,  U.  S.  Department  of
Commerce,   and the Regions;

        e.  Review   Regional  guidance,   SBE/MBE/WBE  guidance   to   insure
consistency with Agency policies and  guidance;

        f.  Establish and maintain a  working relationship with  the Minority
Business Development Agency  (MBDA);

        g.  Maintain  SBE/MBE/WBE  source   lists  from  data  supplied  by  the
firms requesting placement in the Agency's Central  Resource Directory.

    2.  Award Official.   The appropriate  EPA Award Official is  responsible
for  seeing   that   project   officers, other  staff,   delegated  States  and
recipients  comply   with  EPA's   policy   of   awarding  a   fair  share   of
subagreements  to  small,  minority and  women's  business  enterprises,  when
applicable.

                                     5-1

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    3.  Assistant Administrators and Regional Administrators.

        a.  In  the  Wastewater  Treatment  Construction  Grants  Program,  the
Regional Administrator or designee will  negotiate  an overall fair share with
each delegated State.

        b.  For  other  EPA  financial  assistance  programs,  the  Assistant
Administrator, Regional  Administrator or  other  designated  EPA  official,  as
appropriate,  will   conduct   fair  share   negotiations   directly  with  the
recipients.

    4.  Regional MBE/WBE  Staff.  The  Regional MBE/WBE  staff is responsible
for  all  functional  activities  relating   to small,  minority   and  women's
business  enterprises within  the  respective  Region.   In  this  capacity,  the
Regional MBE/WBE  staff is responsible to  the Deputy  Regional  Administrator
or  his/her  designated Regional official to  assure  that  all  facets  of this
program are properly  carried  out.   The MBE/WBE  Staff  Coordinator  will  be
responsible for the  following activities:

        a.  Implement  policy  for  ensuring  participation  of small,  minority
and women's business enterprises in EPA's financial assistance programs;

        b.  Implement  procedures  for  ensuring the  effective execution of the
Agency's  regulations  and policy  guidance  governing  small,   minority  and
women's  business  enterprises  in  the  grants  and  cooperative  agreements
programs;

        c.  Provide  technical  oversight,  guidance and  assistance  to Agency
personnel,  State  and  local  officials,  and small,  minority   and  women's
business entrepreneurs on an as required basis;

        d.  Ensure  that  Regional  personnel responsible  for  the awarding of
grants  and  cooperative agreements  receive  adequate  training and information
on utilization of small, minority and  women's business enterprises;

        e.  Maintain  adequate  records and monitor  the preparation of reports
concerning  small,   minority   and  women's  business  participation  in  the
Region's grants and  cooperative agreements  programs;

        f.  Review  and report  accomplishments  of  Region's activities with
respect  to  minority  and  women's  business  enterprise.  If  shortfalls are
encountered,  the MBE/WBE  Coordinator  is responsible for promoting actions  to
improve  the  situation for future procurements.  In  the case  of delegated
States, coordination will be made with the  cognizant party in the State  by
the  MBE/WBE Coordinator  to  establish  what actions can be  taken to promote
greater utilization  of minority and women's businesses.

        g.  Establish,   maintain   and  disseminate   information  to   small,
minority  and  women's business entrepreneurs on opportunities  available under


                                     5-2

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                         UNDER ASSISTANCE AGREEMENTS
the  Agency's  grants  and  cooperative  agreements  programs.   Inform  these
business entities of  sources  or contacts  for  subagreement considerations;

        h.  Participate   and   cooperate  with  Federal   programs   and  other
.programs  designed  to  provide  financial,  technical,  management  and  other
forms  of technical  support  and  assistance  to  small,  minority and  women's
business  entrepreneurs  interested  in  opportunities which  are available  in
the Region's grants and  cooperative agreements programs;

        i.  Serve  as  the  principal  focal  point  between  the  Region  and
Headquarters,  OSDBU  on  matters  pertaining  to  small,  minority and  women's
business enterprise programs;

        j.  Coordinate   activities,   reports,   reviews,   etc.,  with  other
Regional personnel  who  have  been designated  as MBE/WBE liaisons  for  their
respective grants and/or cooperative agreements programs;

        k.  Serve  as   principal  individual  for   the  Region  on   matters
pertaining  to  small, minority and women's business enterprise when  dealing
with  sister  agencies  involved  in  the  same  areas  of  work,  i.e.,  Small
Business Administration   (SBA),  Minority  Business  Development Agency  (MBDA)
or any of its  funded  activities,  e.g.,  Minority Business Development  Centers
(MBDCs),  State  and   local  assistance  grantees,  etc.,   when  such   functions
relate to EPA funded programs;

        1.  Serve as  MBE/WBE Training official when providing such to  State
and  local  officials,  prime contractors  or small,  minority and women-owned
business entrepreneurs;

        m.  Maintain  lists  of MBEs  and WBEs  that   have  participated  in EPA
funded projects  and  seek out and identify  additional firms for inclusion  on
EPA listings,  such  as  the  Central Resource  Directory,   Regional SBE/MBE/WBE
listings or for placement on MBDA's Profile System;

        n.   Work  in  cooperation with the MBDA,  MBDCs,  the Minority Business
Opportunity Committees  (MBOCs) or other  State or  local  activities involved
in similar efforts;  and,

        o.   Provide assistance  to Headquarters,  OSDBU  in the preparation  of
the annual  work  plan  as required by  MBDA.   Reports on  the  Regional  "Fair
Share" objective  which  is  established  at the  beginning of each fiscal  year.
Develops other  data,  as  required,  to  meet the  requirements  which MBDA may
request.

        p.   For   those   States   that   have   not    been   delegated   MBE/WBE
responsibilities,  the Regional  Offices  are   responsible for  ensuring that
grantees comply  with  40  CFR Part 33.211  and  33.240.  In these non-delegated
States, Regional  Offices will negotiate  the  amount  of  contract awards that
will be made to MBEs and WBEs with each  recipient   prior to submitting  their
fair share projections to Headquarters.

                                     5-3

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                         UNDER ASSISTANCE AGREEMENTS
    5.  States  Delegated  the Responsibility  to Review Recipient  Procurement
Procedures  of EPA  Financial Assistance.   Delegated  States  are  responsible
for assuring that the fair share principle  is carried  out.

        a.  In  order to  ensure that the  delegated  States  perform  all  of
their  MBE/WBE  responsibilities,  the  EPA  Regional Offices  should consider
specifically   incorporating  the   responsibilities   into   the   delegation
agreements.

        b.  Delegated States will  negotiate  an overall  fair  share with  the
Regional  Administrator  or designee.   A State's  fair  share  should be  based
upon  the  State  project  priority  list,   cummulative  grant  awards   and/or
projected  awards  for the  current  fiscal  year, or other State or  recipient
established  goals  or standards.  A  fair share objective is not  required  on
each particular grant.   The delegated  State  may  allocate  its fair share  to
particular  construction projects as  it sees  fit.  The  delegated State  and
not EPA determines the amount of the fair share for each  project.

    6.  Recipients of EPA  Financial  Assistance.  Recipients of EPA financial
assistance  are  responsible  for  assuring  that  the  fair  share  principle  is
carried out.

        a.  Recipients  must comply  with  the  small,  minority,  and women's
business enterprise requirements in Sec. 33.240.

        b.  The  recipient   is   responsible  for   ensuring  that   the   prime
contractor(s) awarding  subagreements  carries  out  the affirmative steps  as
required by the regulation.

        c.  Recipients  must encourage  the solicitation  of SBEs,  MBEs  and
WBEs  whenever  they  are  potential  sources.   Examples  of  activities used  by
some recipients include the  following:

             (1) Holding  pre-bid  conferences,  with  interested SBEs, MBEs  and
WBEs  in attendance  when possible,  to  highlight and explain the  requirements
of the SBE, MBE and WBE policies and  procedures to prospective  bidders;

             (2) Including  MBE and WBE  policies  and  procedures  and project
objectives  in requests  for proposals  (RFP)  and  invitations  for  bids (IFB);

             (3) Publishing  announcement(s)  of  MBE and WBE opportunities  for
work on EPA funded projects;

             (4) Providing  prospective  bidders/offerors  with  MBE/WBE  source
list(s); and,

             (5) Providing   liaison  services   between  MBEs  and   WBEs  and
prospective bidders/offerors.   Liaison  services  should  not  be delegated  to
consultants where a  potential or possible  conflict of  interest  exists.
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        d.  After  bid  opening or receipt  of proposal(s), the recipient  must
evaluate bids  to determine  whether  they are responsive to all material  terms
of the bid solicitation.

        e.  Recipients  must  retain  all  records  documenting  the  positive
efforts  employed  by  the  recipient or  its prime  contractor (s)  to  award  a
reasonable share of its subcontracts to MBEs and WBEs.

        f.  Submit quarterly  an  EPA  Form   6005-1  (see  attachment   fl)
detailing  MEE/WBE  utilization  during  the subagreement  award  phases of  the
grant or cooperative agreement;

    7.  Institutions of  Higher Education  and  Other Nonprofit Organizations.
In  accordance  with   40   CFR  Section  33.815(f),  institutions  of  higher
education, hospitals,  and other  non-profit organizations must  implement  the
"positive effort requirement" of OMB Circular A-110.  This circular provides:

        "Positive  efforts  shall be   made by  recipients  to  utilize  small
business  and  minority-owned  business  as  sources  of supplies  and services.
Such  efforts  should  allow these sources the  maximum feasible opportunity  to
compete for contracts utilizing Federal funds."

        a.  These  institutions  are not   required  to  report on  their  fair
share obligations.  They are  required to  negotiate a fair  share objective
for their grant or cooperative agreements.

        b.  The  fair  share  objective  under   these conditions  becomes  an
administrative action  to  encourage  the use of minority and women's business
enterprise in  subagreement awards  subsequently  issued  by such  institutions.
The fair  share objective applies to  both   the Federal  and non-Federal share
of procurement dollars associated with the  grant or cooperative  agreement.
                                     5-5

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   EPA GUIDANCE FOR UTILIZATION OF S/M/WBB IN PROCUREMENT
                UNDER ASSISTANCE AGREEMENTS
          CERTIFICATION OF  SBB'S, MBE'S AND WBE'S
                         CHAPTER 6
                     TABLE  OF CONTENTS
                                                             PAGE
1.  Bona Fide MBE's and WBE's  	      6-1
2.  Acceptance of Certification or Self-Certification  ..      6-1
3.  State or Local Certification Processes   	      6-1
4.  EPA's Reason to Question Certification   	      6-1
5.  Challenging the Status  of an MBE/WBE	      6-2

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                         UNDER ASSISTANCE AGREEMENTS
                                  CHAPTER 6

                   CERTIFICATION OF SBE'S, MSB'S AND WBE'S


CERTIFICATION OF MSB'S  AND  WEE'S.

     1.   In  order to  be deemed a bona  fide MBE or  WBE,  a  firm  must satisfy
appropriate definitions of  Sec.  33.005.  That  is,  it must be:

         a.  certified by the  Small Business Administration,  or

         b.  certified by a  State or Federal  agency, or

         c.  be  an  independent business concern which  is at least  51 percent
owned and  controlled by minority group  member(s)  for MBE(s)  or  women WBE(s)
who  are  citizens  of  the  United  States.    (The  criteria  concerning  U.S.
citizenship applies  to  subparagraphs b.  and  c. above.)

     2.   Because  the  EPA regulation  at  40 CFR Sec. 33.005 defines MBE and WBE
as  firms certified  as  MBEs/WBEs  by  a State or  Federal  agency, EPA  will
accept  as bona  fide any MBE/WBE which is certified  by SBA or a  State  or
Federal  agency   (EPA  does not certify  firms)  and  will not  generally require
such  MBEs/WBEs  to  submit  answers  to  lengthy  questionnaires  or  provide
detailed  corporate  information.  However, where EPA has reasonable  cause  to
believe  that a  firm doing business is not a legitimate SBE, MBE, or WBE, EPA
may  require that  firm to  submit  appropriate data  to  prove ownership  and
control.

     3.   Delegated States or recipients may decide to develop  a  certification
form  for- bidders  or  offerers,  including  first  tier  subcontractors  and
suppliers  who   submit   bids   and  offers   to  the  recipients  and/or  prime
contractors,  stating  whether  or  not  the  bidder or  offerer   is  a  small,
minority  or women's business.   If  this   certification is  required  to  be
submitted prior  to  award of subagrcements,  it may help ensure that only bona
fide minority and women's businesses  are making bids/offers.  By certifying,
a  bidder or offerer  is  stating that  it is  (or  is not) a  bona fide  small,
minority, or women's business, and  a  false certification carries with it the
penalties  for  making a false statement as  prescribed in State  laws  and  18
U.S.C. Section 1001.   (See  sample form at Attachment 4.)

    4.   In the event  EPA has  reason  to question the certification  of an SBE,
MBE  or  WBE,  EPA  may   request  additional  information  including,  but  not
limited to:

        a.  the certificate described above; and

        b.  specific  information concerning  the firm, including:
                                     6-1

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                         UNDER ASSISTANCE AGREEMENTS
             (1) name, address and telephone  number;

             (2) type  of  business  entity  (e.g.,  partnership,,  corporation,
sole proprietor);

             (3) date firm was established;

             (4) names  and  addresses  of  legal   owners  including  the  race,
gender,  percentage of  ownership,  percentage  of control  and  the  date  each
owner became an owner in the firm;

             (5) financial, banking and credit  information;

             (6) whether  the  firm  has ever  been denied  certification as  an
MBE/WBE by SBA, a State or Federal agency, and if so when and  by  whom;  and

             (7) Other information demonstrating  ownership and  control.

    5.  A  protest  by   a   firm  challenging  another  firm's  status   as  a
SBE/MBE/WBE will not be  entertained  under the bid protest procedures  of Part
33.  In  the event  that  a  firm has misrepresented  its status as an MBE/WBE,
the  matter  may,  at the option  of   EPA,  be  investigated  by  the  Office  of
Inspector  General  and,  where appropriate,  turned over  to  the Department of
Justice for criminal and/or civil prosecution.
                                     6-2

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                     UNDER ASSISTANCE AGREEMENTS
                       REPORTING REQUIREMENTS
                              CHAPTER 7
                          TABLE  OP CONTENTS
                                                                 PAGE
A.  Reporting Requirements	    7-1

    1.  EPA Form 6005-1  Recipients Report  	    7-1
    2.  EPA Form 6005-2  Quarterly MBE/WBE Consolidation
                         Report  	    7-2

B.  Reporting On Continuing Environmental Programs  	    7-2

        Continuing Environmental Programs  	.'	    7-2

C.  Actual Reporting  	    7-3

    1.  Explaining How the Reporting System Operates  	    7-3
    2.  Reporting on Total Subagreement Awards  	    7-4

0.  Other Reporting Requirements	    7-4

        MBDA-91 Report  Agency Minority Business Development
                        Performance Report  	    7-4

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                                  CHAPTER 7

                           REPORTING REQUIREMENTS

A.  REPORTING REQUIREMENTS.

    The  effectiveness  of the  fair  share  policy  will  be  measured  through
quarterly  reports.   The reporting of data is essential  in order  to carry out
the mandates of E.O.  12432  and  the  directives established by the Secretary
of  Commerce  acting  as  Chairman,  Pro  Tempore  of  the Cabinet  Council  on
Commerce  and Trade.   These  latter  directives  require that  quarterly  and
annual reports  be submitted  by each Federal  agency indicating the  level of
financial  assistance  provided  and  the  amounts  of  such  funds  which  were
subsequently awarded to minority  business enterprises.

    As  a  result  of  the above,  EPA  has developed a  simplified  system  for
reporting  the   above  information.   The  basic  reporting system  is  further
explained below:

    1.  EPA  Form  6005-1, "U.S.  ENVIRONMENTAL  PROTECTION  AGENCY  RECIPIENT
REPORT ON MINORITY WOMEN'S BUSINESS UTILIZATION."

        a.  Recipients  must   submit  a properly  executed EPA  Form 6005-1  to
the delegated  State  or the   Award  Official  in  every Federal fiscal  quarter
that the recipient or its contractor(s)  awards a subagreement(s)  to  a MBE or
WBE business for  activities  or  tasks identified in  the  grant agreement.   The
recipient  or   its   prime contractors   does  not   report  until   the  first
subagreement is awarded.  Reports will  continue until the final subagreement
is awarded,  at  which time all  subsequent  reports will  end.  For  example,  if
the first  subagreement  is awarded  during the  second quarter of  the  current
fiscal year,  6005-1  Forms will  be  prepared  and  submitted  starting in  the
second  quarter   and  continuing  on  until   the  quarter   when   the  final
subagreement is awarded.

            Each  fiscal year should be  treated  as  totally separate  from the
previous  year's  reporting.   For  example,  the  total amounts  reflected  for
awards  for  the  current fiscal  year will  culminate  in the  4th  quarter's
report.  At  the beginning of the new fiscal  year,  the  count will  start  over
again.  Cumulative  amounts will be noted on  a fiscal year basis  only,  there
will  be  no  carryover  of  any  figures.   Each  fiscal year  begins  a  new
reporting cycle.

        b.  Applicants   for  a  Step  2+3 construction   grant  must  submit  a
completed  EPA  Form  6005-1   indicating  the   level  of  MBE/WBE participation
during the planning  phase of the project.  The form must be  submitted before
the applicant  begins  building  the project.   (See  40 CFR  35.2104(d) of  the
Wastewater Treatment Construction Grants regulation).
                                     7-1

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           EPA GUIDANCE FOR UTILIZATION OF  S/M/WBE IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
        c.  Applicants  for a  Step  3 construction  grant which  includes  an
allowance for  planning  and/or  design must  include  with their applications  a
completed  EPA  Form 6005-1  indicating  the  level  of  MBE/WBE participation
during the planning and design phases of the  project.

    2.  EPA  FOBM  6005-2   "U.S.  ENVIRONMENTAL  PROTECTION AGENCY,  OFFICE  OF
SMALL   AND   DISADVANTAGED  BUSINESS  UTILIZATION   MINORITY  AND  WOMEN'S
CONSOLIDATION REPORT.

        a.  Individuals designated  by Assistant  Administrators and  Regional
Administrators  in  the various program Regional offices  or  delegated States
will  collect,  collate  and  monitor  the  reports  submitted  by  recipients.
After compiling the data  on  an EPA  Form  6005-2, the  Regional designees  or
delegated  States will  submit  the  EPA Form  6005-2  to  the  Regional MBE/WBE
coordinator  who  will,  in turn  forward  a  consolidated  report  to OSDBU.
Headquarters'  designees  will   also  forward  the  report  to  the  Director,
OSDBD.  In both cases the  Form 6005-2 must be received by OSDBU Headquarters
by not later than January  31, April 30, July  31, and October  31.

B.  REPORTING ON FINANCIAL ASSISTANCE FOR CONTINUING ENVIRONMENTAL  PROGRAMS.

    Continuing   Environmental   Program  Grants   are   defined  as   financial
assistance  to   State   or   local  recipients  for  Continuing  Environmental
Programs  which are  required by  the  various  Federal  Environmental Statutes.
These- programs  do  not  include  the  Wastewater  Treatment  Construction  or
Superfund Grant programs.

    Because of the  difficulty  which has  been encountered  in attempting  to
establish  a  fair  share   objective  or  to  report  on  these  programs,   the
following simplified guidance has been established:

        a.  On  those  program grants or cooperative agreements having minimal
dollars  for extramural  activity,   i.e.,  less  than  5  to 10  percent of  the
total grant  or cooperative agreement,  and where such  subagreeroents for  the
most  part  are  placed  through  a  central  procuring  office,  e.g.,  General
Services,  Central  Purchasing  Office,  etc.,  for  supplies  and/or services,
such  grant  or  cooperative agreement  will  require a  negotiated "fair  share*
objective.    However,   in   calculating  the   fair  share  achievements,   the
delegated State or  recipient may utilize one  of the following criteria:

             (1)  If  adequate  records  are  maintained,  such  as   procurement
history  files  and  it  can  be  determined  that a  minority  or  woman-owned
business was  the seller of the  product(s)  or service(s), the  actual dollars
expended may be counted for each of the affected  groups;

             (2)  If  adequate  records are not maintained,  but  historically the
purchasing  office has  been  authorized to  estimate the  total dollars  being
placed  with  minority  or   women-owned  businesses,   such  estimate  will  be
accepted; or,
                                     7-2

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                         UNDER ASSISTANCE  AGREEMENTS
             (3)  In  the  absence  of historical  data  or  actual records,  an
estimate  for each affected group,  i.e., minority  and  women-owned businesses,
may  be used, provided  it  does  not exceed the negotiated "fair  share" amount
of  the grant or  cooperative  agreement involved or exceed the  State or local
jurisdiction's  goal established  by law,  ordinance or  local decree  (if such
exists).

        b.   The   criteria  cited  above allows  the recipient  of  a  grant  or
cooperative   agreement   to report  utilization  exceeding the  "fair  share*
amount in the case of  (1) and  (2)  above,  but does not allow for any increase
in  the case  of   (3) .   The recipient  should choose "up front*  the  method  of
calculating  and  reporting on the  fair share objective  under  these  types  of
financial awards.

        c.   The  recipient has  the  option of  filing  a one  time only report,
i.e.,  the first  quarter of  each year, or  filing on  a quarterly basis,  as
each case may warrant.

C.  ACTUAL REPORTING.

    1.  The  purpose of this  part  is to  explain how  the reporting  system
operates.    The   requirements   imposed on   the  recipient  are  designed  to
minimize  the amount of  reporting required.  Therefore,  the EPA Form  6005-1
under  the Wastewater  Treatment  Construction Grants  Program/   the  Superfund
Program  and  the Asbestos Program will   be accomplished in  the  following
manner:

        a.  The  first  report will  be prepared  at the end of the  quarter
during which  the first  subagreement under the grant or  cooperative agreement
was  awarded  and will  continue  every quarter  thereafter until  the  final
subagreement  has  been awarded.   For example, if the first subagreement  award
occurs  in  the  third  quarter,  this   will  be  the  first  report prepared.
Subsequently,  if in the next quarter  no  MBE or  WBE  subagreement occurs,  a
report  will  be  submitted   stating  that  no  MBE/WBE   subagreements   were
executed.  Reports  will  continue  until   the  final   subagreement  has  been
awarded.   NO  report  is  required  after  the  final  subaqreement  has  been
awarded.  If a  new subagreement award is made after the  final report has
been submitted,  the system  of reporting  cited  above  will be  reinstituted.
(See Attachment Number 1 for a  copy of EPA Form 6005-1).

        b.  The  recipient  will  make an annotation in  the remarks section  of
EPA Form  6005-1  indicating the start  of  subagreement  activity  and will also
make  a  notation  when   the  final  subagreement  has   been  awarded   on the
appropriate quarterly report.

        c.  Reports will be compiled on a fiscal year basis.   In  the event a
subagreement   is   awarded   during   the   third   quarter   and   additional
subagreements are awarded  during  the fourth quarter,  the  cumulative  value  of
the  two  quarters  will  be  made  on   the  fourth quarter's   report.    This
cumulative  amount  will  not   be  carried  forward to  the  new  fiscal  year
                                     7-3

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                         UNDER ASSISTANCE AGREEMENTS
reporting.   Reports are  made  on a  quarterly basis  as  well as a  cumulative
basis;  therefore  each  report  will  cite  what  was  accomplished  for  the
individual  quarter which  is being  reported  upon,  as  well  as a  cumulative
amount for the fiscal year.

        d.  In  Item 6 of  EPA  Form  6005-1,  in lieu  of  stating the  grant  or
cooperative agreement  amount,  the total  project amount  will  be cited.   For
example,  in  the Wastewater Treatment  Construction Grants Program,  the  total
project amount  is the amount  available for  procurement (i.e., all  eligible
and  ineligible  costs  on  the  project, with  the exception  of force  account
costs).

    2.  The  States  and   Regions  report  the  total  amount  of  subagreements
awarded to  MBEs  and  WBEs on  a  quarterly  basis  on  EPA Form  6005-2.   These
amounts  include  the  Federal,   State  and  local  shares  in  the  subagreement
awards.   Although the negotiated fair share  is  based solely on the Federal
share, the  reportable amounts are the total subagreement awards,  regardless
of the funding source or percentage.

D.  OTHER REPORTING REQUIREMENTS.

    MBDA-91 FORM,  "MINORITY BUSINESS DEVELOPMENT  AGENCY PERFORMANCE REPORT

    The MBDA-91 Form  has  been developed  by  the Department of Commerce  for
the  purpose  of  compiling all  relevant  data from  all  Federal  activities
having financial  assistance  authority.  Like the EPA  Forms, the MBDA-91 Form
is  due  on  a  quarterly  basis  and the data collected  is comparable  to that
which is  contained in the EPA 6005-1.  The  purpose of the form is  twofold,
first  it  is  utilized  as  an  annual  plan,  hence   the  need  for  fair  share
objectives; and second,  it is  used  to collect data  on a cumulative quarterly
basis  to  ascertain how  well  EPA is moving towards  achieving  its  objective.
(A copy of the MBDA Form 91 is enclosed as  Attachment Number 3)

        a.  Headquarters  and Regional  input to complete Form  91 will consist
of the following data:

            (1)  Fair  Share  Negotiations.    The  following   guidelines  are
provided  to assist you in  establishing your Region's Fair Share.

                (a) In developing a  base for  negotiation purposes,  it should
be remembered that only  the dollars  associated with procurement/subagreement
activity  should  be  considered.  For  example,  if  the  Federal  share  is  50
percent of  the  grant  or  cooperative  agreement but  the total available  for
subagreements is  only  10 percent of  the combined Federal, State  and/or  local
funds,  then a  proportionate  amount  should  be  derived from  the  10  percent
level.  A consolidation  of all grants and  cooperative agreements  awarded  to
a  particular  State  or   local  activity  in  which  subagreements  are  to  be
awarded during  the given fiscal  year  should establish a dollar  objective for
that State for that year.
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                 (b)  A  consolidation  of   all   dollar  amounts  subsequently
 negotiated with each  State for your  Region will  then  be calculated against
 the  total  to establish the percentage for your Region's fair share.

             (2)  Total amount  of funds  in  grants  and  cooperative agreements
 your Region plans  to award during  the ensuing Fiscal Year;

             (3)  Total  amount  of  extramural  funds  from  your  grants  and
 cooperative  agreements  which  should  result   in   subagreements  during  the
 fiscal year.  It  should be noted  that  funds to  be expended  in  the form of
 subagreements  are  not   limited   to  only  those   grants   and  cooperative
 agreements awarded  during the  planned  fiscal  year, but could  include  any
 previous  carry-over  funds from  grants  or  cooperative  agreements  which  did
 not  result in subagreements being  issued during the previous year(s);

             (4)  Total "fair share" objective for  contemplated awards to MBEs
 during the  ensuing  fiscal year.   This  amount is  to  be also expressed  in
 dollar figures and also  cited as a  percentage of (3) above;

             (5)  Total "fair share" objective for  contemplated awards to WBEs
 during the  ensuing  fiscal year.   This  amount  also  is  to  be expressed  in
 dollar figures and also  cited  as a  percentage of (3) above;

             (6)  Total amount  of  grants  and  cooperative agreements  to  be
 awarded  to  institutions of Higher Education,  Hospitals  or  other  Non-Profit
 Organizations;

             (7)  Total amount   of  awards  to  be  made to  minority Institutions
 of  Higher  Education, Hospitals and  other  Non-Profit  Organizations.   Such
 operations may  include the   National Urban  League,  NAACP,  LULAC  and  the
 Historically Black Colleges and Universities (HBCDs)  (if any).  It  may also
 include grants made  to minority  individuals;

             (8)  Total  amount   of  R&O grants  or  cooperative  agreements  to  be
 awarded during the ensuing  fiscal year (if  any); and

             (9)  Total  amount   of any  grants or cooperative  agreements  from
 (7)  above  which  may be   contemplated   for award  to  a minority  concern,
 minority institution  of higher education or a minority individual.

            (10)  Develop  and furnish  an estimate  of your Region's costs  in
 aiding     MBEs/HBEs.       Identify     the    program     name    or     staff
 function(s)/position(s)  that   offer  such   assistance.   Also  indicate  those
programs that directly benefit  minority business  development.  This  should
 include, but not  limited  to, direct assistance  to MBEs/WBEs via  personal
contacts,    telephone   inquiries,    correspondence   requests,   conferences,
seminars,   meetings,   etc.   It could   also  include  any  Regional personnel's
 salaries,   travel,  per diem,  etc.,  in the  cost computation.   This  input  is
essential since you will be reporting  on your outlays  each quarter.
                                     7-5

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        b. The above  information will  be submitted  to Headquarters,  OSDBU
for preparation of the Annual Plan.  The  Annual  Plan  will  be prepared by the
45th  day  following  the  end  of  the  Federal  fiscal  year.   The OSDBU  will
prepare the  MBDA  Form  91  for  the Deputy Administrator's or  the  Director,
OSDBU's  signature  and  transmitted  to   the  Director,   Minority   Business
Development Agency, U.S.  Department of Commerce.
                                     7-6

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                    UNDER ASSISTANCE AGREEMENTS
                   COUNTING MBE/WBE PARTICIPATION
                             CHAPTER 8
                         TABLE OF CONTENTS
                                                                PAGE
1.  Calculating MBE/WBE Participation	    8-1
2.  Questions Calculating  MBE/WBE Participation   	    8-2
3.  MBE/WBE as a Prime Contractor   	    8-2
4.  Use of Minority  Press   	    8-2

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                                  CHAPTER 8

                        COUNTING MBE/WBE PARTICIPATION

COUNTING MBE/WBE PARTICIPATION.

     1.   For  purposes of  reporting,  the  following is  the  approach EPA  will
use  in calculating MBE/WBE participation.

         a.  Credit  for MBE/WBE  participation under  these  policies shall  be
granted  for  MBEs/WBEs performing  a  useful  business  function according  to
custom  and practice  in the industry.   No  credit will accrue  for  an  MBB/WBE
acting  merely  as a  passive  conduit  of  funds  to  some  other,  non-minority
firm.  However, an MBE or  WBE may further subcontract a portion of the  work
to SBEs  provided that such further subcontracting is  in  accordance with  that
cited  above  and  that  the majority of work is being performed by  the MBE  or
WBE  having the  contract.   MBE/WBE participation will not be  counted when the
MBE  or WBE subcontracts back  to  the  prime  contractor.

         b.  Objectives  for MBE/WBE  participation shall  be  calculated  as  a
percentage of total eligible subagreement  costs.

         c.  Credit  for  MBE/WBE project-related work that is  not eligible  for
EPA  assistance  may be  included in  the  calculation  of MBE/WBE  participation.

         d.  Joint Venture  -   Joint  ventures  shall  be credited  towards  the
grantee's  percentage of  MBE/WBE  participation  by  crediting the  portion  of
the  dollar   amount   of  the   joint  venture's  subagreement   equal   to   the
proportion  of  the  MBE's/WBE's  share  in  the profit  of the joint venture.
Where  the  MBE's/WBE's  risk  of loss,  control  or  management  responsibilities
are  not  commensurate  with the  share of  profit,  the  Regional or Assistant
Administrator may direct an adjustment  in the percentage of participation.

         e.  Suppliers  are  defined as  follows:    A   supplier  is  a business
which acts as  a distributor of  materials  or  equipment, and which  provides  a
commercially  useful  function  when  such  activity   is  traditional   in  the
industry  manufacturing  the material  or  equipment  supplied.  Commercially
useful function will normally  include:

            (1) Providing  technical  assistance  to the purchaser prior to the
purchase, during  installation  and  after  the supplies or equipment  are placed
in service;

            (2) Manufacturing  (including first  tier below  manufacturer)  of
the supplies  or equipment;

            (3) Providing  functions  other than just accepting and referring
requests for supplies or  equipment to  another party  for direct shipment to  a
contractor.
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    2.  Should  a recipient or  contractor have any  questions on calculating
MBE/WBE participation,  they  should  contact their  appropriate State  agency,
or the EPA Regional Coordinator.

    3.  Should  the  prime contractor  be a minority  or women-owned business,
this will  not  relieve the firm from  the  reporting requirements, nor will  it
relieve the  firm from the six  affirmative  steps  should any  subagreements  be
awarded.

    4.  Minority  business  utilization  is  facilitated  if  the  recipient  or
prime contractor  advertises  through  the minority press.  Such advertisements
may  include,   but   are   not  limited  to,   contracting  and  subcontracting
opportunities,  hiring and  employment,  or  any other  matter   related  to the
project.
                                     8-2

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            MANAGEMENT AND TECHNICAL ASSISTANCE
                         CHAPTER 9
                     TABLE OF CONTENTS
                                                             PAGE
1.  Use of Prime Contractors  for  Technical  Assistance  ..       9-1
2.  Bonding  	       9-1
3.  Cooperation Between EPA Staff and MBDCs 	       9-1

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                                  CHAPTER 9

                     MANAGEMENT AND TECHNICAL  ASSISTANCE

 MANAGEMENT AND TECHNICAL ASSISTANCE.

      Executive   Order   12432   requires   that   federal   programs   deliver
 procurement  assistance  management  and  technical   assistance  and  direct
 assistance  to   minority-owned   businesses.    EPA  has   responded  to  this
 requirement  in   three  ways.   First,  EPA  has  developed  a  Memorandum  of
 Understanding with the  Minority Business Development Agency  (MBDA).   Under
 this  agreement   the  MBDA  will  utilize  its  Minority  Business  Development
 Centers  (MBDC) network  to assist  the  EPA in meeting its minority  business
 objectives  by providing   information   on minority   businesses  capable  of
 participating in  EPA's programs.

     MBDA  will also  identify qualified minority  firms and  provide  business
 management and technical  information  to these  minority businesses.

     Second,   the EPA  will  conduct  training  sessions  for  MBDA  regional
 staffs,  State and  local EPA officials and MBEs and  WBEs.   These  training
 sessions will  be  centered around  this guidance document.

     Third,   the  EPA  will  provide  assistance by  training  recipients  and
 recommending that they assist MBEs/WBEs in the following areas:

     1.    Use  of Prime  Contractors  For  Technical  Assistance.   Successful
 prime  contractors  can  provide  valuable  insight  and  training in  technical
 aspects  to  subcontractors  who may  be  relatively  inexperienced.   The  prime
 contractor can also  provide needed  guidance  on  project  management and  in
 particular  make   the  MBE/WBE  aware  of  techniques  which  may   improve
 productivity  and competitiveness.    Other areas  where  training  may  be  of
 benefit  are  in  plan   interpretation,   estimating,  and   cost   accounting
 methods.   In  each  of  these  areas,  however,   the  MBE/WBE subcontractor  must
 retain the final  decision making  responsibility.

     2.    Bonding.  There  are at least  two ways in which  a  prime contractor
 commonly assists  subcontractors with bonding.  In many instances, the  prime
 will  bond   the entire  job and will  in  turn charge  his subcontractors  their
 pro rata  share of  the  bond cost.  In  other  instances, the  prime contractor
 may bond  the  entire job  and "carry" the  subcontractors,  absorbing  the  cost
 of  the  bond  themselves.   It  is useful  for  MBE/WBE  subcontractors  to  bond
 jobs  on their own,  in order  to  establish   a track  record with  a  surety
 company.   In many cases, this will aid  in  obtaining future  bonding.

     3.    Cooperation  between  EPA  staff  and  MBDCs.   As noted  above,  the
Memorandum of Understanding between EPA and   the MBDA provides for  outreach
 services to help locate  qualified minority   firms to perform  work/services
 under the  assistance  award.  It  is envisioned that  MBDA's Minority  Business
                                     9-1

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Centers and/or  funded  State agencies could perform  this  service.  It should
be noted that the latter organizations  have been separated into two distinct
groups.  Most of  the MBDCs  are  operated by private organizations, however,
some  of  these  centers  are  activities  located  within  State  and  local
governments.

          Regional  offices  should  encourage  either  delegated  States  or
recipients  to  utilize  the  services  of  these activities  to  enhance  their
performance   in  identifying,  and  soliciting   minority   entrepreneurs  for
potential contracting and subcontracting.

          MBDA  and their respective  regional and district offices as well as
their  MBDCs have  been informed of  their  participatory  role  in assisting
EPA's  Regional  staffs,  delegated  States  and recipients  of  our financial
assistance.   This cooperative  spirit  should  be  nurtured  to  the  maximum
extent practicable.

          a.    Regional MBE Staff and/or delegated  States  or recipients are
encouraged to:

                (1)  Conduct  periodic  meetings  with  their  MBDA and  MBDC
counterparts to inform  them of present  and  future requirements in which MBEs
may be required;

                (2)  Encourage  the   MBDCs  to   verify  firm's  capabilities,
certifications, etc., and  relay  such information to the respective recipient
or prime contractors;

                (3)  Encourage  MBDCs  to  actively conduct "out-reach" programs
to identify additional qualified MBEs to participate in EPA funded programs;

                (4)  Encourage  the MBDC's  to contact EPA recipients and offer
them  their services  and  make  frequent  follow-up  calls  to remind  them of
their availability;

                (5)  Have  the MBDCs  notify  a Regional MBE  staff member when
they have  reason  to  believe or  have  knowledge of a bogus MBE or  WBE serving
as a front.

          b.    Regional  MBE   staff  should  assure  that   recipients  provide
MBDCs  with as  much  advance information  as practicable  on  proposed project
awards.   If  possible  the  advance   information  should  include  a  list  of
prospective  prime  contractors  who   are  likely  to bid  on  the  project,   a
listing of any subparts of the  procurement package which the recipient has
indicated  are  possible for MBE  participation;  the location of  the project
and projected opening and  closing dates of  the bid solicitation.

          c.    The   closer  the  working   relationships  the  better  the
opportunities for  success.   In the  event that either EPA staff or MBDC staff
believes active participation  is not being conducted by either party, or the
                                     9-2

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recipient, steps should be taken  to  rectify  this  matter.  If such corrective
action  cannot be  accomplished  at  the  Regional  level, Headquarters  OSDBC7
should be notified at the earliest reasonable date.

        d.  Recipients  are  also  encouraged  to  contact  the  Regional  EPA MBE
staff if  they are not  receiving  the services that the  HBOCs have  agreed to
perform.   No  corrective  action  can  be  taken  if EPA is  unaware  of  the
problems being incurred.
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                             BID PROTEST
                             CHAPTER 10
                          TABLE OF CONTENTS
                                                                 PAGE

A.  Challenge to MBE/WBE Status   	   10-1

        Complaints   	   10-1

B.  MBE/HBE Compliance—Bidder Responsibility
    vs Responsiveness 	   10-1

    1.  General Rule on Responsibility vs Responsiveness         10-1
    2.  Making MBE/WBE Requirements a Matter of
         Responsiveness 	   10-2
    3.  Protest Examples   	   10-2
    4.  Inconsistencies in Bidding Documents 	   10-3
    5.  Consequence of Responsiveness  	   10-4
    6.  Effective Use of Responsibility Criteria 	   10-4

C.  EPA Protest Appeals Publication 	   10-4

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                                  CHAPTER 10
                                 BID PROTESTS
 A.   CHALLENGES TO MBE/WBE STATUS

     Complaints by firms challenging another firm's status  as  an MBE/WBE will
 not  be entertained under  the  bid protest procedures of 40 CFR Part 33.  Any
 firm or individual  that  files a  false  statement may be prosecuted under 18
 U.S.C.   1001.   Because of the interest of  bona fide MBEs/WBBs  in  obtaining
 subagreements,  it is  reasonable  to conclude  that  such bona  fide  firms will
 help EPA  and   appropriate Federal  authorities  identity  "bogus" or  "front"
 MBEs/WBEs.    In  the   event   that  allegations   are  made   that  a   firm
 misrepresented  its  status  as  an MBE/WBE, the  matter may be  investigated by
 the  Office of  the  inspector General and, where appropriate,  turned over to
 the  Department  of Justice  for  criminal and/or  civil prosecution.

     Such  firms can  also   be  excluded  from  further participation in Federal
 programs by  debarment  or   suspension action.   Actions for exclusion from all
 Federal  Acquisition   activities  are  taken  under  the  Federal Acquisition
 Regulations, 48 CFR Subpart  9.4; actions for  exclusion from  EPA assistance
 programs are taken under 40 CFR Part 32.  See  Chapter 11.

 B.  MBE/WBE COMPLIANCE —  BIDDER  RESPONSIBILITY vs  BID RESPONSIVENESS

     1.  As   a   general  rule,  MBE/WBE  documentation   (i.e.,   documentation
 demonstrating   positive   efforts  or   compliance  with   grantee   MBE/WBE
 requirements) is  a matter  of bidder "responsibility".

        a.  Responsibility.    The  term  responsibility  means  the   apparent
 ability  of  the  bidder to  successfully  carry  out  the  requirements  of  a
 contract.   Aspects  of  responsibility  include  such   things   as   financial
 resources, technical qualifications,  experience, organization  and facilities
 adequate to  carry out  the project, ability  to meet the completion  schedule,
 satisfactory contract  performance record and  compliance with  or willingness
 to comply with  civil rights  laws  and  other  legal requirements.   See 40  CFR
 33.220.   The   determination   of  bidder  responsibility  focuses   upon  the
bidder's  apparent ability to  perform  in  the  required  manner  on  the  date
performance  is  required.   Where  a bidder has failed  to  submit information
 required   to   demonstrate  its   responsibility,   such  information  nay  be
 submitted  after bid  opening,  but prior  to  contract  award.  Consequently,  a
bidder who  is  not responsible when bids  are submitted may still qualify for
contract award  if it  can establish  its responsibility  before the  contract
 award date.

            MBE/WBE compliance documentation serves the principle purpose of
 assisting  the   recipient  in determining  whether the  bidder  is  responsible,
 i.e.,  has  the  ability to meet,  or  make  good  faith  efforts  to  meet,  the
                                    10-1

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                         UNDER ASSISTANCE AGREEMENTS
recipient's MBE/WBE goals  and satisfy the EPA MBE/WBE policy.  Therefore,  if
a bidder  fails to complete  all the MBE/WBE  forms with  its  bid  or fails  to
take positive  efforts  prior  to submitting the bid, these  shortcomings may be
corrected  after  bid opening.  The  exception to  this rule  occurs when  the
recipient  has  specifically  made  MBE/WBE  requirements and  demonstration  of
positive  efforts  matters  of bid  "responsiveness" to  be determined  at  the
time of bid opening.

        b.  Responsiveness.   A "responsive"  bid  is  one  which  on its  face
meets  the  specifications  and the material  terms  of  the  Invitation  for  Bid
(IFB).  Material terms  are those  terms affecting price, quantity,  quality  or
delivery  and  any other  terms which  are  clearly  identified  by the  bid
solicitation documents  as requirements that  must be  complied  with  at  the
time of bid in order for the  bid to be accepted as "responsive"."

            A  failure  of a bid to meet  a  material term of the IFB cannot be
cured  after  bid opening.   This is  the most  significant  difference  between
matters of responsiveness  and responsibility.

    2.  Careful  and Clear Drafting.   Recipients may make  compliance  with
MBE/WBE  requirements  a  matter  of responsiveness  instead of  responsibility.
However,  because  such  requirements  are normally  matters of  responsibility,
they  will  have  to  be  treated  as  such  unless  the  recipient  clearly  and
unequivocally  states  in the   bid solicitation  documents that failure  to meet
the   MBE/WBE  requirements   will   cause   the   bid   to  be   rejected   as
nonresponsive.    In   deciding   to  make   these  requirements   matters   of
responsiveness, the recipient must exercise extreme care  in  drafting  the IFB
and  all bid  solicitation documents.    If  there  is  any  ambiguity in  these
documents  concerning  whether a bid  failing to  comply with  the  requirements
will  be automatically  rejected  as  nonresponsive,  the  requirement will  be
considered to  be a matter  of responsibility which can  be  cured by  the bidder
after  bid  opening.   Consequently, where  there is such ambiguity  in  the  bid
solicitation documents the recipient must  not reject a nonconforming  bid  as
nonresponsive.

    3.  Protest Examples.   EPA has  reviewed  numerous recipient procurement
actions  involving  the  issue  of  whether MBE/WBE  requirements  were  made
matters of responsiveness  or  responsibility.   The rule which  is  consistently
followed  by  EPA is   that  in  order   for  a  recipient  to reject  a  bid  as
nonresponsive  due  to  a  failure to do something which is generally a matter
of  responsibiity  (such as  listing  subcontractors  and  submitting positive
efforts  information),   the   solicitation  for  bids  must  have  clearly  and
unequivocally  stated that  such  failure would  cause the bid to be rejected as
nonresponsive.  Many  of the  bid  protest  appeals  considered  by  EPA  involve
bid  solicitations  which were ambiguous  as to when  the MBE/WBE  requirements
had to be met by the bidder.

        a.  Examples of language which  failed to  make it sufficiently clear
and  mandatory  that  MBE/WBE documentation  and requirements must  be submitted
with the bid include provisions in the bid  solicitation stating that:
                                     10-2

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             (1)  Failure bo  submit such information  "may be  cause  to reject
 the  bid," City of Mt. Pleasant, Michigan,  (Region V,  June 25, 1979)  (Protest
 of Collavinc Const.,  Inc.);

             (2)  "Failure to list  . .  . will  render the bid nonresponsive and
 mag  cause  its  rejection."   Sand Point,  Idaho  (Region X,  March  3,  1983)
 (Protest of Ludig Const.,  Inc.);  and

             (3)  "Failure to complete  the  equipment manufacturers  form shall
 be grounds for  rejection  of his  bid  as  nonresponsive"   New  Hampshire Water
 Supply and Pollution Control  Commission  (Region I, March  16,  1984)  (Protest
 of Cattamount Const.,  Inc.)

         b.   In each of these examples the language failed to  provide for the
 automatic,  mandatory  rejection  of non-conforming  bids.  The  statement  that
 failure   to  do   something  may   result   in   the  rejection  of  the  bid  is
 ambiguous.   The  action verb "may" is  equivocal and non-mandatory  because of
 its  permissive   nature.   The  fact  that  it  may be  rejected  implies  the
 possibility that it  "may  not" be  rejected.   Where such language  is  used in
 the  bid  solicitation,  the  recipient  cannot  reject as  nonresponsive a •bid
 which  fails  to  provide documentation of a  requirement  which is  generally
 considered  to  be  a  matter  of  responsibility.   Where  an IFB clearly  and
 unequivocally states  that failure  to submit  a  subcontractor  list or  MBE
 documentation will  make a  bid  nonresponsive, but  the  IFB does not  state  what
 action  will be  taken  regarding  such   a nonresponsive  bid  (e.g., rejection),
 it  is  nevertheless  correct   to  reject  the   bid   since  pursuant  to 40  CFR
 Sec. 33.430(b),  award can  only  be made  to  responsive  bids.    See  Monterey,
 California  (EPA  Region  IX,  September 12, 1985)  (Protest of Mortenson/Natkin).

    4.   In  reviewing  bid  solicitations to determine whether  MBE/WBE matters
 have  been  made  matters of responsiveness,  EPA  looks  beyond the  specific
 language  in   the   bid   form  or   IFB  and  examines  all  areas  of  the   bid
 solicitation  documents to determine whether  they are clear and unequivocal.
 For  example,  if the  language  in one portion of  the  bid documents  clearly
 states  that  documentation is a  matter of  responsiveness  but the  language
 which  appears  elsewhere  in   the  document  gives  a  different  meaning,   the
 requirement  cannot  be  considered a  matter  of   responsiveness.   See,   New
 Hampshire  Water  Supply  and  Pollution Control Commission.   supra.  If  the
 recipient chooses  to  make  certain  items,  such as commitment  to a  fair share
percentage, a  matter  of responsiveness, and  other items, such  as  submission
of data  sheets,  a matter  of  responsibility,  the  recipient  should  clearly
 separate  these  items  and make  it clear to bidders  which  items are  matters of
 responsiveness and  which are matters of responsibility.

    5.  Consequence  of  Responsiveness.   If  the   recipient   makes  MBE/WBE
documentation  and  requirements  matters  of  responsiveness,  it  must  then
 reject  any  bid  which  fails  to satisfy the  requirements of the  solicitation
 as of  the  time of  bid opening.   The recipient  has no  real discretion  in
making  this decision  because  a nonresponsive  bid cannot  be  cured  and  made
                                    10-3

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                                                                6010
                                                                5/22/86
           EPA GUIDANCE FOR UTILIZATION OF S/M/WBB  IN PROCUREMENT
                         UNDER ASSISTANCE AGREEMENTS
responsive  after  bid opening.   Consequently,  a bid  which  is not  responsive
to  the MBE/WBE requirements must be  rejected  even if the recipient  believes
that  accepting the bid  is  in its best  interests and the  best interests  of
the MBE/WBE program.   For example, it would  be necessary to reject  a bidder
that  did  not  submit  documentation (if  it were a  matter of responsiveness)
even  though after  bid  opening  that  bidder  demonstrates  it  satisfies  the
affirmative  steps  and attained  or promised to  attain MBE/WBE participation
exceeding  the  grantee's goals  and/or  exceeded  the MBE/WBE  participation
offered by the  next low bidder.   See,  Village of  Palatine,  Illinois  (EPA
Region  V,  July  19,  1983)  (Protest  of  Di   Paolo-Rossetti).   However  in
Toronto, Ohio  (EPA  Region V,  February 2, 1984)  (Protest of Cavanaugh Co.), a
bid that  failed  to  submit documentation required by  the  IFB was nevertheless
responsive  because  it  specifically  committed  to meeting  the  grantee's  MBE
goals.   Since  the  bidder  was  contractually  committed  to  the  goal,  the
documentation  was  only  relevant to  evaluating  the bidder's responsibility,
that  is, its ability to meet the goal.

    6.  Effective Use  of Responsibility Criteria.  Assistance  recipients can
effectively  use definitive  responsibility criteria  to  assure  that bidders
exercise the affirmative  steps required by 40 CFR Sec. 33.240.  For  example,
the Invitation For  Bids  (IFB) may require that bidders advertise  in various
newspapers  and  trade journals,  solicit  subcontractors by  using  lists  of
MBE/WBEs  provided  by  federal,  state  or  local  agencies,  and  take   other
specific  action to demonstrate  that  the affirmative  steps  were taken.   The
recipient  can  then  determine  after  bid-opening   (before  contract award)
whether  the  low  bidder satisfied  the  required  definitive  responsibility
criteria  and reject any  bidder  that  failed to  meet  the criteria.   See,  San
Bernardino,  Ca.   (EPA,   Region   9,   January   15,   1986)  (Protest  of  MCI
Constructors,  Inc.).

C.  EPA PROTEST APPEALS PUBLICATION

    A publication  containing extracts  of  EPA  protest appeal  determinations
concerning  MBE/WBE matters  is  available  from  OSOBU and  the  Regional  EPA
offices.
                                    10-4

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                                                       6010
                                                       5/22/86
   EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                UNDER ASSISTANCE  AGREEMENTS
             DEBARRED AND SUSPENDED CONTRACTORS
                         CHAPTER 11
                      TABLE OF CONTENTS
                                                             PAGE
1.  Debarntent and Suspension.....	    11-1
2.  Master List	    11-1
3.  Master List Updates	    11-1
4.  Debarred Bidder's List	    11-1

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                                                             6010
                                                             5/22/86
            EPA GUIDANCE  FOR UTILIZATION OF S/M/WBE IN PROCUREMENT

                         OKDER ASSISTANCE AGREEMENTS
                                  CHAPTER 11

                      DEBARRED AND SUSPENDED CONTRACTORS


DEBARRED AND SUSPENDED CONTRACTORS

    1.  Under  40  CFR Part 32  "Debarment and Suspension Under EPA  Assistance
Programs, EPA  publishes  a Master List of Debarred* Suspended, or Voluntarily
Excluded  Persons.   No   EPA  assistance  or  subagreeaent  under  EPA  assisted
programs  may  be  awarded  to  any person or firms on  this  list  during  the
designated  period unless  specifically approved  by the Headquarters'  Grants
Administration Division.

    2.  The Master List  is accessible through the use of  an  on-line  data  set
at  the  National Computer  Center  by  any EPA or State office  that has an  EPA
account and User  I.D.   To access an  up-to-date  listing you should  instruct
your ADP operator as  follows:

        a.  Use Text  Editing Language:   OBS  WYLBUR

        b.  Use:  SGICWBR2.REG.DEBAR CLR

        c.  Use:  LIST  OFFLINE  CC UNN  DEST RMTNNN (NNN-Your Regional/State
remote site)

    3.  The  Master  List  is  updated  by Headquarters each Friday  afternoon.
The new list can be retrieved each Monday.

        The  Part  32  actions are also published  at the end of each  calendar
quarter  in  the  Federal  Register.    This   short list  is  provided   for
informational  purposes  only  and  is  not to be  relied on in  determining  a
person's current eligibility status.

        When   MBE Coordinators  and/or  recipients  receive  the  names  of
proposed SBB/MBB/WBE  contractors and subcontractors,  they should verify that
the firm and principals are not on the current Master List.

    4   The  Consolidated List issued  by the General Services Administration
for   direct  Federal  procurements   is   not  applicable  to  the  financial
assistance  programs.   If a firm has been debarred under this listing,  (but
has not been debarred under  EPA  financial  assistance  program),  the  firm  may
still  bid  on  any  solicitation  issued  as  a  result  of  Federal  financial
assistance.  Any  firm or individual  who  is  debarred   under  procurement or
assistance  programs  will  appear  on  the  EPA master list.  Therefore, it is
important that all prospective subagrcements as well  as assistance awards be
checked against EPA's master  list.
                                     11-1

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                                                     6010
                                                     5/22/86
   EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT
                UNDER ASSISTANCE AGREEMENTS
                 CENTRAL RESOURCE DIRECTORY
                         CHAPTER 12
                     TABLE OF CONTENTS
                                                            PAGE
1.  Reasons for Establishment  	   12-1
2.  CRD Information Requirements  	   12-1
3.  Transmittal of CRD Entries 	   12-1
4.  Does Not Replace Other  Director ies  	   12-1

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                                                                6010
                                                                5/22/86
           EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT

                         UNDER ASSISTANCE AGREEMENTS
                                 CHAPTER 12
                         CENTRAL RESOURCE DIRECTORY
CENTRAL RESOURCE DIRECTORY

    1.  In order  to accomplish  the  objective of assuring  that a fair  share
of  subagreement  activities  are provided  to  SBEs,  MBEs  and  WBEs,  it  is
essential  that  the delegated  States and local  municipalities receiving  EPA
grants or  cooperative  agreements or  prime contractors performing under  these
grants or  cooperative agreements  be able to  identify  qualified, responsive
and responsible SBEs, MBEs and WBEs.

        EPA  is  attempting  to assist the  recipients  and prime contractors  in
identifying  SBEs,  MBEs and  WBEs who could  possibly qualify  for  work to  be
performed  on  these  EPA  funded projects.   Therefore,  we  have sought  to
identify a number of  sources  by contacting all  known  repositories  of  these
types of business  entities.   As  a result, a Central Resource  Directory  (CRD)
has been  established within  the Office of Small and Disadvantaged  Business
Utilization,  (OSDBU), Washington, D.C.

        The  principal  purpose  of the establishment  of the CRD is to  identify
small,  minority  and  women-owned  businesses which  have  capabilities  which
would lend themselves to EPA funded  projects.

        The  CRD is  operated  by Headquarters,  OSDBU,  which sends out  periodic
mailings to  firms which have  been  identified by a  number of sources,  i.e.,
listings from the  Minority  Business  Development Agency's PROFILE System,  the
Small Business  Administration's  Procurement Automated  Source System  (PASS),
various State and local listings and from firms seeking information from EPA.

        The. CRD is currently  organized by  Regions  and  states  and   is  coded
for a  particular  type of  industry  or  service  which the  firms  consider  as
their principal lines of  business.  Although  each  firm may  indicate  that
they are a small,  minority  or  women-owned business,  the Agency has adopted a
disclaimer which states that  we  neither certify nor  guarantee that the  firms
listed  are,   in-fact,  small,  minority  or  women's  business  enterprises  and
that such  identification must  be verified by the recipient or the contractor
who may plan to utilize their services.

    2.  It  is  the intent  of the  CRD  to  identify  firms by the  types  of
services and/or  supplies  which  the  MBE or  WBE provides,  the  area   in  which
they wish  to be considered  for  potential work and  the size  of subagreement
which the  firm  believes it  can perform.  In order to accomplish this, a  firm
may submit the  following information to the CRD:   (the submission of data  is
voluntary).
                                    12-1

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                                                               6010
                                                               5/22/86
           EPA GUIDANCE FOR UTILIZATION OF S/M/WBE IN PROCUREMENT

                         UNDER ASSISTANCE AGREEMENTS
        a.  Name of firm and full address, including ZIP code.

        b.  Name of principal owner(s), partners, officials of the firm.

        c.  Telephone number(s), including Area Code Number.

        d.  A  concise  statement  of  the  firm's  capabilities and  any other
matters  which  are essential  to  explain  the  firm's business  operations.
(This is not to be construed as a capability statement.)

        e.  Principal  lines  of   business,   e.g.,  electrical,  structural,
demolition, paving, etc.  Also include types of any work performed to date.

        f.  Whether the firm has been certified by the SBA, a State, city or
local  jurisdiction or by  an agency  of  the  Federal  government as  either a
small, minority, or women-owned business.

        g.  Work performed  in  the  last 2 years  for a State or local project
or  for  the  Federal  Government.   If  such work  had been performed,  a brief
statement as to  the size of the subagreement, contract  or subcontract, what
the firm provided  in terms of goods or services and your performance record.

    3.  The CRD  entries are transmitted  once each quarter to each of the ten
(10)  EPA  Regions for  their use.   It  is  expected that these listings will be
made  available  to delegated States  or  recipients  who express a  desire to
obtain information on firms such as these which are located in their areas.

    4.  The  establishment  of  the CRD  is  not meant to displace nor supersede
any  listing  that  the  Regional  offices,  the delegated States  or  recipients
may  have  available.    It  is simply meant as a  supplement  to these listings
and is considered  as a part of EPA's  outreach program.
                                     12-2

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                                                                6010
                                                                5/22/86
           EPA GUIDANCE FOR UTILIZATION OF S/M/WBB IN PROCUREMENT

                         UNDER ASSISTANCE  AGREEMENTS
                                ATTACHMENTS




EPA Form 6005-1 	       1



EPA Form 6005-2 	       2


MBDA 91 Form 	       3



Recommended Certification Format	       4


EPA/MBDA Memorandum of Understanding 	       5



Listing of MBE/WBE Coordinators 	       6


Directory of MBDA Regional & District Offices 	       7



Minority Business Development Centers 	 	       8*


Survey of States, Cities & County MBE/WBE Programs 	       9*


40 CFR Part 33, March 28, 1983 	      10*
'Attachments 8,  9,  and 10 are available  upon  request.
                                    12-3

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                       6010
                       5/22/86
        UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY

        MINORITY
           AND
        WOMEN'S
        BUSINESS
       UTILIZATION
         REPORT
                        Attachmenr #1

-------
                REPORTING REQUIREMENTS ON MINORITY AND WOMEN'S
                              BUSINESS ENTERPRISE UTILIZATION         :
These instructions apply to reporting on the utilization of
minority and women's business enterprises (MBEs/
WBEs) under assistance agreements awarded by the
Environmental Protection Agency (EPA). They are in-
tended to provide guidance to EPA financial assistance
recipients in filling out the MBE/WBE utilization form.
Reporting on MBEs and WBEs is based on Executive
Orders 11625,12138, and 12432, and a Memorandum of
Understanding between  EPA and the Department of
Commerce. The reporting requirement applies to all EPA
assistance agreements awarded after April 1,1984..

Each assistance agreement recipient must submit quar-
terly an EPA Form 6005-1 on MBE/WBE utilization for
each grant or  cooperative  agreement for which the
recipient or its contractors) awards a subagreement.
Recipients must submit the forms to the EPA award
official within 15 days following the close of each fiscal
year quarter (i.e., January 15, April 15, July 15, and
October 15) during which the recipient or its contrac-
tor^) awards a subagreement(s). Additionally, appli-
cants for a Step 2+3 wastewater treatment construction
grant which includes an allowance for facilities  plan-
ning must submit an EPA Form 6005-1 to the award
official prior to grant award, indicating the level of
MBE/WBE panicipation during facilities planning. Appli-
cants for a Step 3 wastewater treatment construction
grant that includes an allowance for  facilities planning
and/or design  must submit an EPA Form 6005-1 to the
award official prior to grant award, indicating the level of
MBE/WBE participation during the allowance period.
Recipients are  advised to contact the regional office if
there are any questions concerning these instructions.
  INSTRUCTIONS FOR FILLING OUT BUSINESS
              UTILIZATION REPORT
I. The  name and address of recipient organization to
which EPA made the award (sewer or water authority,
state or state agency, etc.).
2. Name of the official representing the recipient.
3. (a) Self-explanatory, and (b) grant activity (e.g., air,
public water supply, wastewater construction, etc.).

4. Assistance agreement identification number as-
signed by EPA.

5. Self-explanatory.

6. Total amount of EPA award.

7. Indicate EPA region in which work is being performed.

8. Date that the assistance agreement was made.

9. Indicate MBE and WBE goals or standards, including,
where applicable, a fair share estimate.

Wastewater Construction Grant Awards. The Regional
Administrator will negotiate an overall fair share with
delegated States. The delegated State and not EPA may
determine whether  and to  what extent a fair share
should be established for each project. A fair share for
each project is not required.

All Other Applicable Assistance Agreements. When the
assistance agreement includes procurement, the Assis-
tant Administrator or Regional Administrator, or other
designated EPA official, a,s appropriate, will conduct fair
share negotiations directly with assistance recipients.

10. Recipients of wastewater construction grant awards
who received  an allowance for planning and  design
activities (Steps I and 2) must indicate the level of MBE
and WBE participation during the allowance period by
(a) A/E award(s), and (b) other award(s).

11. Recipients of assistance awards, including Step 2+3
and Step 3 wastewater  construction grant recipients
awarding subagreements for building, must indicate the
levels of MBE and WBE participation in all subagree-
ments by (a) A/E award(s), and (b) other award(s).

12. Person signing must be the authorized representa-
tive of the recipient organization.

13. Additional comments or explanations. Refer to the
specific item number on the  form, if applicable.
EPA Form 6006-1 (4-84)

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                                                                            6010
                                                                            5/22/86
US ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SMALL AND OISAOVANTAGEO BUSINESS UTILIZATION
^ WASHINGTON. DC 20480
^EPA RECIPIENT'S REPORT
NOTE: Please Read Instructions Before Completing Form.
1. RECIPIENT NAME AND ADDRESS
3. TYPE OF ASSISTANCE AGREEMENT
a. Check one: LJ Grant, LJ Cooperative Agreement
b. Grant Activity
Form Approved
OMB No. 2090-0006
Expires 10-31-86

2. AUTHORIZED REPRESENTATIVE
4. ASSISTANCE AGREEMENT ID NUMBER
5. PROJECT TITLE
6. ASSISTANCE AMOUNT 7. REGION 8. DATE OF ASSISTANCE AWARD
$
9. RECIPIENT'S GOAL. STATE GOAL. OR OTHER STANDARDS (if any)
Dollar Amount
MBE $
W8E $
Percentage of Assistance Amount
%
%
10(8). A/E SUBAGREEMENT AWARDS MADE DURING THE ALLOWANCE PHASE Winning and Design! OF A WASTEWATER TREATMENT
CONSTRUCTION GRANT PROJECT
Name, Address, and Telephone Number
(D
Name. Address, and Telephone Number
(2)
Name, Address, and Telephone Number
(3)
MBE
MBE
MBE
WBE
WBE
WBE

Type of Services Procured
Subagreemem Number
Subagreement Amount
$
Type of Services Procured
Subagreement Number
Subagreement Amount
$
Type of Services Procured
Subagreement Number
Subagreement Amount
$

Date of Award


Date of Award


Date of Award
1 0. OTHER SUBAGREEMENT AWARDS MADE DURING THE ALLOWANCE PHASE (Winning ami Design! OF A WASTEWATER TREATMENT
CONSTRUCTION GRANT PROJECT
Name. Address, and Telephone Number
(1)
Name. Address, and Telephone Number
(2)
Name. Address, and Telephone Number
(3)
MBE
MBE
MBE
WBE
WBE
WBE
Type of Services Procured
Subagreemem Number
Subagreement Amount
$
Type of Services Procured
Subagreement Number
Subagreement Amount
$
Type of Services- Procured
Subagreement Number
Subagreement Amount
$

Date of Award


Date of Award


Date of Award
EPA Form 6005-1 (4-84)

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1 Ka). A/E SUBAGREEMENT AWARDS MADE UNDER GRANTS/COOPERATIVE AGREEMENTS
Name. Address, and Telephone Number
VIBE
WBE
Type of Services Procured
                                                                Subagreemem Number
                                                                Subagreement Amount
                                                                  $
                                          Date of Award
Name, Address, and Telephone Number
  (2)
MBE
WBE
Type of Services Procured
                                                                Subagreement Number
                                                                Subagreement Amount
                                                                  $
                                         I Date of Award
Name. Address, and Telephone Number
MBE
WBE
Type of Services Procured
                                                                Subagreement Number
                                                                Subagreement Amount
                                          Date of Award
11 (b). OTHER SUBAGREEMENT AWARDS MADE UNDER GRANTS/COOPERATIVE AGREEMENTS
Name. Address, and Telephone Number
  (D
MBE
WBE
type of Services Procured
                                                                Subagreement Number
                                                                Subagreement Amount
                                                                  $
                                          Date of Award
Name. Address, and Telephone Number
  (2)
MBE
WBE
Type of Services Procured
                                                                Subagreement Number
                                                                Subagreement Amount
                                                                  $
                                          Date of Award
Name. Address, and Telephone Number
  (3)
MBE
WBE
Type of Services Procured
                                                                Subagreement Number
                                                                Subagreement Amount
                                                                  $
                                           Date of Award
12(a), NAME & TITLE OF AUTHORIZED REPRESENTATIVE (b) SIGNATURE
                                          (c) DATE
 13. SPACE PROVIDED FOR ADDITIONAL COMMENTS. EXPLANATIONS, OR ADDITIONAL SUBAGREEMENT AWARDS
 EPA Form 8005-1 (4-84)
                                                      Page 2 of 2

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                                                                               6010
                                                                               5/22/86
US ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SMALL AND OISADVANTAGEO BUSINESS UTILIZATION
WASHINGTON. DC 20460
t*E PA QUARTERLY MBE/WBE CONSOLIDATION REPORT
FISCAL TEAR REGION

REGIONAL FAIR PREPARED BY ;
SHARE T
1*1 Federal
FY Quarter
Tout Gram or Coooerettve Agreement
tuhagraarnant Dollars Awarded • $
Total Subegreement Dollar*
Awarded to MBEs
$
%
Total Subagreemem Dollars
Awarded to WBEs $
%
GRANT/COOPERATIVE AGREEMENT ACTIVITY

Air (SfCtion 1QS)
Water /S«crio/t 106i
Drinking Water ftWSSJ
Operator Training
Underground Infection Control IUICI
Hazardous Wane
Peetiades Enforcement
PMtiada* Certification and Training
Mural Water Association
dean Lake*
nQOateffCft ti»Q DwvlOpniCAt
SuperfundfStere/
WWT Conatruetion Grant*
AMewanoi (Apptm re *rep 2*3 md tup 3f
Oiner
2d Federal
FY Quarter
$
$
%
$
%
3d Federal
FY Quarter
$
$
%
$
%
4th Federal
FY Quarter
$
$
%
$
%
DATE
'Quarterly
Cumulative
$
$

$

FISCAL YEAR QUARTER
MBE
$













$
STATED '















WBE
$













$
STATES"















'This figura reflects the accumulation of fiscal year cumulative reporting (e.g.. quarterly cumulative will
b» a cumulation of quarters 1 and 2, etc.).
2 and 3 — See reverse side for explanation.
EPA Form 4O06-2 (Rev. •••4) Previous edition is obsolete
                                                                                      Actachmenc -;;2

-------
2Use this line to report the allowance portion of Step 2+3 and Step 3 A/E subagreement
 awards.

3Use this line to break out minority and women's business participation by State for a
 particular grant/cooperative agreement activity. If additional space isfequired, indicate
 "See Reverse," then show the overall figure on the front side of the form.
EXAMPLE
                                    MBE
     STATE(s)
      WBE
     STATE(S)
WWT Construction Grants
Allowance (tpplies to Step 2*3 and Step 31
$310.000
65,000
See Reverse
See Reverse
•67,000
18,600
See Reverse
|
See Reverse '
On this side, show the breakout by State in the space below or attach a separate sheet.
EXAMPLE
                                CONSTRUCTION
                            $310.000
$67,000
               ALLOWANCE
STATES
NJ
VI
PR
NY
MBE
$100.000
10.000
50,000
150.000
WBE
$22.000
0
10,000
35.000
MBE
$21:000
2.-000
10.000
32.000
WBE
$6,600
0
3.000
9,000
$65.000
$18.600
Entries to be made for any of the other grant/cooperative agreement activities should be
handled accordingly.
f M Form MO6-2 (K«v. •••4) H*w*rM

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               U.S. DEPARTMENT OF COMMERCE
               Minority Business Development Agency
               Interagency Report No. 1561-DOC-QU
               Revised 12/85
                    6010
                    5/22/86
                Minority Business Development Program (E.O. 12432)
                            MBDA-91 Report
            Agency:
            Prepared by:
            Period Covered: From

            Quarterly Report LJ

            Annual Plan    Q
FY
Telephone Number:.

To 	
.AN MINORITY BUSINESS DEVELOPMENT PLAN  MINORITY BUSINESS DEVELOI
PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS DE
ENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS
ELOPMENT PLAN  MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSIN
)EVELOPMENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY  B
SINESS DEVELOP
JSINESS DEVEL
'  BUSINESS DE
DRITY B
4INORIT
\N MINO
 PLAN M
                   NT PLAN M1NOR1T
                   MENT PLAN MIN<
                  ELOPMENT PLAN t
                         EPMENT ?U
                         VELOPMEN
                       DEVELOPMEN
                    II BUSINESS  DE
4ENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS Dl
OPMENT PLAN-MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINE
DEVELOPMENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINI
 DEVELOPMENT PLAN  MINORITY BUSINESS DEVELOPMENT PLAN MINORI'
INESS DEVELOPMENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINOR
BUSINESS DEVELOPMENT  PLAN MINORITY BUSINESS DEVELOPMENT PLAN Ml
)RITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS  DEVELOPMENT PLAN  f
DRITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS DEVELOPMENT
J  MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS DEVELOPME
LAN MINORITY  BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS DEVELO
 PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSINESS DE
IENT PLAN MINORITY  BUSINESS DEVELOPMENT  PLAN MINORITY BUSINES
/ELOPMENT PLAN MINORITY BUSINESS DEVELOPMENT PLAN MINORITY BUSIf
             PI AN MINORITY RIISINFSS DEVELOPMENT PLAN MINORITY  B
                                                   Attachment #3

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              MINORITY BUSINESS DEVELOPMENT PROGRAM
                                  MBDA-91 REPORT
                                    6010
                                    5/22/86
  I.  INTRODUCTION

     Executive Order 12432 (July 14, 1983) requires
     that each Federal Agency identified as having
     substantial procurement  or grant making
     authority develop an Annual Minority  Busi-
     ness Development  Plan to  increase Minority
     Business Participation and report on the prog-
     ress towards accomplishing this  plan. Agency
     plans should encourage prime contractors and
     grantee recipients to increase the use of
     minority firms as subcontractors. The Minor-
     ity Business Development Agency (MBDA),
     U.S. Department of Commerce, in coopera-
     tion with the  Small Business Administration
     (SBA), has revised the MBDA-91 for use by
     each agency  in the implementation of the
     required plans and quarterly reports.

     Individual agency reports  will  be reviewed
     and integrated  into the Annual Federal Agency
     Performance Report and submitted to the
     President by  the Secretary of Commerce
     through the Cabinet Council on Commerce
     and Trade.


 II.  GENERAL INSTRUCTIONS

     The MBDA-91 Report is used both to pre-
     pare the Annual Plan due on December 1 and
     report accomplishments  in Procurement
     Activity, Incentive Programs, Credit Assistance
     to include bank deposits, grant assistance and
     business management  and technical assistance.
     Each agency is required to  report cumulative
     information quarterly. Reports  are due no
     later than 60  days following the  end of each
     quarter. The fourth (4th) Quarter Report will
     represent the  agency's final report. Send all
     reports tfi

        U.ScQ*partment of Commerce
        Minority Business Development Agency
        Information Management Division, AR&I
        Room 5709
        14th and Constitution Avenue, N.W.
        Washington, D.C 20230

III.  PROCUREMENT PROGRAM
     ACTIVITIES

     The Procurement section should be used to
     report agency  procurement activities regard-
     leu of dollar value. The annual plan will identi-
     fy total procurement  objectives for the  fiscal
     year for each category.
    A. Total Agency Procurement includes all
       agency  appropriated  procurement awards.
       This includes prime  contracts, modifica-
       tions, purchase orders, delivery  orders
       against CSA or other  Federal agencies, set-
       asides,  8(a) awards, and other contracts.
       Excluded are Fedstrip/ Milstrip, interagency
       purchasing, impress funds, and  SF-44
       purchases.

    B.  Small Business Procurement  includes agency
       awards to all small businesses, as identified
       within total procurement.

    C. Minority Business Direct Procurement
       awards include all prims awards and modi-
       fications to minority business firms,  regard-
       less of firm size or award amount, exclud-
       ing 8(a) awards, as identified  within total
       procurement.

    D. 8(a) Procurement awards include any con-
       tract or contract modification awarded
       under Section  8(a) of the Small Business
       Act.

    I.  Total Agency Subcontracts  include  all sub-
       contract awards made by non-minority
       prime contractors as identified  by the
       agency.

    f.  Minority Business Subcontracts include all
       subcontract awards identified in E above
       that were  awarded to minority business
       enterprise.

    C. Minority Percentage  of Total Procurement
       includes items C, D, and F  divided by item
       A.

IV.  INCENTIVE PROGRAM ACTIVITY

     Section 211 of Public Law 95-507, authorizes
     each Federal  agency to provide appropriate
     incentives  within negotiated Contracts in order
     to encourage subcontracting opportunities
     with Small Business firms and  minority-owned
     businesses. Incentives can include pre-award
     evaluation points for proposals considered
     favorable by contracting agencies. It can also
     include costs plus an award fee or bonus. Like-
     wise incentive programs can be developed to
     provide awards, certificates and citations to
     contractors or agency employees for excel-
     lent performance.
     Agencies are  encouraged to develop in-house
     incentives  to assist minority  business devel-
     opment, other than those required by Feder-

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                                                                                   6010
      al regutatfons or law. Incentives included in
      grant and cooperative agreements must also
      be considered.  .


  V. CREDIT ASSISTANCE

      Credit Assistance involves  financial assistance
      provided through loans or loan guarantees,
      bonding assistance, insurance or insured mort-
      gage guarantee programs and disaster assi-
      tance.

      Also requested is  the average daily balance
      dan for Federal deposits in banks and savings
      and loan institutions.

 VI. GRANT AND  COOPERATIVE
      AGREEMENT  ASSISTANCE
      PROGRAMS

      Definitions and guidelines for reporting grants
      and cooperative agreements are based on
      the index to the Catalog of Federal Domestic
      Assistance and the Cooperative Agreement
      Act (Public Law 95-224).

      Assistance will  include formula or discretion-
      ary  grant awards, both project and direct
      payments, as weH as other grant awards.

VII.  BUSINESS MANAGEMENT AND
      TECHNICAL ASSISTANCE

      Most Federal agencies offer  some type of busi-
      ness management  and technical assistance.
      This could  include administrative assistance,
      financial  management services, procurement
      contract services, construction related  services,
      exporting assistance, counselling, training, and
      other referral  services  that assist  business
      development.  Some agencies offer actual
      structured programs while others provide
      assistant*!by Federal employees on an in-
      formai/wtlk-in  operation.  Management and
      Technical Assistance  also includes expansion
      of the industrial base by outreach  program
      activities.
VIII.  FURTHER
       PROGRAM DEFINITIONS

       Reference  is  made throughout  these forms
       to "minority  business."  The general defini-
       tion for these terms are listed below. In some
       cases, agencies with  specific statutory pro-
       grams may  have  more definitive definitions.
       Executive Order  12432 and The Presidential
       statement of December 17,  1982,  makes direct
       reference to minority business development.
       "Minority business enterprise" means a busi-
       ness which  is  at least 51V.  owned by one or
       more minority individuals, or in the case of any
       publicly owned business, at least 51%  of the
       voting stock is owned by one or more minority
       individuals.  The daily  business operations are
       likewise managed by the minority owner.
       "Minority individuals" are those  U.S. citizens
       who have been subjected to racial or  ethnic
       prejudice or  cultural bias because of their
       identity as  members of this group without
       regard to their individual qualities. Such groups
       include, but are not limited to:
      1. Black Americans - persons having origins
        in any of the black racial groups of Africa.
      2. Hispanic  Americans - all persons of Mexi-
        can.Puerto Rican,  Cuban, South or  Cen-
        tral American, Caribbean and  other Span-
        ish or Portuguese culture or origin.
      3. Native Americans -  persons having origins
        in any of the  original peoples of  North
        America  or the Hawaiian Islands, in par-
        ticular, American Indians, Eskimos, Aleuts
        and Native Hawaiians.
      4. Asian-Pacific Americans - persons having
        origins from Japan, China, the Philippines,
        Vietnam, Korea, Samoa, Guam, the U.S.
        Trust Territories of the  Pacific, Northern
        Marianas, Laos, Cambodia, Taiwan and India.
      5. Other groups  whose members are U.S.
        citizens and are found to be disadvantaged
        by the Small Business Administration pur-
        suant to  Section 8{d) of  the Small Business
        Act as amended (15 U.S.C 637(d)), or the
        Secretary of Commerce.

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Section 1. Procurement Program Activities FY
Agency:
Period Covered
Prom
To
Report
Annual
••••••^H
6010
5/22/86
of Actual D
Plan Q
                                (To the  Dollar)
 A.  Total Agency Procurement:

 B.  Shall Business Procurement:

 C.  Minority Business Direct Procurement:

 D.  8(a) Procurement:

 E.  Total Agency Subcontracts:

 F.  Minority Business Subcontracts:

 G.  Minority Percentage of Total Procurement:
            C+D+F
              A
               Section 2.  Incentive Program Activity   FY
                                (To the  Dollar)

A.  Number of Agency contracts under PL 95-507 with incentive provisions for
    minority business subcontracting plans:  	

B.  Dollar Value of Agency contracts under PL 95-507 with incentive provisions
    for minority business subcontracting plans:  	

C.  Number of Agency contracts below the threshold requirements of PL 95-507
    that include incentive provisions for minority business subcontracting
    plans:  	

D.  Dollar value of Agency contracts below the threshold requirements of
    PL 581-507 that include incentive provisions for minority business
    sdDBBntracting planss  	

E.  If incentive provisions were included within a grant award program to
    encourage minority business subcontracting/ identify the program name:

              1.  	

              2.

              3.  	

              4.  	

              5.

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                     Section 3.  credit Assistance    rx
6010
5/32/86
                              (To the  Dollar)
A.  Total dollar  value of Agency business loans  and business loan
    guarantees:	

B.  Dollar value  of  Agency minority business loans and minority business
    loan guarantees:	

C.  Tbtal dollar  value of Agency surety bond guarantees:   	
D.  Dollar value  of Agency minority business surety bond guarantees:
E.  Average daily balance of Agency deposits in banks and savings and loan
    institutions:   	

F.  Average daily balance of Agency deposits in minority banks and minority
    savings and loan institutions:  	,
    Section 4.  Grant and Cooperative Agreement Assistance Programs   FY

                              (To the Dollar)
 A.   Federal Agency Grants and Cooperative
     Agreement Awards To:

     1.   State and Local Governments
     2~   Nbn-Profit Organizations and
         Educational Institutions
     3.   Business Firms
     4.   Others  (to include individuals)

                                   Totals
 B.  Grant Contracts Awarded by:

    1.  State and Local Governments
    2.  tfon-Profit Organizations and
        Educational Institutions
    3.  Business Firms
    4.  Others (to include individuals)
                                  Totals
Tbtal Awards
$

Minority Business
Awards
$
M/»
\fc
x-

Tbtal Awards
$

Minority Business
Awa»-rt<»
S


-------
                            (To  the Dollar)
1.   Total dollar value of agency business management and technical
    assistance programs:     _

2.   Dollar value of agency business management and technical assistance
    programs indicated in Item 1,  which directly benefit minority
    business development:                          .

3.   Identify the program name or staff function(s)/position(s) that offer
    business management and technical assistance.  Also, indicate those
    programs that directly benefit minority business development:

    1.

    2.

    3.   	             '

    4.   	

    5.

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                                                            6010
                                                            5/22/86
MINORITY, SMALL, AND WOMEN'S BUSINESS ENTERPRISE CERTIFICATION

     I understand that the information I submit in this certi-
fication must be accurate and complete. I also understand that
Title 18, U.S.C., Section 1001, prescribes penalties for making
false statements in this certification.  I certify that:

     1. This business meets the appropriate definition in
        40 CFR §33.005(b) for a small business
          Name (signed)
          Name (printed or typed)
          Title
          Name of Business

     2. This business meets the appropriate definition in
        40 CFR §33.005(b) for a Minority'business enterprise;
          Name (signed)
          Name (printed or typed)
          Title
          Name of Business
     3. This business meets the appropriate definition in
        40 CFR §33.005(b) for a Women's business enterprise
          Name (signed)
          Name (printed or typed)
          Title
          Name of Business
                                                      ATTACHMENT #4

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                                                      6010
                                                      5/22/86
                       - 2 -
4. This business is at least 51  percent owned and controlled
   by United States citizens:
     Name (signed)
     Name (printed or typed)
     Title

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                                                                   6010
                                                                   5/22/86
                         MEMORANDUM OF  UNDERSTANDING
                                 BETWEEN  THE
                     U.S.  ENVIRONMENTAL PROTECTION  AGENCY
                                   AND  THE
                     MINORITY  BUSINESS  DEVELOPMENT  AGENCY
 INTRODUCTION

 This  Memorandum  of Understanding  (MOU)  provides the  details  of  a worldng
 relationship  between  the U.S.  Environmental  Protection  Agency [hereinafter,
 EPA]  and  the  Minority Business  Development  Agency  [hereinafter, MBDA].  EPA
 and MBDA  will  enter Into a joint  arrangement which will  be  known as  the
 "EPA/MBDA Minority Assistance  Program."

 The EPA/MBDA  program  will  combine the  resources of both  agencies in  a  manner
 designed  to assist minority business to  enhance their participation  in
 contracts under  EPA grants and  cooperative  agreements.   This program is
 designed  to enhance EPA responsibilities  under Executive Order  (EO)  12432
 and MBDA's objective  to provide assistance  to minority  business.

 WHEREAS,  the  MBDA, U.S. Department  of  Commerce, has  specific authority to
 establish policies and programs for the  development  of  minority business
 enterprises;  and,

 WHEREAS,  the  MBOA, U.S. Department  of  Commerce, has  been designated  by the
 Cabinet Council  on Commerce and Trade  to  assist the  Council  in  its
 implementation of  EO  12432; and,

 WHEREAS,  it is the policy  of EPA  to encourage and  assist its grantees  to
 implement effective programs of minority  subcontracting  that will meet
 requirements  of  EO 12432 and President  Reagan's minority business objectives
 announced December 17, 1982; in accordance  with the  Secretary of Commerce's
 uniform program  guidance issued to  EPA,  November 22, 1983;

 Now,  Therefore,  EPA and MBDA agree  as  follows:

      A. MBDA  Responsibilities

        1. MBDA agrees to coordinate  use of its electronic  mail system for
            the  purposes of receivi ng  EPA notices  of potenti al  grant awards
            as well as notices  of minority  subcontract! ng opportuni ties
            under  EPA grants and  cooperative agreements.

        2. MBDA,  as  appropriate, will  encourage its Minority Business
            Development Centers (MBDCs) to  identify  minority firms
            interested in  and  capable  of  participating  in procurements under
            EPA  grants and cooperative  agreements, and  to the extent
            feasible, will  provide  business  management  and technical
            information to those  minority businesses identified.
PWOH73930877

                                                            Attachment  #5

-------
                                                                  6010
                                                                  5/22/36
2.
        3.  MBDA will  provide EPA information on the results of this
            program.

        4.  MBOA Regional Directors will  establish and maintain a liaison
            program with EPA regional  staff in support of this program.

        5.  MBOA will  coordinate training with EPA for MBDA regional offices
            and funded organizations to implement this program.

        6.  MBDA will  encourage its MBDCs to work directly with EPA
            designated state offices.

     B. EPA Responsibilities

        1.  EPA will provide notices of potential grant and cooperative
            agreement  awards to MBDCs  through the MBDA electronic mail
            system, or other appropriate procedures.

        2.  EPA regional staff will provide MBDCs with information on
            procurement opportunities  under EPA awarded grants and
            cooperative agreements in  a timely and systematic manner through
            the MBDA electronic mail system or other appropriate
            procedures.

        3.  EPA regional staff will encourage all award recipients to notify
            MBDCs of any pre-bid conferences and ensure that minority
            entrepreneurs are notified and encouraged to attend such
            conferences.

        4.  EPA will designate a representative to monitor the progress made
            under this agreement and will prepare quarterly reports as part
            of its reports under EO 12432 through the use of the MBDA-91
            Form.

        5.  EPA will share information on its programs and policies, as
            needed, with MBOA.

        6.  If EPA decides to make use of the MBDA electronic mail system,
            prior to such utilization EPA will enter into an interagency
            agreement  with MBDA under the Economy Act of 1932, as amended
            (31 U.S.C. §1535) to reimburse MBDA for the use of this
            service.

        7.  EPA will encourage recipients of its grants and cooperative
            agreements to use MBDCs to comply with EPA minority
            subcontracting requirements.

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3.
                                                                   6010
                                                                   5/22/36
     C. Monitoring

        The MBOA and EPA will  participate in the monitoring of this
        agreement.  EPA will  have  primary responsibility for evaluating the
        results of this agreement  as  part of EO 12432 reporting procedure.

     D. Duration

        This agreement  is effective when signed by both agencies.  Either party
        may terminate this agreement  provided that a thi rty-day advance notice in
        writing is provided to  the other party.

     E. Effecti ve

        Signed in Washington,  District of Columbia this 13th day
        of Aug.  1985.
            gafr^is--,-^
U.JA
Jairiels-fer'Richardson Gonzales                A. James Barnes
01 rector                                   Deputy Adnri ni strator
Minority Business Development  Agency        U.S. Environmental  Protection Agency

-------
               HEADQUARTERS AND REGIONAL SDBD COORDINATORS
                                   AND
                       MBE PROGRAM REPRESENTATIVES
                                                                       6010
                                                                       5/22/86
Headquarters MBE Coordinator

Lupe Saldana

U.S. Environmental Protection Agency
Grants Administration Division
401 M Street, S.W.
Washington, D.C.  20460

Region I

George Coblyn, Coordinator
Ruth Ricker   (Water)
Joe Fripp  (Water)
Susan Zoino-Quealy (Superfund)

Environmental Protection Agency
John F. Kennedy Federal Building
Boston, MA  02203
 FTS (8) 382-5245/CM(202) 382-
 PTS (8) 223-4631/CM<6!7)-223-
         223-3961
         223-3961
         223-1950

 STATES
 Conn.    New Hampshire
 Mass*    Rhode Island
 Maine    Vermont
Region II

Carmen Negron, Coordinator
Vacant    (Water)
Steve Lustig (Superfund)

Environmental Protection Agency
26 Federal Plaza
New York, NY  10278

Region III

Rochelle Suylas, Coordinator
Alan Hollis (Water)
Lorna Shull (Superfund)

Environmental Protection Agency
841 Chestnut Bldg.
13th Floor
Philadelphia, PA  19106

Region IV

Vivian Jonei, Coordinator
Jim Favors (Water)
Russ Wright (Superfund)

Environmental Protection Agency
345 Courtland Street, N.E.
Atlanta, GA  30365
 FTS (8) 264-l709/CM<212)-264-

         264-2647
 STATES
 New Jersey
 New York
Puerto Rico
Virgin Islands
FTS (8) 597-6157/CM(215)-597-
        597-9868
        597-6906
 STATES
 Delaware
 District of Col.
 Maryland
       Penn.
       Virginia
       West Virginia
FTS (8) 257-7900/CM<404)-257-
        257-4491
        257-2643
 STATES
 Alabama
 Florida
 Georgia
 Kentucky
Mississippi
North Carolina
South Carolina
Tennessee
                                                                   Attachment  16

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                                  - 2 -
                         6010
                         5/22/86
Region V

Robert Springer
GameCta Clark, Coordinator
Bob Richardson (Water)
Tom Mateer (Superfund)

Environmental Protection Agency
230 South Dearborn Street
Chicago, IL  60604

Region VI

Ben Chavez, Coordinator
Hendon Crane (Water)
Bonnie De Vos (Superfund)

Environmental Protection Agency
First International Building
1201 Elm Street
Dallas, TX  75270

Region VII

Georganne Mullins, Coordinator
R. Katherine Biggs (Superfund)

Environmental Protection Agency
726 Minnesota Ave.
Kansas City, Kansas  66101

Region VIII

Bobby Hodges, Coordinator
Maurice Velasquez (Water)
Martha Rosenberg  (Superfund)

Environmental Protection Agency
999 18th Street - Suite 1300
Denver, CO  80202
Region IX

Don De La Cerna, Coordinator
Karen Englehart (Water)
Keith Takata (Superfund)

Environmental Protection Agency
215 Fremont Street
San Francisco, CA  94105

Region X

Carolyn Jones, Coordinator
Kathy Davidson (Superfund)

Environmental Protection Agency
1200 6th Avenue
Seattle, WA  98101
FTS (8) 353-2024/CM(312)-353-
        886-5262
        353-2190
        886-6157
STATES
Illinois
Indiana
Michigan
Minnesota
Ohio
Wisconsin
FTS (8) 729-9893/CM(214)-767-
        729-2848
        729-9091
STATES
Arkansas
Louisiana
New Mexico
Oklahoma
Texas
FTS (8) 757-2825/CM(913)-236-
        757-2856
STATES
Iowa
Kansas
Missouri
Nebraska
FTS (8) 564-1494'CM(303)-293-
        564-1558
        564-1519
STATES
Colorado
Montana
North Dakota
South Dakota
Utah
Wyoming
FTS (8) 454-8020/CM(415)-974-
        454-8305
        454-7076
STATES
Arizona
California
Hawaii
Nevada
 FTS  (8)  399-7268/CM(206)-442-
         399-1088
 STATES
 Alaska
 Idaho
 Oregon
 Washington
                                                                         Attachment  #6

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                                                                        6010
                                                                        5/22/86
                                 HEADQUARTERS
                                   CONTACTS
 Office  of  Small  and  Disadvantaged  Business Utilization
 Ceorge  K.  Mori  (Policy)
 Elaine  Rice  (Operations)

 U.S.  Environmental  Protection  Agency
 401 M Street, S.W.
 (A-149C)
 Washington,  D.C.  20460
 FTS(8) 557-9301/CM(703)  557-
       557-9300
 Office  of General  Counsel

 J.  Kent Holland, Jr.  (Operations)
 Hark  Cordon  (Policy)

 U.S.  Environmental Protection Agency
 401 M Street,  S.W.
 (LE-132C)
 Washington, D.C.'   20460
FTS(8) 382-53l3/CM(202)  382-
       475-8886
Grants Adninistration Division

Richard A. Johnson (Policy)

U.S.  Environmental Protection Agency
401 II Street, S.W.
(PM-216)
Washington, D.C.  20460
FTS(8) 382-5296/CM(202) 382	
Municipal Construction Division

Tod Cold

U.S. Environmental Protection Agency
401 M Street, S.W.
(WH-547)
Washington, D.C.  20460


Suporfund

Canille Joel-Lee

U.S.  Environmental Protection Agency
401 M Street, S.W.
(WI1-548A)
Washington,  D.C.  20460
FTS(8) 382-7376/CM(202) 382	•
       382-7906/CM(202)  382	
                                                                  Attachment 16

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                                            6010
                                            5/22/86
             DIRECTORY OF

     REGIONAL & DISTRICT OFFICES

                 AND

MINORITY BUSINESS DEVELOPMENT CENTERS

          FEBRUARY 1, 1986
 MINORITY BUSINESS DEVELOPMENT AGENCY
     U.S. DEPARTMENT OF COMMERCE

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                                                        6010
                                                        5/22/86
PREFACE
Established in the  U.S. Department of  Commerce  by  Executive  Order
11458 in  1969, and  expanded by  Executive  Order  11625  in  1971,  the
Minority  Business Development Agency  (MBDA) promotes  and
encourages minority business ownership.   Originally called the
Office of Minority  Business Enterprise,  it was  renamed in  1979  and
redirected in support of larger minority  firms  in  growth
industries.

MBDA coordinates and monitors minority business  support  in the.
public and private  sectors, and sponsors  a national network  of
Minority  Business Development Centers  (MBDCs) offering management
counseling to minority entrepreneurs.  The centers receive
operating funds from MBDA and report client services  to  MBDA.

Business  Development Center counselors advise minority owners  in
areas such as marketing, accounting, personnel management, and
business  training.  They help owners to secure government and
private procurement contracts,  and to  assemble  financial packages
for submission to lenders.  The Minority  Business  Development
Agency itself does not make loans.

Business  services are offered for a nominal fee  to current
minority  business operators and those  considering  starting a
business.

Executive Order 11625 defines a minority  business  enterprise as
follows:

             •Minority business enterprise"  means a
         business  enterprise that is  owned or controlled by
         one or more socially or economically disadvantaged
         persons.  Such disadvantage may  arise  from cultural,
         racial, chronic economic circumstances  or background
         or other similar cause.  Such persons  include,  but
         are not limited to, Negroes,  Puerto Ricans,  Spanish-
        . speaking Americans, American  Indians, Eskimos,  and
         Aleuts.

For Further information, contact:

                   Information Clearinghouse, Room 6708
                   Minority Business Development Agency
                   U.S. Department of  Commerce
                   Washington, D.C.    20230
                   202/377-2414

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FEB. 1, 1986
                                                               6010
                                                               5/22/86
                              REGIONAL OFFICES
NAME/TITLE
ADDRESS
TELEPHONE
Xavier Mena
Director

OPERATE STATES:
Willie Williams
Director
OPERATE STATES:
Carlton Eccles
Director
OPERATE STATES:
David Vega
Director
OPERATE STATES:
Georgina A. Sanchez
Director

OPERATE STATES:
Melda Cabrera
Acting Director


OPERATE STATES:
SAN FRANCISCO REGIONAL OFFICE
221 Main Street, Room 1280        415-974-9597
San Francisco, CA   94105         FTS-454-9597
Alaska, American Samoa, Arizona/ California,
  Hawaii, Idaho, Nevada, Oregon, Washington

WASHINGTON REGIONAL OFFICE
14th & Constitution Avenue, N.W.
Room 6711                          202-377-8275
Washington, D.C.   20230           FTS-377-8275
Delaware, Maryland, Pennsylvania, Virginia,
  Washington-D.C., West Virginia

ATLANTA REGIONAL OFFICE
1371 Peachtree Street, N.E.
Suite 505                          404-881-4091
Atlanta, GA   30309                FTS-257-4091
Alabama, Florida, Georgia', Kentucky,
  Mississippi, No. Carolina, So. Carolina,
  Tennessee
CHICAGO REGIONAL OFFICE
55 East Monroe Street
Suite 1440
Chicago, IL   60603
                                                             312-353-0182
                                                             FTS-353-0182
Illinois, Indiana, Iowa, Kansas, Michigan,
  Minnesota, Missouri, Nebraska, Ohio,
  Wisconsin

NEW YORK REGIONAL OFFICE
26 Federal Plaza, Room 3720        212-264-3262
New York, NY   10278               FTS-264-3262
Connecticut, Maine, Massachusetts,
  New Hampshire, New Jersey, Puerto Rico,
  Rhode Island, Vermont, The Virgin islands

DALLAS REGIONAL OFFICE
1100 Commerce Street
Room 7B19                          214-767-8001
Dallas, TX   75242                 FTS-729-8001
Arkansas, Colorado, Louisiana, Montana,
  New Mexico, No. Dakota, So. Dakota,
  Oklahoma, Texas, Utar>, Wyoming

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                             DISTRICT OFFICES
                                                                 6010
                                                                 5/22/86
NAME/TITLE
ADDRESS
TELEPHONE
Vacant
District Officer

Vacant
District Officer

Rudy Suarez
District Officer
R. K. Schwartz
District Officer

Alfonso C. Jackson
District Officer
2500 Wilshire Blvd.,  Suite  908
Los Angeles, CA   90057

333 W. Colfax Avenue, Room  305
Denver, CO   80204

Federal Office Bldg., Room  930
51 SW 1st Avenue
Miami, FL   33130

441 Stuart St., 9th  Floor
Boston, MA   02116

Federal Office Bldg., Rm. 9436
600 Arch Street
Philadelphia, PA    19106
213-688-7157
FTS-798-7157

303-844-2767
FTS-564-2767
305-350-5054
FTS-350-5054

617-223-3726
FTS-223-3726
215-597-9236
FTS-597-9236
 6U.8. GOVERNMENT PRINTING OFFICS: 1986-621-73 SI 60506

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