Vendor Responsibility Documentation

 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.