Form Otda 4968 Elw – Fill Out and Use This PDF

OTDA - 4968 ELW (Rev 7/13)

CONTRACTOR QUARTERLY COMPLIANCE REPORT

INSTRUCTIONS: BEGINNING TEN DAYS FOLLOWING THE END OF THE FIRST CALENDAR QUARTER (March 31st, June 30th, September 30th, and December 31st) AFTER A CONTRACT IS AWARDED; QUARTERLY COMPLIANCE REPORTS WILL BE DUE FOR THE PROCEEDING QUARTER’S ACTIVITY.

Expenditure Code: C – Commodities, SC – Services/Consultants, CC –Construction Consultants, CN – Construction

				REPORTING PERIOD:					MWBE Goal
	Contract Number: __ __ __ __ __ __ __						MBE	________	%
				From:_____/_____/_____
							WBE	________	%
				To: _____/_____/_____
	Contractor:						M/WBE ________ %

NAME AND TITLE OF PREPARER (Print or Type):		TELEPHONE NO.:		EMAIL ADDRESS:
QUARTERLY REPORTS SHOULD BE			FOR AGENCY USE ONLY
		REVIEWED BY:	DATE:
SUBMITTED TO THE OTDA
PROGRAM/CONTRACT MANAGER

CREDIT WILL NOT BE GIVEN WITHOUT COMPLETE INFORMATION

INSTRUCTIONS:

List all M/WBEs used during the quarter, providing all requested information in appropriate columns. In the event that an M/WBE is used more than one time during a quarter, list the M/WBE only once for each expenditure category. Use the Expenditure Code defined at the top of the form to indicate the category of expenditures for which the M/WBE was used.

TOTALS FOR REPORT PERIOD

Column A	Total Amount of Actual Expenditures in Report Period: Enter the amount ($) for each Expenditure Code made during
	report period under this contract.
Column B	MBE Subcontracting Expenditures: Enter the amount for each Expenditure Code with registered Minority Owned
	Business Enterprises made during the report period under this contract.
Column C	WBE Subcontracting Expenditures: Enter the amount of expenditures for each Expenditure Code with registered
	Women Owned Business Enterprises made during the report period under this contract.
Column D	MWBE Dual Subcontracting Expenditures: Enter the amount of expenditures for each Expenditure Code with
	registered Minority and Women Owned Business Enterprises made during the report period under this contract.

Use the following codes in the Product Code column to indicate the category of work for which the M/WBE was utilized:

PRODUCT CODE KEY:

	A	Agriculture/Landscaping (e.g., all forms of landscaping services)
B		Mining (e.g., Geological Investigation)
	C	Construction
C15		Building Construction – General Contractors
	C16	Heavy Construction (e.g., highway, pipe laying)
C17		Special Trade Contractors (e.g., plumbing, heating, electrical, carpentry)
	D	Manufacturing (production of goods)
E		Transportation, Communication and Sanitary Services (e.g., Delivery services, warehousing, broadcasting and cable systems)
	F/G	Wholesale/Retail Goods (e.g., gravel, hospital supplies and equipment, food stores, computer stores, office supplies)
G52		Construction Materials (e.g., lumber, paint, lawn supplies)
	H	Financial, Insurance and Real Estate Services

I Services

	I73	Business Services (e.g., copying, advertising, secretarial, janitorial, rental services of equipment, computer programming,
		security services)
I80		Health Services
	I81	Legal Services
I82		Educational Services (e.g., AIDS education, automobile safety, tutoring, public speaking)
	I83	Social Services (e.g., counselors, vocational training, child care)
I87		Engineering, architectural, accounting, research, management and related services

ETHNICITY MINORITY GROUP DEFINITION

	Asian-Pacific			Persons having origins from the Far East, Southeast Asia or the Pacific Islands.
Asian-Indian				Persons having origins from the Indian subcontinent.
Subcontinent
	Native			Persons having origins in any of the original peoples of North America.
	American

Expenditure: An expenditure is an actual payment which has been made by an agency, either through the Office of the State Comptroller or by the agency's finance office directly, including subcontractor/supplier payments made by a prime contractor and verified by the agency.

Grants: For the purposes of this report, grants are monies dispensed by a contracting governmental agency to a person or institution to accomplish a public purpose authorized by law. According to Article 15-A, grants are considered to be State contracts. For the purpose of compliance reporting, the recipient of the grant is considered to be the "contractor". These contracts are subject to MWBE goals and reported in the same fashion as any other contract. Grant dollars expended should be reported on the form most appropriate for the majority of the grant (e.g. if the grant dollars are generally spent for construction, the monies should be reported on the construction form; if for training, the monies should be reported on the services/consultant form).

Not-for-Profit: An entity organized as a not-for-profit corporation pursuant to State Law. According to Article 15-A, not-for-profit entities are considered to be "contractors". These contractors are subject to MWBE goals and should be treated and reported in the same fashion as any other contractor. The expenditure of dollars by a not-for-profit entity should be reported on the form most appropriate to the majority of the funding (e.g. if the dollars are generally spent to provide training and/or rehabilitation services, then the monies should be reported on the services/consultant form; if the expenditures are made on a contract for low-income housing, the dollars should be reported on the construction form).

Subcontract: a) For construction, a subcontract is any portion of the contract or any service performed or supplies provided relative to that contract by any party other than the prime contractor;

b)For commodities and consultant/services, a subcontract is that portion of the total value of a contract portioned out to another consultant/individual or vendor. This is also known as second tier spending;

c)For grants/not-for-profits contracts, a subcontract is that portion of funding expended for supplies, equipment, printing, consultants, trainers, services, etc.

d). It is important to provide all information as requested or credit may not be allowed.

e). It is critical that you provide the detailed information requested on the CONTRACTOR QUARTERLY COMPLIANCE REPORT. List each M/WBE firm you have included in the MBE and WBE totals (for prime and subcontract expenditures) in each expenditure category. Missing information may result in the firm/dollars not counting toward agency MWBE participation goals.