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.

Guide to Financial Operations

REV. 01/27/2020