1. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER New York State Office of the State Comptroller Thomas P. DiNapoli, Comptroller Office of Operations John Traylor, Executive Deputy Comptroller Division of Contracts and Expenditures Margaret Becker, Deputy Comptroller Charlotte Breeyear, Director, Bureau of Contracts Back to Basics Office of Operations 2013 Fall Conference November 6-7 State Authorities - Vendor Responsibility Craig Coutant and Greg Knox

2. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 2 WHAT TO EXPECT TODAY: Vendor Responsibility Importance Documentation Requirements Best Practices Online resources New York State VendRep System How to enroll & use effectively

3. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 3 TERMS Vendor Entity contracting with NYS State Contracting Entity New York State authority, State agency, etc. Contract Transaction FEIN/EIN/TIN Federal Employer Identification # – Taxpayer ID # Vendor ID Assigned for use in SFS & NYS VendRep System Certify By vendor or authority not by OSC

4. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 4 WHY IS VR IMPORTANT? Protects agency and State against failed contracts Pro-actively solves and mitigates problems Avoids contracting with non- responsible vendors Protects public funds and promotes fairness

5. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 5 WHAT IS A “RESPONSIBLE VENDOR?” A responsible vendor is one that has the financial and organizational capacity to fully perform its contractual obligations, the legal authority to do business with the State, the integrity to justify the award of public dollars, and a good record of past performance. FLIPFLIP

6. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 6 VR FACTORS F Financial & Organizational Capacity L Legal Authority I Integrity P Past Performance

7. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 7 DOCUMENTATION REQUIREMENTS Document Review – no standard format Memo Checklist OSC Vendor Responsibility Profile Vendor Responsibility Questionnaire If Authority’s business process requires, submit copy to OSC if not on NYS VendRep System Certification Form Found in State Authority Contract Manual

8. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 8 STATE AUTHORITY CONTRACT MANUAL

9. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 9 VENDOR RESPONSIBILITY CERTIFICATION http://www.osc.state.ny.us/stateauthority/ac3287s.doc

10. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 10  Use of Vendor Responsibility Questionnaire  Develop a checklist for review  Baseline of reasonable assurance  Use of online resources BEST PRACTICES

11. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 11 BEST TOOLS – OSC WEBSITE http://www.osc.state.ny.us/vendrep/index.htm

12. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 12 RESOURCES www.osc.state.ny.us/vendrep/index.htm

13. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 13  Financial & Organizational Capacity  Legal Authority to do Business  Integrity  Past Performance VENDOR RESPONSIBILITY FACTORS

14. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 14 Financial & Organizational Capacity LET’S LOOK AT THE FACTOR: http://www.osc.state.ny.us/vendrep/webresources_financial.htm

15. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 15 http://www.dos.state.ny.us/corps/tax_warrant_search.html NY STATE TAX WARRANT

16. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 16 DOS FEDERAL TAX LIEN

17. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 17 Legal Authority LET’S LOOK AT THE FACTOR: http://www.osc.state.ny.us/vendrep/webresources_legal.htm

18. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 18 http://www.wcb.ny.gov/icpocinq/icpocsearch.jsp WORKERS’ COMPENSATION INSURANCE & DISABILITY BENEFIT COVERAGE

19. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 19 WORKERS COMPENSATION COVERAGE Certificate of Workers’ Compensation Insurance issued by private insurance carriers, or Form C-105.2 Certificate of Workers’ Compensation Insurance issued by the State Insurance Fund; or Form U-26.3 Certificate of Workers’ Compensation Self- Insurance; or Form SI-12 Certificate of Participation in Workers’ Compensation Group Self-Insurance Form GSI- 105.2

20. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 20 DISABILITY BENEFITS COVERAGE Certificate of Disability Benefits Insurance; or Form DB- 120.1 Certificate of Disability Benefits Self-Insurance Form DB- 155

21. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 21 NOTE ACORD form is not acceptable proof of coverage

22. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 22 WC/DB EXEMPTION Certificate of Attestation of Exemption from New York State Workers’ Compensation and/or Disability Benefits Coverage CE- 200

23. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 23 REVIEW COVERAGE DOCS FOR ACCURACY Vendor name and FEIN match the contract WCB requires legal entity name and FEIN on certificates exactly match vendor named on the contract.

24. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 24 REVIEW FOR ACCURACY

25. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 25 WC COMPLIANCE QUESTIONS Direct coverage requirement questions to the Workers’ Compensation Board Compliance Division Walter Peretti 518-402-8330 walter.peretti@wcb.ny.gov

26. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 26 Integrity LET’S LOOK AT THE FACTOR: http://www.osc.state.ny.us/vendrep/webresources_integrity.htm

27. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 27 NEW YORK STATE ATTORNEY GENERAL

28. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 28 Past Performance LET’S LOOK AT THE FACTOR: http:// www.osc.state.ny.us/vendrep/webresources_performance.htm

29. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 29  References  Open Book New York  http://www.openbooknewyork.com/ http://www.openbooknewyork.com/  NYC Vendex  http://www.nyc.gov/html/vendorsearch/home.html http://www.nyc.gov/html/vendorsearch/home.html PRIOR CONTRACTING

30. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 30  www.openbooknewyork.com www.openbooknewyork.com OPEN BOOK NEW YORK

31. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 31 SEARCH STATE CONTRACTS

32. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 32 GENERAL RESOURCES NYS DOS CORPORATION SEARCH

33. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 33 http://www.google.com/advanced_search GENERAL RESOURCES - GOOGLE IT…

34. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 34 http://www.osc.state.ny.us/vendrep/index.htm  View standard NYS Vendor Responsibility Questionnaire online  Used by most State agencies, some authorities  Over 9,000 vendors are enrolled  View contract data  Make “Doing Business with NYS” easier NEW YORK STATE VENDREP SYSTEM

35. STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 35 518-408-4672 866-370-4672 ciohelpdesk@osc.state.ny.us OSC HELP DESK