1. Complete all forms.  If an expenditure category does not apply to your agency, please enter "n/a" in the first box of the form.  Record all expenditures, regardless of the source, except funds used for:

personal services , debt service, travel reimbursements, utilities, OGS centralized services, sole source contracts, postage, telephones, staff benefits, operating transfers, certain rental and repairs (such as OGS space chargebacks and real estate rentals), and special departmental charges (such as unemployment insurance and tuition reimbursement).

* Certified M/WBE’s on sole source contracts can be reported as M/WBE utilization.

Preferred source and OGS statewide centralized contract (formerly p-contract) purchases should be reported separately on the individual forms where indicated with the exception of those contracts that have utilization from certified M/WBE’s**

** M/WBE’s on OGS centralized contracts should be counted towards the overall utilization percentage. 

The dollar ranges on each form refer to the size of the contract or obligation on which the expenditure is being reported.  However, only actual dollars expended during the quarter should be reported.  For example, suppose you are reporting a $10,000 payment made on a service contract which was valued at $100,000.  The $10,000 should be reported in the $25,000+ dollar range, since it is being paid on a large contract award.  If the $10,000 payment was for the full value of the contract, the amount should be reported in the $0 - 24,999 dollar range, since it would be considered a small contract.

While Article 15-A does not mandate that data be reported for contracts valued less than $25,000 for commodities and services, and less than $100,000 for construction, these statistics will assist the Division of Minority and Women's Business Development (DMWBD) in providing complete information concerning M/WBE participation in all State procurement.  A significant proportion of the total dollars going to M/WBEs is through these smaller contracts, so it is necessary to track these expenditures to accurately report agency utilization of M/WBEs.

2. Complete the heading on each form as follows:

Agency:  Enter the name of your agency.
Agency Code:  Enter your five digit agency code as established by the Comptroller's Office.
Period:  Enter the period covered by the report (mmddyy to mmddyy).

3. Follow the instructions on the back of each individual form.

4. Refer to the following definitions for clarification of terms:

Expenditure: An expenditure is an actual payment which has been made by an
agency, either through the Office of the State Comptroller or by the agency's finance office directly, including subcontractor/supplier payments made by a prime contractor and verified by the agency.

Grants:  For the purposes of this report, grants are monies dispensed by a contracting governmental agency to a person or institution to accomplish a public purpose authorized by law.  According to Article 15-A, grants are considered to be State contracts.  For the purpose of compliance reporting, the recipient of the grant is considered to be the "contractor".  These contracts are subject to MWBE goals and reported in the same fashion as any other contract.  Grant dollars expended should be reported on the form most appropriate for the majority of the grant (e.g. if the grant dollars are generally spent for construction, the monies should be reported on the construction form; if for training, the monies should be reported on the services/consultant form).

Not-for-Profit: An entity organized as a not-for-profit corporation pursuant to State Law.    According to Article 15-A, not-for-profit entities are considered to be "contractors".  These contractors are subject to MWBE goals and should be treated and reported in the same fashion as any other contractor.  The expenditure of dollars by a not-for-profit entity should be reported on the form most appropriate to the majority of the funding (e.g. if the dollars are generally spent to provide training and/or rehabilitation services, then the monies should be reported on the services/consultant form; if the expenditures are made on a contract for low-income housing, the dollars should be reported on the construction form).

 Preferred Source: Entities given first preference in State procurement as identified in the State Finance Law, including the Division of Correctional Industries, the Industries for the Blind of NYS, Inc., the NYS Industries for the Handicapped, and the Office of Mental Health's Special Employment Program.

Subcontract:  a) For construction, a subcontract is any portion of the contract or any service performed or supplies provided relative to that contract by any party other than the prime contractor;

b)  For commodities and consultant/services, a subcontract is that portion of the total value of a contract portioned out to another consultant/individual or vendor. This is also known as second tier spending;

c)  For grants/not-for-profits contracts, a subcontract is that portion of funding expended for supplies, equipment, printing, consultants, trainers, services, etc.

5. It is important to provide all information as requested or credit may not be allowed.

6. It is critical that you provide the detailed information requested on the M/WBE Detail Utilization Information Form.  List each M/WBE firm you have included in the MBE and WBE totals (for prime and subcontract expenditures) in each expenditure category.   Missing information may result in the firm/dollars not counting toward agency MWBE participation goals.

NOTES: OGS issues ‘back drop’ contracts that are pre-approved vendors for agencies to solicit when conducting a mini bid.  Agencies that use the back drop contracts are responsible for establishing M/WBE goals and tracking compliance for each mini bid. The end user of the contract (the agency) would report M/WBE utilization to DMWBD.
  
Second Tier spending (subcontract) for commodities and services should be captured when a certified M/WBE vendor is used.

EXCLUSION LIST.  The exemption of specific classifications of goods/materials or services from all M/WBE requirements.  The classifications have been identified by procurement management and DMWBD as offering no procurement opportunities for M/WBEs. 

DMWBD allows state agencies and authorities to reasonably exclude, from their annual M/WBE Goal Plan, goods/materials or services that have been determined to offer no M/WBE prime or subcontracting opportunities. The determination or selection of such items by the agencies or authorities must be based on current industry knowledge that absolutely no M/WBE firms exist that are capable of providing the particular goods/materials or services included on the list. This list must be approved by DMWBD, as M/WBE vendors are identified that can provide the particular goods/materials or services, said goods/materials or services will be removed from the list. This list will be updated annually by agencies.