Transcript Statute 4a-60g

WELCOME
August 2006
Annual Compliance
Training
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.

Each Political Subdivision of the State of
Connecticut, including, but not limited to
Regional Councils of Elected Officials,
Regional Councils of Governments and
Regional Planning Agencies.
Annual Goal Reports are due
September 30, 2006
Supplier Diversity Unit will be proposing to
change the law regarding the filing date to July
31.
Agency Budget Under $10,000



Eligibility for Exemption from the Program
 Any state agency or political subdivision that has an available
procurement budget of less than $10,000 in a particular fiscal
year will qualify for an exemption from goal establishment and
reporting requirements for that year.
 To be exempted, an agency with a Total Annual Budget of
less than $10,000 prior to deductions and exemptions must only
submit a letter to the Commissioner of DAS, attesting to the
above. An agency is not exempt from the law until DAS
advises them of such.
Agency Budget under 10,000

 Agencies with a Total Annual Budget of less than $10,000
after deductions and exemptions must go through the exercise
of a completed Annual Goal Package to verify their exempt
status.


Agencies are reminded that being exempted from the Small
Contractor and Minority Business Enterprise Set-Aside Program
Law, does not exempt them from their responsibility to make a
“good faith effort” to solicit bids or make purchases from small
and minority-owned businesses.
Developing Annual SBE/MBE Goals

 CONN GEN STAT Section 4a-60g requires that annual agency small
contractor set-aside goals be based upon the actual fiscal year
budget of each agency.


 Non-purchasing and contracting items can be deducted from the
goal-setting process.


As well as contracts that may not be set-aside due to conflict with
federal law or regulation can be deducted from the goal setting
process.

Developing Annual SBE/MBE Goal

The statute additionally provides that contracts for goods or
services that have been determined by the Commissioner of the
Department of Administrative Services not to be customarily
available from small contractors may be exempted from the
agency annual goal setting process.



The approval by the Commissioner must be obtained
prior to the value of these goods and services being
subtracted from the annual goal setting calculation.
Goal Calculation Forms


Goal Calculation
NOTE: GOAL CALCULATIONS SHOULD
BE SUBMITTED IN ELECTRONIC
FORMAT. ELECTRONIC PACKAGE IS
AVAILABLE AT
http://www.das.state.ct.us/Purchase/SetAside
/SAP_CHRO.htm
FY07 GOAL CALCULATION
1.
LINE A: Insert the TOTAL agency
adopted budget for FY2007.
Include funds received from all
sources.
FY07 GOAL CALCULATION
2. LINE B: List the amounts for all
non-purchasing/contracting items.
These deductions must be
itemized on page 2 of the
Annual Goals Report.
FY07 GOAL CALCULATION
Page 2- Itemized Deductions For Line B:
Eligible deductions include:
Agency Personnel Costs
Real Estate or Lease/Rental
U.S. Postage
Debt Services
Mileage Reimbursement
All Employee Related Costs
Land Purchases
Cost of Public Transportation
Cost of Public Utilities
FY07 GOAL CALCULATION
3. LINE C: List the Total of all
federal grants or federally
funded contracts included in
the budget.
These deductions must be
itemized on page 3 of the
Annual Goals Report.
Prime Vendor Contracts


These will need to be
listed in your request
exemptions
DAS is working with
the prime vendors to
include SBE/MBE as
second tier vendors
FY07 GOAL CALCULATION
4. Page 4- Requested Exemptions
List these additional items by Item
Description, Category No. and Dollar Value.
List all requested eligible exemptions and
identify each with the appropriate category
number in the Category No. column.
All ITEMS LISTED IN RED REQUIRE ADDITIONAL
INFORMATION AND MUST BE ACCOMPANIED BY THE FY07
EXEMPTION JUSTIFICATION WORKSHEET.
ELIGIBLE EXEMPTION CATEGORIES
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Medical & Professional Services
Advertising & Public Notices
Telephone Services
Contractual Services from Non-profit and
Community-based Organizations
Interagency Service Transfers
MIS Consulting Contracts over $20,000
Insurance Services
Dues & Subscriptions
Purchases from BESB, CCPA & CCI
Purchases from DAS Full Service
Contracts
Sole Source
Medical and Professional Services
The projected value of expenditures made by an agency to
hospitals and other like service providers, who are contracted
by the state to provide such medical/professional services,
shall not be an automatic exemption from the Supplier
Diversity Program.
In developing such contracts, the state agency must
determine the feasibility of including within the contract a
provision related to the contractors supporting the state small
contractor set-aside program through their own internal
purchasing activities. Agencies that seek this exemption must
provide a written justification on why specific
medical/professional services do not allow for SBE/MBE
participation.
Advertising & Public Notices


The projected costs for public notices placed in
statewide newspapers (as a matter of compliance
with state purchasing regulations), shall be an
eligible exemption from agency small contractor
goals.
All other forms of advertising and public notice are
not allowable exemptions.
Telephone Services

The projected value of telephone service
costs shall be eligible for exemption from
the small contractor program.

The projected value of telephone equipment
costs shall not be an eligible exemption
from the small contractor program.
Contractual Services from Non profit and
Community Based Organizations

The projected value of expenditures to be made by an agency to nonprofit and other community based service providers contracted by the
state to provide such service shall not be an automatic exemption from
the small contractor program.

In developing such contracts, the state agency must determine the
feasibility of including within the contract, a provision related to the
contractors supporting the state small contractor set-aside program
through its own internal purchasing activities.

Agencies that seek this exemption must provide a written explanation
on why specific non-profit or community-based organizations are
unable to include SBE/MBE vendors in their programs.
Interagency Transfers



Requests by an agency for exempting the value of
interagency transfers from their agency small
contractor goals will be viewed on a case-by-case
basis.
Interagency transfers that result in no external
purchasing activities will be approved for exemption
from the small contractor program.
All other interagency transfer requests for exemption
will be determined on a case by case basis related to
the specific nature of the transfer.
MIS Consulting Contracts in excess of
$20,000

 All requests for this exemption must be accompanied by form
OPM-M&PE-4 from the Office of Policy and Management. The
agency must identify the specific items and the values of each,
which are being requested as exemptions from the small
contractor program.

In the case of the higher education agencies (colleges and
universities), the respective Boards of Trustees policies and
guidelines shall prevail as prescribed by CONN.GEN.STAT.
Section 10a-151b.
Insurance Services

The projected value of Insurance costs shall
be an eligible exemption from agency small
contractor goals.

Must provide a list of insurance
agents/companies utilized, if requesting
exemption.
Dues and Subscriptions

The projected value of dues to professional
associations and the costs of subscription to
various professional and educational
magazines and journals, etc. shall be an
eligible exemption from the small contractor
program.
Purchases from BESB, CCI and
CCPA

The projected value of purchases to be made from
these community-based organizations shall be an
eligible exemption from the small contractor program,
mandated as follows:

1) The Board of Education and Services to the Blind (BESB)
pursuant to the authority in CONN. GEN. STAT. §10-298b;
2) Connecticut Correctional Industries (CCI) pursuant to the
authority in CONN. GEN. STAT § 18-88; and,
3) Connecticut Community Providers Association (CCPA)
pursuant to the authority in CONN. GEN. STAT § 17b-656,


Purchases from the following DAS Full
Service Contracts

1) Sysco Foods 2) Eastern Bag & Paper Co. 3) Vanguard Direct


DAS shall assume the responsibility to include within these Full Service
Contracts, goals to insure the participation of small contractors and minority
business enterprises as set-aside subcontractors. DAS will also establish a
means to monitor and report on the participation of such subcontractors
within the respective framework of each Full Service Contract. DAS is
currently establishing a process to capture 2nd tier SBE/MBE spending. In
the event that one or more of the above Full service Contract Vendors are
replaced, the purchases made from the replacement Full Service Contract
Vendor will be treated in the same manner as discussed above.

The projected value of purchases made from these vendors will be reviewed
each fiscal year for possible exemption
 Sole Source Products/Service

Those products/service you deem are
exclusive and/or provided by one
vendor or non-SBE/MBE vendor.

These requests must include a detailed
explanation and will be reviewed on a
case by case basis.
FY07 GOAL CALCULATION
E-mail the entire package to:
For State Agencies:
[email protected]
&
[email protected]
For Political Subdivisions:
[email protected]
&
[email protected]
FY07 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 and
Political Subdivision, with the creation and
facilitation of its goals.
Contact for State AgenciesStan Kenton
Contact for Political Subdivisions- Jo Anne Rella
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
* Feb. 1, 2007 an E-Mail will be sent
to all State Agencies and Political Subdivisions
that have not achieved at least 50% of their
SBE/MBE goals as of their 2nd Qtr. Reporting
Period.
Quarterly Reports on Webpage
DAS/CHRO 1
 DAS/CHRO 2

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.
GOOD FAITH EFFORT
DEFINITION: THE PROCUREMENT OF
GOODS OR SERVICES FROM A MINORITYOWNED BUSINESS THAT IS NOT
CERTIFIED WITH THE DEPARTMENT OF
ADMINISTRATIVE SERVICES.
Page 1/ DAS/CHRO-1 - Column (D)/Good Faith Effort
(Non-Certified MBE) Amounts
Please Note:
Good Faith Effort purchases will not be credited
toward MBE goal achievement in FY07,
so do not include the Column (D) Total
on Page 2/DAS/CHRO-2.
BUSINESS CLASSIFICATIONS FOR CHRO-1
Small Business Enterprise (SBE)
AND
Minority Business Enterprise (MBE):
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)
Report on Webpage
Agency/Political Subs status on webpage
 Updated every Thursday


Go to webpage
BREAK TIME
Supplier Diversity Webpage
Small/Minority Company Search (old/new)
 New Certified Vendors (Weekly)
 Directory of State Purchasing Agents


SBE/MBE Bids/Requests For Proposals (RFP)
State Agency Compliance
 Political Subdivision Compliance

Contract Compliance Training
for All State Agencies and Political Subdivisions
The Commission on Human Rights and Opportunities Contract Compliance Unit will provide training
to staff responsible for purchasing, procurement, and contracting for state agencies and political subdivisions.
This training is offered for staff members who missed the November 2005 training.
The training will help clarify awarding agencies’ obligations under
Connecticut General Statutes 4a-60, 4a-60a, 46a-68(c) and (d) and Regulations 46a-68j-30, 31, and 32.
The forms for contract compliance will be presented and explained.
Location:
Legislative Office Building
Room 1A
Capitol Ave., Hartford, CT.
(Parking available in the LOB garage)
Date and Time:
Wednesday, September 27, 2006
9:30 a.m. to 11:30 a.m. or 1:00 p.m. to 3:00 p.m.
(For staff responsible for purchasing supplies, commodities, and services)
Thursday, September 28, 2006
9:30 a.m. to 11:30 a.m. or 1:00 p.m. to 3:00 p.m.
(For staff responsible for public works contracts (that is, construction, renovation, road work etc)
To Register by September 22, 2006
please give Name(s), Agency, Department and select date and time.
Please register by fax to 860-246-5419 or by email to [email protected].
If you have questions specific to your agency regarding contract compliance,
please include them with your registration.
Kerry DiMatteo
Purchasing Card Administrator
SBE/MBE Purchases
Joann Bellamo
Manager of Supply Chain
Core CT – SBE/MBE Report
S et A si d e V o ucher Q uer y
U ni t
S o ur ce
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
DA SM 1 SB E
Go v
C l ass
S
S
S
S
S
S
S
S
S
S
S
B eg i n D t
E xp i r e D t
V end o r
N ame 1 S ho r t N ame
D at e
PO
V o ucher
1/ 31/ 2005
SA NDITZ
TRA V EL
M A NA GEM
3/ 31/ 2006
ENT 061321952F
B RA NDON
SM ITH
REPORTIN
G SERV
3/ 31/ 2007
LLC 061448649F
10/ 1/ 2004
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
000000
8/ 23/ 2005 3058
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
000000
8/ 22/ 2005 3086
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
000000
8/ 22/ 2005 3087
00003740
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
000000
8/ 22/ 2005 3086
00003741
12/ 29/ 2006
A &A
OFFICE
SY STEM S
INC 060861702F
3/ 8/ 2004
10/ 1/ 2004
10/ 1/ 2004
10/ 1/ 2004
10/ 1/ 2004
10/ 1/ 2004
10/ 1/ 2004
2/ 20/ 2004
2/ 20/ 2004
000000
8/ 3/ 2005 3081
000000
9/ 1/ 2005 3229
000000
8/ 23/ 2005 3058
000000
8/ 23/ 2005 3058
00003692
00003774
00003746
00003747
00003748
00003739
P aym
ent s T yp e
0 DST
0 DST
0 DST
0 DST
F und
F und
D escr
11000
General
Fund
22003
General
Services
Revolvin
g Fnd
11000
General
Fund
11000
General
Fund
SID
D escr i
p t io n
G L A cct
D escr
P r o j ect
M anagemen
t Consult ant
Services
DA S_NON
PROJECT
Court
Report ing
Services
DA S_NON
PROJECT
Ot her
Expenses 52531
Of f Equip
M nt / RepCont ract ual
DA S_NON
PROJECT
Ot her
Expenses 52511
Of f ice
Equipment
Lease/ Rent a DA S_NON
l
PROJECT
10020
Ot her
Expenses 52511
Of f ice
Equipment
Lease/ Rent a DA S_NON
l
PROJECT
10020
Ot her
Expenses 52531
Of f Equip
M nt / RepCont ract ual
DA S_NON
PROJECT
Of f Equip
M nt / RepCont ract ual
DA S_NON
PROJECT
DA S_NON
PROJECT
SID
A cct
Ot her
10020 Expenses 51230
NonB udget e
d
Operat in
40001 g
51672
10020
10020
11000
General
Fund
11000
General
Fund
0 DST
11000
General
Fund
10020
Ot her
Expenses 52531
0 DST
11000
General
Fund
10020
Ot her
Expenses 52531
Of f Equip
M nt / RepCont ract ual
0 DST
0 DST
000000
8/ 3/ 2005 3088
00003691
0 DST
11000
General
Fund
10020
Ot her
Expenses 52511
Of f ice
Equipment
Lease/ Rent a DA S_NON
l
PROJECT
3/ 31/ 2006
B RESCIA 'S
PRINTING
SERV ICES
INC 061188287F
000000
9/ 8/ 2005 3255
00003819
0 DST
11000
General
Fund
10020
Ot her
Expenses 51874
Print ing &
B inding
DA S_NON
PROJECT
3/ 31/ 2006
B RESCIA 'S
PRINTING
SERV ICES
INC 061188287F
000000
9/ 1/ 2005 3236
00003779
0 DST
11000
General
Fund
10020
Ot her
Expenses 51874
Print ing &
B inding
DA S_NON
PROJECT
How to Post Your Bids on the
Single Portal
SBE/MBE Opportunities
Thank You!