S T A T E   O F   N E W   Y O R K
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    S. 6845                                                  A. 9927

                      S E N A T E - A S S E M B L Y

                            February 12, 2010
                               ___________

IN  SENATE  --  Introduced  by  Sen.  THOMPSON -- read twice and ordered
  printed, and when printed to be committed to the Committee on Finance

IN ASSEMBLY -- Introduced by M. of A. BRODSKY -- read once and  referred
  to the Committee on Governmental Operations

AN  ACT to amend the executive law, in relation to prohibiting automatic
  waivers of non-compliance with subcontracting goals, requiring  agency
  periodic  reporting  and  strengthening  division reporting; to repeal
  subdivision 3 of section 315 of the executive law relating to  respon-
  sibilities  of  contracting  agencies; and to repeal the opening para-
  graph of subdivision (h) of section 121 of chapter 261 of the laws  of
  1988,  amending  the  state finance law and other laws relating to the
  New York state infrastructure trust fund,  relating  to  minority  and
  women-owned business enterprises

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. Paragraph (a) of subdivision 4 of section 313 of the execu-
tive law, as amended by chapter 429 of the laws of 2009, is  amended  to
read as follows:
  (a)  Contracting  agencies  shall administer the rules and regulations
promulgated by the director to ensure compliance with the provisions  of
this  section. Such rules and regulations: shall require a contractor to
submit a utilization plan after bids are opened, when bids are required,
but prior to the award of a state contract; shall require the  contract-
ing  agency  to  review the utilization plan submitted by the contractor
and to post the utilization plan and any waivers  of  compliance  issued
pursuant  to  subdivision  five  of  this  section on the website of the
contracting agency within a reasonable period of time as established  by
the  director;  shall  require  the  contracting  agency  to  notify the
contractor in writing within a period of time specified by the  director
as  to  any deficiencies contained in the contractor's utilization plan;
shall require remedy thereof within a period of time  specified  by  the
director;  shall  require  the  contractor to submit periodic compliance
reports relating to the operation and implementation of any  utilization

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
              

                                                           LBD15828-01-0

S. 6845                             2                            A. 9927

plan;  shall NOT ALLOW ANY AUTOMATIC WAIVERS, BUT SHALL allow a contrac-
tor to apply for a partial or total waiver of the  minority  and  women-
owned  business enterprise participation requirements pursuant to subdi-
visions five and six of this section; shall allow a contractor to file a
complaint  with  the  director  pursuant  to  subdivision  seven of this
section in the event a contracting agency has failed or refused to issue
a waiver of the minority and  women-owned  business  enterprise  partic-
ipation  requirements or has denied such request for a waiver; and shall
allow a contracting agency to file a complaint with the director  pursu-
ant  to  subdivision  eight of this section in the event a contractor is
failing or has failed to comply with the minority and women-owned  busi-
ness  enterprise  participation  requirements  set  forth  in  the state
contract where no waiver has been granted.
  S 2.  Subdivision 3 of section 315 of the executive  law  is  REPEALED
and two new subdivisions 3 and 4 are added to read as follows:
  3.  EACH  CONTRACTING AGENCY SHALL REPORT TO THE DIRECTOR WITH RESPECT
TO ACTIVITIES UNDERTAKEN TO PROMOTE EMPLOYMENT OF MINORITY GROUP MEMBERS
AND TO PROMOTE AND INCREASE PARTICIPATION BY CERTIFIED  BUSINESSES  WITH
RESPECT  TO  STATE  CONTRACTS  AND  SUBCONTRACTS.  SUCH REPORTS SHALL BE
SUBMITTED ON A QUARTERLY AND ANNUAL BASIS, AND SHALL INCLUDE SUCH INFOR-
MATION AS IS NECESSARY FOR THE DIRECTOR TO  DETERMINE  SUCH  CONTRACTING
AGENCIES AND ITS CONTRACTORS' COMPLIANCE WITH THE PURPOSES OF THIS ARTI-
CLE  AND  SUCH SPECIFIC INFORMATION AS THE DIRECTOR MAY REQUEST, INCLUD-
ING, WITHOUT LIMITATION; (A) A SUMMARY OF ALL WAIVERS  OF  THE  REQUIRE-
MENTS  OF SUBDIVISIONS FIVE AND SIX OF SECTION THREE HUNDRED THIRTEEN OF
THIS ARTICLE ALLOWED  BY  SUCH  CONTRACTING  AGENCY  DURING  THE  PERIOD
COVERED BY THE REPORT, INCLUDING A DESCRIPTION OF THE BASIS OF THE WAIV-
ER REQUEST AND THE CONTRACTING AGENCIES' RATIONALE FOR GRANTING ANY SUCH
WAIVER;  (B)  WITH  RESPECT  TO  CONTRACTING AGENCIES THAT CONTRACT WITH
EMERGING INVESTMENT MANAGERS, A BREAKDOWN OF THE AGGREGATE DOLLAR AMOUNT
OF INVESTMENT ASSETS MANAGED BY OR COMMITMENTS TO  INVEST  CAPITAL  WITH
MINORITY-OWNED BUSINESS ENTERPRISES AND WOMEN-OWNED BUSINESS ENTERPRISES
ENTERED  INTO  DURING  THE  REPORTING  PERIOD  AS  COMPARED  TO ALL SUCH
CONTRACTS ENTERED INTO DURING SUCH PERIOD; (C) WITH RESPECT TO CONTRACT-
ING AGENCIES THAT CONTRACT WITH MINORITY OR WOMEN-OWNED BUSINESS  ENTER-
PRISES    THAT  ARE  BROKER-DEALERS, A BREAKDOWN OF THE AGGREGATE DOLLAR
AMOUNT OF COMMISSIONS RECEIVED IN EXCHANGE  FOR  TRADING  ACTIVITY  WITH
MINORITY-OWNED BUSINESS ENTERPRISES AND WOMEN-OWNED BUSINESS ENTERPRISES
ENTERED  INTO  DURING  THE  REPORTING  PERIOD  AS  COMPARED  TO ALL SUCH
CONTRACTS ENTERED INTO DURING SUCH PERIOD; (D) WITH RESPECT TO CONTRACT-
ING AGENCIES THAT CONTRACT WITH MINORITY OR WOMEN-OWNED BUSINESS  ENTER-
PRISES  THAT  PROVIDE  FINANCIAL  SERVICES, A BREAKDOWN OF THE AGGREGATE
DOLLAR  AMOUNT  OF  COMPENSATION  RECEIVED  IN  EXCHANGE  FOR  FINANCIAL
SERVICES  (EXCLUDING  ASSET  MANAGEMENT  SERVICES  AND  COMMISSIONS  FOR
BROKERAGE ACTIVITY) WITH MINORITY-OWNED BUSINESS ENTERPRISES AND  WOMEN-
OWNED  BUSINESS  ENTERPRISES ENTERED INTO DURING THE REPORTING PERIOD AS
COMPARED TO ALL SUCH CONTRACTS ENTERED INTO DURING SUCH PERIOD; AND  (E)
WITH  RESPECT  TO  CONTRACTING  AGENCIES  THAT CONTRACT WITH MINORITY OR
WOMEN-OWNED BUSINESS ENTERPRISES THAT ARE PROFESSIONAL SERVICE FIRMS,  A
BREAKDOWN  OF  THE  AGGREGATE  DOLLAR AMOUNT OF COMPENSATION RECEIVED IN
EXCHANGE FOR PROFESSIONAL SERVICES WITH MINORITY-OWNED  BUSINESS  ENTER-
PRISES  AND  WOMEN-OWNED  BUSINESS  ENTERPRISES  ENTERED INTO DURING THE
REPORTING PERIOD AS COMPARED TO ALL SUCH CONTRACTS ENTERED  INTO  DURING
SUCH PERIOD.
  4. THE DIVISION OF MINORITY AND WOMEN-BUSINESS DEVELOPMENT SHALL ISSUE
AN  ANNUAL  REPORT  WHICH: (A) SUMMARIZES ALL REPORTS SUBMITTED TO IT BY

S. 6845                             3                            A. 9927

EACH CONTRACTING AGENCY PURSUANT TO SUBDIVISION THREE OF  THIS  SECTION;
(B) CONTAINS SUCH COMPARATIVE OR OTHER INFORMATION AS THE DIRECTOR DEEMS
APPROPRIATE  TO  EVALUATE THE EFFECTIVENESS OF THE ACTIVITIES UNDERTAKEN
BY  EACH  SUCH  CONTRACTING AGENCY TO PROMOTE INCREASED PARTICIPATION BY
CERTIFIED BUSINESSES WITH RESPECT TO STATE CONTRACTS  AND  SUBCONTRACTS;
(C)  CONTAINS  A  SUMMARY OF ALL WAIVERS OF THE REQUIREMENTS OF SUBDIVI-
SIONS FIVE AND SIX OF SECTION THREE HUNDRED  THIRTEEN  OF  THIS  ARTICLE
ALLOWED  BY  EACH  CONTRACTING  AGENCY  DURING THE PERIOD COVERED BY THE
REPORT, INCLUDING A DESCRIPTION OF THE BASIS OF THE WAIVER  REQUEST  AND
THE  CONTRACTING  AGENCIES'  RATIONALE FOR GRANTING ANY SUCH WAIVER; AND
(D) CONTAINS A SUMMARY OF (I) ALL DETERMINATIONS  (PURSUANT  TO  SECTION
THREE  HUNDRED SIXTEEN OF THIS ARTICLE) OF VIOLATIONS OF THIS ARTICLE BY
A CONTRACTOR OR A CONTRACTING AGENCY MADE DURING THE PERIOD  COVERED  BY
THE  ANNUAL REPORT AND (II) THE PENALTIES OR SANCTIONS, IF ANY, ASSESSED
IN CONNECTION WITH SUCH DETERMINATION AND THE RATIONALE FOR SUCH  PENAL-
TIES  OR SANCTIONS. COPIES OF THE ANNUAL REPORT SHALL BE PROVIDED TO THE
COMMISSIONER, GOVERNOR, THE SPEAKER OF THE ASSEMBLY  AND  THE  TEMPORARY
PRESIDENT  OF  THE SENATE AND SHALL ALSO BE MADE WIDELY AVAILABLE TO THE
PUBLIC, INCLUDING BY PUBLICATION ON A WEBSITE MAINTAINED BY THE DIVISION
FOR SUCH PURPOSE.
  S 3. The opening paragraph of subdivision (h) of section 121 of  chap-
ter  261  of  the laws of 1988, amending the state finance law and other
laws relating to the  New  York  state  infrastructure  trust  fund,  is
REPEALED.
  S 4. This act shall take effect immediately.