S T A T E O F N E W Y O R K
________________________________________________________________________
2409
2011-2012 Regular Sessions
I N A S S E M B L Y
January 18, 2011
___________
Introduced by M. of A. DESTITO, GALEF, BRENNAN, MARKEY -- Multi-Spon-
sored by -- M. of A. CAHILL, COOK, DINOWITZ, LIFTON, MAGEE, PHEFFER,
REILLY, J. RIVERA -- read once and referred to the Committee on
Governmental Operations
AN ACT to amend the state finance law, in relation to establishing a
responsible bidders database in the office of the state comptroller
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. This act shall be known and may be cited as the "Responsi-
ble Bidders Database Act".
S 2. The state finance law is amended by adding a new section 148 to
read as follows:
S 148. RESPONSIBLE BIDDERS COMPUTERIZED DATABASE; REPORTING OF
CONTRACTED GOODS AND SERVICES. 1. THE STATE COMPTROLLER SHALL MAINTAIN A
COMPUTERIZED DATABASE SYSTEM THAT SHALL CONTAIN INFORMATION FOR EVERY
CONTRACT FOR A STATE AGENCY OR PUBLIC AUTHORITY. THE STATE COMPTROLLER
SHALL MAINTAIN THE INFORMATION REQUIRED BY THIS SECTION IN A FORM THAT
WILL ENABLE EACH AGENCY AND PUBLIC AUTHORITY TO PERFORM ITS DUTIES.
2. EACH STATE AGENCY AND PUBLIC AUTHORITY SHALL COLLECT THE INFORMA-
TION SET FORTH IN THIS SUBDIVISION FOR EACH CONTRACT THAT THE AGENCY OR
PUBLIC AUTHORITY ENTERS INTO, AND SHALL PROVIDE THIS INFORMATION TO THE
STATE COMPTROLLER. THE INFORMATION SHALL BE SUBMITTED IN A FORM OR
FORMAT AND ON A SCHEDULE TO BE DETERMINED BY THE STATE COMPTROLLER. THE
INFORMATION SHALL INCLUDE, BUT NOT BE LIMITED TO, AT LEAST THE FOLLOWING
DATA:
A. THE CURRENT ADDRESSES AND TELEPHONE NUMBERS OF THE CONTRACTOR'S
PRINCIPAL EXECUTIVE OFFICES AND THE CONTRACTOR'S PRIMARY PLACE OF BUSI-
NESS IN NEW YORK STATE, 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.
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD06371-01-1
A. 2409 2
C. ANY OTHER NAMES UNDER WHICH THE CONTRACTOR HAS CONDUCTED BUSINESS
WITHIN THE PRIOR FIVE YEARS.
D. THE ADDRESSES AND TELEPHONE NUMBERS OF ALL PRINCIPAL PLACES OF
BUSINESS AND PRIMARY PLACES OF BUSINESS IN NEW YORK STATE, IF DIFFERENT,
WHERE THE CONTRACTOR HAS CONDUCTED BUSINESS WITHIN THE PRIOR FIVE YEARS.
E. THE DUN & BRADSTREET NUMBER OF THE CONTRACTOR, IF ANY.
F. THE TAXPAYER IDENTIFICATION NUMBERS, EMPLOYER IDENTIFICATION
NUMBERS OR SOCIAL SECURITY NUMBERS OF THE CONTRACTOR AND OF THE DIVISION
OR BRANCH OF THE CONTRACTOR WHICH IS ACTUALLY ENTERING INTO THE
CONTRACT.
G. THE TYPE OF BUSINESS ENTITY OF THE CONTRACTOR, INCLUDING, BUT NOT
LIMITED TO, SOLE PROPRIETORSHIP, PARTNERSHIP, JOINT VENTURE OR CORPO-
RATION.
H. 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
COUNTIES WITHIN NEW YORK STATE IN WHICH IT HAS TRANSACTED OR DONE BUSI-
NESS WITHIN THE PRIOR FIVE YEARS.
I. 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.
J. THE NAMES, CURRENT BUSINESS ADDRESSES AND TELEPHONE NUMBERS,
TAXPAYER IDENTIFICATION NUMBERS AND EMPLOYER IDENTIFICATION NUMBERS OF
AFFILIATES OF THE CONTRACTORS.
K. THE PRINCIPAL OWNERS AND OFFICERS OF AFFILIATES OF THE CONTRACTOR
AND THEIR CURRENT BUSINESS ADDRESSES AND TELEPHONE NUMBERS.
L. THE PRINCIPAL OWNERS AND OFFICERS OF EVERY SUBCONTRACTOR.
M. THE TYPE, AMOUNT AND CONTRACT REGISTRATION NUMBER OF ALL OTHER
CONTRACTS AWARDED TO THE CONTRACTOR, AS REFLECTED IN THE DATABASE MAIN-
TAINED PURSUANT TO SUBDIVISION ONE OF THIS SECTION.
N. THE CONTRACT SANCTION HISTORY OF THE CONTRACTOR FOR THE PRIOR FIVE
YEARS, INCLUDING, BUT NOT LIMITED TO, ALL CAUTIONS, SUSPENSIONS, DEBAR-
MENTS, CANCELLATIONS OF A CONTRACT BASED UPON THE CONTRACTOR'S BUSINESS
CONDUCT, DECLARATIONS OF DEFAULT ON ANY CONTRACT MADE BY ANY GOVERN-
MENTAL 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.
O. THE CONTRACT SANCTION HISTORY FOR THE PRIOR FIVE YEARS OF AFFIL-
IATES 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 ELIGIBIL-
ITY TO BID OR PROPOSE ON CONTRACTS ARE PENDING.
P. THE NAME AND TELEPHONE NUMBER OF THE CHIEF CONTRACTING OFFICER OR
OTHER EMPLOYEE OF THE AGENCY OR AUTHORITY RESPONSIBLE FOR SUPERVISION OF
THOSE CHARGED WITH DAY-TO-DAY MANAGEMENT OF THE CONTRACT.
Q. JUDGMENTS, MEDIATION AND ARBITRATION DECISIONS AND AWARDS AND
INJUNCTIONS, ISSUED WITHIN THE PRIOR FIVE YEARS, IN ANY JUDICIAL ACTIONS
OR PROCEEDINGS AND IN ANY MEDIATION OR ARBITRATION PROCEEDINGS AND
INITIATED BY ANY AGENCY OR PUBLIC OFFICER AGAINST THE CONTRACTOR WITH
RESPECT TO A CONTRACT AND ANY SUCH JUDICIAL ACTIONS OR PROCEEDINGS AND
MEDIATION OR ARBITRATION PROCEEDINGS THAT ARE PRESENTLY PENDING OR FOR
WHICH NOTICE OF CLAIM HAS BEEN RECEIVED.
R. RECORD OF ALL SANCTIONS IMPOSED WITHIN THE PRIOR FIVE YEARS AS A
RESULT OF JUDICIAL OR ADMINISTRATIVE DISCIPLINARY PROCEEDINGS WITH
A. 2409 3
RESPECT TO ANY PROFESSIONAL LICENSES HELD BY THE CONTRACTOR, OR A PRIN-
CIPAL OWNER OR OFFICER OF THE CONTRACTOR.
S. WHETHER STATE OF NEW YORK INCOME TAX RETURNS, WHERE REQUIRED, HAVE
BEEN FILED FOR THE PAST FIVE YEARS.
T. OUTSTANDING TAX WARRANTS AND UNSATISFIED TAX LIENS, AS REFLECTED IN
THE RECORDS OF THE STATE.
U. INFORMATION FROM PUBLIC REPORTS OF THE ORGANIZED CRIME CONTROL
BUREAU AND THE NEW YORK STATE ORGANIZED CRIME TASK FORCE THAT INDICATES
INVOLVEMENT IN CRIMINAL ACTIVITY.
V. CRIMINAL PROCEEDINGS PENDING AGAINST THE CONTRACTOR AND ANY PRINCI-
PAL OWNER OR OFFICER OF SUCH CONTRACTOR.
W. 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.
X. ALL PENDING BANKRUPTCY PROCEEDINGS AND ALL BANKRUPTCY PROCEEDINGS
INITIATED WITHIN THE PAST SEVEN YEARS BY OR AGAINST THE CONTRACTOR AND
ITS AFFILIATES.
Y. WHETHER THE CONTRACTOR HAS CERTIFIED THAT IT WAS NOT FOUNDED OR
ESTABLISHED OR IS NOT OPERATED IN A MANNER TO EVADE THE APPLICATION OR
TO 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.
Z. 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.
3. WHEN PERSONNEL FROM ANY AGENCY OR PUBLIC AUTHORITY LEARN THAT THE
CERTIFICATION REQUIRED BY PARAGRAPH Y OF SUBDIVISION TWO OF THIS SECTION
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 DATABASE, EXCEPT WHEN CONFIDENTIALITY IS
REQUESTED BY THE LAW ENFORCEMENT OFFICIAL.
4. INFORMATION REQUIRED FROM A CONTRACTOR CONSISTING OF A CONTRACTOR'S
SOCIAL SECURITY NUMBER SHALL BE OBTAINED BY THE AGENCY OR PUBLIC AUTHOR-
ITY ENTERING INTO A CONTRACT AS PART OF THE ADMINISTRATION OF THE TAXES
ADMINISTERED BY THE STATE COMMISSIONER OF TAXATION AND FINANCE FOR THE
PURPOSE OF ESTABLISHING THE IDENTIFICATION OF PERSONS AFFECTED BY SUCH
TAXES.
5. IN THE EVENT THAT PROCUREMENT OF GOODS, SERVICES OR CONSTRUCTION
MUST BE MADE ON AN EMERGENCY BASIS, THE REQUIRED INFORMATION MAY BE
SUBMITTED AFTER AWARD OF THE CONTRACT. HOWEVER, ALL OF THE INFORMATION
REQUIRED BY SUBDIVISION TWO OF THIS SECTION SHALL BE SUBMITTED NO LATER
THAN THIRTY DAYS FROM THE DATE OF THE AWARD.
6. 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
A. 2409 4
SUCH INFORMATION AS REQUIRED BY THIS SUBDIVISION SHALL BE INELIGIBLE TO
BID OR PROPOSE ON A CONTRACT OR SUBCONTRACT UNTIL SUCH INFORMATION IS
PROVIDED.
7. NO CONTRACT FOR GOODS OR SERVICES INVOLVING THE EXPENDITURE OF MORE
THAN TEN THOUSAND DOLLARS OR IN THE CASE OF CONSTRUCTION, REPAIR, REHA-
BILITATION OR ALTERATION, THE EXPENDITURE OF MORE THAN FIFTEEN THOUSAND
DOLLARS, FRANCHISE OR CONCESSION SHALL BE LET BY AN AGENCY OR PUBLIC
AUTHORITY, UNLESS THE CONTRACT MANAGER OR OTHER PERSON RESPONSIBLE FOR
MAKING THE RECOMMENDATION FOR AWARD HAS CERTIFIED THAT THESE COMPUTER-
IZED DATABASES AND THE INFORMATION MAINTAINED PURSUANT TO THIS SECTION
HAVE BEEN EXAMINED.
8. NOTHING IN THIS SECTION SHALL BE DEEMED TO REQUIRE THE DISCLOSURE
OF INFORMATION THAT IS CONFIDENTIAL OR PRIVILEGED OR THE DISCLOSURE OF
WHICH WOULD BE CONTRARY TO LAW IN THE ABSENCE OF THIS SECTION.
9. ANY CONTRACTOR OR SUBCONTRACTOR THAT HAS SUBMITTED TO ANY AGENCY OR
PUBLIC AUTHORITY THE INFORMATION REQUIRED TO BE PROVIDED IN ACCORDANCE
WITH SUBDIVISION TWO OF THIS SECTION SHALL BE REQUIRED TO UPDATE THAT
INFORMATION ONLY AT THREE-YEAR INTERVALS, EXCEPT THAT INFORMATION
REQUIRED BY PARAGRAPHS N, O, Q, R, V, W AND X OF SUBDIVISION TWO OF THIS
SECTION SHALL BE UPDATED EACH TIME THE CONTRACTOR OR SUBCONTRACTOR IS
CONSIDERED FOR THE AWARD OF ANOTHER CONTRACT OR SUBCONTRACT, EXCEPT AS
PROVIDED IN SUBDIVISION FIVE OR SIX OF THIS SECTION, AND NO CONTRACT OR
SUBCONTRACT SHALL BE AWARDED UNLESS THE CONTRACTOR OR SUBCONTRACTOR HAS
CERTIFIED THAT INFORMATION PREVIOUSLY SUBMITTED AS TO THOSE REQUIREMENTS
IS CORRECT AT THE TIME OF THE AWARD OF THE CONTRACT OR SUBCONTRACT.
10. EXCEPT AS OTHERWISE PROVIDED, FOR THE PURPOSES OF THIS SECTION:
A. "AFFILIATE" SHALL MEAN AN ENTITY IN WHICH THE PARENT OF THE
CONTRACTOR OWNS MORE THAN FIFTY PERCENT OF THE VOTING STOCK, OR AN ENTI-
TY IN WHICH A GROUP OF PRINCIPAL OWNERS WHICH OWNS MORE THAN FIFTY
PERCENT OF THE CONTRACTOR ALSO OWNS MORE THAN FIFTY PERCENT OF THE
VOTING STOCK.
B. "CAUTIONARY INFORMATION" SHALL MEAN, IN REGARD TO A CONTRACTOR, ANY
ADVERSE ACTION BY ANY AGENCY OR PUBLIC AUTHORITY, INCLUDING BUT NOT
LIMITED TO POOR PERFORMANCE EVALUATION, DEFAULT, NON-RESPONSIBILITY
DETERMINATION, DEBARMENT, SUSPENSION, WITHDRAWAL OF PREQUALIFIED STATUS,
OR DENIAL OF PREQUALIFIED STATUS.
C. "CONTRACT" SHALL MEAN AND INCLUDE ANY AGREEMENT BETWEEN AN AGENCY
OR PUBLIC AUTHORITY AND A CONTRACTOR, OR ANY AGREEMENT BETWEEN SUCH A
CONTRACTOR AND A SUBCONTRACTOR, WHICH (I) 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 SUBCON-
TRACTOR 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 (II) 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 (III) 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 THOU-
SAND DOLLARS OR MORE; OR (IV) IS A FRANCHISE.
D. "CONTRACTOR" SHALL MEAN AND INCLUDE ALL INDIVIDUALS, SOLE PROPRIE-
TORSHIPS, PARTNERSHIPS, JOINT VENTURES OR CORPORATIONS WHO ENTER INTO A
CONTRACT, AS DEFINED IN PARAGRAPH C OF THIS SUBDIVISION, WITH AN AGENCY
OR PUBLIC AUTHORITY.
E. "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.
A. 2409 5
F. "PARENT" SHALL MEAN AN INDIVIDUAL PARTNERSHIP, JOINT VENTURE OR
CORPORATION, WHICH OWNS MORE THAN FIFTY PERCENT OF THE VOTING STOCK OF A
CONTRACTOR.
G. "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.
H. "SUBCONTRACT" SHALL MEAN ANY CONTRACT, AS DEFINED IN PARAGRAPH C OF
THIS SUBDIVISION, BETWEEN A SUBCONTRACTOR AND A CONTRACTOR.
I. "SUBCONTRACTOR" SHALL MEAN AN INDIVIDUAL, SOLE PROPRIETORSHIP,
PARTNERSHIP, JOINT VENTURE OR CORPORATION WHICH IS ENGAGED BY A CONTRAC-
TOR PURSUANT TO A CONTRACT, AS DEFINED IN PARAGRAPH C OF THIS SUBDIVI-
SION.
11. THE STATE COMPTROLLER MAY ENTER INTO COOPERATIVE AGREEMENTS FOR
THE EXCHANGE OF INFORMATION WITH ANY MUNICIPALITY THAT MAINTAINS A DATA-
BASE SUBSTANTIALLY SIMILAR TO THE ONE REQUIRED BY THIS SECTION.
S 3. This act shall take effect on the ninetieth day after it shall
have become a law.