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Disadvantaged Business Enterprise (DBE)


Funded projects (even if federally funded) are subject to NCGS 143-128.2, and it’s implementing regulation, 01 NCAC 30I. You can learn more about this at the State Office of Historically Underutilized Business.

There are a number of Federal laws, executive orders and government-wide policies that apply to projects and activities receiving Federal financial assistance, regardless of whether the statute authorizing the assistance makes them applicable. Since Federal capitalization grant money was used to seed the Drinking Water State Revolving Fund (DWSRF) program, any money received through the DWSRF program is subject to these Federal "authorities". As an example, the environmental evaluation section, covered in the Preliminary Engineering Report (PER) guideline, stems from environmental authorities, such as, the Endangered Species Act and Wild and Scenic Rivers Act. In addition, there are social policy and economic authorities that must be complied with in order to receive funding through the DWSRF program. These authorities include:

  • Age Discrimination Act of 1975, Pub. L. 94-135
  • Title VI of the Civil Rights Act of 1964, Pub. L. 88-352
  • Section 13 of the Federal Water Pollution Control Act Amendments of 1972, Pub. L. 92-500 (Clean Water Act)
  • Section 504 of the Rehabilitation Act of 1973, Pub. L. 93-112 (including Executive Orders 11914 and 11250)
  • Uniform Relocation and Real Property Acquisition Act, Pub. L. 91-646, as amended
  • Women's and Minority Business Enterprise, Executive Orders 11625, 12138 and 12432
  • Section 129 of the Small Business Administration Reauthorization and Amendment Act of 1988, Pub. L. 100-590
  • Equal Employment Opportunity, Executive Order 11246
  • Debarment and Suspension, Executive Order 12549
  • Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans

The Special Conditions Packages discuss, in more detail, the requirements of these authorities and explain the actions required of the contractors involved in a State or DWSRF funded project. Please review each section and complete any associated documents.

Special Conditions Packages

Both packages listed below include flowcharts for Owner's DBE requirements and Contractor's DBE Requirements.  They also include the following forms and checklists that may be downloaded separately:

All Projects

Document Description / Pages / Version
State Owner's Compliance Package (OCP-S) and State Special Conditions Package (State SCP) (MSWord) (PDF) DBE (Disadvantaged Business Enterprise) Compliance Package for North Carolina Water Supply Projects that Are State Funded 32 pages / 10 June 2013
PWS010 Owner’s Checklist and Affidavit of the Good Faith Efforts 1 page
PWS011 Owner’s Intent to Perform Work with Own Workforce (Force Account) 1 page
State DBE Checklist for Owners 1 page
Affidavit A Listing of the Good Faith Effort 1 page
Affidavit B Intent to Perform Contract with Own Workforce 1 page
Affidavit C Portion of the Work to be Performed by Minority Firms 3 pages
EPA 6100-4 Subcontractor Utilization Form 2 pages
State DBE Checklist for Prime Contractors 1 page

Federal Drinking Water State Revolving Fund (DWSRF) Projects

Document Description / Pages / Version
Federal Special Conditions Package (DWSRF SCP) (MSWord) (PDF) DBE (Disadvantaged Business Enterprise) Special Conditions Package for North Carolina Water Supply Projects that are funded by the Federal Drinking Water State Revolving Fund (DWSRF) Loan Program 54 pages / 17 July 2013
PWS001 Resources Used to Identify DBE Contractors 4 pages
PWS003 Record of DBE Solicitation 2 page
EPA 6100-4 Subcontractor Utilization Form 2 pages
PWS008 Certification Regarding Debarment, Suspension and other Responsibility Matters 1 page
EPA 6100-2 and -3 DBE Subcontractor Participation Form and DBE Subcontractor Performance Form 3 pages
DWSRF SCP Checklist for Contractors & Subs 1 page
DWSRF SCP Checklist for Owners 2 pages
DOL Form WH-1321 (English / Spanish PDF) U.S. Dept. of Labor “Employee Rights Under the Davis-Bacon Act” Poster 1 page / April 2009
DOL Form WH-347 (PDF) U.S. Dept. of Labor Weekly Payroll Report 2 pages / December 2008
GSA Form SF-1445 (PDF) U.S. General Services Administration Labor Standards Interview 1 page / December 1996

Other Items of Interest

State information Federal Information
Public Water Supply's Resources Page to help you find DBE contractors EPA's Policy "EPA Guidance for Utilization of Small, Minority and Women's Business Enterprises in Procurement Under Assistance Agreements - 6010"
DBE (and other) Factsheets Federal DBE Rules
DEQ Policy on Environmental Equity Federal Fair Share Requirements