New York regulations
Title 9 Part 5311
Executive Department
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9 NYCRR 5311.1 - Purpose and scope
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)The purpose of this Part is to ensure gaming facility licensees comply with the provisions of article 15-A of the Executive Law and the rules and regulations set forth in Parts 140 through 144 of Title 5 NYCRR. These policies are intended to promote and encourage maximum feasible participation by minority- and women-owned businesses in State contracting opportunities. The commission intends to apply these policies to contracting opportunities in gaming facilities licensed pursuant to article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law.
(b)It is the policy of the commission to ensure that gaming facility licensees construct their gaming facility and ancillary development and conduct all aspects of their operations in a manner that assures diversity of opportunity.
(c)It is the further policy of the commission to ensure diversity in contracting by each gaming facility licensee and its contractors, subcontractors, assignees, lessees, vendors and agents.
9 NYCRR 5311.2 - Definitions
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source-only entry
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
9 NYCRR 5311.3 - Establishment of a utilization plan; plan review
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)Each gaming facility licensee shall annually submit to the commission for approval a utilization plan illustrating specific goals for each contract type, divided by commodities, construction consultants, construction, goods and services, and consultants; and the name, address and telephone number of each minority- and women-owned business enterprise with which the gaming facility licensee intends to contract or subcontract, or otherwise submit in connection with satisfaction of its established goals.
(b)The commission shall review each utilization plan within 20 business days, consistent with section 142.6(c) of Title 5 NYCRR. If the commission does not approve such utilization plan, the commission shall provide the gaming facility licensee a written notice of utilization plan deficiency within 20 business days of the receipt of the proposed plan. Should a notice of deficiency be issued, such notice shall include, without limitation, the following:
(1)a list of minority- and women-owned business enterprises that the gaming facility licensee could potentially use;
(2)the name of any minority- and women-owned business enterprise that is not acceptable for the purpose of complying with the established goals; and
(3)any other information that the commission determines to be relevant to developing an approvable minority- and women-owned business enterprise utilization plan.
The commission shall promptly provide the division with copies of all documents that are submitted to it by the gaming facility licensee under this section.
9 NYCRR 5311.4 - Contract approval and quarterly reporting
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)The gaming facility licensee shall include in all of its procurement solicitations and contracts related to gaming facility capital projects language provided by the commission that promotes and encourages the maximum feasible participation by minority- and women-owned businesses in such contracting opportunities.
(b)A gaming facility licensee shall submit all of its procurement contracts for gaming facility capital projects to the commission for review and approval by the division prior to the execution of such contract by the gaming facility licensee. No such procurement contract shall be effective unless and until such procurement contract has been reviewed and approved by the division as to the procurement contract’s compliance with subdivision (a) of this section.
(c)A gaming facility licensee shall submit to the commission quarterly minority- and women-owned business enterprise utilization reports in a form designated by the commission.
(d)A gaming facility licensee shall, upon request of the commission, provide access to other relevant documentation, including without limitation books, records and payroll records, relating to such gaming facility licensee’s operations and implementation of such gaming facility licensee’s utilization plan.
(e)Any waivers of compliance issued by the commission, or modifications to the utilization plan as set forth in section 5311.7 of this Part, shall be posted on the gaming facility licensee’s website within 10 business days of such commission decision.
(f)The commission shall promptly provide the division with copies of all documents that are submitted to it by the gaming facility licensee pursuant to this section.
9 NYCRR 5311.5 - Required notification
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)Within 30 days after a gaming facility licensee determines that it will not attain an established goal, the gaming facility licensee shall submit a report to the commission that includes a detailed description of its good-faith efforts to attain the established goal or capacity, including, without limitation, the following:
(1)documentation of direct contact or negotiations with minority- and women-owned business enterprises for specific contracting or transacting opportunities. The actions taken shall be reported in a manner that includes the following items:
(i)a detailed statement of the efforts made to negotiate with minority- and women-owned business enterprises, including the following:
(a)the names, business addresses and business telephone numbers of the minority- and women-owned business enterprises contacted; and
(b)a detailed statement of the reason why prospective agreements were not reached; and
(ii)a detailed statement of the efforts, if any, to be undertaken by the gaming facility licensee expected to increase the likelihood of achieving the established goal;
(2)documentation of any advertising performed in the search for prospective minority- and women-owned business enterprises for the contract or transaction;
(3)documentation of any notifications provided to minority- and women-owned business assistance agencies for the purpose of locating prospective minority- and women-owned business enterprises for the contract or transaction; and
(4)documentation of efforts taken to research other possible areas of participation.
(b)The gaming facility licensee shall maintain adequate records of all relevant data in regard to the utilization and attempted utilization of minority- and women-owned business enterprises and shall provide full access to these records to the commission upon request.
(c)The commission shall promptly provide the division with copies of all documents that are submitted to it by the gaming facility licensee under this section.
9 NYCRR 5311.6 - Additional deficiency reporting
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)The commission may require additional minority- and women-owned business enterprise documentation if a gaming facility licensee submits deficient minority- and women-owned business enterprise good-faith effort documentation.
(b)A gaming facility licensee shall respond to any request for additional documentation by submitting a proposed remedy in writing within seven business days, consistent with section 142.6(e) of Title 5 NYCRR.
9 NYCRR 5311.7 - Waiver request
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
If a deficiency is not remedied, and the gaming facility licensee is requesting a waiver of compliance with this Part:
(a)If the written remedy submitted is found to be inadequate, such failure to remedy the deficiency may be grounds for sanctioning such gaming facility licensee, including the possibility of forfeiture of such gaming facility’s license, or the commission will notify the contractor and direct the same to submit, within five business days, a request for partial or total waiver of utilization goals, consistent with section 142.6(f) of Title 5 NYCRR.
(b)The commission shall submit a copy of the deficient utilization plan to the MWBE director, along with the gaming facility licensee’s good-faith documentation, and waiver request.
(c)The commission, in consultation with the MWBE director, shall determine whether additional action can be taken to assist the gaming facility licensee to reach such gaming facility licensee’s goal or whether a formal request will be made to waive the goal.
(d)The commission may, with prior approval from the MWBE director, grant a partial or total waiver of established goal requirements only upon the submission of information supporting a waiver request by the gaming facility licensee and the verification of requisite documentation of good-faith efforts by the gaming facility licensee to justify a waiver request.
9 NYCRR 5311.8 - Failure to attain goals; penalty
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Nov 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)A gaming facility licensee may be considered as having failed to satisfy minority- and women-owned business enterprise participation goals if the gaming facility licensee:
(1)has failed to make a good-faith effort to achieve the established goals; or
(2)fails to prepare and file accurate or timely reports as required.
(b)The commission may, in its discretion, impose a fine, after notice and hearing, upon a gaming facility licensee for failure to use good faith in attaining established goals pursuant to this Part. No fine shall exceed an amount equivalent to the value of the opportunity lost by minority- and women-owned business enterprises.