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Office of the New York State Comptroller

Comptroller's Oversight of State Authority Contracts

State Authority Contracts Proposed Submission Process April 1, 2010

This document provides preliminary information on the topics listed below.  The Office of the State Comptroller (OSC) cautions that the information provided is not final.  OSC is sharing this Proposed Submission Process to enable State authorities to begin evaluating what, if any, internal business processes may need to be adjusted and to facilitate submission of contract transactions for filing by a State authority which determines that it must, in order to meet its requirements under the statute, submit a contract for filing prior to a finalized submission manual.

  1. Submission Method
  2. Submissions by Subsidiary State Authorities
  3. Acceptable Electronic File Formats
  4. Cover Sheet Data Elements

1) Submission Method

Pursuant to PAL §2879-a, State authorities are required to file exempt contract transactions with OSC.  Such contract transactions should be submitted electronically.  Initially, this will be accomplished by emailing contract documents and a completed Cover Sheet to OSC's State Authority Contracts email box at .  OSC anticipates that in the future it will provide a web-based system that will allow State authorities to directly enter the cover sheet data and upload files to facilitate submission.  The web-based system is currently in development.  Additional information will be provided as that effort continues.

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2) Submissions by Subsidiary State Authorities

OSC recognizes that there are instances in which a subsidiary State authority acts independently from the parent authority for contracting activity.  When this is true and when allowed by the parent State authority, OSC will accept contract submissions directly from the subsidiary authority.  Subsidiaries should comply with the direction provided herein for contract submissions.

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3) Acceptable File Formats

Acceptable formats for contract files submitted electronically are limited to the following.

  • PDF files
  • Text files
  • Word documents or Word compatible documents
  • Excel spreadsheets or Excel compatible spreadsheets

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4)  Cover Sheet - Required Data Elements

OSC is finalizing a Cover Sheet which will be provided to State authorities for use in submitting exempt contract transactions for filing.  When finalized, the Cover Sheet will require the data elements listed below. 

Please note:  If a State authority determines that it must, in order to meet its requirements under the statute, submit a contract for filing prior to a finalized Cover Sheet being established by OSC, it may do so by submitting an email which provides all of the Cover Sheet data elements listed below, and attaching a copy of the executed contract document.

Contracting Entity Information

Contract Information

Exempt Reason

  • Exempt Reason
  • Emergency Explanation (When Exempt Reason is Emergency)

Contractor Information

  • Vendor Name
  • Vendor EIN (or last 4 digits when SSN is used as EIN)
  • Vendor Address

State Authority Contract Information

  • Authority Contact Name
  • Authority Contact Phone Number
  • Authority Contact Email Address