1. DIVISION OF RESEARCH Utilization of Minority-Owned and Women- Owned Business Enterprises in New York State Sponsored Projects Fall 2009 Kimberly Klatt Research Compliance Officer

2. Agenda Regulations Requirements Finding Qualified Vendors Documenting Good Faith Efforts Reporting

3. Regulatory Drivers When sponsored funding is accepted by the institution we agree to comply with various federal and state regulations: –OMB A-21 - Cost Principles –OMB A-110 - Uniform Administrative Requirements –OMB A-133 - Audits –Assurances, Certifications, & Representations For NYS contracts we further agree to comply with, but not limited to: –Omnibus Procurement Act of 1992 (contracts greater than $1 million) –Article 15-A of the NYS Executive Law (contracts greater than $25,000)

4. Do NYS regulations apply to my award? Read the terms & conditions of your award. Check the Notice of Award (NOA), under special conditions section. Administrative and Support Staff should ask the Principal Investigator for a copy of the award. If you are still not sure, contact the DoR for assistance.

5. Requirements of Omnibus Procurement Act of 1992 It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts.

6. Requirements of Omnibus Procurement Act of 1992 Contractors certify that whenever the contract amount is greater than $1 million: The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the state; The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

7. Article 15-A of NYS Executive Law Signed into NY executive law on July 19, 1988 Authorized the creation of the Minority and Women- owned Business Enterprises (MWBE) Program Promotes employment and business opportunities on state contracts for minorities and women. Under this statute, state agencies are charged with establishing employment and business participation goals for minorities and women. http://www.nylovesmwbe.ny.gov

8. Requirements of Article 15-A Applicable to contracts over 25,000 for labor, services, supplies, equipment, or materials; or Contracts over $100,000 for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon;

9. Requirements of Article 15-A Minority and Women-Owned Business Enterprise Goals The Contractor is required to make good faith efforts to subcontract at least ____________% of the dollar value of this contract to Minority Owned Business Enterprises (MBEs) and at least ___________% of such value to Women Owned Business Enterprises (WBEs). NYSTAR goals are currently established at 0-5% for MBE and 0-7% for WBE Others may vary by agency, check award

10. Requirements of Article 15-A Employment Opportunities The Contractor is required to make good faith efforts to employ or contractually require any Subcontractor with whom it contracts to make good faith efforts to employ minority group members for at least __________% of, and women for at least _________% of, the workforce hours required to perform the work under this contract. NYSTAR– general requirements Others may vary by agency, check award May include graduate students

11. Requirements of Article 15-A MINORITY OR WOMEN-OWNED BUSINESS ENTERPRISE (MWBE): At least 51% owned and controlled by the minority members and/or women; The minority and/or women ownership interest, is real, substantial and continuing; The minority and/or women ownership has and exercises the authority to independently control the day-to-day business decisions; Independently owned, operated and authorized to do business in New York State. Must be registered/certified by NYS

12. Requirements of Article 15-A Qualifying Procurement Activities Subcontracts Purchase orders P-card transactions Expenditures for services, materials and supplies, and travel.

13. Requirements of Article 15-A The Contractor is required to make good faith efforts to solicit the meaningful participation by enterprises identified in the NYS Directory of Certified Businesses Good faith efforts should be documented –Keep a record book, spreadsheet, or print-outs of vendors contacted or evaluated.

14. Where Do I Find Qualifying Vendors Directory of Minority & Women Owned Businesses in New York State This is a searchable database available through New York State's Division of Minority - and Women-owned Business Development (MWBD). They help the state's minority and women's business community to access all the services offered by Empire State Development (ESD). Empire State Development (ESD) is a New York State lead economic development agency.

15. Where Do I Find Qualifying Vendors

16. Reporting Requirements Principal Investigators are expected to work with the DoR to meet reporting requirements –Provide information on qualifying purchases. NYSTAR –Contractually required, but not currently requested Other State Agencies –Varies, usually only contractual Department of Environmental Conservation (DEC) –Initial Utilization Plans –Quarterly Reporting

17. DOR WEBSITE http://www.clarkson.edu/dor  Funding Resources  Proposal Preparation  Grant Management  Compliance  Training  Export Controls  Technology Transfer

18. QUESTIONS? Kimberly Klatt Research Compliance Officer kklatt@clarkson.edukklatt@clarkson.edu ext. 4441