This section outlines the process and documentation requirements for contract and amendment submittals subject to the Office of the State Comptroller (OSC) approval. 

Once a State agency has determined that a transaction is subject to prior OSC approval as detailed in XI.2.A Thresholds,  users will create/bulkload a transaction in the SFS using the appropriate Audit Type below. Users will submit the agreement and required procurement record documents to OSC through the Electronic Documents Submission System (EDSS). Please note, designated agencies must use the Grants Management System within SFS for the submission of grant contracts.

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 XI.3.B Electronic Submission of Purchase Orders through the Electronic Documents Submission System (EDSS). 

Process and Transaction Preparation:

SFS users will create a transaction in the SFS using the appropriate Audit Type as identified below. For transactions subject to OSC approval, users will submit the agreement and required procurement record documents to OSC through EDSS.

Process and Document Preparation Specific to Agency Bulkload System Users:

Users that bulkload contract transactions into the SFS must use the appropriate Audit Type. For transactions subject to OSC approval, users will submit the agreement (contract) and required procurement record documents to OSC through EDSS.

DETERMINING WHEN A CONTRACT AMENDMENT IS SUBJECT TO OSC REVIEW

Original Contract Was Subject to OSC Review

A contract amendment must be submitted to the New York State Office of the State Comptroller’s (OSC) Bureau of Contracts (BOC) for review if the original contract was subject to OSC review and if any terms and conditions are modified by the amendment. Following are examples of terms and conditions that when modified would result in an amendment transaction that is subject to OSC review:

• Begin Date
• Expire Date
• Contract Maximum Amount
• Budget adjustments (refer to SFL Article 11-B for Grant budget adjustments)
• Scope changes
• Contract provisions

Amendments that result in changes not contemplated in the original agreement may require additional justification, supporting documentation and/or a contract reporter exemption request, depending on the scope of changes.

Original Contract Was Not Subject to OSC Review

An amendment to a contract not originally subject to OSC review must be submitted to BOC when the amendment will increase the Contract Maximum to meet or exceed OSC’s review threshold. See XI.2.A Thresholds for additional information. Additionally, subsequent transactions that modify the terms and conditions of such an agreement will also require BOC review.

Contact the appropriate BOC Audit Team for guidance, if needed, on determining if an amendment is subject to OSC review. See I.5 OSC Bureau Contact Information for additional information.

CREATING A PROCUREMENT CONTRACT AMENDMENT IN THE STATEWIDE FINANCIAL SYSTEM (SFS)

To route a procurement contract amendment to BOC for review, an agency must create a new contract version in the Statewide Financial System (SFS) Procurement Contracts Module.

Process:

The version created in the SFS must include:

1. selection of an Electronic Audit Type (based on the chart above)
2. change(s) made to one or more of the following Contract Header Fields

• Contract Maximum
• Begin Date
• Expire Date
• New York State Contract Description Field

The NYS Contract Description Field in SFS

The NYS Contract Description field should be updated to capture and summarize modifications to the agreement. If no other Contract Header fields are changed, modification to the NYS Contract Description field (in conjunction with an Audit Type requiring OSC review) systematically routes the amendment to OSC for review. For additional instruction on this topic, visit the job aids published to SFS Coach Training. SFS Coach Training is accessible from the SFS home page after logging in with your SFS user ID and password.

Procurement Contract Line Changes

Changes to procurement contract lines should not be sent to OSC for review and approval, unless the changes in procurement contract lines are the result of changes to terms and conditions. Changes to procurement contract lines that result in reducing pre-encumbrance below the required funds reservations are not allowed.

Process and Document Preparation for EDSS Transactions:

For contract and amendment transactions submitted through EDSS, document files should be uploaded and placed in one of the following four categories:

• Transaction Identifying Documents
• Contract / Amendment
• Procurement Documents / Support Documents
• Vendor Responsibility and Integrity

Attached are the Documentation Order Guides for Procurement Contracts and Amendments and Construction Contracts, Contract Amendments / Change Orders; the documents are sorted into their appropriate category. Submitting your contract or amendment in this order will assist in OSC’s review.

Fund Reservation

OSC will review the contract requisition to verify that adequate funds have been reserved. See XI.2.C Contract Funds Reservation for additional information.

Contract and Amendment Approval

When the contract or amendment is approved by OSC, OSC will email an approval notification and a copy of the signed signature page will be available for download in the EDSS. It will be the contracting entity’s responsibility to attach the signature page to the proper contract documents.

Process for Host/Hosted Agencies:

Agencies that have been authorized by another agency to act as a Host Agency can administer contract and amendment transactions within EDSS on behalf of the Hosted agency. Host/Hosted Agency must submit a New York State Office of the State Comptroller Electronic Documents Submission System (EDSS) Hosting Access (AC3347) form for the required EDSS system access.

REV. 09/27/2024