1. New York State Office of the State Comptroller Vendor Responsibility & the NYS VendRep System New York State IT Forum June 9, 2010 Irene Waldorf Kellie Brandoline

2. # 2 Today  Learn why Vendor Responsibility is important to NYS  How to check your organization  How to enroll & use the power of the NYS VendRep System  Introduction of new questionnaire

3. # 3 Vendor Responsibility responsible  A responsible vendor has the capacity to fully perform its contractual obligations, and the integrity to justify the award of public dollars

4. # 4 Role of Vendor  Maintain your VendRep health  Self-disclosure = Vendor Responsibility Questionnaire  Be responsive

5. # 5 Role of State Agency  Confirm information provided by the vendor  Review and assess other available information  Make a responsibility determination

6. # 6 Role of the Comptroller’s Office  Approve State contracts >$50,000 (State Finance Law)  Review State agency’s processes  Independently review of vendor  Approve/Non-approve

7. # 7 Vendor Responsibility Factors  Financial & organizational capacity  Legal authority to do business  Integrity  Past performance

8. # 8 How to Check Your Organization  Vendor Responsibility Questionnaire  Internet resources www.osc.state.ny.us/vendrep

9. # 9 Where to Look? Google It… http://www.google.com/advanced_search

10. # 10 NY State Tax Warrant http://appsext8.dos.state.ny.us/stwarrants_public/st_search

11. # 11 Better Business Bureau http://www.bbb.org/us/Charity-Reviews/

12. # 12 Workers’ Compensation Insurance & Disability Benefit Coverage http://www.wcb.state.ny.us/content/ebiz/icempcovsearch/ icempcovsearch_overview.jsp

13. # 13 Federal Debarment Excluded Parties List System http://www.epls.gov/

14. # 14 Securities Exchange Commission http://www.sec.gov/edgar/searchedgar/companyse arch.html

15. # 15 Dept of Labor & Workers’ Compensation Debarments https://dbr.labor.state.ny.us/EDList/searchPage.do

16. # 16 Vendor Website

17. # 17 Prior Contracting  References  Open Book New York http://www.openbooknewyork.com/

18. # 18 New Questionnaire

19. # 19 WHAT’s the biggest change?  Vendor will select scope of disclosure Legal Business Entity; or Organizational Unit within and operating under the authority of the Legal Business Entity

20. # 20 New Terms  Legal Business Entity  Reporting Entity  Organizational Unit  Associated Entity

21. # 21 Legal Business Entity (LBE)  Must have an IRS assigned Federal Tax Identification Number (TIN)  Sole Proprietor – may use Social Security Number

22. # 22 Reporting Entity (RE)  A Legal Business Entity Or  An Organizational Unit of the larger LBE

23. # 23 Organizational Unit MUST  Be an established unit within and operating under authority of LBE  Have a designated manager or management team  Have primary responsibility for fulfilling contract terms  Use Legal Business Entity’s TIN

24. # 24 Associated Entity  Any entity the Reporting Entity controls or is controlled by  Not “sibling organizations” unless direct relationship with or impact on the Reporting Entity  Replaces “Affiliates”

25. # 25 Legal Business Entity is RE SIEMENS CORPORATION NOKIA SIEMENS NETWORKS SIEMENS MEDICAL SOLUTIONS SIEMENS BUILDING SOLUTIONS

26. # 26 Organizational Unit is RE GENERAL ELECTRIC HOME & BUSINESS SOLUTIONS GE APPLIANCE DIVISION GE CAPITAL GE INTELLIGENT PLATFORMS HOTPOINT

27. # 27 Highlights of Changes  Informational cover sheet  Revised Definitions  Questions removed/added/revised Contract History Affiliates & Joint Ventures

28. # 28 Section IX  New section for Associated Entities (Replaces Affiliates)  If Reporting as LBE, complete only if has Associated Entities  If Reporting as Organizational Unit, must complete section for Associated Entities

29. # 29 Impact on VendRep System  New Instructions  If starting new questionnaire, responses are not copied for any questions having changes  If vendor is editing, continue and certify current version

30. # 30 VendRep System - What’s in it for Me? http://www.osc.state.ny.us/vendrep/index.htm  File Vendor Responsibility Questionnaire online See checklist  View your contract data & status

31. # 31 OSC Help Desk – For Your Use www.osc.state.ny.us 518-408-4672 866-370-4672 helpdesk@osc.state.ny.us

32. # 32 Questions ?? Thank You !!