University at Albany, State University of New York
Contact UAlbany Directories Calendars & Schedules Visitors Site Index Search
Admissions Academics Research IT Services Libraries Athletics
Institutional Services
Purchasing Homepage
State Funded Homepage
Staff
State Funded Purchasing
Animal Purchases
Apparel Purchases
Business Enterprise
Campus Stores
Consultant Disclosure
Contracts
Discriminatory Jurisdictions
Electronic Payments
Equipment
Executive Orders
FAQs
Form W-9
Forms
Glossary
Information for Vendors
Insurance
Legal
Online Ordering
Online Ordering Registration
Preferred Source Vendor
Printing
Procedures
Procurement Card
Procurement Lobbying Act
Product Recalls/Alerts
Project Sunlight
Purchase Requisition (State Funded)
Purchasing Basics
State Procurement Slide Show
Vendor Terms and Conditions


State Funded Purchasing and Contracts
 
Institutional Services |Purchasing and Contracts |State Funded Purchasing | Business Enterprise

Business Enterprise

Introduction

Definitions

Responsibilities and Regulations

Good Faith Effort 

Doing Business with the University

Forms

MWBE Certification 

Contractor Utilization Plans

University Utilization

Vendor Fair

 

Introduction

The University is committed to maintaining an equitable and competitive business environment. As part of this commitment, the University adheres to a comprehensive non-discrimination policy. In addition, the University has developed procedures and initiatives to help ensure all suppliers in the procurement process receive fair consideration.

In 1984, SUNY adopted the policy on "Procurement Opportunities with New York State Certified Minority and Women-Owned Businesses". This policy calls for the University to take affirmative action to ensure that minority and women-owned business enterprises (MWBEs) are given the opportunity to demonstrate their ability to provide the University with commodities, services and printing at competitive prices. 

Definitions

Small Business - a business which is a resident New York state, is independently owned and operated, not dominant in its field and employs, based on its industry, a certain number of persons as determined by the director of the Division of Minority and Women's Business Development (DMWBD), but not to exceed three hundred, taking into consideration factors which include, but are not limited to, federal small business administration standards pursuant to 13 CFR part 121 and any amendments thereto. The director of the DMWBD may issue regulations on the construction of the terms in this definition.

Women-owned business enterprise (WBE) - a business enterprise, including a sole proprietorship, partnership or corporation that is:(a) at least fifty-one percent owned by one or more United States citizens or permanent resident aliens who are women;(b) an enterprise in which the ownership interest of such women is real, substantial and continuing;(c) an enterprise in which such women ownership has and exercises the authority to control independently the day-to-day business decisions of the enterprise; (d) an enterprise authorized to do business in this state and independently owned and operated;(e) an  enterprise  owned  by  an  individual  or  individuals,  whose ownership, control and operation are relied upon for certification, with a  personal  net  worth  that does not exceed three million five hundred thousand dollars ($3,500,000), as adjusted annually on the first of January for inflation according to the consumer price index of the previous year; and (f) an enterprise that is a small business as defined above.

Minority-owned business enterprise (MBE) - a business enterprise, including a sole proprietorship, partnership or corporation that is:(a) at least fifty-one percent owned by one or more minority group members;(b) an enterprise in which such minority ownership is real, substantial and continuing;(c) an enterprise in which such minority ownership has and exercises the authority to control independently the day-to-day business decisions of the enterprise; and (d) an enterprise authorized to do business in this state and independently owned and operated; (e) an  enterprise  owned  by  an  individual  or  individuals, whose ownership, control and operation are relied upon for certification, with a personal net worth that does not exceed three million five hundred thousand dollars ($3,500,000), as adjusted  annually on the first of January for inflation according to the consumer price index of the previous year; and (f) an enterprise that is a small business as defined above.

A firm owned by a minority group member who is also a woman may be certified  as  a  minority-owned  business  enterprise,  a  women-owned business  enterprise,  or  both,  and  may  be  counted towards either a minority-owned  business  enterprise  goal  or  a  women-owned  business enterprise goal, in regard to any Contract or any goal, set by an agency or  authority,  but  such  participation may not be counted towards both such goals. Such an enterprise's participation in a Contract may not be divided between the minority-owned business enterprise goal and the women-owned business enterprise goal.

Only those businesses certified by the DMWBD as a minority business enterprise and/or a women business enterprise will be recognized by the University as a MBE and/or WBE. 

Back to Top

Responsibilities and Regulations

The University has taken the following steps to provide opportunities to MWBEs:

  • Establish the following participation goals by procurement type and overall usage for certified MWBEs:

 Procurement Type

 NYS Certified Minority Business

 NYS Certified Women Business

 Constuction

  10% 

6% 

 Construction Related Services

14%

12%

 Non-Construction Services

13%

6%

 Commodities

 12%

7%

 Total

 12%

 8%

 

  • Employ and document good faith efforts in the procurement process (see below for more information);
  • Require prime vendors to submit utilization plans and EEO policies for achieving MWBE goals;
  • Require prime vendors to submit periodic compliance reports; and 
  • Determine vendor's good faith effort and when appropriate grant waivers based on good faith documentation.

 

In 1988, the NYS Executive Law was amended by the addition of Article 15-A : "Participation by Minority Group Members and Women with Respect to State Contracts". Article 15-A authorized the creation of an Office (now Division) of Minority and Women's Business Development (DMWBD) to promote employment and business opportunities on state contracts for minorities and women. A main function of the DMWBD is the review of applications submitted by business and the determination of their MWBE status (see below for a discussion of the application process). All state agencies are required to establish employment and business participation goals for certified minorities and women.

The DMWBD maintains a searchable listing of certified MWBEs. The search can be vendor specific, product specific or by market area. In order for the University and prime contractors to get MWBE credit, the MWBE business must be certified as an MWBE by the DMWBD. Instructions have been developed to assist users with searching the database.

In addition to Article 15-A, the University is governed by SUNY Procurement Policy, specifically document numbers 7553 (Purchasing and Contracting), 7556 (Procurement Opportunities for New York State Certified Minority-and Women-Owned Businesses), 7557 (Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts), Exhibit A (021114) (Standard Contract Clauses) and Exhibit A-1 (011413) (Affirmative Action Clauses).

Below is a brief description of the above referenced SUNY policies and contract clauses.

Summary of SUNY Policies and Contract Clauses

7553

7556

7557

Exhibit A

Exhibit A-1

Established the procurement process that the University is to follow.  Among the areas covered are publication thresholds, preferred sources, centralized state contracts and reporting requirements.

Sets forth the principle that the University will take affirmative action ensuring certified MWBEs are given the opportunity to provide the University with commodities and services at competitive prices. Provides definitions for MBEs, WBEs and minority group member.

This procedure sets forth guidelines to assist state-operated campuses of the State University of New York (University) in the procurement of materials, supplies, equipment and services (including printing) from NYS certified MWBEs.

Contains standard clauses that are part of all University contracts. The clauses include equal employment opportunities for minorities and women which prohibit the vendor from discriminating against employees or applicants.

Contains Affirmative Action clauses that are part of all University contracts. The clauses cover the language of the solicitations placed by vendors, the need to provide periodic EEO reports and MWBE participation goals.


Back to Top

Good Faith Effort

A good faith effort involves the following:

  1. Notice of Solicitation - advertisment in the New York State Contract Reporter and a minority-centric publication. In addition, utilization of the DMWBD database to contact New York State certified MWBEs.
  2. Documentation - copies of notice of solicitation indicating the MWBEs contacted and the responses received.
  3. Subcontracting Opportunities - require prime contractors to solicit MWBEs as subcontractors and provide information via the forms listed below to the University detailing their outreach to MWBEs.

For a more detailed explanation of a good faith effort, please review SUNY Procedure 7557.

Doing Business with the University

In order to best meet the needs of the University and of the vendor community the Office of Purchasing and Contracts maintains a database of vendors. This database contains the pertinent information of vendors including contact information and the goods and/or services that the vendor provides. If you would like to be entered into the database, please complete the Registration Form and return it to the Office of Purchasing and Contracts.

Pursuant to the NYS Office of the State Comptroller mandate, it is the responsibility of the University to collect from each vendor from which we do business with a Form W-9. Prior to any purchase order being issued or any contract being finalized a Form W-9 must be on file with the Office of Purchasing and Contracts. Sole proprietors who are not U.S. citizens and businesses organized/incorporated outside of the United States are required to complete and submit an IRS Form W-8 in addition to the Form W-9.

The New York State Office of General Services enters into contracts that are available to all state agencies and must be utilized if the goods and/or services on state contract meet the form, function and utility that is being sought by the University. For information upcoming state contracting opportunities, please visit the OGS web site.

Back to Top

Forms

The table below provides information on the forms that are required to be filed as part of the overall good faith effort. You can either access the entire Minority and Women Business Enterprise packet or select an individual form by clicking the name of the form.

 

Name of Form

Filing Requirement

Submitted By

Basic Information to  Provide

MWBE Good Faith Effort Policy and Bidder's Attestation

With Bid/Proposal Response

Contractor

Attestation that Contractor will make a good faith effort in meeting the University's MBE and WBE participation goals on the procurement.

MWBE Utilization and Waiver Plan

With Bid/Proposal Response

Contractor

General business information; MWBE Goals; Description of work to be performed; MWBE Waiver Request.

Consultant/Contractor Affidavit

With Bid/Proposal Response

Contractor

Contractor certifies that all of the information provided on the MWBE Utilization and Waiver Plan, the EEO Staffing Plan is true, and that they will notify the University of any material changes to the information provided.

EEO Policy Statement

Prior to Contract
Award

Contractor

This serves as an
addendum to the
Contractor's Equal
Opportunity Policy.  

EEO Staffing Plan

Prior to contract award and on a monthly basis.

Contractor and all subcontractors

Break down by job category of work force by gender, race, disability, and veteran status.

MWBE Compliance Report

Monthly basis

Contractor

General business information of all MWBE subcontractors plus payments made to subcontractors broken out by MBE and WBE status.

Pursuant to Exhibit A-1(011413), the above forms are required for all procurements with a total expenditure of $20,000 or more for labor, services (including construction services), supplies, equipment, materials or any combination of the foregoing.

Back to Top

MWBE Certification

In general a business must be open for at least one year prior to applying for certification as a MBE and/or WBE with the DMWBD. Upon receipt of the application the DMWBD will conduct an audit of the applicant and a render a final decision.  If approved the MWBE designation is good for three years. Every three years the DMWBD will send a "Verification Request" to the business.  The business will need to attest to their continued MWBE status.  Failure to respond to the Verification Request will result in termination of a business' status as a NYS Certified MWBE. If an application is denied, a business can request a written appeal or an oral hearing and present evidence supporting their claim.  If the appeal is denied an application must wait two full years from the date of the original notification of denial. For complete information, please visit the qualification page of the DMWBD site or call them at 1-518-292-5250 for information.


Contractor Utilization Plans

Pursuant to paragraph 5(a) of Section 313 of Article 15-A of the NYS Executive Law, the University is required to post the utilization plans of the contractors and any waivers of compliance granted by the University. The contractors utilization plans for each month of the 2012 - 2013 fiscal year and for each month of the 2011 - 2012 fiscal year are available by selecting the following links:

 

Fiscal Year 2013 - 2014:

 

Fiscal Year 2012 - 2013:

Fiscal Year 2011 - 2012:

 

Back to Top


University Utilization

Prior to June 2011, the University has established a MWBE utilization goal of 6%, 3% for MBEs and 3% WBEs. Effective, June 2011, the University goals were broken down by procurement type and by overall figures. The new April 2012 percentages are as follows:

 Procurement Type

 NYS Certified MBEs

 NYS Certified WBEs

 Construction

 10%

 6%

 Construction Related Services

 10%

 8%

 Non-Construction Services

 14%

 12%

 Commodities

 11%

 8%

 Total

 12%

 8%

Owing to the efforts of the campus community and the purchasing staff, the University has been near the top of the overall SUNY utilization goal and outperformed the overall SUNY average. For a comparison of the University's MWBE utilization versus SUNY wide utilization, please select one of the following fiscal years:


Back to Top

Vendor Fair

To Register for the 2014 MWBE and Preferred Sources Vendor Fair, please contact Diane Cardone at purchasing@albany.edu or 518-437-4570.

Each spring the Office of Purchasing and Contracts holds a MWBE Vendor Fair. NYS certified MWBEs are invited to campus to introduce the products and/or services they provide to the campus end users. As the end users are the campus personnel who initiate the purchasing process, this event can potentially lead to increase in business for an MWBE in attendance. Please contact Diane Cardone at purchasing@albany.edu for information regarding the Fair. 


Top