US Laws, Codes, Statutes & Cases

 
    § 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.