Federal & State Reporting for Supplier Diversity
undefined
U
C
B
e
r
k
e
l
e
y
/
U
C
S
a
n
F
r
a
n
c
i
s
c
o
S
u
p
p
l
i
e
r
D
i
v
e
r
s
i
t
y
B
a
s
i
c
s
Module 3: Federal & State of California
Reporting
M
o
d
u
l
e
2
:
S
u
p
p
l
i
e
r
D
i
v
e
r
s
i
t
y
B
a
s
i
c
s
C
u
r
r
i
c
u
l
u
m
Module 1: Policy and Regulatory Requirements
Module 2: Campus Responsibilities
Module 3: Federal and State of California Reporting
2
For UC Berkeley and UC San Francisco
Employees – What You Need to Know
M
o
d
u
l
e
2
:
L
e
a
r
n
i
n
g
O
b
j
e
c
t
i
v
e
s
B
e
f
o
r
e
t
a
k
i
n
g
t
h
i
s
m
o
d
u
l
e
,
y
o
u
n
e
e
d
t
o
p
a
r
t
i
c
i
p
a
t
e
i
n
M
o
d
u
l
e
s
1
&
2
.
In this module, you will:
Learn how queries are run from campus financial systems and how the
Individual Subcontracting Report (ISR) & the Summary Subcontracting
Report (SSR) are filed
Learn the documentation that must be maintained whenever spending
does not occur with the specific small businesses for which goals were
set in the Small Business Subcontracting Plan.
Be able to provide such an explanation to the Contracting Officer of the
agency or institution that awarded the funding to the University
Bookmark EPA webpages to find information about how to file EPA
5700-2a forms
3
F
e
d
e
r
a
l
C
o
n
t
r
a
c
t
s
/
S
u
b
c
o
n
t
r
a
c
t
s
R
e
p
o
r
t
i
n
g
The University’s responsibilities include:
Search the applicable search engines, including the Explorer tool to
find potential small and diverse businesses
Consult with the Supplier Diversity Program Manager to find
potential small business suppliers
Track project small and diverse business spend against project
small business spend goals
Maintain ongoing documentation in the event the project team has
not been able to purchase from small businesses as they planned.
Report this information to the Contracting Officer within 30 days of
the expiration of the agreement.
4
F
e
d
e
r
a
l
C
o
n
t
r
a
c
t
s
/
S
u
b
c
o
n
t
r
a
c
t
s
R
e
p
o
r
t
i
n
g
5
eSRS report types, their due dates, & the type of spend that needs to be
reported are shown below.
F
e
d
e
r
a
l
C
o
n
t
r
a
c
t
s
/
S
u
b
c
o
n
t
r
a
c
t
s
R
e
p
o
r
t
i
n
g
(
c
o
n
t
’
d
)
6
E
x
a
m
p
l
e
:
A
n
a
g
r
e
e
m
e
n
t
i
s
s
i
g
n
e
d
w
i
t
h
N
A
S
A
f
o
r
t
h
e
c
o
n
t
r
a
c
t
p
e
r
i
o
d
1
/
1
3
/
1
3
t
o
1
/
1
3
/
1
5
.
I
S
R
s
&
S
S
R
s
m
u
s
t
b
e
f
i
l
e
d
f
o
r
t
h
e
p
e
r
i
o
d
s
a
s
s
h
o
w
n
b
e
l
o
w
.
I
f
w
e
h
a
v
e
m
o
r
e
t
h
a
n
o
n
e
N
A
S
A
a
g
r
e
e
m
e
n
t
,
N
A
S
A
s
p
e
n
d
f
o
r
a
l
l
t
h
o
s
e
c
o
n
t
r
a
c
t
s
/
s
u
b
c
o
n
t
r
a
c
t
s
c
a
n
b
e
s
h
o
w
n
o
n
o
n
e
S
S
R
s
u
b
m
i
t
t
e
d
t
o
N
A
S
A
.
U
C
B
e
r
k
e
l
e
y
B
F
S
Q
u
e
r
i
e
s
7
U
C
B
E
R
K
E
L
E
Y
I
n
o
r
d
e
r
t
o
t
r
a
c
k
t
h
e
a
m
o
u
n
t
s
t
h
a
t
e
a
c
h
p
r
o
j
e
c
t
h
a
s
s
p
e
n
t
w
i
t
h
a
l
l
t
y
p
e
s
o
f
s
m
a
l
l
b
u
s
i
n
e
s
s
e
s
a
t
U
C
B
e
r
k
e
l
e
y
(
w
e
w
i
l
l
a
d
d
r
e
s
s
U
C
S
a
n
F
r
a
n
c
i
s
c
o
i
n
l
a
t
e
r
s
l
i
d
e
s
)
,
t
w
o
B
e
r
k
e
l
e
y
F
i
n
a
n
c
i
a
l
S
y
s
t
e
m
(
B
F
S
)
q
u
e
r
i
e
s
m
u
s
t
b
e
r
u
n
i
n
B
F
S
9
.
2
:
1.
SS_FED_REPORTING Fed Reporting 1 of 3”
2.
“The UC_PO_VNDR_DIVERSITY_RG Vendor Diversity”
Run the queries to Excel, so that the resulting worksheets can be
sorted & filtered to calculate the correct data needed for the eSRS
report
U
C
B
e
r
k
e
l
e
y
B
F
S
Q
u
e
r
i
e
s
8
Each of these queries requires:
1)
From Paid Date (DD/MM/YYYY)
2)
To Paid Date (DD/MM/YYYY)
3)
The 5 digit Fund code assigned to this agreement
U
C
B
e
r
k
e
l
e
y
B
F
S
Q
u
e
r
i
e
s
9
Running the queries and calculating the totals is assigned to the
Supplier Diversity Program Manager at UCB, so we will not go into
more detail in this session.
You should be aware that:
1)
The funding entity whether the federal government agency, a
higher education institution or a for profit business will review
the spend in the ISR and SSR that UCB submits in eSRS.
2)
If no spend occurs for any subcategories with dollar/percentage
goals, UCB PI and Project Team must provide an explanation:
including why no spend occurred and the efforts to be made to
make progress toward the goals before the next reporting cycle.
E
l
e
c
t
r
o
n
i
c
S
u
b
c
o
n
t
r
a
c
t
i
n
g
R
e
p
o
r
t
i
n
g
S
y
s
t
e
m
(
e
S
R
S
)
10
The first column is preloaded by the federal government with the dollar amounts
& percentages from the Small Business Subcontracting Plan which the federal
agency has approved for the project.
F
e
d
e
r
a
l
E
l
e
c
t
r
o
n
i
c
R
e
p
o
r
t
i
n
g
S
y
s
t
e
m
(
e
S
R
S
)
–
R
e
p
o
r
t
i
n
g
E
x
a
m
p
l
e
The Supplier Diversity Program Coordinator must complete this electronic report for each federal contract exceeding $550,000 for which a Small Business Subcontracting Plan has been approved. The dollars spent are extracted from a BFS query showing all small business spend based on the Fund Code assigned to the project.
If the project team has spent
zero dollars for any category
where they had set goals on the
Small Business Subcontracting
Plan:
A
n
e
x
p
l
a
n
a
t
i
o
n
m
u
s
t
b
e
e
n
t
e
r
e
d
t
o
e
x
p
l
a
i
n
w
h
y
n
o
s
p
e
n
d
o
c
c
u
r
r
e
d
,
b
a
s
e
d
o
n
t
h
e
P
I
’
s
i
n
p
u
t
.
T
h
e
p
r
e
p
a
r
e
r
m
u
s
t
a
l
s
o
d
e
s
c
r
i
b
e
t
h
e
e
f
f
o
r
t
s
t
o
b
e
m
a
d
e
b
y
t
h
e
p
r
o
j
e
c
t
t
e
a
m
t
o
s
p
e
n
d
w
i
t
h
t
h
e
b
u
s
i
n
e
s
s
(
e
s
)
.
I
S
R
E
x
t
r
a
c
t
:
T
h
e
d
o
l
l
a
r
s
s
p
e
n
t
a
r
e
e
x
t
r
a
c
t
e
d
f
r
o
m
a
c
a
m
p
u
s
f
i
n
a
n
c
i
a
l
q
u
e
r
y
s
h
o
w
i
n
g
t
h
e
c
u
m
u
l
a
t
i
v
e
l
a
r
g
e
b
u
s
i
n
e
s
s
s
p
e
n
d
,
a
n
d
s
m
a
l
l
b
u
s
i
n
e
s
s
s
p
e
n
d
b
a
s
e
d
o
n
t
h
e
F
u
n
d
C
o
d
e
a
t
U
C
B
o
r
t
h
e
P
r
o
j
e
c
t
I
D
a
t
U
C
S
F
The first column
“Whole Dollars”
must be loaded
with the dollar
amounts &
percentages
from the
approved Small
Business
Subcontracting
Plan.
E
l
e
c
t
r
o
n
i
c
S
u
b
c
o
n
t
r
a
c
t
i
n
g
R
e
p
o
r
t
i
n
g
S
y
s
t
e
m
(
e
S
R
S
)
11
The first column is preloaded by the federal government with the dollar amounts
& percentages from the Small Business Subcontracting Plan which the federal
agency has approved for the project.
F
e
d
e
r
a
l
E
l
e
c
t
r
o
n
i
c
R
e
p
o
r
t
i
n
g
S
y
s
t
e
m
(
e
S
R
S
)
–
R
e
p
o
r
t
i
n
g
E
x
a
m
p
l
e
The Supplier Diversity Program Coordinator must complete this electronic report for each federal contract exceeding $550,000 for which a Small Business Subcontracting Plan has been approved. The dollars spent are extracted from a BFS query showing all small business spend based on the Fund Code assigned to the project.
S
S
R
E
x
t
r
a
c
t
:
T
h
e
d
o
l
l
a
r
s
s
p
e
n
t
f
o
r
t
h
e
s
p
e
c
i
f
i
c
r
e
p
o
r
t
i
n
g
p
e
r
i
o
d
s
h
o
w
n
o
n
a
l
l
I
S
R
s
f
o
r
a
s
p
e
c
i
f
i
c
a
g
e
n
c
y
a
r
e
a
d
d
e
d
u
p
a
n
d
s
h
o
w
n
f
o
r
e
a
c
h
c
l
a
s
s
i
f
i
c
a
t
i
o
n
t
y
p
e
o
n
t
h
e
S
S
R
.
T
h
e
f
i
r
s
t
c
o
l
u
m
n
“
W
h
o
l
e
D
o
l
l
a
r
s
”
m
u
s
t
b
e
l
o
a
d
e
d
w
i
t
h
t
h
e
d
o
l
l
a
r
s
a
c
h
i
e
v
e
d
f
o
r
j
u
s
t
t
h
e
r
e
p
o
r
t
i
n
g
p
e
r
i
o
d
.
A
l
l
o
f
t
h
e
c
o
n
t
r
a
c
t
s
/
s
u
b
c
o
n
t
r
a
c
t
s
w
i
t
h
t
h
a
t
a
g
e
n
c
y
a
r
e
l
i
s
t
e
d
i
n
t
h
e
R
e
m
a
r
k
s
s
e
c
t
i
o
n
.
U
C
S
a
n
F
r
a
n
c
i
s
c
o
O
r
a
c
l
e
P
e
o
p
l
e
S
o
f
t
Q
u
e
r
i
e
s
I
n
o
r
d
e
r
t
o
t
r
a
c
k
&
r
e
p
o
r
t
t
h
e
a
m
o
u
n
t
s
t
h
a
t
e
a
c
h
p
r
o
j
e
c
t
h
a
s
s
p
e
n
t
w
i
t
h
a
l
l
t
y
p
e
s
o
f
b
u
s
i
n
e
s
s
e
s
a
t
U
C
S
a
n
F
r
a
n
c
i
s
c
o
,
o
n
e
O
r
a
c
l
e
P
e
o
p
l
e
S
o
f
t
q
u
e
r
y
m
u
s
t
b
e
r
u
n
.
E
a
c
h
o
f
t
h
e
s
e
q
u
e
r
i
e
s
r
e
q
u
i
r
e
s
:
1)
Date From: (DD/MM/YYYY)
2)
Date To: (DD/MM/YYYY)
3)
The 5 digit Project ID assigned to this agreement followed
by the percentage sign %
12
The ISR & SSR formats are the same in the
federal reporting system, eSRS: See slides
11 & 12 for extracts of those types of
reports.
E
n
v
i
r
o
n
m
e
n
t
a
l
P
r
o
t
e
c
t
i
o
n
A
g
e
n
c
y
C
o
o
p
e
r
a
t
i
v
e
A
g
r
e
e
m
e
n
t
R
e
p
o
r
t
i
n
g
R
e
m
e
m
b
e
r
f
r
o
m
M
o
d
u
l
e
s
1
&
2
?
T
h
e
S
u
p
p
l
i
e
r
D
i
v
e
r
s
i
t
y
P
r
o
g
r
a
m
M
a
n
a
g
e
r
m
u
s
t
r
e
p
o
r
t
M
B
E
&
W
B
E
u
t
i
l
i
z
a
t
i
o
n
EPA funded agreements must report on their accomplishments toward
the fair share goals for Minority Business Enterprise (MBE) & Women
Business Enterprise (WBE)
An annual or semi-annual EPA Form 5700-52a
(
http://www.epa.gov/osbp/pdfs/5700 52a.pdf
) must be filed depending on
the EPA regulations which apply.
The signed electronic copy must be sent to
Parker.Veronica@epa.gov
in
the U.S. EPA Region 9 Office.
More information on completing the form can be found on the link to the
5700-52A form above.
M
o
d
u
l
e
3
:
L
e
a
r
n
i
n
g
O
b
j
e
c
t
i
v
e
s
In this module, you have:
Learned how queries are run from campus financial systems and
how the resulting data is entered on an Individual Subcontracting
Report (ISR) & on a Summary Subcontracting Report (SSR)
Gained the information you need to document whenever spend
with small businesses for which goals were set in the Small
Business Subcontracting Plan cannot be achieved and how to
provide an explanation to the Contracting Officer at the close of
the agreement.
Bookmarked EPA webpages to find information about how to file
EPA 5700-2a forms
14
S
u
m
m
a
r
y
o
f
M
o
d
u
l
e
s
15
These modules have now provided you with the supplier
diversity basics for both UC Berkeley & UC San Francisco.
We invite you to return to them to refresh to your knowledge
whenever you are working with a PI receiving federal funding
or an EPA Cooperative Agreement recommending spend with
Minority & Women Business Enterprises.
Module 1: Policy and Regulatory Requirements
Module 2: Campus Responsibilities
Module 3: Federal and State of California Reporting
Welcome to the Supplier Diversity Basics training session. Hang onto your seats. This is an overview that will transport you to a basic understanding of how we support small and diverse businesses and maintain compliance with regulatory requirements.
This module covers federal and state reporting requirements related to supplier diversity, focusing on responsibilities, documentation, and reporting processes. Learn about Individual Subcontracting Report (ISR), Summary Subcontracting Report (SSR), and University responsibilities in tracking and reporting small and diverse business spending. Explore federal contracts/subcontracts reporting, including eSRS report types, due dates, and spend reporting specifics.
Download Presentation
Please find below an Image/Link to download the presentation.
The content on the website is provided AS IS for your information and personal use only. It may not be sold, licensed, or shared on other websites without obtaining consent from the author. Download presentation by click this link. If you encounter any issues during the download, it is possible that the publisher has removed the file from their server.
E N D
Presentation Transcript
UC Berkeley / UC San Francisco Supplier Diversity Basics Module 3: Federal & State of California Reporting
Module 2: Supplier Diversity Basics Curriculum For UC Berkeley and UC San Francisco Employees What You Need to Know Module 1: Policy and Regulatory Requirements Module 2: Campus Responsibilities Module 3: Federal and State of California Reporting 2
Module 2: Learning Objectives Before taking this module, you need to participate in Modules 1 & 2. In this module, you will: Learn how queries are run from campus financial systems and how the Individual Subcontracting Report (ISR) & the Summary Subcontracting Report (SSR) are filed Learn the documentation that must be maintained whenever spending does not occur with the specific small businesses for which goals were set in the Small Business Subcontracting Plan. Be able to provide such an explanation to the Contracting Officer of the agency or institution that awarded the funding to the University Bookmark EPA webpages to find information about how to file EPA 5700-2a forms 3
Federal Contracts/Subcontracts Reporting The University s responsibilities include: Search the applicable search engines, including the Explorer tool to find potential small and diverse businesses Consult with the Supplier Diversity Program Manager to find potential small business suppliers Track project small and diverse business spend against project small business spend goals Maintain ongoing documentation in the event the project team has not been able to purchase from small businesses as they planned. Report this information to the Contracting Officer within 30 days of the expiration of the agreement. 4
Federal Contracts/Subcontracts Reporting eSRS report types, their due dates, & the type of spend that needs to be reported are shown below. Individual Subcontracting Report (ISR) for Each Agreement 10/1/XX (prior yr) to 3/31/XX (current yr) regular Due no later than By 4/30 Spend Type Cumulative spend through 3/31 of current year Cumulative spend through 9/30 of current year Cumulative 10/1/XX (prior yr) to 9/30/XX (current yr) annual report which includes spend reported for period above - regular By 10/31 Within 30 days of expiration date Due no later than 10/1/XX agreement expiration - final Spend Type Summary Subcontracting Report (SSR) 10/1/XX (prior yr) to 9/30/XX (current yr) annual report which includes spend reported for period above By 10/31 Spend for this period only 5
Federal Contracts/Subcontracts Reporting (contd) Example: An agreement is signed with NASA for the contract period 1/13/13 to 1/13/15. ISRs & SSRs must be filed for the periods as shown below. If we have more than one NASA agreement, NASA spend for all those contracts/subcontracts can be shown on one SSR submitted to NASA. ISR/SSR type Spend type Report Due By ISR: 1/13/13 through 3/31/13 regular SSR: 1/13/13 through 3/31/13 regular ISR: cumulative SSR: if required, only for this period. 4/30/13 Both: 1/13/13 through 9/30/13 - regular ISR: cumulative SSR: only for this period. 10/31/13 10/1/13 through 3/1/14 regular SSR *only if written in most recent agreement ISR: cumulative SSR: if required, only for this period. 4/30/14 Both: 10/1/13 through 9/30/14- regular ISR: cumulative SSR: only for this period. 10/30/14 Both: 10/1/14 through 1/13/15 - FINAL* ISR: cumulative since last report SSR: report actual spend when next SSR is due 2/13/15 6
UC Berkeley BFS Queries UC BERKELEY In order to track the amounts that each project has spent with all types of small businesses at UC Berkeley (we will address UC San Francisco in later slides), two Berkeley Financial System (BFS) queries must be run in BFS 9.2: 1. 2. SS_FED_REPORTING Fed Reporting 1 of 3 The UC_PO_VNDR_DIVERSITY_RG Vendor Diversity Run the queries to Excel, so that the resulting worksheets can be sorted & filtered to calculate the correct data needed for the eSRS report 7
UC Berkeley BFS Queries Each of these queries requires: 1) From Paid Date (DD/MM/YYYY) 2) To Paid Date (DD/MM/YYYY) 3) The 5 digit Fund code assigned to this agreement 8
UC Berkeley BFS Queries Running the queries and calculating the totals is assigned to the Supplier Diversity Program Manager at UCB, so we will not go into more detail in this session. You should be aware that: 1) The funding entity whether the federal government agency, a higher education institution or a for profit business will review the spend in the ISR and SSR that UCB submits in eSRS. 2) If no spend occurs for any subcategories with dollar/percentage goals, UCB PI and Project Team must provide an explanation: including why no spend occurred and the efforts to be made to make progress toward the goals before the next reporting cycle. 9
Electronic Subcontracting Reporting System (eSRS) ISR Extract: The dollars spent are extracted from a campus financial query showing the cumulative large business spend, and small business spend based on the Fund Code at UCB or the Project ID at UCSF The first column Whole Dollars must be loaded with the dollar amounts & percentages from the approved Small Business Subcontracting Plan. If the project team has spent zero dollars for any category where they had set goals on the Small Business Subcontracting Plan: An explanation must be entered to explain why no spend occurred, based on the PI s input. The preparer must also describe the efforts to be made by the project team to spend with the business(es). 10
Electronic Subcontracting Reporting System (eSRS) SSR Extract: The dollars spent for the specific reporting period shown on all ISRs for a specific agency are added up and shown for each classification type on the SSR. The first column Whole Dollars must be loaded with the dollars achieved for just the reporting period. All of the contracts/subcontracts with that agency are listed in the Remarks section. 11
UC San Francisco Oracle PeopleSoft Queries In order to track & report the amounts that each project has spent with all types of businesses at UC San Francisco, one Oracle PeopleSoft query must be run. Each of these queries requires: 1) Date From: (DD/MM/YYYY) 2) Date To: (DD/MM/YYYY) 3) The 5 digit Project ID assigned to this agreement followed by the percentage sign % The ISR & SSR formats are the same in the federal reporting system, eSRS: See slides 11 & 12 for extracts of those types of reports. 12
Environmental Protection Agency Cooperative Agreement Reporting Remember from Modules 1 & 2? The Supplier Diversity Program Manager must report MBE & WBE utilization EPA funded agreements must report on their accomplishments toward the fair share goals for Minority Business Enterprise (MBE) & Women Business Enterprise (WBE) An annual or semi-annual EPA Form 5700-52a (http://www.epa.gov/osbp/pdfs/5700 52a.pdf ) must be filed depending on the EPA regulations which apply. The signed electronic copy must be sent to Parker.Veronica@epa.gov in the U.S. EPA Region 9 Office. More information on completing the form can be found on the link to the 5700-52A form above.
Module 3: Learning Objectives In this module, you have: Learned how queries are run from campus financial systems and how the resulting data is entered on an Individual Subcontracting Report (ISR) & on a Summary Subcontracting Report (SSR) Gained the information you need to document whenever spend with small businesses for which goals were set in the Small Business Subcontracting Plan cannot be achieved and how to provide an explanation to the Contracting Officer at the close of the agreement. Bookmarked EPA webpages to find information about how to file EPA 5700-2a forms 14
Summary of Modules These modules have now provided you with the supplier diversity basics for both UC Berkeley & UC San Francisco. We invite you to return to them to refresh to your knowledge whenever you are working with a PI receiving federal funding or an EPA Cooperative Agreement recommending spend with Minority & Women Business Enterprises. Module 1: Policy and Regulatory Requirements Module 2: Campus Responsibilities Module 3: Federal and State of California Reporting 15
