[logo of the New York State Conservation/Preservation Program]Prequalification requirement for not-for-profit entities applying for grants

New York State has implemented a prequalification requirement for not-for-profit entities applying for grants.  In order to be eligible to apply for an award under this grant, any not for-profit entity who is the lead applicant must prequalify using the Grants Gateway. No paperwork is required to be sent as proof of application; however, agencies that have not been prequalified by September 18, 2013 (application due date), will not be considered for a grant award. As this process may take up to a few weeks, it is advised that interested agencies begin this process immediately upon RFP announcement. Please see additional information and instructions in Attachment 6.

Information for Current and Potential Grantees external link (from the Division of Budget, Grants Reform page)

Contract Award Protest Procedures

Applicants who receive a notice of non-award may protest the NYSED award decision subject to the following:

  1. The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED.
  2. The protest must be filed within ten (10) business days of receipt of a debriefing letter.  The protest letter must be filed with:

    NYS Education Department
    Contract Administration Unit
    Attn: RFP #______________
    89 Washington Avenue
    Room 503W EB
    Albany, NY 12234
  3. The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED’s Office of Counsel, CAU, and the Program Office.  The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied.  Counsel’s Office will provide the bidder with written notification of the review team’s decision within seven (7) business days of the receipt of the protest.  The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was filed.
  4. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts. 
  5. Additional Grant Requirements

Workers’ Compensation Coverage and Debarment

New York State Workers’ Compensation Law (WCL) has specific coverage requirements for businesses contracting with New York State and additional requirements which provide for the debarment of vendors that violate certain sections of WCL. The WCL requires, and has required since introduction of the law in 1922, the heads of all municipal and State entities to ensure that businesses have appropriate workers’ compensation and disability benefits insurance coverage prior to issuing any permits or licenses, or prior to entering into contracts.

Workers’ compensation requirements are covered by WCL Section 57, while disability benefits are covered by WCL Section 220(8). The Workers’ Compensation Benefits clause in Appendix A – STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS states that in accordance with Section 142 of the State Finance Law, a contract shall be void and of no force and effect unless the contractor provides and maintains coverage during the life of the contract for the benefit of such employees as are required to be covered by the provisions of the WCL.

Under provisions of the 2007 Workers’ Compensation Reform Legislation (WCL Section 141-b), any person, or entity substantially owned by that person: subject to a final assessment of civil fines or penalties, subject to a stop-work order, or convicted of a misdemeanor for violation of Workers’ Compensation laws Section 52 or 131, is barred from bidding on, or being awarded, any public work contract or subcontract with the State, any municipal corporation or public body for one year for each violation. The ban is five years for each felony conviction.

Proof of Coverage Requirements

The Workers’ Compensation Board has developed several forms to assist State contracting entities in ensuring that businesses have the appropriate workers’ compensation and disability insurance coverage as required by Sections 57 and 220(8) of the WCL.

Please note – an ACORD form is not acceptable proof of New York State workers’ compensation or disability benefits insurance coverage.

Proof of Workers’ Compensation Coverage

To comply with coverage provisions of the WCL, the Workers’ Compensation Board requires that a business seeking to enter into a State contract submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate workers’ compensation insurance coverage:

  • Form C-105.2 – Certificate of Workers’ Compensation Insurance issued by private insurance carriers, or Form U-26.3 issued by the State Insurance Fund; or
  • Form SI-12 – Certificate of Workers’ Compensation Self-Insurance; or Form GSI-105.2 Certificate of Participation in Workers’ Compensation Group Self-Insurance; or
  • CE-200 – Certificate of Attestation of Exemption from NYS Workers’ Compensation and/or Disability Benefits Coverage.

Proof of Disability Benefits Coverage

To comply with coverage provisions of the WCL regarding disability benefits, the Workers’ Compensation Board requires that a business seeking to enter into a State contract must submit appropriate proof of coverage to the State contracting entity issuing the contract. For each new contract or contract renewal, the contracting entity must obtain ONE of the following forms from the contractor and submit to OSC to prove the contractor has appropriate disability benefits insurance coverage:

  • Form DB-120.1 - Certificate of Disability Benefits Insurance; or
  • Form DB-155 - Certificate of Disability Benefits Self-Insurance; or
  • CE-200 – Certificate of Attestation of Exemption from New York State Workers’ Compensation and/or Disability Benefits Coverage.

For additional information regarding workers’ compensation and disability benefits requirements, please refer to the New York State Workers’ Compensation Board website at: http://www.wcb.ny.gov/content/main/Employers/busPermits.jspexternal link. Alternatively, questions relating to either workers’ compensation or disability benefits coverage should be directed to the NYS Workers’ Compensation Board, Bureau of Compliance at (518) 486-6307.

Minority and Women-Owned Business Enterprise (M/WBE) Participation Goals Pursuant to Article 15-A of the New York State Executive Law

(Please see corresponding forms in the .PDF version of this document)

All applicants are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) participation goals for this grant through one of three methods.  The M/WBE goals will not be applied to the budget for direct personal services, related fringe benefits, and indirect costs as requested in the FS-10 budget. Compliance methods are discussed in detail in the M/WBE Participation Goals section (See the the .PDF version )

For purposes of this grant, NYS Education Department has established an overall goal of 20% for M/WBE participation based on the current availability of qualified MBEs and WBEs. The M/WBE goals will not be applied to any portion of the grant funds that are budgeted for direct personal services and related fringe benefits as requested in the FS-10 budget.  All applicants must document a good faith effort to provide meaningful participation by M/WBEs as subcontractors or suppliers in the performance of this contract. M/WBE participation includes any and all services, materials or supplies purchased from New York State certified minority and women-owned firms.  Utilization of certified minority and women-owned firms will be applied toward the goals.  Bidders can achieve compliance with NYSED’s Minority and Women-Owned Business Enterprise goals as described in the .PDF version.

Achieve Full Compliance with Participation Goals (Preferred)

Applicants should submit subcontracting/supplier forms that meet or exceed NYSED’s participation goals for this grant.  All subcontracting/supplier forms must be submitted with the application. In addition, applicants must complete and submit M/WBE 100: Utilization Plan, M/WBE 102: Notice of Intent to Participate and EEO 100: Staffing Plan.  Instructions and copies of these forms are contained in the RFP.  All firms utilized must be certified with the NYS Division of Minority and Women Business Development before beginning any work on this contract. For additional information and a listing of currently certified M/WBEs, see https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=4687external link.

The contact person on M/WBE matters is available throughout the process to assist applicants in meeting the M/WBE goals.  The contact person can be reached at mwbe@nysed.gov.   NYSED reserves the right to approve the addition or deletion of subcontractors or suppliers to enable applicants to comply with the M/WBE goals, provided such addition or deletion does not impact the technical proposal and/or increase the total budget.

Documentation of Good Faith Efforts

Applicants must undertake a good faith effort to solicit NYS certified M/WBE firms as subcontractors and/or suppliers in fulfillment of this grant.  Means of solicitation may include but are not limited to: advertisements in minority centered publications; solicitation of vendors found in the NYS Directory of Certified Minority and Women-Owned Business Enterprises; the solicitation of minority and women-oriented trade and labor organizations and by contacting the person on M/WBE matters.  Applicants will be required to certify and attest to their good faith efforts by completing NYSED’s Certification of Good Faith Efforts (Form M/WBE 105).  See the M/WBE Submission Documents for detailed examples of and required forms to document good faith efforts.

NYSED reserves the right to reject any application for failure to document “good faith efforts” to comply with the stated M/WBE goals.

In the event applicants cannot comply with NYSED’s designated participation goals, said applicants must document their “good faith efforts” to comply and submit one of the following requests.

Request a Partial Waiver of Participation Goals

In order to request a partial waiver of the participation goals for this grant, applicants must provide documentation of their good faith efforts to obtain the use of certified M/WBE enterprises along with their application forms.  The subcontracting forms must include the participation percentage(s) for which they seek approval.  Applicants will be required to certify and attest to their good faith efforts.  Applicants should submit a request for a partial waiver (Form M/WBE 101) and document their good faith efforts (Form M/WBE 105) at the same time as the application is submitted.  Applicants must also complete and submit M/WBE 100: Utilization Plan, M/WBE 102: Notice of Intent to Participate and EEO 100: Staffing Plan.  The M/WBE Coordinator is available throughout the grant process to assist in all areas of M/WBE compliance. 

Request a Complete Waiver of Participation Goals

In order to request a complete waiver of the participation goals for this grant, applicants must provide documentation of their good faith efforts to obtain the use of certified M/WBE enterprises along with their application forms.  Applicants will be required to certify and attest to their good faith efforts.  Applicants should submit a request for a complete waiver on Form M/WBE 101 and document their good faith efforts (Form M/WBE 105) at the same time as they submit their application.  The M/WBE Coordinator is available throughout the process to assist in all areas of M/WBE compliance.


All payments to Minority and Women-Owned Business Enterprise subcontractor(s) must be reported to NYSED M/WBE Program Unit using M/WBE 103 Quarterly M/WBE Compliance Report. This report must be submitted on a quarterly basis and can be found at www.oms.nysed.gov/fiscal/MWBE/forms.htmlexternal link.

[to be added to checklist]


M/WBE Documents Package (original signatures required)
Full Participation                Request Partial Waiver                  Request Total Waiver

 

Forms Required

Type of Form

Full Participation

Request Partial Waiver

Request Total Waiver

M/WBE Cover Letter

M/WBE 100 Utilization Plan

N/A

M/WBE 102 Notice of Intent to Participate

N/A

EEO 100 Staffing Plan and Instructions

M/WBE 105 Contractor’s Good Faith Efforts

N/A

M/WBE 101 Request for Waiver Form and Instructions

N/A

[NOTE: the above form may be found on page 6 of the .PDF version of this document.

Attachment 6: Prequalification Application for Grants Reform

The State of New York has implemented a new statewide prequalification process designed to facilitate prompt contracting for not-for-profit vendors. Interested vendors are asked to submit commonly requested documents, and answer frequently asked questions once. The application requests organizational information about the vendor’s capacity, legal compliance, and integrity. To learn more about prequalification, go to the Grants Reform website (http://www.grantsreform.ny.gov/Grantees) where you can preview the questions and required documents.

All not-for-profit vendors are required to prequalify prior to grant application.

Following is a summary of the steps that must be undertaken in order for you to prequalify.

  • Go to the Grants Reform websiteexternal link and download a copy of the Registration Form. Please review the instructions for submission of this Form. The form must be signed and notarized by an authorized representative of your organization, and must be sent to the Division of Budget as soon as possible in order to gain access to the Grants Gateway to enable prequalification.
  • Upon submission of your Registration Form, you will be provided with a User ID allowing you to gain access to the Gateway. From there, please logon to the Gateway Systemexternal link and begin your Prequalification Application.
  • Vendors who already submitted registration materials and received their user credentials can begin to upload documents into the Document Vault and complete their online Prequalification Questionnaire.
  • As you fill out the Questionnaire, please refer to the Gateway Training Materials and resource links posted on the “grantees” section of the Grants Reform website to help you navigate the questionnaire. If you still have questions, simply contact your State agency program contact, or post your question to GrantsReform@Budget.ny.gov, and someone will get back to you quickly with a response.

Vendors are strongly encouraged to begin the process as soon as possible in order to participate in this RFP competition.

If you have any questions about prequalification, please go to the Grants Reform website or contact your State agency representative via email at prequal@mail.nysed.gov.

Appendix A: STANDARD CLAUSES FOR NYS CONTRACTS [.PDF only pdf icon external link opens in a new window]

The entire document, including the above and additional related forms and instructions [.PDF only; 504k pdf icon]

Last Updated: October 28, 2014 -- asm; for questions or comments contact Barbara Lilley