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XI.2
Comptroller Approval of Contracts and General Contracts Processing

The Office of the State Comptroller (OSC) is charged with the responsibility, under Section 112 of the State Finance Law, for the pre-audit of certain State contracts.

This section provides guidance to State agencies in determining whether a contract-related transaction must be approved by OSC. It also provides general policies and procedures for submission of contract-related transactions in the Statewide Financial System (SFS) and obtaining OSC’s approval where needed.

This section provides information regarding:

As a rule, the contract processing information provided in this section is applicable regardless of the specific contract type being used. For certain specific contract types and Purchase Orders subject to OSC review (OP Transactions), there may be additional or unique processes or requirements. Those are provided in later sections of this Guide, such as Section 3 – Purchase Orders Subject to OSC Review, Section 12 - Contract Management and Section 13 - Procurement Overview and Policies of this Chapter.

Contracts entered in SFS that do not require OSC approval, including but not limited to those notwithstanding Section 112 of the State Finance Law, must adhere to the applicable SFS contract processing requirements contained in this section including: contract prefix selection, audit type etc. Purchase Orders that are not subject to OSC review must adhere to applicable SFS processing requirements (see Chapter XI-A, Section 1 - Purchasing Process Overview of this Guide for additional information).

Contracting agencies must enter a clear and concise description in the NYS Contract Description field for each transaction, including amendment transactions. For amendment transactions, the NYS Contract Description field should be updated to capture and summarize the specific modifications being made to the agreement by that transaction (see Section 2.E.1 - Contract Amendments Subject to OSC Review of this Chapter for additional information). Agencies should ensure information entered for transactions, such as contract descriptions and comments, is accurate and appropriate as it cannot be modified once the transaction is submitted for approval.

Additionally, agencies must use only Business Units / Department IDs that have been specifically designated for use with contract transactions. For a list of contract and purchase order Business Units / Department IDs, refer to the Statewide Financial System Contract Business Unit / Department ID list. If an agency identifies a need to use a Business Unit / Department ID not included in the Statewide Financial System Contract Business Unit / Department ID list, prior to processing the transaction in SFS the agency must submit a helpdesk ticket to SFS identifying the reasons an alternate Business Unit and / or Department ID is needed. A determination on the agency request will be provided through the SFS Helpdesk.

CONTRACT STATUS

Contract information is available on Open Book New York and the New York State VendRep System. Open Book New York provides the public with access to data about contracts State agencies and State authorities have with businesses, nonprofit organizations, and other governmental entities. Data is updated nightly with newly-approved contracts and contract amendments.

The New York State VendRep System provides authorized agency and vendor users the status of contract transactions that have been received by OSC. Using the Contract Search feature, a State agency can view the status (Received, Approved and Non-Approved) of their own contracts submitted to OSC. Agencies can also view the status of approved contracts for all State agencies. A vendor can view the status (Received, Approved and Non-Approved) of its own contracts submitted to OSC by using the Contract Data link and filtering on Status. Contract status data is updated nightly.

See Section 16 - Vendor Responsibility of this Chapter for additional information about the VendRep System, including instructions for enrollment.


Agencies are reminded not to direct vendors to OSC for contract status information. Agencies and vendors are encouraged to use Open Book New York and the New York State VendRep System to obtain information about the status of contracts.

 

 

Guide to Financial Operations


REV. 4/12/2017