DIVISION OF RESEARCH
Utilization of Minority-Owned and WomenOwned Business Enterprises in New York
State Sponsored Projects
Fall 2009
Kimberly Klatt
Research Compliance Officer
Agenda
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Regulations
Requirements
Finding Qualified Vendors
Documenting Good Faith
Efforts
• Reporting
Regulatory Drivers
• When sponsored funding is accepted by the institution we
agree to comply with various federal and state regulations:
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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)
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.
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.
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;
Article 15-A of NYS
Executive Law
• Signed into NY executive law on July 19, 1988
• Authorized the creation of the Minority and Womenowned 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
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;
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
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
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
Requirements of Article 15-A
Qualifying Procurement Activities
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Subcontracts
Purchase orders
P-card transactions
Expenditures for services, materials and
supplies, and travel.
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.
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.
Where Do I Find Qualifying
Vendors
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
DOR WEBSITE
http://www.clarkson.edu/dor
Funding Resources
Proposal Preparation
Grant Management
Compliance
Training
Export Controls
Technology Transfer
QUESTIONS?
Kimberly Klatt
Research Compliance Officer
kklatt@clarkson.edu ext. 4441