N.Y. Comp. Codes R. & Regs. tit. 5, § 141.6 – State agency compliance reporting.

(a) Each State agency shall submit a quarterly compliance report in a form and manner required by the director. The report is submitted quarterly over the fiscal year. The four reporting quarters are April 1st – June 30th (1st quarter due July 15th); July 1st – September 31st (2nd quarter due October 15th); October 1st – December 31st (3rd quarter due January 15th); and January 1st – March 31st (4th quarter due April 15th). The compliance report shall include the following information regarding State contracts and subcontracts awarded in the interval since the last compliance report:
1. (1) the number of State contracts awarded, the maximum dollar amount obligated pursuant to those contracts, and total expenditures pursuant to all such contracts;
2. (2) the number of State contracts awarded to certified minority- or women-owned business enterprises, the maximum dollar amount obligated pursuant to all those contracts, and the total expenditures made pursuant to all such contracts;
3. (3) the number of State contracts awarded which include a utilization plan for business participation by certified minority- or women-owned business enterprises as subcontractors, the maximum amount obligated pursuant to those contracts, and the total expenditures made pursuant to all such contracts, and the percentage of those expenditures awarded pursuant to certified minority- and women-owned business enterprises;
4. (4) the number of State contracts awarded upon which a waiver was granted from goals required by the contracts for business participation by certified minority- or women-owned business enterprises, and the maximum amount obligated pursuant to those contracts as well as a summary of the waivers;
5. (5) the number of State contracts awarded which required goals for employment of minority group members and women;
6. (6) the number of State contracts awarded for which waivers of employment goals required by the contracts have been granted;
7. (7) a justification of any waivers granted pursuant to paragraphs (4) and (6) of this section;
8. (8) a statement of whether it is in compliance with its agency goal plan based on information provided in the compliance report, and if it is not in compliance with its agency goal plan, a description of the actions which will be taken to comply with the State agency goal plan;
9. (9) whether the State agency has been required to prepare a remedial plan and, if so, the plan (attached as an exhibit) and the extent to which the agency has complied with each element of the plan; and
10. (10) any additional information relevant or necessary to demonstrate the State agency’s compliance for utilization of certified minority- and women-owned business enterprises in its contracts or procurement practices.
(b) Each State agency required to submit an annual report to the governor and legislature pursuant to section 164 of the Executive Law shall include its annual goals for contracts with certified minority- and women-owned business enterprises; the number and dollar amount of actual contracts and subcontracts issued to certified minority- and women-owned business enterprises; and, a summary of all waivers of the requirements of subdivisions six and seven of section 313 of the Executive Law allowed by the reporting agency during the preceding year, including a description of the basis of the waiver request and the rationale for granting such waiver. Each State agency shall also include in such annual report whether or not it has been required to prepare a remedial plan (attached as an exhibit), and, if so, the plan and the extent to which the State agency has complied with each element of the plan.