WELCOME August 2007 Annual Compliance Training

The purposes of Conn. Gen Statute 4a-60g:  To foster and encourage Connecticut small and small minority business enterprises participation in State of Connecticut contracts.  To stimulate the economic growth of Connecticut’s small and minority business enterprises.  To use Connecticut’s small and minority owned businesses to meet Federal, State, Municipal and private development needs. Statute 4a-60g

WHO IS SUBJECT TO THE REQUIREMENTS OF 4a-60g? Each State Agency, including, Board, Commission, Council, Office and Department.

Annual Goals Calculation Reports are now due August 30, On or before (September 30, 1995) August 30, 2007, and annually thereafter, each state agency and each political subdivision of the state other than a municipality setting aside contracts or portions of the contracts shall prepare a report establishing small and minority business set-aside program goals for the twelve –month period beginning July first in the same year. Each such report shall be submitted to the Commissioner of Administrative Services, the Commission on Human Rights and Opportunities and the co- chairpersons and ranking members of the joint standing committees of the General Assembly having cognizance of matters relating to planning and development and government administration and elections.

ALLOWABLE EXEMPTIONS FROM THE SBE/MBE GOALS CALCULATION REPORTING REQUIREMENTS: Adopted Budget less than $10,000 Agencies that have an Adopted Fiscal Year Budget Amount $10,000 or less---- are deemed exempt from compliance in this Fiscal Year. The Agency is required to submit a letter to the Commissioner of the Department of Administrative Services specifying this Adopted Budget Amount as being $10,000 or less and expressing they are exempt in this Fiscal Year. The Department of Administrative Services will then advise the Agency of their exempt status.

ALLOWABLE EXEMPTIONS FROM THE SBE/MBE GOALS CALCULATION REPORTING REQUIREMENTS: Amount Available for SBE/MBE Program is less than $10,000 AFTER Goal Calculation Agencies after completing their Fiscal Year 2008 Annual Goals Calculations Report, that have a remaining Total Amount Available For MBE/SBE Program of $10,000 or less are deemed exempt in this Fiscal Year. The Department of Administrative Services will then advise the Agency of their approved exempt status.

ALLOWABLE EXEMPTIONS FROM THE SBE/MBE GOALS CALCULATION REPORTING REQUIREMENTS: Please Note: Although an Agency may be confirmed exempt in any given Fiscal Year, the DAS/Supplier Diversity and CHRO does not exempt and/or excuse them from their responsibility to make a “Good-Faith Effort” towards soliciting bids (and/or RFP’s) and making purchases whereby they utilize Certified Small and Minority businesses in the State of Connecticut in order to enhance their future economic growth.

LETS GET STARTED WITH THE ANNUAL GOALS PACKAGE

FY08 GOAL CALCULATION 1.Insert the TOTAL Agency Adopted Budget for FY2008. Include funds received from all sources.

FY08 GOAL CALCULATION PAGE- 2 FEDERALLY FUNDED EXPENDITURES List and describe all Federally funded items from Federal dollars only. [Eligible Deduction] Total Amount will automatically link to Page – 1 (Summary Page)

FEDERALLY FUNDED EXPENDITURES Contracts that may not be assigned to SBE/MBE (Set-Aside) Vendors due to conflict with a Federal Law or regulation (per CGS Sec. 4a-60g) can be deducted from your Agency’s goal-setting Total Amount.

FY08 GOAL CALCULATION Page 3- NON-PURCHASING BUDGETED EXPENDITURES Enter Amounts for listed categories only. For Employee Related Costs must list each item. Total Amount will automatically link to Page – 1 (Summary Page)

Non-Purchasing Budgeted Expenditures These are Non-Purchasing based line Items (except for telecommunications) from your Adopted Fiscal Year 2008 Budget, Direct Overhead Expenses and are a deduction against your Agency’s goal-setting Total Amount. * Telecommunications (Telephone Services only) is a purchasing item, however this service is not customarily available by an SBE/MBE. (AT&T, SBC, etc.)

FY08 GOAL CALCULATION Page – 4 STATUTE/REQUIRED BUDGETED EXPENDITURES Total Amount will automatically link to Page – 1 (Summary Page)

Statute/Required Budgeted Expenditure Items Items listed on this page are per a specific Statute, an allowable exemption from your Agency’s goal-setting Total Amount. BESB – Board of Education for the Blind (C.S.G b) Total Amount only for this category needs to be entered. CCI-Connecticut Correctional Industries (C.S.G ) Total Amount only for this category needs to be entered. CCPA-Connecticut Community Providers Association (C.G.S.-17b-656) This category requires each Agency to provide a breakdown list of each Expenditure/Contract (please include Contract numbers). Public Notice Advertising- the projected cost for advertising placed in media, per compliance with state regulations/statutes. (Bid Notices, Employment Advertising). Interagency Transfers-Interagency transfers that result in no external purchasing activities. This would include all interagency transfers between State Agencies.

FY08 GOAL CALCULATION Page – 5 AGENCY REQUESTED EXEMPTIONS List each item using category # 1-5. Also, include: Contract #’s, electronic link to Contract, list of Vendors and a complete explanation to justify your request.

AGENCY REQUESTED EXEMPTIONS [ ALL ITEMS REQUIRE DAS APPROVAL ] (1)SOLE SOURCE (2)INSURANCE SERVICES (3)DUES&SUBSCRIPTIONS (4)CONTRACTUAL SERVICES FROM NON-PROFIT/COMMUNITY BASED ORGANIZATIONS (5)CURRENT STATE AGENCY CONTRACTS

Agency Requested Exemptions Sole Source- is not permissible unless a requirement is available from only a single supplier. A requirement for a particular proprietary item does not justify a sole source procurement if there is more than one potential bidder or offeror for that item. The following are some examples of circumstances which could necessitate sole source procurement: - where the compatibility of equipment, accessories, or replacement parts is the paramount consideration - where a sole supplier’s item is needed for trial use or testing - where public utility services are to be procured

Agency Requested Exemptions Insurance Services – The Department of Administrative Services requires each Agency to provide a list of Insurance Providers/Vendors that you utilize as part of your detailed explanation. This list will assist in the determination of the exemption request. These Insurance Services are not customarily available by an SBE/MBE and will be reviewed for exemption from your goal setting process.

Agency Requested Exemptions Dues and Subscriptions- The Department of Administrative Services asks that each Agency to provide a list of Vendors and a detailed explanation. The cost for Dues and Subscriptions is not customarily available by an SBE/MBE and will be reviewed for exemption from your goal setting process.

Agency Requested Exemptions Contractual Services from Non-Profit and Community-Based Organizations Agency is required to provide a copy of the Contract with the Non Profit or Community Based Organization along with a detailed explanation specifying why there are no opportunities for SBE/MBE involvement. If available, please provide an electronic link to the Contract/Agreement.Agency should indicate if there is any contractual language in the contract with the non- profit or community based organization related to subcontracting with SBE/MBE’S. (This item does not include BESB, CCI and CCPA, which are all included on Page – 4.)

Agency Requested Exemptions Current State Agency Contracts Provide a copy of the Contract along with a detailed explanation why this is not customarily available from an SBE/MBE (include Contract Names & #’s). This should include any multi year contract, Full Service Contracts (i.e. Sysco Foods, Vanguard Direct, Eastern Bag&Paper).

FY08 GOAL CALCULATION FOR STATE AGENCIES the entire package to: & &

FY08 GOAL CALCULATION DAS FOLLOW-UP The Department of Administrative Services will review and approve all goal calculations (with CHRO input). DAS Supplier Diversity will assign an Account Manager to assist each State Agency with the creation and facilitation of its goals. SUPPLIER DIVERSITY CONTACTS: Stan Kenton Jo Anne Rella

Let’s Get Started with the Quarterly Reports

Instructions for Completing Page –2 (Back-Up) IMPORTANT: THIS FORM IS FOR ELECTRONIC SUBMISSION TO AND IS FORMATTED ACCORDINGLY. PLEASE LIMIT ALL DATA ENTRY TO AREAS DESIGNATED BY LIGHT BLUE FILL OR BORDER. Form MUST be saved to your "My Documents" file PRIOR to being completed and submitted by . This report is to be used by an Agency to report actual expenditures to Small and Minority Business Enterprises from whom the Agency purchased goods, services or supplies through the provisions of the State of CT SBE/MBE (Set-Aside) Contract Program.

Instructions for Completing Page –2 (Back-Up) Column (A). Include in Column (A) the name of the Small or Minority Business Enterprise utilized by your Agency that is a participating vendor on a state contract either as a Prime Contractor or a Sub-Contractor. Column (B). List in Column (B) the number of the bid, contract or purchase order that was used to acquire goods or services from the Small/Minority Business Enterprises. Column (C). List in Column (C) the dollar value of the work performed by the DAS-Certified Small/Minority Business Enterprises. Column C's should be the same Amount as Line #6 [Combined Totals of SBE/MBE Expenditures] on Page - 1 (Summary). Column D). Identify the category of the Minority Business Enterprise listed in Column (A) with the appropriate letter code from the list below:

MINORITY BUSINESS CATEGORIES: Minority Businesses are currently Certified in any one of the following 18 categories: Black (BL) Woman Iberian Pen. (IW) Hispanic (HI) Woman Asian (WA) Iberian Peninsula (IP) Woman Am. Indian (WI) Asian (AA) Woman Disabled (WD) American Indian (AI) Disabled Black (DB) Disabled Person (DI) Disabled Hispanic (DH) Woman (W) Disabled Iberian Pen. (DP) Woman Black (WB) Disabled Asian (DA) Woman Hispanic (WH) Disabled Am. Indian (DN) l

Again, Please Remember! IMPORTANT: THIS FORM IS FOR ELECTRONIC SUBMISSION TO AND IS FORMATTED ACCORDINGLY. PLEASE LIMIT ALL DATA ENTRY TO AREAS DESIGNATED BY LIGHT BLUE FILL OR BORDER. Form MUST be saved to your "My Documents" file PRIOR to being completed and submitted by . This form is used by an Agency as a numerical summary of the information contained on all Page - 2 (Back-Up) pages.

Quarterly Report- Instructions For Page- 1 (Summary) 1. Enter on this line the Total Agency Adopted Budget for the current Fiscal Year. This amount should be the same as first line on Page-1 (Summary Page) of the SBE/MBE Annual Goals Calculations Report. 2. Enter on this line the Total of the Amount Available for the SBE/MBE Program after DAS Approved Deductions. 3.This line represents 25% of line # 2 Total, which is the Amount Set-Aside to the SBE/MBE Supplier Diversity Program. (Excel formatted and automatically calculated). 4. This line represents 25% of line # 3 Total, which is the Amount Set-Aside for only Minority Business Enterprises (Excel formatted and automatically calculated). NOTE: THE RESPECTIVE AMOUNTS ON LINES 1 THROUGH 4 SHOULD REMAIN THE SAME THROUGHOUT THE FISCAL YEAR AND SHOULD NOT CHANGE ON THE QUARTERLY REPORTS.

Quarterly Report- Instructions Page – 1 (Cont’d) 5. Enter on this line the Total Agency purchasing & contracting expenditures that have been made by the Agency. Also record the number of contracts that have been utilized. Do this for the quarter and for the entire Fiscal Year to date. 6. Enter on this line the COMBINED Total expenditures and number of contracts that have been reported for all Small And Minority Business Enterprises (SBE + MBE). 7. Minority Business Enterprise Totals should be categorized by the amounts specific to the respective Minority descriptions on lines 7A through 7R and then totaled. Minority Businesses are currently Certified by DAS in any one of the 18 following categories:

MINORITY BUSINESS CATEGORIES: Minority Businesses are currently Certified in any one of the following 18 categories: Black (BL) Woman Iberian Pen. (IW) Hispanic (HI) Woman Asian (WA) Iberian Peninsula (IP) Woman Am. Indian (WI) Asian (AA) Woman Disabled (WD) American Indian (AI) Disabled Black (DB) Disabled Person (DI) Disabled Hispanic (DH) Woman (W) Disabled Iberian Pen. (DP) Woman Black (WB) Disabled Asian (DA) Woman Hispanic (WH) Disabled Am. Indian (DN)

Quarterly Reports Reporting Periods: Quarterly Reports Due : 1 st Qtr- July 1 - Sept. 30 October 31 2 nd Qtr- Oct. 1 - Dec. 31 January 31 3 rd Qtr- Jan. 1 - Mar. 31 April 30 4 th Qtr- Apr. 1 - June 30 July 31 * Any state agency or political subdivision of the state, other than a municipality, that achieves less than fifty per cent of its small contractor and minority business enterprise set-aside program goals by the end of the second reporting period in any twelve-month period beginning on July first shall provide a written explanation to the Commissioner of Administrative Services and the Commission on Human Rights and Opportunities detailing how the agency or political subdivision will achieve its goals in the final reporting period.

Supplier Diversity Follow Up s: Progressive s - will be sent as needed. * 2 nd Qtr. - sent to all State Agencies and Political Subdivisions that have not achieved at least 50% of their SBE/MBE goals by the end of the 2 nd Qtr. period. * State Agencies and Political Subdivisions that have not achieved 50% of their goals by the end of this 2 nd Qtr. Period, are required to submit a Justification explaining how they will or will not meet their SBE/MBE goals by the end of the 4 th Qtr.

DAS/ON-LINE CERTIFIED VENDOR SEARCH INFO: AS OF APRIL 11, 2007 THERE IS NO LONGER A 90 DAY GRACE PERIOD FOR SBE/MBE CERTIFICATIONS.  EXPIRATION DATES AS STATED ON THE ON-LINE CERTIFICATIONS ARE ACTUAL EXPIRATION DATES.  FOR ON-LINE CERTIFICATIONS [NOT THE HARD COPY] PRIOR TO APRIL 11, THE EXPIRATION DATE IS ACTUAL AND HAS BEEN ADVANCED TO INCLUDE THE PREVIOUS GRACE PERIOD ALLOWANCE.

Core CT – SBE/MBE Report

Thank You!