Participation by Disadvantaged Business Enterprises in Procurement under EPA Financial Assistance Agreements (Reinstatement)

Forms and Documents

Document Name	Status
Form 6100-1b Participation by Disadvantaged Business Enterprises in Procurement under Environmental Protection Agency (EPA) Financial Assistance Agreements Form and Instruction	Modified
2047.04 Comment Responses.docx Supplementary Document	2012-12-20
2047ss04 ROCIS 8.9.13.docx Supporting Statement A	2013-08-09

IC Document Collections

IC ID	Document Title	Status
181388	Participation by Disadvantaged Business Enterprises in Procurement under Environmental Protection Agency (EPA) Financial Assistance Agreements Form and Instruction	Modified

ICR Details

OMB Control No: 2090-0030	ICR Reference No: 201211-2090-001
Status: Historical Active	Previous ICR Reference No: 200805-2090-001
Agency/Subagency: EPA/AdmO	Agency Tracking No: 2047.04
Title: Participation by Disadvantaged Business Enterprises in Procurement under EPA Financial Assistance Agreements (Reinstatement)
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 08/13/2013
	Date Received in OIRA: 11/07/2012
Terms of Clearance: This ICR is approved for a period of 2 years until 2015, when EPA will undertake a comprehensive review of the Disadvantaged Business Enterprise rule. This ICR should be revised in accordance with lessons learned from this review with a focus on maximizing practical utility and minimizing public burden associated with collecting the information necessary to carry out the functions of this program.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2015	36 Months From Approved
Responses	1,865	0	0
Time Burden (Hours)	11,614	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: EPA currently requires an entity to be certified in order to be considered a Minority Business Enterprise (MBE) or Women's Business Enterprise (WBE) under EPA's Disadvantaged Business Enterprise (DBE) Program. EPA currently requires an entity to first attempt to become certified by a federal agency (e.g., the Small Business Administration (SBA), or the Department of Transportation (DOT)), or by a State, locality, Indian Tribe or independent private organization so long as their applicable criteria match those under Section 8(a)(5) and (6) of the Small Business Act and applicable implementing regulations. EPA only certifies firms that are denied certification by one of these entities. To qualify as an MBE or WBE under EPA's programs an entity must establish that it is owned and/or controlled by socially and economically disadvantaged individuals who are of good character and are citizens of the United States. Entities that meet the aforementioned requirements and wish to obtain an EPA DBE certification must submit a DBE Certification Application to the Office of Small Business Programs based on business type: Sole Proprietorship (6100-1a); Limited Liability Company (6100-1b); Partnership (6100-1c); Corporation (6100-1d); Alaska Native Corporation (6100-1e); Tribally Owned Business (6100-1f); Private and Voluntary Organization (6100-1g); Native Hawaiian Organization (6100-1h); or Community Development Corporation (6100-1i). The EPA DBE Program also includes contract administration requirements designed to prevent unfair practices that adversely affect DBEs. There are three forms associated with these requirements: EPA Form 6100-2 (DBE Subcontractor Participation Form), EPA Form 6100-3 (DBE Subcontractor Performance Form), and EPA Form 6100-4 (DBE Subcontractor Utilization Form). The requirements to complete these forms are intended to prevent any ''bait and switch'' tactics at the subcontract level by prime contractors which may circumvent the spirit of the DBE Program.

---

Authorizing Statute(s): US Code: 42 USC 4370d Name of Law: Clean Water Act
   US Code: 42 USC 7601 Name of Law: Clean Air Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 32087	05/31/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 66831	11/07/2012
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Participation by Disadvantaged Business Enterprises in Procurement under Environmental Protection Agency (EPA) Financial Assistance Agreements	6100-1b, 6100-1a, 6100-1c, 6100-1d, 6100-1e, 6100-1f, 6100-1g, 6100-1h, 6100-1i, 6100-4, 6100-3, 6100-2	EPA DBE Certification Application (Limited Liability Company) ,   EPA DBE Certification Application (Sole Proprietorship) ,   EPA DBE Certification Application (Partnerships) ,   EPA DBE Certification Application (Corporations) ,   EPA DBE Certification Application (Alaska Native Corporations) ,   EPA DBE Certification Application (Tribally Owned Businesses) ,   EPA DBE Certification Application (Private and Voluntary Organizations) ,   EPA DBE Certification Application (Concerns Owned by Native Hawaiian Organizations) ,   EPA DBE Certification Application (Concerns Owned by Community Development Corporations) ,   DBE Subcontractor Utilization Form ,   DBE Subcontractor Performance Form ,   DBE Subcontractor Participation Form

---

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	1,865	0	0	1,865	0	0
Annual Time Burden (Hours)	11,614	0	0	11,614	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This Reinstatement estimates the respondent burden at 11,614 hours. The total number of affected recipients and total number of hours has decreased from the previously approved ICR 2047.02. The change in the total number of burden hours and total cost reflects updated information derived from DOT calculations and the Bureau of Labor Statistics. It also reflects more accurate information as it pertains to burden hours and number of respondents. The previous ICR 2047.02 was developed at the inception of the DBE Program. The five-year period for which the program has existed has allowed EPA to include more accurate information based on experience and data gathered from current EPA grantee files.

---

Annual Cost to Federal Government: $17,351

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/07/2012

---