Indiana Department of Administration Minority and Women’s Business Enterprises Division Mitchell E. Daniels, Governor

1. Indiana Department of AdministrationMinority and Women’s Business EnterprisesDivision Mitchell E. Daniels, Governor

2. Welcome ToThe Basics of State of Indiana MWBE Certification

3. Vision The State of Indiana is committed to utilizing minority- and women-owned businesses for state contracts. The Governor’s Commission on Minority and Women’s Business Enterprises sets annual goals for the participation of MBE/WBEs, and the Minority and Women’s Business Enterprise Division focuses on reaching those goals.

4. State of Indiana MWBE Goals

5. Legislative Authority The program is governed by Indiana Code 4-13-16.5.1 - 9 which defines the role of the minority and women business enterprises, and provides an overview of state requirement and grievance procedures. Specifically, 25 IAC 5-1-1; 5-1-3; 5-2-1; 5-3; 5-4 detail the certification standards for certification application review, certification acceptance and denial.

6. Doing Business in Indiana • Register with Secretary of State • Obtain Bidder Registration Number (BRN) at: http://www.in.gov/idoa/proc/bidder_reg.html • Note: The certification application process cannot move forward without BRN

7. Qualify for M/WBE subcontracting opportunities on state contracts. • Receive notification of state business and training opportunities. • Appear in a directory of State of Indiana Certified Firms published at http://www.in.gov/idoa/2352.htm. • Qualify as a MBE/WBE for purchasing by casinos and state universities as well as other public and private organizations. Benefits of MWBE Certification

8. Qualifications • 51% or more of firm owned by qualifying minority* or woman. • Possess expertise in the field • Control the business enterprise • United States Citizen • *Minority groups include African American, American Indians, Hispanics and Asian Americans or as defined by 13 CFR 124.103. • Reference: Indiana Administrative Code: 25 IAC 5-2-1

9. Starting the Process! ApplicationDownload a certification application at: http://www.in.gov/idoa/2489.htm

10. This is the main page of the Certification Application used for State of Indiana Minority and Women’s Business Enterprises

11. This page outlines initial instructions for filling out the certification application for State of Indiana Minority and Women’s Business Enterprises.

12. Statement of Purpose

13. Complete Instructions for completing your MWBE Certification Application

14. Complete application instructions continued…

15. Question 4 Main business telephone number including area code, facsimile and email. Question 1 Name of firm (DBA, if appropriate). Also attach a copy of your assumed business name certificate. Question 5 (A and B) A. Place an “X” in the space in front of the type of firm which is applying for certification. -Provide copies of the original and all amended partnership agreements obtained from the appropriate governmental agency. -Provide copies of all stock certificates issued, including all cancelled certificates. B. The average number of full-time employees hired during the year. Question 2 Main address of firm. This should be the address of the main or corporate offices. PO Box numbers alone are not acceptable. Additional offices should be listed on a separate attachment. Question 3 Person or persons whom the department can contact for answers to questions about the application. Question 6 (A through C) A. Date firm establishedB. Date when current owners purchased the majority ownership of firm C. Answer questions as indicated.

16. Question 7 If space is insufficient to identify previous firm names used, attach a separate sheet which includes all business names previously used by any owner, partner or stockholder who has at least 5% ownership in the firm applying for certification. Question 8 (A through E) A. Provide information requested. B. If certified as SBA 8a, attach a copy of the certification.C. If firm is certified by other governmental agencies, attach a copy of all certifications. D. If firm is certified by other governmental agencies, attach a copy of all certifications.E. Answer questions as indicated.

17. Question 9A • The detailed work resume should include, but not be limited to: The various jobs or positions of each owner in the past and to date, the general description of his/her duties and responsibilities and the dates of employment or ownership. Where applicable, former education should be included. • A. After completing the personal information requested on each owner, place an “X” on those lines that apply to the individual. You should attach copies of one of the following documents which will prove your membership in the ethnic group you marked “X”. • Membership letter or certificate of an ethnic organization • Tribal certificate • Bureau of Indian Affairs card • Birth Certificate • Passport • Armed Service discharge papers or other appropriate documentation • Baptismal Certificate • Any other documentation that provides evidence of your ethnicity • For proof of citizenship, submit copies of a Birth Certificate, Voter’s Registration Card, Armed Services Discharge Papers or other appropriate documentation that validates the response. For proof of legal permanent resident status, submit the document which includes Registration number. This proof is required. Attach proof of the initial investment in the firm (dollars, real estate and equipment), on behalf of each of the owners.

18. Question 9 (B and C) B. This section must be filled in completely and if the officer is not an owner identified in item 9A, a work resume must be included (see item 9A for what the resume should include). C. This section must be filled in completely and if the number of directors are more than four, attach a separate sheet of paper with the other names and the requested information (see item 9A for what the resume should include). Question 10 (A through I) List individuals responsible for the management areas indicated, if more than one, please indicate. Work resumes must be included (see item 9A for what the resume should include). Be sure to include work resumes for your field superintendents.

19. Question 11 (A through B) A. Provide information as requested. B. List those persons in your firm who are currently working for any other business which has a relationship with this firm, whether on a full-time or part-time basis as an owner, partner, shareholder, advisor, consultant or employee. Question 12 (A through E) A. Provide information as requested. If more than one individual or company, please indicate. This would include any firm or person who provides any type of management or technical services who is not an employee of this firm. If additional space is needed, attach a separate sheet. B. Provide information requested. C. Provide information requested. D. Provide information requested on those firms which have extended your firm credit, or signed letters from them indicating their willingness to extend your firm credit. E. Provide information requested.

20. Question 13 Provide a separate listing of owned equipment and a separate listing of leased equipment. Copies of the state registration cards and titles must be provided for all cars, trucks and other vehicles that require state registration/licensing. Copies of documentation of ownership for all equipment owned must be attached. A copy of the current executed leases for automotive equipment must be attached. A copy of the current leases for office space, storage space, parking space and any other spaces much be attached. Question 14 (A through D) A. Provide information as requested. Provide copy of the signed Corporate Bank Resolution(s) and/or bank account(s) signature card(s). B. Provide a signed statement from your bonding agent that verifies your bonding limits. C. Provide information as requested. D. Provide information as requested. Question 15 Submit copies of required information. Be sure to identify the individual’s name or firm that the license is issued to. If trucking is an area identified, an Interstate or Intrastate Authority is required. Provide a copy of the Authority.

21. Question 16 Provide information as requested. You must provide a copy of all denial and decertification letters received. Question 17 (A through C) A. Provide gross amount earned for each of the last three years. B. Provide information on the work that your firm has completed in the past three years or for the length of time the firm has been in business. C. Provide information on the projects your firm is currently working on. Question 18 Provide names and signatures of partners who have authority to execute contracts. Question 19 (A through D) If you are a supplier, provide the information requested. If not, mark n/a.

22. Question 20 (A and B) A. List the products/services which you provide and are seeking certification.B. Provide the UNSPSC (United Nations Standard Products & Services Code) for the products/services for which you are seeking certification. You may obtain these codes by visiting http://www.unspsc.org/. You may browse and download the current version of the code and audit files at no cost. Question 21 Companies applying for certification must be registered with the State of Indiana Secretary of State’s office. Their telephone number is 317.232.6576. Question 22 Indicate which region of the state you prefer to work in (see attached map).

23. Question 23 Select your type of business by marking with and “X”. Question 24 Answer as indicated. Question 25 Answer as indicated.

24. Affidavit The Affidavit must be signed by the President or Chief Executive Officer of the firm and the Corporate Seal affixed to it. The Affidavit must also be notarized. False statements shall make your firm subject to decertification or denial of future certification. For a not-for-profit organization, the highest ranking officer must sign the affidavit. Note: The Notary must be someone other than the business owner.

25. State of Indiana Regions Use this map to define which region you prefer to work in. Region 13 covers the entire state.

26. Certification ChecklistThis page outlines all items that should be included in your certification packet prior to submission to the Indiana Minority and Women’s Business Enterprises Division.

27. Certification Checklist Remember: All applicants must provide the documentation listed under “ALL APPLICATION” plus the additional documentation requested for their type of firm (i.e. An out-of state sole proprietor must provide the documentation requested under “ALL APPLICATIONS”, “SOLE PROPRIETOR” and “OUT OF STATE FIRMS”.) Please write “n/a” or “none” next to any item that does not apply to your company and include an explanatory note. Copies of these documents are sufficient.

28. Complete Certification Process… Receipt of Certification Application Application is forwarded to Certification Coordinator File incomplete – Notice sent requesting additional documentation In-State application: Status = Complete Forwarded to Regional Business Specialist Out of state application: Status = Complete Forwarded to Out-of-State Specialist Requested docs not received in 15 bus. days of receipt of letter = File inactive Documents received Investigation report and On-site visit completed Investigation report and desk audit completed Final review form completed. Certification committee present and discuss Firm accepts denial Firm Denied Firm Certified for 3 years Appeals process

29. Determination Process… Certification• The Business Relations Specialists conducts an onsite investigation after which the file goes before a review committee to determine eligibility. • Business Relations Specialists recommends certification. UNSPSC codes are granted. • Certification eligibility notification letter sent from the MWBED to certified MWBE. • Certification is immediate and is valid for three years. Denial• The Business Relations Specialists conducts an onsite investigation after which the file goes before a review committee to determine eligibility. • If the Business Relations Specialists recommends that a firm be denied, a denial letter will be sent out to the applicant.

30. Major factors considered when determining certification eligibility… IDOA will apply the following rules in situations in which marital assets form a basis of ownership of an enterprise: For jointly held marital assets used to acquire ownership by one M/WBE spouse, the other spouse must renounce and transfer all rights to that asset. A copy of the document legally transferring or renouncing the other spouse’s rights must be provided.

31. Major factors considered when determining certification eligibility continued… •Only an independent business may be certified as an M/WBE. An independent business is when the viability of the business does not depend on its relationship with another enterprise. •IDOA will scrutinize M/WBE relationships with non-M/WBEs. •The qualifying members must possess the power to direct or cause the direction of the management and policies of the enterprise and to make day-to-day as well as long-term decisions on matters of management, policy, and operations. •A M/WBE must not be subject to any formal or informal restrictions that limit the customary discretion of the qualifying members. There can be no restrictions through corporate charter provisions, bylaw provisions, contracts, etc. •M/WBE members may delegate various areas of management, policymaking or daily operations to other participants, but must retain the power to hire and fire.

32. Major factors considered when determining certification eligibility continued… •IDOA must reasonably conclude that the qualifying MWBE actually exercises control over the enterprise’s operations, management and policy. •The qualifying member must be the highest officer position in the enterprise. •Non-MWBE members may be involved as owners, managers, employees, officers, directors, but must not possess or exercise the power to control the enterprise. •IDOA must make a judgment about the control the qualifying member exercises without regard to whether or not the other persons are immediate family members. If IDOA cannot determine whether a qualifying member, distinct from the family as a whole, controls the enterprise, then the qualifying member has failed to carry his or her burden of proof concerning control. •The qualifying member must have a general understanding of and must demonstrate the ability to effectively manage the type of business seeking certification. Also, intelligently and critically evaluate information presented by other participants in the enterprise’s activities; and use this information to make independent decisions concerning the enterprise’s daily operations, management, and policy-making.

33. Now that I am certified,what are my next steps to success?

34. Next Steps… 1. Build Key Business Relationships 2. Provide an excellent product or service 3. Offercompetitiveprices 4. Attend contracting classes and information sessions • 5. Market your business to key players in the State Procurement Process • (State Purchasers, State Prime Contractors) • 6. Maintain your business information: - BRN Database - UNSPSC Codes and Expansion/Amendment Forms - Yearly Submission of ACE Forms

35. Position Your Business for Success! • Research • Ask Questions • Market Your Business • Respond

36. Tips to consider… • State MWBE certification should be looked at as only one tool in your businesses tool-kit. • MWBE is a sub-contracting program. • Remember it’s your responsibility to do the work to get your phone ringing with contracting opportunities. • Your business success is determined by you!

37. Questions and Answers

38. Contact Us Minority and Women's Business Enterprises Division402 W. Washington Street, Room W479Indianapolis, IN 46204Telephone: 317-232-3061Fax: 317-233-6921E-mail: mwbe@idoa.in.govWeb: http://www.in.gov/idoa/2352.htm