This section outlines the process and documentation requirements for contract and amendment submittals subject to OSC approval. Section XI.2.E.1 Paper Submission of Contracts and Section XI.2.E.2 Paper Submission of Amendments provide information specific to the standard process for paper submittals. Section XI.2.E.3 Electronic Submission of Contracts through the Electronic Documents Submission System (EDSS) and Section XI.2.E.4 Electronic Submission of Amendments through the Electronic Documents Submission System (EDSS) provide information specific to Electronic Document Submission System submittals.

Paper Submission of Contracts 

Once a State agency has determined that a contract transaction is subject to prior approval by the Office of the State Comptroller (OSC) as detailed in Section 2.A - Thresholds of this Chapter, the agency selects the appropriate Audit Type. The Statewide Financial System (SFS) uses the Audit Type to determine whether the transaction will be routed to OSC for prior approval, and if so, to which audit team in OSC’s Bureau of Contracts (BOC) it will be directed. BOC uses the Audit Type to route received documents to the correct audit team.

This section outlines the order in which contract transaction documents should be organized for submission to the Attorney General's Office and OSC. Certain Purchase Orders are subject to OSC prior approval; for guidance on the creation of those transactions in the SFS and submission of documentation to the Bureau of Contracts, see Section 3.A - Paper Submission of Purchase Orders of this Chapter.

Process and Document Preparation:

Generally, agencies submit one original contract document along with needed additional signature pages, the procurement record (Request For Proposal, Invitation For Bid, procurement record checklist, certified bid tabulation, etc.), a Single Transaction Summary (STS) or AC 340-S and other documents (e.g., transmittal cover letter, and when required, vendor responsibility documentation). BOC routes these documents to the appropriate audit team based on the Audit Type on the STS/AC 340-S. When BOC receives the contract documents with the STS/AC 340-S on top, routing of the contract transactions to the appropriate audit team is quick and efficient; when the STS/AC 340-S is interspersed among other contract transaction documents, it impedes BOC’s ability to quickly process and route the contract transactions to the appropriate audit team. Similarly, when vendor responsibility documentation is required, those documents should be kept together so they can be given to the VendRep audit team.

In order to ensure quick processing of agency submitted contract transactions, agencies should submit their contract transaction documents, where applicable, in the following order:

1. Single Transaction Summary (STS) or AC 340-S
2. Transmittal cover letter
3. Vendor Responsibility Profile, and Vendor Disclosure (questionnaire and attachments), as required for the type and amount of the transactions
4. The original copy of the contract
5. Additional needed signature pages (i.e., vendor, agency)
   • Agencies are required to place the New York State Contract number and an "agency certification" on all copies of the signature pages. The purpose of the certification is to ensure agencies attach the signature pages to the contract documents filed with and approved by OSC. A copy of a recommended signature page and the certification language required on each signature page is attached.
6. Procurement Record (Request for Proposal, Invitation for Bid, procurement record checklist, certified bid tabulation, etc.) The NYS Procurement Council has issued a Procurement Bulletin which provides additional information about the Procurement Record and Checklist.
7. Protest related documentation and correspondence, if applicable. Section 17 - Protest Procedures of this Chapter provides additional information regarding protests.

Contract transactions which require a funds reservation must be submitted with the funds reservation amount identified on the bottom of the STS or AC 340-S (see Section 2.C - Contract Funds Reservation of this Chapter for additional information). OSC will review the contract requisition to verify that adequate funds have been reserved.

When the contract is approved by OSC, OSC will return the signed signature page(s) to the agency. It will be the agency's responsibility to attach the signature page(s) to the proper contract documents.

Process and Document Preparation Specific to the SFS:

SFS users will create a contract transaction in the SFS using the appropriate Audit Type. For transactions subject to OSC approval, users will generate a Single Transaction Summary (STS) and submit the STS with the agreement (contract) and required procurement record documents to OSC.

Process and Document Preparation Specific to Agency Bulkload System Users:

SFS users that bulkload contract transactions into the SFS must use the appropriate Audit Type. For transactions subject to OSC approval, users will generate an AC 340-S and submit it with the agreement (contract) and required procurement record documents to OSC.

Paper Submission of Amendments

DETERMINING WHEN A CONTRACT AMENDMENT IS SUBJECT TO OSC REVIEW

Original Contract Was Subject To OSC Review

A contract amendment must be submitted to the New York State Office of the State Comptroller’s (OSC) Bureau of Contracts (BOC) for review if the original contract was subject to OSC review and if any terms and conditions are modified by the amendment. Following are examples of terms and conditions that when modified would result in an amendment transaction that is subject to OSC review:

• Begin Date
• Expire Date
• Contract Maximum Amount
• Budget adjustments (refer to SFL Article 11-B for Grant budget adjustments)
• Scope changes
• Contract provisions

Amendments that result in changes not contemplated in the original agreement may require additional justification, supporting documentation and/or a contract reporter exemption request, depending on the scope of changes.

Original Contract Was Not Subject To OSC Review

An amendment to a contract not originally subject to OSC review must be submitted to BOC when the amendment will increase the Contract Maximum to meet or exceed OSC’s review threshold (see Section 2.A - Thresholds of this Chapter for additional information). Additionally, subsequent transactions that modify the terms and conditions of such an agreement will also require BOC review.

Contact the appropriate BOC Audit Team for guidance, if needed, on determining if an amendment is subject to OSC review (see Chapter I, Section 5 - OSC Bureau Contact Information of this Guide for additional information).

CREATING A PROCUREMENT CONTRACT AMENDMENT IN THE STATEWIDE FINANCIAL SYSTEM (SFS)

To route a procurement contract amendment to BOC for review, an agency must create a new contract version in the Statewide Financial System (SFS) Procurement Contracts Module.

Process:

The version created in the SFS must include:

1. selection of an Audit Type that requires BOC review; and
2. change(s) made to one or more of the following Contract Header Fields
   • Contract Maximum
   • Begin Date
   • Expire Date
   • New York State Contract Description Field

The NYS Contract Description Field in SFS

The NYS Contract Description field should be updated to capture and summarize modifications to the agreement. If no other Contract Header fields are changed, modification to the NYS Contract Description field (in conjunction with an Audit Type requiring OSC review) systematically routes the amendment to OSC for review. For additional instruction on this topic, visit job aid containing additional guidance on Audit Types published to SFS Coach. SFS Coach is accessible from the SFS home page after logging in with your SFS user ID and password.

Procurement Contract Line Changes

Changes to procurement contract lines should not be sent to OSC for review and approval, unless the changes in procurement contract lines are the result of changes to terms and conditions. Changes to procurement contract lines that result in reducing pre-encumbrance below the required funds reservations are not allowed.

CREATING A REVENUE CONTRACT AMENDMENT IN THE STATEWIDE FINANCIAL SYSTEM (SFS)

To route a revenue contract amendment to BOC for review, an agency must create an amendment in the Statewide Financial System (SFS) in the Customer Contracts Module.

Process:

1. Create an amendment in the Customer Contracts Module. Use an Audit Type that requires BOC review. Save amendment in “Ready” status to submit to OSC. For additional instruction on this topic, visit job aid containing more guidance on Revenue Amendments published to SFS Coach. SFS Coach is accessible from the SFS home page after logging in with your SFS user ID and password.

PLEASE NOTE: The Customer Contracts Module does not allow the Contract Header to be updated to reflect an amended Revenue Contract start date later than the current start date or an end date earlier than the current end date. In these cases, the revised contract period (both start and end date) must be included in the NYS Contract Description Field in order for OSC to review the transaction. In addition, every subsequent amendment will require the revised contract period entered in the NYS Contract Description.

Document Preparation:

Generally, agencies are required to submit the following contract amendment documents to OSC for review:

• Single Transaction Summary (STS) or AC 340-S
• Transmittal cover letter
• One original contract amendment document
• Additional signature pages, if needed
• Supporting documents
  • Vendor responsibility documentation, if required
  • Additional justification
  • Other

BOC routes these documents to the appropriate audit team based on the Audit Type on the STS/AC 340-S. When BOC receives the contract documents with the STS/AC 340-S on top, routing of transactions to the appropriate audit team is quick and efficient; when the STS/AC 340-S is interspersed among other transaction documents, it impedes BOC’s ability to quickly process and route the transactions to the appropriate audit team. Similarly, when vendor responsibility documentation is required, those documents should be kept together so they can be given to BOC’s VendRep audit team.

After a contract amendment is approved by OSC, the signed signature page(s) are returned to the agency. It is the agency’s responsibility to attach the signature page(s) to the proper contract documents (see Section 2.E – Submission of Agency Contracts and Amendments of this Chapter for additional information).

Funds Reservation

Procurement Contract amendment transactions which require a funds reservation may be submitted with the funds reservation amount identified on the bottom of the STS or AC 340-S (see Section 2.C - Contract Funds Reservation of this Chapter for additional information). As part of OSC’s review, the contract requisition is checked to verify that adequate funds have been reserved.

Electronic Submission of Contracts through the Electronic Documents Submission System (EDSS)

Once a State agency has determined that a contract transaction is subject to prior approval by the Office of the State Comptroller (OSC) as detailed in Section 2.A - Thresholds, the agency selects the appropriate Audit Type. The Statewide Financial System (SFS) uses the Audit Type to determine whether the transaction will be routed to OSC for prior approval, and if so, to which audit team in OSC’s Bureau of Contracts (BOC) it will be directed. BOC uses the Audit Type to route received documents to the correct audit team.

This section outlines the order in which contract transaction documents should be organized for submission to the Attorney General's Office and OSC. Certain Purchase Orders are subject to OSC prior approval; for guidance on the creation of those transactions in the SFS and submission of documentation to the Bureau of Contracts, see Section 3.B – Electronic Submission of Purchase Orders through the Electronic Documents Submission System (EDSS). 

Process and Document Preparation for Electronic Documents Submission System (EDSS) Transactions:

For contract transactions submitted through EDSS, document files should be uploaded and placed in one of the following four categories;

• Transaction Identifying Documents
• Contract
• Procurement Documents
• Vendor Responsibility and Integrity

Attached are the Documentation Order Guides for Procurement Contracts and Amendments and Construction Contracts, Contract Amendments / Change Orders; the documents are sorted into their appropriate category. Submitting your Procurement Contract in this order will assist in OSC’s review.

Fund Reservation

OSC will review the contract requisition to verify that adequate funds have been reserved. See Section 2.C - Contract Funds Reservation for additional information.

Contract Approval

When the contract is approved by OSC, OSC will email an approval notification and a copy of the signed signature page will be available for download in the EDSS. It will be the contracting entity’s responsibility to attach the signature page to the proper contract documents.

Process and Document Preparation Specific to the SFS:

SFS users will create a contract transaction in the SFS using the appropriate Audit Type below. For transactions subject to OSC approval, users will submit the agreement (contract) and required procurement record documents to OSC through EDSS.

EON	Electronic – Construction Team
ECN	Electronic – Construction Team Quick
ECT	Electronic – Qualified Quick Contract
EGG	Electronic – Grants Team (EDSS submissions only)
EBP	Electronic – Lowest Price (IFB)
EQM	Electronic – Architect/Engineering, Non-Quick
EBV	Electronic – Best Value (RFP)

Process and Document Preparation Specific to Agency Bulkload System Users:

SFS users that bulkload contract transactions into the SFS must use the appropriate Audit Type. For transactions subject to OSC approval, users will submit the agreement (contract) and required procurement record documents to OSC through EDSS.

Process for Host/Hosted Agencies:

Agencies that have been authorized by another agency to act as a Host Agency can administer contract transactions within EDSS on behalf of the Hosted agency. Host/Hosted Agency must submit a New York State Office of the State Comptroller Electronic Documents Submission System (EDSS) Hosting Access (AC3347) form for the required EDSS system access.

Electronic Submission of Amendments through the Electronic Documents Submission System (EDSS)

DETERMINING WHEN A CONTRACT AMENDMENT IS SUBJECT TO OSC REVIEW

Original Contract Was Subject To OSC Review

A contract amendment must be submitted to the New York State Office of the State Comptroller’s (OSC) Bureau of Contracts (BOC) for review if the original contract was subject to OSC review and if any terms and conditions are modified by the amendment. Following are examples of terms and conditions that when modified would result in an amendment transaction that is subject to OSC review:

• Begin Date
• Expire Date
• Contract Maximum Amount
• Budget adjustments (refer to SFL Article 11-B for Grant budget adjustments)
• Scope changes
• Contract provisions

Amendments that result in changes not contemplated in the original agreement may require additional justification, supporting documentation and/or a contract reporter exemption request, depending on the scope of changes.

Original Contract Was Not Subject To OSC Review

An amendment to a contract not originally subject to OSC review must be submitted to BOC when the amendment will increase the Contract Maximum to meet or exceed OSC’s review threshold (see Section 2.A - Thresholds for additional information). Additionally, subsequent transactions that modify the terms and conditions of such an agreement will also require BOC review.

Contact the appropriate BOC Audit Team for guidance, if needed, on determining if an amendment is subject to OSC review (see Chapter I, Section 5 - OSC Bureau Contact Information of this Guide for additional information).

CREATING A PROCUREMENT CONTRACT AMENDMENT IN THE STATEWIDE FINANCIAL SYSTEM (SFS)

To route a procurement contract amendment to BOC for review, an agency must create a new contract version in the Statewide Financial System (SFS) Procurement Contracts Module.

Process:

The version created in the SFS must include:

1. selection of an Electronic Audit Type (based on the chart below)

   EON	Electronic – Construction Team
   ECN	Electronic – Construction Team Quick
   ECT	Electronic – Qualified Quick Contract
   EGG	Electronic – Grants Team (EDSS submissions only)
   EBP	Electronic – Lowest Price (IFB)
   EQM	Electronic – Architect/Engineering, Non-Quick
   EBV	Electronic – Best Value (RFP)

2. change(s) made to one or more of the following Contract Header Fields
   • Contract Maximum
   • Begin Date
   • Expire Date
   • New York State Contract Description Field

The NYS Contract Description Field in SFS

The NYS Contract Description field should be updated to capture and summarize modifications to the agreement. If no other Contract Header fields are changed, modification to the NYS Contract Description field (in conjunction with an Audit Type requiring OSC review) systematically routes the amendment to OSC for review. For additional instruction on this topic, visit the job aids published to SFS Coach. SFS Coach is accessible from the SFS home page after logging in with your SFS user ID and password.

Procurement Contract Line Changes

Changes to procurement contract lines should not be sent to OSC for review and approval, unless the changes in procurement contract lines are the result of changes to terms and conditions. Changes to procurement contract lines that result in reducing pre-encumbrance below the required funds reservations are not allowed.

Process and Document Preparation for Electronic Documents Submission System (EDSS) Transactions:

 For amendment transactions submitted through EDSS document files should be uploaded and placed in one of the following four categories;

• Transaction Identifying Documents
• Amendment
• Supporting Documents
• Vendor Responsibility and Integrity

Attached are the Documentation Order Guides for Procurement Contracts and Amendments and Construction Contracts, Contract Amendments / Change Orders; the documents are sorted into their appropriate category. Submitting your Procurement Amendment in this order will assist in OSC’s review.

Fund Reservation

OSC will review the contract requisition to verify that adequate funds have been reserved. See Section 2.C - Contract Funds Reservation for additional information.

Contract Approval

When the contract amendment is approved by OSC, OSC will email an approval notification and a copy of the signed signature page will be available for download in the EDSS. It will be the contracting entity’s responsibility to attach the signature page to the proper contract documents.

Process for Host/Hosted Agencies:

Agencies that have been authorized by another agency to act as a Host Agency can administer amendment transactions within EDSS on behalf of the Hosted agency. Host/Hosted Agency must submit a New York State Office of the State Comptroller Electronic Documents Submission System (EDSS) Hosting Access (AC3347) form for the required EDSS system access.

Guide to Financial Operations

REV. 03/17/2021