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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
5/22/86
INI-
TIAL-
SERIES
NUMBER
DATE
INI-
TIAL
SERIES
NUMBER
DATE
INI-
TIAL
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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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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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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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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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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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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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.
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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
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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.
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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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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
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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.
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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,
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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
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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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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
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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?
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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?
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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.
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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
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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.
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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.
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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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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:
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(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.
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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).
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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,
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(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
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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.
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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.
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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.
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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
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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
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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
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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:
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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
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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
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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
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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
-------
6010
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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
-------
6010
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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
-------
6010
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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
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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
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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)
-------
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
-------
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-
-------
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.
-------
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.
-------
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
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(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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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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- 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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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
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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.
-------
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
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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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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
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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
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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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