Section C: NYS D/M/WBE Certifications



NYS D/M/WBE Certifications

It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including D/M/WBEs.

Section C must be included if any D/M/WBE consultants are included in the submission. For Federally-funded projects, it shall consist of a printout of the profile certifications from the New York State Unified Certification Program (NYSUCP) Disadvantaged Business Enterprise (DBE) Directory for any DBE prime or subconsultant. For State-funded projects, a certification letter from Empire State Development, Division of Minority and Women's Business Development is required for any MBE or WBE prime or subconsultant. The certification must be in effect on the e-EOI due date and it is the responsibility of the prime firm or Joint Venture to obtain this proof prior to submitting any D/M/WBE on their e-EOI.

If a proposed subconsultant's certification is determined to be invalid, the prime will be notified and the alternate subconsultant or another firm will become part of the proposed team prior to the final selection of a consultant for the project.

The information contained in the New York State Unified Certification Program (NYSUCP) Disadvantaged Business Enterprise (DBE) Directory is provided to help identify DBE subconsultants. A directory of Minority and Women-owned Business Enterprises is available from Empire State Development, Division of Minority and Women-Owned Business Development online at . Further information may be obtained by calling (518) 292-5250.

Criteria for Evaluation:

The factors to be considered during the evaluation of an e-EOI and shortlist information, and their relative importance vary among projects and are listed in each specific project advertisement. The selection factors are shown with the numerical value of each factor noted.

Small/Disadvantaged/Minority/Women Business Enterprises:

This invitation is extended to all engineering firms. Particular encouragement is extended to small firms, to Disadvantaged Business Enterprise (DBE) firms for Federally-funded projects, and to Minority and Women Business Enterprise (M/WBE) firms for State-funded projects.

For purposes of this advertisement, M/WBE firms are those firms who have been certified by Empire State Development, Division of Minority and Women's Business Development as being owned and controlled by individuals who are members of a minority group or are women. DBE status is a designation of the Federal Government extended to firms who meet the eligibility criteria of 49CFR23.53 and 13CFR121. NYSUCP certifies the status of DBEs. M/WBEs may also qualify as a Disadvantaged Business Enterprise, if they meet Federal criteria.

DBE participation on Federal-Aid projects and M/WBE participation on State funded projects is not mandatory. It is, however, a weighted factor in the selection process. Consequently, a firm can enhance its score by proposing DBE subconsultant participation on Federal-Aid projects and M/WBE subconsultant participation on State funded projects. Firms should refer to the Evaluation Factors listed in the specific project advertisement to determine whether DBE or M/WBE participation will be considered during the evaluation process.

The selection factor for “Proposed D/M/WBE Subconsultant Participation” will reach the maximum score with an offer of 18 percent of the value of the work required in the project. A proportionally lower score will be given for offers below 18 percent. D/M/WBE subconsultant participation noted as “percent of D/M/WBE participation” by one or more firms will initially be the sole basis for scoring the factor; prime consultants indicating D/M/WBE subconsultants with only a “percent of work” noted in the electronic EOI will receive no credit in scoring the “D/M/WBE participation factor.”

All contracts will have the firm’s prior D/M/WBE program performance evaluated by the Department. Once the prime consultant and its named subconsultants have completed negotiations subsequent to their being selected to provide services to this Department, the prime consultant will be evaluated and given a “D/M/WBE program performance evaluation score.” In the future, selection factor scores for the “proposed D/M/WBE subconsultant participation” selection factor (for a given prime consultant) will be the product of the proposed total “percent of D/M/WBE participation” and the average of the firm’s latest D/M/WBE program performance evaluation score(s). At this time, all firms will be given a score of “10" on the D/M/WBE program performance evaluation. In other words, each firm will receive the full value of its participation offer UNTIL necessary programming to use the actual D/M/WBE program performance evaluation scores is completed.

The D/M/WBE program performance evaluation score will reflect performance evaluations both at the end of the negotiation phase and at certain other intervals during the life of the contract. It will include an evaluation of the scope of services assigned to each subconsultant, whether or not this scope constitutes a Commercially Useful Function and a review of the level to which the prime firm has met its commitments for the “percentage of D/M/WBE participation” offered for D/M/WBE subconsultants in a given contract.

In addition to any proposed participation by DBE consultants providing engineering, surveying, and related services, firms expressing interest in Federally-funded projects must agree to support the fullest possible participation of DBE firms as suppliers and subcontractors - as defined in the 1991 Intermodal Surface Transportation Efficiency Act. On State funded projects, the Department encourages the fullest possible participation of M/WBE firms as suppliers and subcontractors.

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