2. MINORITY BUSINESS ENTERPRISE/ WOMAN BUSINESS ENTERPRISE (MBE/WBE) REPORTING EPA Office of Small Business Programs Disadvantaged Business Enterprise (DBE) Program Computer-Based Learning Series Start

3. Who is Required to Report MBE/WBE Participation? MBE and WBE participation must be reported by all recipientsrecipients, including those recipients exempted under § 33.411 § 33.411 from the requirement to apply the fair sharefair share objectivesobjectives, on EPA Form 5700–52A (40 CFR 33.502).Form 5700–52A40 CFR 33.502 Back Next

4. Purpose of MBE/WBE Reporting The purpose of MBE/WBE reporting is to monitor the grant recipient’s: Accomplishments in Utilizing MBEs and WBEs; Adherence to the Good Faith Efforts (i.e., outreach to MBEs, WBEs, and other DBEs); andGood Faith Efforts DBE Progress in Achieving MBE and WBE Goals. Next Back

5. Grant Recipient Responsibilities Complete & submit EPA Form 5700-52A for each reporting period at a frequency specified in the grant agreement, to the appropriate EPA office and personnel as identified in their financial assistance agreement.financial assistance agreement. 1 1 Back Next

6. Grant Recipient Responsibilities Submit “negative reports” (e.g., reports where there were no MBEs or WBEs utilized, or no procurement expenditures of any kind were made during the reporting period). 2 2 Back Next

7. Grant Recipient Responsibilities Collect and retain/document data on MBE, WBE, and total procurement expenditures made for the grant project up to the “Total Assistance Agreement Amount” (i.e., the grantee’s total procurement budget). 3 3 Back Next

8. Grant Recipient Responsibilities Report procurement expenditures from all sources [i.e., the EPA grant recipient, sub-recipients, loan recipients (and the prime contractors of all three entities)]. 4 4 Back Next

9. Reporting Frequencies & Due Dates Back Next Recipients of Continuing Environmental Program Grants under 40 CFR Part 35, Subpart A;40 CFR Part 35, Subpart A Recipients under 40 CFR Part 35, Subpart B;40 CFR Part 35, Subpart B General Assistance Program (GAP) grants for tribal governments and intertribal consortia; andGeneral Assistance Program (GAP) Institutions of higher education, hospitals and other non- profit organizations receiving financial assistance agreements under 40 CFR Part 30.40 CFR Part 30 Annual Reporters Must submit their completed EPA Form 5700-52A to EPA within 30 days of the end of the annual reporting period (October 30th). Recipients of financial assistance agreements that capitalize revolving loan funds; and All other recipients not specified as “annual reporters.” Semi- Annual Reporters Must submit their completed EPA Form 5700-52A to EPA within 30 days of the end of the semiannual reporting period (April 30th and October 30th).

10. Things to Consider when Counting MBE/WBE Participation Back Next MBEs & WBEs must be officially certified as such in order to claim/report them as MBE/WBE on EPA Form 5700-52A. (See Certification Fact Sheet)See Certification Fact Sheet MBEs and WBEs may not act as Brokers or Passive conduits of funds. A MBE or WBE Trucker must serve a “commercially-useful” function. The amount counted towards a MBE or WBE Prime Contractor may not exceed 100% of the contract value. To be claimed 100% MBE or WBE, a Prime Contractor who is a MBE or WBE may not sub-award more than 49% of its contract value to a non- MBE/WBE.

11. MBE/WBE Reporting Under Revolving Loan Programs EPA financial assistance recipients that capitalize Revolving Loan Programs need only report “Total Procurement Dollars” in the amount of loans equal or up to the capitalization grant amount.Revolving Loan Programs Entities receiving identified loans must submit their MBE/WBE participation reports/data to the EPA grant recipient (rather than to EPA).identified loans EPA financial assistance recipients that capitalize Revolving Loan Programs must ensure that they receive procurement reports from revolving loan recipients in time to meet EPA’s MBE/WBE Reporting deadlines. Next Back

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13. Knowledge Check Recipients that are exempt from the fair share objective requirements are also exempt from reporting MBE/WBE participation. TRUE FALSE MBE/WBE participation should be reported on EPA Form 5700-52A. A grant recipient should submit “negative reports” (e.g., reports where there were no MBEs or WBEs utilized, or no procurement expenditures of any kind were made during the reporting period). TRUE FALSE Back Finish GAP grant recipients should report semi-annually. MBEs & WBEs must be officially certified as such in order to claim/report them. EPA financial assistance recipients that capitalize Revolving Loan Programs need only report “Total Procurement Dollars” in the amount of loans equal or up to the capitalization grant amount. TRUE FALSE

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15. Fair Share Objectives A fair share objective is an objective based on the capacity and availability of qualified, certified MBEs and WBEs in the relevant geographic market for the procurement categories of construction, equipment, services and supplies compared to the number of all qualified entities in the same market for the same procurement categories, adjusted, as appropriate, to reflect the level of MBE and WBE participation expected absent the effects of discrimination. A fair share objective is not a quota (40 CFR 33.403).40 CFR 33.403 A recipient must negotiate with the appropriate EPA award official or his/her designee, fair share objectives for MBE and WBE participation in procurement under the financial assistance agreements (40 CFR 33.401).40 CFR 33.401 Back

16. Disadvantaged Business Enterprise (DBE): an entity owned or controlled by a socially and economically disadvantaged individual as described by Public Law 102–389 (42 U.S.C. 4370d) or an entity owned and controlled by a socially and economically disadvantaged individual as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note); a Small Business Enterprise (SBE); a Small Business in a Rural Area (SBRA); or a Labor Surplus Area Firm (LSAF), a Historically Underutilized Business (HUB) Zone Small Business Concern, or a concern under a successor program. Disadvantaged Business Enterprise (DBE): an entity owned or controlled by a socially and economically disadvantaged individual as described by Public Law 102–389 (42 U.S.C. 4370d) or an entity owned and controlled by a socially and economically disadvantaged individual as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note); a Small Business Enterprise (SBE); a Small Business in a Rural Area (SBRA); or a Labor Surplus Area Firm (LSAF), a Historically Underutilized Business (HUB) Zone Small Business Concern, or a concern under a successor program. Back

17. Recipient: an entity that receives an EPA financial assistance agreement or is a sub-recipient of such agreement, including loan recipients under the Clean Water State Revolving Fund Program and the Brownfields Cleanup Revolving Loan Fund Program. Back

18. Financial Assistance Agreement: grants or cooperative agreements awarded by EPA. The term includes grants or cooperative Agreements used to capitalize revolving loan funds, including, but not limited to, the Clean Water State Revolving Loan Fund (CWSRF) Program under Title VI of the Clean Water Act, as amended, 33 U.S.C. 1381 et seq., the Drinking Water State Revolving Fund (DWSRF) Program under section 1452 of the Safe Drinking Water Act, 42 U.S.C. 300j–12, and the Brownfields Cleanup Revolving Loan Fund (BCRLF) Program under section 104 of the comprehensive Environmental Response, Compensation and Liability Act, 42 U.S.C. 9604. Financial Assistance Agreement: grants or cooperative agreements awarded by EPA. The term includes grants or cooperative Agreements used to capitalize revolving loan funds, including, but not limited to, the Clean Water State Revolving Loan Fund (CWSRF) Program under Title VI of the Clean Water Act, as amended, 33 U.S.C. 1381 et seq., the Drinking Water State Revolving Fund (DWSRF) Program under section 1452 of the Safe Drinking Water Act, 42 U.S.C. 300j–12, and the Brownfields Cleanup Revolving Loan Fund (BCRLF) Program under section 104 of the comprehensive Environmental Response, Compensation and Liability Act, 42 U.S.C. 9604. Back

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21. The Six Good Faith Efforts: required methods implored by all EPA financial assistance agreement recipients to ensure that all disadvantaged business Enterprises (DBEs) have the opportunity to compete for procurements funded by EPA financial assistance dollars. Back

22. Identified Loan: Identified loan means a loan project set-aside activity receiving assistance from a recipient of an EPA financial assistance agreement to capitalize a revolving loan fund, which: (1) In the case of the CWSRF Program, is a project funded from amounts equal to the capitalization grant; (2) In the case of the DWSRF Program, is a loan project or set-aside activity funded from amounts up to the amount of the capitalization grant; or (3) In the case of the BCRLF Program, is a project that has been funded with EPA financial assistance. Identified Loan: Identified loan means a loan project set-aside activity receiving assistance from a recipient of an EPA financial assistance agreement to capitalize a revolving loan fund, which: (1) In the case of the CWSRF Program, is a project funded from amounts equal to the capitalization grant; (2) In the case of the DWSRF Program, is a loan project or set-aside activity funded from amounts up to the amount of the capitalization grant; or (3) In the case of the BCRLF Program, is a project that has been funded with EPA financial assistance. Back