SERVICE DISABLED VETERAN-OWNED BUSINESS ENTERPRISE MASTER GOAL PLAN
Fiscal Year 2017-18
Table of Contents
AGENCY OVERVIEW...... 2
SCOPE OF AGENCY OPERATIONS……………………………………………………. 2
DESCRIPTION OF SDVOB PROCUREMENT POLICY…...... 3
Purchasing Bureau…………………………………………………………………….3
Contract Management Bureau………………………………………………………4
Regional Offices……………………………………………………………………….4
Office of Construction ………………………………………………………..…..…..4
Plans to Achieve Strategic Objectives…………………………………………………..,4
Specific Numbers for Projected Budget/Projected SDVOB Use…………………… 5
BOILERPLATE LANGUAGE ………………………………………………………………. 6
OUTREACH EFFORTS……………………………………………………………………7
STANDARDIZED FORMS………………………………………………………………..7
AGENCY OVERVIEW
Mission
The mission of the New York State Department of Transportation (NYSDOT) is to ensure that those who live, work, and travel in New York State have a safe, efficient, and environmentally sound transportation system.
The Agency’s major areas of procurement include heavy highway construction contracts, engineering consultant services, other professional (non-engineering) services, and the purchase of commodities. NYSDOT’s Main Office is in Albany, with 11 Regional offices in Albany, Utica, Syracuse, Rochester, Buffalo, Hornell, Watertown, Poughkeepsie, Binghamton, Hauppauge and New York City.
NYSDOT is committed to a Civil Rights program that prevents and eliminates discrimination on the basis of color, religion, race, national origin or disability in all of its operations, procurements, services, and employment. The agency is further committed to promoting an equitable environment in which protected groups can compete fairly for contracts and subcontracts.
NYSDOT’s Office of Civil Rights administers the Federal Title VI program,and the Disadvantaged Business Enterprise, Minority and Women-Owned Business Enterprise, On-the-Job Training, Small Business Development, and Service Disabled Veteran Owned Business programs. The Director of NYSDOT’s Office of Civil Rights, in coordination with NYSDOT’s Divisions and Regional offices, is responsible for the development and implementation of NYSDOT’s Civil Rights programs.
Scope of Agency Operations
NYSDOT shall take all necessary and reasonable steps under Article 17-B to ensure nondiscrimination in the award and administration of Department contracts. In administering the Service Disabled Veteran Owned Business (SDVOB) program, NYSDOT will not directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing the accomplishments of the objectives of the SDVOB program.
NYSDOT intends to work closely with the Office of General Service’s Disabled Veteran Program Division to reach the statewide 6% goal. Currently, we are actively identifying targets for the program.
Description of SDVOB Procurement Strategy
Strategic Objectives Regarding Utilization of SDVOBs
PURCHASING BUREAU
Procurements
Purchasing negotiates terms on the following types of contracts:
-non-professional service contracts such as trash removal, equipment maintenance, janitorial services, guard services
-HELP truck contracts
-Towing contracts
-Work Order Contracts for highway and bridge maintenance
-Material contracts such as concrete repair material, lab testing equipment, and traffic signal equipment
-OEM Parts contracts
-Certain IT Equipment/Maintenance/Support contracts
For procurements secured through Purchasing, an analysis of the commodity, service, or technology needed and SDVOB contractor availability to provide the product directly, or participate in a component of the contract in a subcontracting capacity, will be conducted to determine the applicability of the 6% target and set-aside opportunities.
Discretionary Purchasing
Purchasing is responsible for the Departments compliance with rules and regulations for miscellaneous service and commodity purchases. Purchasing conducts solicitations for open market purchases exceeding the $50,000 discretionary buying threshold. Purchasing conducts either formal competitive Invitation for Bids solicitations or informal Request for Quotations solicitations for increased discretionary threshold purchases from certified firms and small businesses..
In addition to assessing opportunities to apply the statutory 6% goal, Purchasing identifies SDVOBs that can potentially provide commodities or miscellaneous services for NYSDOT. With consideration for set asides, Purchasing evaluates opportunities on single operation procurements for potential set asides. Purchasing also reviews the directory and adds applicable SDVOBs to Purchasing mailing lists for Invitations to Bid and increased discretionary threshold Requests for Quotations opportunities as available.
CONTRACT MANAGEMENT BUREAU
Contract Management (CM) is responsible for awarding engineering and non-engineering consultant contracts. They work with program areas to craft RFPs and RFQs, select consultants and negotiate contract terms on the following types of contracts:
-Architectural/Engineering/Survey Consultant contracts
-Local agreements
-Railroad, transit, aviation, utility and other miscellaneous agreements
-Plan Sales with responsibility for sale and distribution of documents in support of the Capital Construction Program
-Real Estate, Audit, Materials Inspection, Planning, Environmental, Intelligent Transportation Systems (ITS) and other professional consultant contracts
-Information Technology consultant contracts requiring letting or mini-bidding
Contract Management will include the appropriate goals up to the 6% target in professional service contracts.The program area will also encourage existing engineering firms to evaluate the possibility of expanding their services and work codes in order to increase their instances of being identified for procurements. The program area will work on identifying set asides.
As standard practice CM will review the directory and add applicable SDVOBs to mailing lists for opportunities.
REGIONAL OFFICES
Regional Design Groups will review the SDVOB directory to evaluate opportunities to apply the 6% goal for SDVOB participation on 100% State funded contracts. Regional planners will also evaluate set aside opportunities and potential opportunities on single operation procurements.
OFFICE OF CONSTRUCTION
The Office of Construction is responsible for recommending award of construction contracts based upon a number of factors including a contractor’s good faith efforts to include MWBEs and SDVOBs on a project. The Office has also developed a bidder’s guide which summarizes the contractor’s responsibilities in the fulfillment of Agency contracts. The guide will be amended to provide information about the criteria used to determine the adequacy of solicitation of SDVOBs.
The Pre-Award Unit within the Office evaluates contract goal commitments, includinggood faith effort analysis.
Plans to Achieve Strategic Objectives
- Purchasing compliance staff has traveled to 10 of the 11 Departments regional offices throughout the state to conduct training on SDVOB procurement to internal staff. Purchasing will continue to conduct program training statewide on an annual basis.
- OCR plans to work with DSDVBD to visit the Department and present to our program areas best practices in achieving set asides. Program areas identified to do set asides are Purchasing, Consultant Management, and Construction
OCR plans to work with Regional Design Offices to provide guidance on how to begin assessing opportunities for SDVOBS on set asides for construction contracts.
- NYSDOT has secured USDOT approval to include SDVOBs in our federally funded WorkSmartNYOrientation program. This program is targeted for newly certified firms and for firms that NYSDOT has categorized as underutilized on NYSDOT projects. The WorkSmartNY Orientation sessions will be conducted statewide over a two-year period and topics will cover Civil Rights programs administered by NYSDOT, Contracts, Work Codes, Letting to Award, Purchasing, Estimating, and Networking and Outreach.
NYSDOT will continue to invite SDVOBs.
Specific Numbers for Projected Budget/Projected SDVOB Use
To establish targets, NYSDOT:
- analyzed certified firms that have capacity to perform heavy-highway construction services,
- reviewed County Business Patterns (CBP) from the U.S.Census Bureau for the Primary NAICS codes used by firms in the industry, and
- compared that data to the firms shown in the SDVOB directory.
A base figure percentage of SDVOBs is calculated by dividing 68, which is the number of certified SDVOBs with heavy highway NAICS codes by 5,343 which is the number of all of firms in the State with the same heavy highway NAICS codes.
The sixty-eight certified SDVOBs with heavy highway NAICS codes is approximately 1.3% of the 208 firms in the SDVOB directory.
NAICS DescriptionNAICS CodeCBPSDVOB
Highway, Street and Bridge Construction23731046514
Engineering Services5413302,26838
Survey and mapping Services5413703788
Architectural Services5413102,2328
Total Number of Available Firms5,34368
Based on our analysisit is estimated that our attainment percentage for the current fiscal year may near 3%. NYSDOT’s initiatives to increase the number of SDVOBs participating in horizontal heavy-highway construction work reflect NYSDOT’s commitment to fully embrace the Governor’s Executive Order.
Goal Summary
Projected Total Agency Budget $11,628,000,000
Projected Exempt Contracts and Expenditures $11,217,240,612
Projected Excluded Contracts and Expenditures $130,558,284
Available Budget for Goals $280,201,104
Total Goal 6%
Describe Agency/Authoritymethodology for determining exemption and exclusions
Exemptions
NYSDOT has examined its 2015-16 fiscal year expenditures to estimate the dollar value of expenditures that should be exempted because SDVOBE participation does not avail itself to these contracts or where Federal regulations may take precedence over the State law. Below is a list of exempt expenditure categories which NYSDOT believes do not offer procurement opportunities for SDVOB firms to serve as prime or sub contractors.
-Personal Services —Payments to State employees offer no SDVOBE opportunities.
-Travel Reimbursements – Expense reimbursement for these costs does not allow for the attribution of particular expenses to particular vendors.
-OGS Centralized Contracts – Procurement law gives second preference to OGS centralized contracts for purchases of commodities. Some of the centralized contracts are with MWBE vendors and others are not. OGS controls the establishment of these contracts. However, expenditures related to SDVOB participation will be captured and reported.
-Preferred Source Contracts – Procurement law mandates purchasing commodities from preferred sources when such offerings meet the agency’s form, function and utility.
-Federal funds subject to DBE program – Federal regulations require DBE program requirements be met in expending funds received from USDOT. Although SDVOB goals cannot be set, NYSDOT is encouraging SDVOB participation on its Federal funded contracts.
-State Aid to Localities – NYSDOT provides funding for public transportation operators, including the Metropolitan Transportation Authority, the four upstate regional transportation authorities and other (usually county-sponsored) transit systems. These systems provide bus, subway, light rail and commuter rail services, plus “paratransit” services designed to meet the needs of disabled people as required by the Americans with Disabilities Act. Similarly, State financial assistance to localities including programs such as Consolidated Highway Improvement Program (CHIPS) formula-driven pass-thru aid to localities, the Municipal Streets and Highways Program (“Marchiselli” Program) federal-aid matching programs are not included.
-Municipality contracts – Contracts where municipalities provide snow and ice and arterial maintenance on State highways. There are no opportunities for SDVOB participation.
-Other State agency reimbursements – State agency reimbursements and charge-backs offer no SDVOB opportunities.
-Miscellaneous – This category includes utilities, postage, land claims and leases where no SDVOB opportunities exist.
EXCLUDED CONTRACTS
NYSDOT excludes disbursements on contracts awarded prior to April 2015 and zero goal contracts.
ANTICIPATED CHALLENGES
Blended Spend - refers to the contracts and purchases where there is a mix of federal and state funds. Whenever this occurs the project is deemed a federal project and federal goals apply. The majority of NYSDOT’s budget is federally funded. The State SDVOBE program does not apply to contracts or expenditures.
The structure of many of our contracts has the unintentional impact of limiting sub-contracting opportunities for SDVOBs participation.
Job Order/Maintenance Contracts
NYSDOT awards one to two year standby contracts for anticipated repair and maintenance work. At the time the actual contract is let there is no information on where the work will be located, when it will occur, what the specific work items will be, or how long it will last. Firms who bid on these contracts are established firms that have the requisite staffing and equipment to mobilize in an expedited time period.
Emergency Contracts
NYSDOT awards emergency contracts for emergency repair work due to a natural disaster or unanticipated event. At the time of the occurrence there is often a 12 to 24 hour window in which firms need to mobilize and respond. Firms who bid on these contracts are established firms that have the requisite staffing and equipment to respond in an expedited time period.
Single Operation Contracts
Contracts that have one primary type of work operation have no subcontracting opportunities.
Sole Source/ Original Equipment Manufacturer
Many contracts and procurements are for items and work that are highly specialized and tailored to the distinct needs of bridge maintenance and construction, and heavy highway horizontal construction, i.e. equipment, trucks, plows, cranes, fuel tanks, signs, steel, etc.
OGS Contracts
A significant amount of goods and services that we procure are from vendors that have a contract with OGS. These contracts include awards ranging from road salt, fuels, vehicles and heavy equipment, cleaning supplies, to clothing, food and furniture, recycled and energy efficient products, travel and mail services, to computer hardware and software, and much more.
Purchasing from these previously identified vendors, at previously negotiated prices reduces the need for the Department to solicit from individual MWBE
BOILERPLATE LANGUAGE
See attachment
Use of Service-Disabled Veteran-Owned Business Enterprises in Contract Performance
Invitation to Bids MWBE SDVOB EEO Language
Bid Proposal Template
AGENCY SDVOB OPERATIONS
Main Office
Matthew J. Driscoll-Commissioner
Phillip Eng - Executive Deputy Commissioner
Wahid Albert-Acting Chief Engineer
Cathy Calhoun - Chief of Staff
Sondra A. Little – Director Office of Civil Rights
Brian DeWald-Acting Director Office of Construction
William Howe-Director Contract Management
Matt Haas- Director of Purchasing
Linda Carmody-Minority Business Specialist Supervisor, Purchasing
Jackie Jones -D/M/WBE Program Manager
Robert Williams - State and Federal Program Compliance Manager
OUTREACH EFFORTS
The Office of Civil Rights (OCR) participates in various business opportunity events sponsored by other State agency partners, stakeholders, and industry collaborators. The purpose of these events is to educate the contracting community on how to do business with NYSDOT.
These events are also opportunities for SDVOBs to connect with agency purchasing and contracting staff to foster product or service-specific relationships.
The Office of Civil Rights will also:
- Encourage firms that have already been certified as DBEs and MWBEs to pursue New York State SDVOB certification.
- Invite SDVOBs to participate in our federally funded WorkSmartNY Orientation program targeted for newly certified firms and for firms that NYSDOT has categorized as underutilized on NYSDOT projects.
- Distribute program information regarding SDVOB certification requirements and the link to the list of certified firms on our website.
- Invite SDVOBs to participate in series of Webinars we have scheduled for this upcoming year. Topics includevalue added whole sale retailer (purchasing) Project Labor Agreements how NYDOT handles, Equitable Business Opportunities System (EBO) Material Supplier list what a SDVOB needs to know if they want to supplie materials for our projects.
Other Information
None to report
STANDARDIZED FORMS
See Attachments
SDVOB 100 Utilization Plan
SDVOB 101 Monthly Payment Report
Set aside report
SDVOB Request for Waiver
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