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NYS Comptroller


Vendor Responsibility Documentation
Requirements for State Contracting Entities

PDF Version

Transaction Type Vendor Responsibility Profile
Parts I & III Contract Information & Responsibility Determination
Vendor Responsibility Questionnaire
(If valued at $100,000 or more for the first time)
1. New contract **
2. Agreement with an estimated amount of $100,000 or greater **
3. Real estate (purchase, sale or lease) except for an eminent domain or real property sale which is required by law to be sold to the highest bidder **
4. Assignment * *
5. Change to contract value not provided for in the original contract **
6. Change to contract time or value provided for in the original contract (i.e., Renewal) **
7. Change in contract not provided for in the original contract which results in additional time at no cost **
8. Non-material amendment/renewal/extension with adverse information **
9. Construction change order with adverse information **
10. Mini-bid against backdrop contract with adverse information **
11. Grant or legislative initiative **
12. Piggy-back contract **
13. Purchase order (except from a pre-existing contract) **
14. "Quick" contract **
15. Revenue contract **
* Contract assignment with $100,000 or more remaining on the agreement also requires a questionnaire from the vendor to which the contract is assigned.
If the prospective vendor has a subcontractor, parent company, or subsidiary, see How to Conduct a Vendor Responsibility Review.

Below are specific vendors and contract transactions, which are EXEMPT from Vendor Responsibility Documentation Requirements:

  • STS/AC340-S address change
  • STS/AC340-S correction
  • SFS/AC340-S pre-encumbrance only
  • Backdrop design consultant agreement increases & SUCF planning allocation
  • Board of Cooperative Education Services (BOCES)
  • Budget modification
  • Cities, towns, villages
  • Construction change order with no adverse information
  • Counties
  • DOT/Thruway/Canal - railroad/utility reimbursement
  • DOT Uneconomic Remainder
  • Eminent domain property taking
  • EPIC/OMM/NMPI/DOH Drug Rebate Programs
  • Fire districts
  • Fiscal year rejection resubmittal
  • Industrial Development Agencies (IDAs)
  • Indian Nations
  • Labor unions for NYS collective bargaining agreement implementation only
  • Lease escalation and holdover
  • Minibid against backdrop contract with no adverse information
  • Multi-phase project - not initial submission
  • New York State agencies

  • Non-administering agency use of multi-agency contract
  • Non-material amendment with no adverse information
  • Other states and other countries
  • P-card transaction
  • Purchase order against statewide contract
  • Preferred source
  • Price list change
  • Public authority/Public benefit corporation
  • Public colleges and universities
  • Public libraries
  • Real property sale required by law to be sold to the highest bidder
  • Research Foundation including:
    • CUNY
    • SUNY
    • Mental Hygiene Research
    • Aging Research
    • Welfare Research
    • Health Research
    • Youth Research Inc.
  • School districts and charter schools
  • T-contract
  • US government entities
  • Vocational Education Extension Board (VEEB)
  • Water, Sewer and Water & Soil Districts

The Office of the State Comptroller reserves the right to request a Vendor Responsibility Profile or a Vendor Responsibility Questionnaire, even if otherwise exempt.

Other Resources