N.Y. Comp. Codes R. & Regs. tit. 21 § 4230.12

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

Section 4230.12 - Technical assistance

(a) Only eligible technical assistance recipients and eligible technical assistance providers proposing to provide assistance to eligible technical assistance recipients may apply for technical assistance from the corporation. No applicant that is an individual shall constitute an eligible technical assistance recipient or eligible technical assistance provider if he or she shall be an employee of the State or of any instrumentality of the State or a member of the immediate family of any such employee. No applicant that is an entity shall constitute an eligible technical assistance recipient or an eligible technical assistance provider if it shall be owned, controlled or operated by any person, partnership, corporation or other entity, a controlling interest of which is legally or beneficially owned by one or more employees of the State or of any instrumentality of the State, or by any member of the immediate family of any such employee.

(1) In order to constitute an eligible technical assistance recipient, an applicant must satisfy the criteria set forth in this subdivision as well as the following:

(i) the applicant is an individual or unincorporated association proposing to establish a minority or woman-owned business enterprise; or

(ii) the applicant is a minority or woman-owned business enterprise.

(2) In order to constitute an eligible technical assistance provider, an applicant must satisfy the criteria set forth in this subdivision as well as the following:

(i) the applicant is a not-for-profit corporation licensed to conduct business in New York State proposing to provide, or the applicant is a government agency, authority, public benefit corporation or municipality that has established or proposes to establish a program that provides, consulting services including, but not limited to, legal, financial, engineering, architectural or other professional services, to or on behalf of:

(a) minority and/or women-owned business enterprises; or

(b) individuals or unincorporated associations proposing to establish minority or women-owned business enterprises; or

(ii) the applicant is a not-for-profit corporation licensed to conduct business in New York State proposing to provide, or the applicant is a government agency, authority, public benefit corporation or municipality that has established or proposes to establish a program that provides, technical assistance including, but not limited to, technical assistance provided through seminars, classes, training programs and forums for or on behalf of minorities and women interested in or involved in the establishment or development of minority and women-owned business enterprises. Such technical assistance may include the provision of information on the existence and nature of technical assistance and other program assistance available from the corporation, as well as assistance available from other public and private sources;

(iii) the applicant is an individual or entity that has entered into a contract with the corporation to provide technical assistance pursuant to subparagraph (c)(1)(i) of this section; or

(iv) the applicant is an eligible contracting agency that has applied for government contractor technical assistance on behalf of an eligible government contractor(s).

(b) Technical assistance consists of technical assistance grants made by the corporation to eligible technical assistance recipients and eligible technical assistance providers in such amounts as the corporation shall determine are necessary for the assistance required, within the parameters set forth below. In no event shall technical assistance be granted to finance the costs to any eligible technical assistance recipient or eligible technical assistance provider of:

(1) any tax or employee benefit arrearage; or

(2) expenses incurred prior to the date an eligible technical assistance recipient or eligible technical assistance provider applies for technical assistance.

(c) Forms of technical assistance. The forms of technical assistance which may be granted shall include, but not be limited to, the following:

(1) assistance to eligible technical assistance recipients in the procurement of professional consulting services including, but not limited to, marketing, accounting, managerial, legal, engineering and architectural services, required to establish a new minority or women-owned business enterprise or to expand, reorganize, etc. an existing minority or woman-owned business enterprise; with respect to technical assistance granted pursuant to this paragraph, the amount of any such assistance shall not be less than $5,000 and generally shall not exceed $50,000; and

(i) the corporation may enter into contracts with eligible technical assistance providers that are individuals or entities possessing special expertise (e.g., legal, accounting, etc.) to provide technical assistance to eligible technical assistance recipients;

(2) assistance to eligible technical assistance providers in the provision of services as set forth in paragraph (a)(2) of this section; the amount of any technical assistance granted pursuant to this paragraph generally shall not be less than $50,000 and generally shall not exceed $150,000; and

(3) government contractor technical assistance to eligible contracting agencies on behalf of eligible government contractors, as more particularly described in subdivision (d) of this section.

(d) Government contractor technical assistance.

(1) Government contractor technical assistance consists of technical assistance grants made by the corporation to eligible contracting agencies which have established, or propose to establish, a program to provide technical assistance to eligible government contractors. Eligible contracting agencies must use government contractor technical assistance to provide technical assistance to or on behalf of such contractors including, but not limited to, technical assistance provided through consulting services (e.g., legal, financial, engineering, architectural and other professional services), seminars, classes, training programs and forums. Government contractor technical assistance grants shall generally not be less than $50,000 or exceed $200,000. In no event shall the corporation grant government contractor technical assistance funds for the administrative and other indirect costs and operating expenses incurred or expected to be incurred by an eligible contracting agency in the implementation of a technical assistance program pursuant to this subdivision.

(2) Applications for government contractor technical assistance shall be submitted to the corporation by eligible contracting agencies in response to requests for proposals issued by the corporation issued on a periodic basis. Said applications shall set forth, without limitation:

(i) the manner and scope in which the eligible contracting agency's program assists or proposes to assist eligible government contractors;

(ii) the method by which the eligible contracting agency selected or proposes to select the contractors that shall receive technical assistance pursuant to the proposed government contractor technical assistance grant;

(iii) the qualifications of any technical assistance providers proposed to provide technical assistance to said contractors and the method by which such providers were selected; and

(iv) the amount of government contractor technical assistance requested, including a budget for the use thereof.

(e) Application procedures. The corporation shall accept and review applications for technical assistance submitted as follows:

(1) Applications from eligible technical assistance recipients shall be submitted in the form of a written request which sets forth, without limitation:

(i) the nature and scope of the technical assistance requested and the applicant's need therefor;

(ii) the qualifications of any technical assistance providers proposed by the applicant; and

(iii) the amount of technical assistance requested, including a budget for the use thereof.

In no event shall technical assistance be granted to fund the provision of technical assistance by any firm, company, association, corporation or organization in which any owner, member of the governing body or officer or employee (or an immediate family member of any such owner, member of the governing body or officer or employee) of an eligible technical assistance recipient or an eligible technical assistance provider shall have any legal or beneficial interest.

(2) Applications from eligible technical assistance providers shall be submitted in the form of a written proposal which sets forth, without limitation:

(i) the scope and type of technical assistance proposed to be provided by the applicant and the need therefor;

(ii) the qualifications of the applicant to provide such technical assistance; and

(iii) the amount of technical assistance requested, including a budget for the use thereof.

(3) Applications from eligible contracting agencies for government contractor technical assistance shall be submitted in accordance with subdivision (d) of this section.

(f) Evaluation criteria. The corporation shall evaluate applications for technical assistance based on a consideration of various factors, including, without limitation:

(1) the availability of technical assistance funds;

(2) the extent to which the requested technical assistance will aid in the establishment, retention or expansion of minority and/or women-owned business enterprises in New York State;

(3) in the case of eligible technical assistance recipients, the extent to which the application documents:

(i) relevant business experience of the applicant strongly indicating a probability of success in the business venture to which the requested technical assistance relates;

(ii) the financial need of the applicant for the requested technical assistance; and

(iii) the ability, experience and qualifications of any proposed technical assistance providers;

(4) in the case of eligible technical assistance providers, the ability, experience and qualifications of the applicant proposing to provide the services for which technical assistance is requested; and

(5) in the case of applications for government contractor technical assistance submitted by an eligible contracting agency:

(i) the method by which the eligible contracting agency selected or proposes to select the eligible government contractors that shall receive technical assistance pursuant to the government contractor technical assistance grant; and

(ii) the extent to which any eligible government contractor identified in the application and proposed to be assisted has successfully performed on any past or present government contract(s) with such eligible contracting agency.

N.Y. Comp. Codes R. & Regs. Tit. 21 § 4230.12