N.Y. Comp. Codes R. & Regs. tit. 5 § 142.4

Current through Register Vol. 46, No. 50, December 11, 2024

Section 142.4 - Utilization plans

(a) State agencies shall require contractors to submit utilization plans for achieving contract goals established for the participation of certified minority and women-owned business enterprises performing commercially useful functions in relation to State contracts. A form for the utilization plan shall be provided by the State agency to the contractor for any request for bids, proposals or qualifications, or negotiated contracts, for which contract goals are established with:

(1) bid documents where a State contract is awarded pursuant to solicitation of bids;

(2) requests for proposals or qualifications in the case of State contracts awarded pursuant to a request for proposals or qualifications; and

(3) proposed contracts where a State contract will be awarded pursuant to negotiation without solicitation of bids or a request for proposals.

(b) Utilization plan forms submitted by contractors shall include, at a minimum, the following required information:

(1) the name, address and telephone number of the contractor;

(2) the federal identification number of the contractor;

(3) the names, addresses, and federal identification numbers of certified minority and women-owned business enterprises which the contractor intends to use to perform a commercially useful function on the State contract and a description of the contract scope of work which the contractor intends to structure to achieve maximum feasible participation pursuant to the prescribed State contract goals;

(4) the estimated or, if known, actual dollar amounts to be paid to and performance dates of each component of a State contract which the contractor intends to be performed by a certified minority or woman-owned business enterprise; and

(5) a statement that the utilization of certified minority and women-owned business enterprises for non-commercially useful functions may not be counted towards utilization of certified minority-and women-owned business enterprises in the utilization plan.

(c) In the event that a contractor responding to a State agency's solicitation is a joint venture, teaming agreement, or other similar arrangement that includes a certified minority and women-owned business enterprise, such a contractor must submit the following to the State agency for its review and approval:

(1) the name, address, telephone number, and federal identification of each partner or party to the agreement;

(2) the federal identification number of the joint venture or entity established to respond to the solicitation, if applicable;

(3) a copy of the joint venture, teaming agreement, or other similar arrangement, which describes the percentage of interest owned by each party to the agreement and the value added by each party; and

(4) a copy of the mentor-protege agreement between the parties, if applicable, and if not described in the joint venture, teaming agreement, or other similar arrangement.

(d) To the extent practicable, upon completion of the restrictive period of a procurement, each contracting agency when notifying a contractor of a winning bid award shall also notify any minority or women-owned business enterprise identified in the contractor's submitted utilization plan of such contractor's receipt of the winning bid award. Upon completion of the restrictive period of a procurement, each contractor of a winning bid award shall also provide written notice to any minority or women-owned business enterprise identified in the contractor's submitted utilization plan of such contractor's receipt of the winning bid award. Notice by a contracting agency of a minority or women-owned business being placed on a utilization plan that is part of a contractor's winning bid, does not guarantee that such minority or women-owned business will be selected to perform work on that contract.

(e) Certified minority or women-owned business enterprises may list themselves on utilization plans toward the achievement of prescribed certified minority and women-owned business enterprise contract goals.

(f) Proceeds from State contracts that are paid to certified minority and women-owned business enterprises that are not performing commercially useful functions shall be disregarded by State agencies for utilization purposes.

N.Y. Comp. Codes R. & Regs. Tit. 5 § 142.4

Added, New York State Register, Volume XXXVI, Issue 22, effective6/4/2014

Amended New York State Register December 2, 2020/Volume XLII, Issue 48, eff. 12/2/2020