Transcript Statute 4a-60g

Statute 4a-60g
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.
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, 2007.
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 cochairpersons 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.
DAS/SUPPLIER DIVERSITY PROGRAM
FOR
SMALL/MINORITY BUSINESS ENTERPRISES
FISCAL YEAR 2008 (2007-2008)
STATE AGENCY NAME-
ANNUAL GOALS CALCULATIONS REPORT
AGENCY # -
ADDRESS -
AGENCY AMOUNTS FROM ADOPTED FISCAL BUDGET
TOTAL
FUNDS
AVAILABLE FROM YOUR FY08 ADOPTED ANNUAL BUDGET
(ALL SOURCES)
LESS -
BUDGETED EXPENDITURES BELOW:
TOTALPAGE - 2
FEDERALLY FUNDED EXPENDITURES
TOTALPAGE- 3
NON-PURCHASING EXPENDITURES
TOTAL
PAGE- 4
STATUTE/REQUIRED BUDGETED EXP.
TOTALPAGE-5
AGENCY REQUESTED EXEMPTIONS
Completed By/Title:
Telephone # :
Date Submitted:
E-Mail Address:
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)
DAS/SUPPLIER DIVERSITY PROGRAM
ANNUAL GOALS CALCULATIONS REPORT
FISCAL YEAR 2008 (2007-2008)
FEDERALLY FUNDED EXPENDITURES
LIST AND DESCRIBE ALL LINE ITEM EXPENSES
ELIGIBLE DEDUCTIONS
LINE ITEM/ DESCRIPTION
PAGE 2 - TOTAL
AMOUNT (FEDERAL $ ONLY)
$
-
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
– 1 (Summary Page)
Page
DAS/SUPPLIER DIVERSITY PROGRAM
ANNUAL GOALS CALCULATIONS REPORT
FISCAL YEAR 2008 (2007-2008)
NON-PURCHASING BUDGETED EXPENDITURES
[Note: Enter Amounts for Categories listed Only]
AUTOMATIC
DEDUCTIONS
ELIGIBLE
DEDUCTIONS
ITEM DESCRIPTION
AMOUNT
Net Personal Services (Personnel Salaries)
Building and/or Office Space Lease Rental
Postage ( U.S. Postal Service only)
Debt Services
Office Utility Services
Telecommunications (Telephone Service Only)
Land Purchases
Employee Related Costs: (list each item--can include
Fringe Benefits, Tuition Reimbursement, Mileage
Reimbursement. * All other items require an Approval)
Page 3 - TOTAL
$
* Other Employee Related line items that may just be applicable to your Agency
-
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)
DAS/SUPPLIER DIVERSITY PROGRAM
ANNUAL GOALS CALCULATIONS REPORT
FISCAL YEAR 2008 (2007-2008)
STATUTE/REQUIRED BUDGETED EXPENDITURE ITEMS
ELIGIBLE
[Note: Enter Amounts for Listed Categories Only)]
LINE ITEMS/FULL DESCRIPTION
EXCEL
DEDUCTIONS
FORMATTED
AMOUNT
TOTALS
(Include: Contract #'s, Agency Names, etc.)
Purchases From - BESB, CCI, AND CCPA (Per Statutes):
Board of Education and Services to the Blind (BESB)
(C.G.S. 10-298b)
BESB TOTAL ONLY
Connecticut Correction Industries (CCI)
(C.G.S. 18-88)
CCI TOTAL ONLY
Connecticut Community Providers Association (CCPA)
(C.G.S. 17b-656)
(List These Category Items)
ADD MORE LINES IF NEEDED
$
-
$
-
Inter-Agency Transfers (List/Specify Agency Name):
State Compliance Public Notice Advertising Only
Public Notice Adv. TOTAL ONLY
Page 4 -
GRAND TOTAL [All Categories)
$
-
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.-10-298b)
Total Amount only for this category needs to be entered.
CCI-Connecticut Correctional Industries (C.S.G.-18-88)
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
DAS/SUPPLIER DIVERSITY PROGRAM
ANNUAL GOALS CALCULATIONS REPORT
FISCAL YEAR 2008 (2007-2008)
STATUTE/REQUIRED BUDGETED EXPENDITURE ITEMS
ELIGIBLE
[Note: Enter Amounts for Listed Categories Only)]
LINE ITEMS/FULL DESCRIPTION
EXCEL
DEDUCTIONS
FORMATTED
AMOUNT
TOTALS
(Include: Contract #'s, Agency Names, etc.)
Purchases From - BESB, CCI, AND CCPA (Per Statutes):
Board of Education and Services to the Blind (BESB)
(C.G.S. 10-298b)
BESB TOTAL ONLY
Connecticut Correction Industries (CCI)
(C.G.S. 18-88)
CCI TOTAL ONLY
Connecticut Community Providers Association (CCPA)
(C.G.S. 17b-656)
(List These Category Items)
ADD MORE LINES IF NEEDED
$
-
$
-
Inter-Agency Transfers (List/Specify Agency Name):
State Compliance Public Notice Advertising Only
Public Notice Adv. TOTAL ONLY
Page 4 -
GRAND TOTAL [All Categories)
$
-
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
DAS/SUPPLIER DIVERSITY PROGRAM
ANNUAL GOALS CALCULATIONS REPORT
FISCAL YEAR 2008 (2007-2008)
AGENCY REQUESTED EXEMPTIONS (ALL ITEMS REQUIRE DAS APPROVAL)
FOR EACH CATEGORY PLEASE PROVIDE : FULL DESCRIPTIONS
[Including: Contract #'s, electronic link to Contract/Agreement, List of Vendors
used, full explanation that justifies your Exemption Request.]
CATEGORY NUMBERS:
(1) Sole Source
(2) Insurance Services (list Vendors) (3) Dues&Subscriptions
(4) Contractual Services from Non-Profit and Community-Based Organizations
(Please provide an electronic link to the Contract/Agreement or a copy.)
(5) Current State Agency Contracts
[List Requested Items by: Category Number, Line Item Expense Name and Dollar Value.]
CATEGORY
NO.
ITEM NAME/ FULL-DESCRIPTION (Including: Contract #'s
(Agreements), List of Vendors Used, provide link to electronic
Contract, full explanation that justifies your Exemption Request)
AMOUNT
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 SubscriptionsThe 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
E-mail the entire package to:
[email protected]
&
[email protected]
&
[email protected]
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 e-mail.
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)
Hispanic (HI)
Iberian Peninsula (IP)
Asian (AA)
American Indian (AI)
Disabled Person (DI)
Woman (W)
Woman Black (WB)
Woman Hispanic (WH)
Woman Iberian Pen. (IW)
Woman Asian (WA)
Woman Am. Indian (WI)
Woman Disabled (WD)
Disabled Black (DB)
Disabled Hispanic (DH)
Disabled Iberian Pen. (DP)
Disabled Asian (DA)
Disabled Am. Indian (DN)
DEPARTMENT OF ADMINISTRATIVE SERVICES
SUPPLIER DIVERSITY PROGRAM
Fiscal Year
2007 - 2008
SMALL/ MINORITY BUSINESS ENTERPRISE QUARTERLY REPORT
FY QUARTER PERIOD
Agency Name:
Report Prepared by:
CERTIFIED VENDORS ONLY
(A)
Small Business Enterprise (SBE) OR
Minority Business Enterprise (MBE) Vendor Name
Agency Number:
(B)
State Contract #
OR P.O. #
SBE/MBE TOTAL
ACTUAL EXPENDITURES
SPECIFY:
(C)
(D)
MBE
Category
DAS Certified SBE/MBE
AMOUNT
$
-
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 e-mail.
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)
Hispanic (HI)
Iberian Peninsula (IP)
Asian (AA)
American Indian (AI)
Disabled Person (DI)
Woman (W)
Woman Black (WB)
Woman Hispanic (WH)
Woman Iberian Pen. (IW)
Woman Asian (WA)
Woman Am. Indian (WI)
Woman Disabled (WD)
Disabled Black (DB)
Disabled Hispanic (DH)
Disabled Iberian Pen. (DP)
Disabled Asian (DA)
Disabled Am. Indian (DN)
DEPARTMENT OF ADMINISTRATIVE SERVICES
SUPPLIER DIVERSITY PROGRAM
FISCAL YEAR - 2008
(2007-2008)
SMALL/ MINORITY BUSINESS ENTERPRISE QUARTERLY REPORT
Fiscal Year Quarter
ENTER
THIS
1ST / 2ND /
3RD / 4TH
Fiscal Year Period
QTR-
Agency
Name:
Agency
Number:
E-mail
Address:
Prepared
by:
Tel. # -
1) TOTAL FUNDS AVAILABLE (ALL SOURCES) FROM YOUR ADOPTED BUDGET
Page 1 (Summary Page) From The Annual Goals Calculations Report
2) Amount Available for Small/Minority Business Program
after DAS APPROVED DEDUCTIONS/EXEMPTIONS
3) 25% of line # 2 Total - Set Aside - Small/Minority Business Enterprises (Combined)
#VALUE!
4) 25% of line # 3 Total- Set Aside - Minority Business Enterprises only
#VALUE!
QUARTER
Number
YEAR TO DATE
Number
TOTALS ($)
Contracts
TOTALS ($)
Contracts
5) Total Agency FY Expenditures for Purchases and Contracts
6) Total Agency FY Expenditures for Purchases and Contracts
from Sm all and Minority Contractors.
Com bined TOTALS OF SBE AND MBE EXPENDITURES
7) Total Agency FY Expenditures for Purchases and Contracts
from Minority Business Enterprises (MBE) only.
PLEA SE C A T EGOR IZ E:
A) Black (BL)
B) Hispanic (HI)
C) Iberian Peninsula (IP)
D) Asian (AA)
E) Am erican Indian (AI)
F) Disabled Individual (DI)
G) Wom an (W)
H) Wom an Black (WB)
I) Wom an Hispanic (WH)
J) Wom an Iberian Peninsula (IW)
K) Wom an Asian (WA)
L) Wom an Am erican Indian (WI)
M) Wom an Disabled (WD)
N) Disabled Black (DB)
O) Disabled Hispanic (DH)
P) Disabled Iberian Peninsula (DP)
Q) Disabled Asian (DA)
R) Disabled Am erican Indian (DN)
MBE TOTALS (Lines A-R) $
-
$
-
Quarterly Reports
• Reporting Periods:
•
•
•
•
1st Qtr2nd Qtr3rd Qtr4th Qtr-
July 1 - Sept. 30
Oct. 1 - Dec. 31
Jan. 1 - Mar. 31
Apr. 1 - June 30
Quarterly Reports Due :
October 31
January 31
April 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 E-Mails:
• Progressive E-Mails - will be sent as needed.
• * 2nd Qtr. E-Mail- 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 2nd Qtr. period.
* State Agencies and Political Subdivisions that
have not achieved 50% of their goals by the end of
this 2nd Qtr. Period, are required to submit a
Justification E-mail explaining how they will or
will not meet their SBE/MBE goals by the end of
the 4th 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,
2007- THE EXPIRATION DATE IS ACTUAL
AND HAS BEEN ADVANCED TO INCLUDE
THE PREVIOUS GRACE PERIOD
ALLOWANCE.
Core CT – SBE/MBE Report
Thank You!