There is a newer version of the New York Consolidated Laws
2006 New York Code - (enacted Without Section Heading)
§ 6-116.2. a. The comptroller and the mayor shall jointly maintain, at
the financial information services agency, a computerized data base.
Such data base shall contain information for every franchise and
concession and every contract for goods or services involving the
expenditure of more than ten thousand dollars or in the case of
construction, repair, rehabilitation or alteration, the expenditure of
more than fifteen thousand dollars, entered into by an agency, New York
city affiliated agency, elected official or the council, including, but
not limited to:
(1) the name, address, and federal taxpayer's identification number of
the contractor, franchisee or concessionaire where available in
accordance with applicable law;
(2) the dollar amount of each contract including original maximum and
revised maximum expenditure authorized, current encumbrance and actual
expenditures;
(3) the type of goods or services to be provided pursuant to the
contract;
(4) the term of the contract, or in the case of a construction
contract the starting and scheduled completion date of the contract and
the date final payment is authorized;
(5) the agency, New York city affiliated agency, elected official or
the council that awarded the contract, franchise or concession and the
contract registration number, if any, assigned by the comptroller;
(6) the manner in which the contractor, franchisee or concessionaire
was selected, including, but not limited to, in the case of a
contractor, whether the contractor was selected through public letting
and if so, whether the contractor was the lowest responsible bidder;
whether the contractor was selected through a request for proposal
procedure, and if so, whether the contractor's response to the request
offered the lowest price option; whether the contractor was selected
without competition or as a sole source; whether the contractor was
selected through the emergency procedure established in the charter or
the general municipal law, where applicable; or whether the contractor
was selected from a list of prequalified bidders, and if applicable,
whether the contractor was the lowest responsible bidder; and
(7) the date of any public hearing held with respect to the contract
and the date and agenda number of action taken with respect to a
concession or franchise by the franchise and concession review
committee; and
(8) the contract budget category to which the contract is assigned,
where applicable.
b. (i) The mayor and comptroller shall be responsible for the
maintenance of a computerized data system which shall contain
information for every contract, in the following manner: the mayor shall
be responsible for operation of the system; the mayor and the
comptroller shall be jointly responsible for all policy decisions
relating to the system. In addition, the mayor and the comptroller shall
jointly review the operation of the system to ensure that the
information required by this subdivision is maintained in a form that
will enable each of them, and agencies, New York city affiliated
agencies, elected officials and the council, to utilize the information
in the performance of their duties. This system shall have access to
information stored on other computerized data systems maintained by
agencies, which information shall collectively include, but not be
limited to:
(1) the current addresses and telephone numbers of:
A. the contractor's principal executive offices and the contractor's
primary place of business in the New York city metropolitan area, if
different,
B. the addresses of the three largest sites at which it is anticipated
that work would occur in connection with the proposed contract, based on
the number of persons to be employed at each site,
C. any other names under which the contractor has conducted business
within the prior five years, and
D. the addresses and telephone numbers of all principal places of
business and primary places of business in the New York city
metropolitan area, if different, where the contractor has conducted
business within the prior five years;
(2) the dun & bradstreet number of the contractor, if any;
(3) the taxpayer identification numbers, employer identification
numbers or social security numbers of the contractor or the division or
branch of the contractor which is actually entering into the contract;
(4) the type of business entity of the contractor including, but not
limited to, sole proprietorship, partnership, joint venture or
corporation;
(5) the date such business entity was formed, the state, county and
country, if not within the United States, in which it was formed and the
other counties within New York State in which a certificate of
incorporation, certificate of doing business, or the equivalent, has
been filed within the prior five years;
(6) the principal owners and officers of the contractor, their dates
of birth, taxpayer identification numbers, social security numbers and
their current business addresses and telephone numbers;
(7) the names, current business addresses and telephone numbers,
taxpayer identification numbers and employer identification numbers of
affiliates of the contractor;
(8) the principal owners and officers of affiliates of the contractor
and their current business addresses and telephone numbers;
(9) the principal owners and officers of every subcontractor;
(10) the type, amount and contract registration number of all other
contracts awarded to the contractor, as reflected in the database
maintained pursuant to subdivision a of this section;
(11) the contract sanction history of the contractor for the prior
five years, including, but not limited to, all cautions, suspensions,
debarments, cancellations of a contract based upon the contractor's
business conduct, declarations of default on any contract made by any
governmental entity, determinations of ineligibility to bid or propose
on contracts and whether any proceedings to determine eligibility to bid
or propose on contracts are pending;
(12) the contract sanction history for the prior five years of
affiliates of the contractor including, but not limited to, all
cautions, suspensions, debarments, cancellations of a contract based
upon such entity's business conduct, declarations of default on any
contract made by any governmental entity, determinations of
ineligibility to bid or propose on contracts and whether any proceedings
to determine eligibility to bid or propose on contracts are pending;
(13) the name and telephone number of the chief contracting officer or
other employee of the agency, elected official or the council
responsible for supervision of those charged with day-to-day management
of the contract;
(14) judgments or injunctions obtained within the prior five years in
any judicial actions or proceedings initiated by any agency, any elected
official or the council against the contractor with respect to a
contract and any such judicial actions or proceedings that are pending;
(15) record of all sanctions imposed within the prior five years as a
result of judicial or administrative disciplinary proceedings with
respect to any professional licenses held by the contractor, or a
principal owner or officer of the contractor;
(16) whether city of New York income tax returns, where required, have
been filed for the past five years;
(17) outstanding tax warrants and unsatisfied tax liens, as reflected
in the records of the city;
(18) information from public reports of the organized crime control
bureau and the New York state organized crime task force which indicates
involvement in criminal activity;
(19) criminal proceedings pending against the contractor, and any
principal owner or officer of such contractor;
(20) record of all criminal convictions of the contractor, any current
principal owner or officer for any crime related to truthfulness or
business conduct and for any other felony committed within the prior ten
years, and of any former principal owner or officer, within the prior
ten years, for any crime related to truthfulness or business conduct and
for any other felony committed while he or she held such position or
status;
(21) all pending bankruptcy proceedings and all bankruptcy proceedings
initiated within the past seven years by or against the contractor and
its affiliates;
(22) whether the contractor has certified that it was not founded or
established or is not operated in a manner to evade the application or
defeat the purpose of this section and is not the successor, assignee or
affiliate of an entity which is ineligible to bid or propose on
contracts or against which a proceeding to determine eligibility to bid
or propose on contracts is pending;
(23) the name and main business address of anyone who the contractor
retained, employed or designated to influence the preparation of
contract specifications or the solicitation or award of this contract.
(ii) When personnel from any agency, elected officials or their staff,
or members of the council or council staff learn that the certification
required by subparagraph twenty-two of paragraph (i) may not be
truthful, the appropriate law enforcement official shall be immediately
informed of such fact and the fact of such notification shall be
reflected in the data base, except when confidentiality is requested by
the law enforcement official.
(iii) Information required from a contractor consisting of a
contractor's social security number shall be obtained by the agency,
elected official or the council entering into a contract as part of the
administration of the taxes administered by the commissioner of finance
for the purpose of establishing the identification of persons affected
by such taxes.
(iv) In the event that procurement of goods, services or construction
must be made on an emergency basis, as provided for in section three
hundred fifteen of the charter, on an accelerated basis as provided for
in section three hundred twenty-six of the charter, or expedited action
is required due to urgent circumstances, or in such other circumstances
as may be determined by rule of the procurement policy board, where
applicable, or any rule of the council relating to procurement, where it
is not feasible to submit the information required by subdivision b
prior to contract award, the required information may be submitted after
award of the contract. However, all of the information required by
subdivision b herein shall be submitted no later than thirty days from
the date of the award. A contractor or subcontractor who fails to
provide such information as required by this paragraph shall be
ineligible to bid or propose on or otherwise be awarded a contract or
subcontract until such information is provided and shall be subject to
such other penalties as may be prescribed by rule of the procurement
policy board, where applicable, or any rule of the council relating to
procurement.
(v) Where a contractor or subcontractor becomes obligated to submit
information required by this subdivision by reason of having been
awarded a contract or subcontract, the value of which, when aggregated
with the value of all other contracts or subcontracts awarded to that
contractor or subcontractor during the immediately preceding
twelve-month period, is valued at one hundred thousand dollars, or more,
such information shall be submitted no later than thirty days after
registration of the contract which resulted in the obligation to submit
such information. A contractor or subcontractor who fails to provide
such information as required by this paragraph shall be ineligible to
bid or propose on a contract or subcontract until such information is
provided and shall be subject to such other penalties as may be
prescribed by rule of the procurement policy board, where applicable, or
any rule of the council relating to procurement.
(vi) For the calendar year commencing on January 1, 1992,
subcontractors shall be required to provide the information required by
subparagraph nine of paragraph i and on or after June 30, 1994,
subcontractors shall be subject to paragraph i in its entirety.
(vii) This subdivision shall not apply to any New York city affiliated
agency, except that such New York city affiliated agency shall report
cautionary information and the name and telephone number of the employee
responsible for responding to inquiries concerning such information.
c. The information maintained pursuant to subdivision b shall be made
accessible to the computerized data system established pursuant to
subdivision a of this section in a form or format agreed upon by the
mayor and the comptroller. The information contained in these
computerized data systems shall be made available to any other data
retrieval system maintained by an agency, New York city affiliated
agency, elected official or the council for the purpose of providing
information regarding contracts, franchises and concessions awarded and
the contractors, franchisees and concessionaires to which they were
awarded. The information concerning the past performance of contractors
that is contained in a computerized data base maintained pursuant to
section 6-116.1 of this code for such purposes shall be made available
to these data systems.
d. All of the information as required by subdivisions a and b
contained in these computerized data bases shall be made available
on-line in read-only form to personnel from any agency or New York city
affiliated agency, elected officials, members of the council and council
staff, and shall be made available to members of the public, in
accordance with sections three hundred thirty four and one thousand
sixty four of the charter and article six of the public officers law.
e. No contract for goods or services involving the expenditure of more
than ten thousand dollars or in the case of construction, repair,
rehabilitation or alteration, the expenditure of more than fifteen
thousand dollars, franchise or concession shall be let by an agency,
elected official or the council, unless the contract manager or other
person responsible for making the recommendation for award has certified
that these computerized data bases and the information maintained
pursuant to section 6-116.1 of this code have been examined. This shall
be in addition to any certifications required by chapter thirteen of the
charter, the rules of the procurement policy board, where applicable, or
any rules of the council relating to procurement.
f. Not later than January thirtieth following the close of each fiscal
year, the comptroller shall publish a summary report setting forth
information derived from the data base maintained pursuant to
subdivision a of this section and the following information for each
franchise, concession or contract for goods or services having a value
of more than ten thousand dollars or in the case of construction, having
a value of more than fifteen thousand dollars, including, but not
limited to:
(1) the types and dollar amount of each contract, franchise or
concession entered into during the previous fiscal year;
(2) the registration number assigned by the comptroller, if any;
(3) the agency, New York city affiliated agency, elected official or
the council entering into the contract, franchise or concession;
(4) the vendor entering into the contract, franchise or concession and
the subcontractors engaged pursuant to each contract;
(5) the reason or reasons why the award of each such contract was
deemed appropriate pursuant to subdivision a of section 312 of the
charter, where applicable; and
(6) the manner in which the contractor, franchisee or concessionaire
was selected, including, but not limited to, in the case of a
contractor, whether the contractor was selected through public letting
and if so, whether the contractor was the lowest responsible bidder;
whether the contractor was selected through a request for proposal
procedure and if so, whether the contractor's response to the request
offered the lowest price option; whether the contractor was selected
without competition or as a sole source; whether the contractor was
selected through the emergency procedure established in the charter or
the general municipal law, where applicable; or whether the contractor
was selected from a list of prequalified bidders, and if applicable,
whether the contractor was the lowest responsible bidder. For
franchises, this information shall also include whether the authorizing
resolution of the council was complied with.
g. Failure by an agency to check a contractor's record in the
computerized data base established pursuant to this section and the
information concerning the contractor that is maintained pursuant to
section 6-116.1 of this chapter or to make the certification set forth
in subdivision d of this section shall not render a contract to which it
is a party void.
h. Except for submissions to elected officials or to the council,
contractors or subcontractors may only be required to submit information
required under subdivision b of this section to a single agency, and any
such submission shall be applicable to all contracts or subcontracts or
bids for contracts or subcontracts of that contractor or subcontractor
with any agency. Any contractor or subcontractor that has submitted to
any agency, elected official or the council, the information required to
be provided in accordance with subdivision b of this section shall be
required to update that information only at three-year intervals, and
except as provided in paragraph iv or v of subdivision b, no contract or
subcontract shall be awarded unless the contractor or subcontractor has
certified that information previously submitted as to those requirements
is correct as of the time of the award of the contract or subcontract.
The contractor or subcontractor may only be required to submit such
updated information to a single agency and such submission shall be
applicable to all contracts or subcontracts or bids for contracts or
subcontracts of that contractor or subcontractor with any agency. The
procurement policy board may, by rule, provide for exceptions to this
subdivision.
i. Except as otherwise provided, for the purposes of subdivision b of
this section,
(1) "affiliate" shall mean an entity in which the parent of the
contractor owns more than fifty percent of the voting stock, or an
entity in which a group of principal owners which owns more than fifty
percent of the contractor also owns more than fifty per cent of the
voting stock;
(2) "cautionary information" shall mean, in regard to a contractor,
any adverse action by any New York city affiliated agency, including but
not limited to poor performance evaluation, default, non-responsibility
determination, debarment, suspension, withdrawal of prequalified status,
or denial of prequalified status;
(3) "contract" shall mean and include any agreement between an agency,
New York city affiliated agency, elected official or the council and a
contractor, or any agreement between such a contractor and a
subcontractor, which (a) is for the provision of goods, services or
construction and has a value that when aggregated with the values of all
other such agreements with the same contractor or subcontractor and any
franchises or concessions awarded to such contractor or subcontractor
during the immediately preceding twelve-month period is valued at one
hundred thousand dollars or more; or (b) is for the provision of goods,
services or construction, is awarded to a sole source and is valued at
ten thousand dollars or more; or (c) is a concession and has a value
that when aggregated with the value of all other contracts held by the
same concessionaire is valued at one hundred thousand dollars or more;
or (d) is a franchise. However, the amount provided for in clause a
herein may be varied by rule of the procurement policy board, where
applicable, or rule of the council relating to procurement, or, for
franchises and concessions, rule of the franchise and concession review
committee, as that amount applies to the information required by
paragraphs 7, 8, 9 and 12 of subdivision b of this section, and the
procurement policy board, where applicable, or the council, or, for
franchises and concessions, the franchise and concession review
committee, may by rule define specifically identified and limited
circumstances in which contractors may be exempt from the requirement to
submit information otherwise required by subdivision b of this section,
but the rulemaking procedure required by chapter forty-five of the
charter may not be initiated for such rule of the procurement policy
board or franchise and concession review committee less than forty-five
days after the submission by the procurement policy board or, for
franchises and concessions, the franchise and concession review
committee, to the council of a report stating the intention to
promulgate such rule, the proposed text of such rule and the reasons
therefor;
(4) "contractor" shall mean and include all individuals, sole
proprietorships, partnerships, joint ventures or corporations who enter
into a contract, as defined in paragraph three herein, with an agency,
New York city affiliated agency, elected official or the council;
(5) "officer" shall mean any individual who serves as chief executive
officer, chief financial officer, or chief operating officer of the
contractor, by whatever titles known;
(6) "New York city affiliated agency" shall mean any entity the
expenses of which are paid in whole or in part from the city treasury
and the majority of the members of whose board are city officials or are
appointed directly or indirectly by city officials, but shall not
include any entity established under the New York city charter, this
code or by executive order, any court or any corporation or institution
maintaining or operating a public library, museum, botanical garden,
arboretum, tomb, memorial building, aquarium, zoological garden or
similar facility;
(7) "parent" shall mean an individual, partnership, joint venture or
corporation which owns more than fifty percent of the voting stock of a
contractor;
(8) "principal owner" shall mean an individual, partnership, joint
venture or corporation which holds a ten percent or greater ownership
interest in a contractor or subcontractor;
(9) "subcontract" shall mean any contract, as defined in paragraph
three herein, between a subcontractor and a contractor; and
(10) "subcontractor" shall mean an individual, sole proprietorship,
partnership, joint venture or corporation which is engaged by a
contractor pursuant to a contract, as defined in paragraph three herein.
j. Notwithstanding any other provision of this section, the
information required to be submitted by New York city affiliated
agencies pursuant to this section shall be submitted in a form or format
and on a schedule to be determined by the mayor and the comptroller. In
no event shall New York city affiliated agencies be required to submit
such information prior to the award of any contract.
k. Notwithstanding any other provision of this section, the
information required to be submitted by New York city affiliated
agencies pursuant to this section shall be required only as to contracts
funded in whole or in part with city funds, although nothing shall
preclude New York city affiliated agencies from submitting information
on contracts funded by other than city funds.
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