S T A T E   O F   N E W   Y O R K
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                                  6113

                       2013-2014 Regular Sessions

                          I N  A S S E M B L Y

                             March 15, 2013
                               ___________

Introduced  by  M.  of  A.  ENGLEBRIGHT -- 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 department of audit and control

  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 THE 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;
  C.  ANY  OTHER NAMES UNDER WHICH THE CONTRACTOR HAS CONDUCTED BUSINESS
WITHIN THE PRIOR FIVE YEARS;

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD09704-01-3
              

A. 6113                             2

  D. THE ADDRESSES AND TELEPHONE NUMBERS  OF  ALL  PRINCIPAL  PLACES  OF
BUSINESS  AND  PRIMARY  PLACES  OF  BUSINESS IN THE 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 THE STATE IN WHICH IT HAS TRANSACTED  OR  DONE  BUSINESS
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
RESPECT  TO ANY PROFESSIONAL LICENSES HELD BY THE CONTRACTOR, OR A PRIN-
CIPAL OWNER OR OFFICER OF THE CONTRACTOR;

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  S. WHETHER STATE 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 STATEWIDE  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; AND
  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 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
SUCH  INFORMATION AS REQUIRED BY THIS SUBDIVISION SHALL BE INELIGIBLE TO
BID OR PROPOSE ON A CONTRACT OR SUBCONTRACT UNTIL  SUCH  INFORMATION  IS
PROVIDED.

A. 6113                             4

  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.
  F. "PARENT" SHALL MEAN AN INDIVIDUAL  PARTNERSHIP,  JOINT  VENTURE  OR
CORPORATION, WHICH OWNS MORE THAN FIFTY PERCENT OF THE VOTING STOCK OF A
CONTRACTOR.

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  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.