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 Vendor Responsibility - Advanced Greg Knox and Carol OConnor

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 2 GETTING TO KNOW TODAYS AUDIENCE Who does VR reviews?Who signs the VR Profile?Who is a VendRep System user? Are you with a State agency, Public authority or other?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 3 WHAT TO EXPECT TODAY:

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 4 TERMS Vendor Entity contracting with NYS Agency State contracting entity Contract Transaction FEIN/EIN/TIN Federal Employer Identification # – Taxpayer ID # Vendor ID Assigned for use in SFS and the VendRep System Certify By vendor not by OSC or Agency

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 5 BEST TOOLS – OSC WEBSITE

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 6 DOCUMENTATION REQUIREMENTS What is the rule when vendors need to renew their Vendor Responsibility Questionnaire after they exceed $100,000 with an existing contract?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 7 PROFILE No. 17 on the VR Profile is related to the last item (Attach A, Item 2 on last page). Would it be possible to consolidate this all in No. 17 so that when there are no issues found on vendor, we do not need to submit an additional page to OSC?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 8 PROFILE When we receive an unfavorable audit listing pages of deficiencies found on vendor, does OSC want us to list all of the deficiencies on Profile or attach the findings with the Profile and only list our resolution and determination on Profile?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 9 RESOURCES Our Department does not have access to GuideStar nor any other website to determine vendor's financial capacity. Are there any web sites we can access without paying a fee? National Center for Charitable Statistics

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 10 RESOURCES We have limited resources and dont subscribe to a service like Accurint. Id like to know where I can find tax lien, litigation and other information that the VendRep unit comes up with for free on the internet. Resources on VR website

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 11 RESOURCES Id like to train staff to do some more of the research to free up my time. Any quality assurance suggestions?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 12 RESOURCES I am wondering if you could provide a checklist which provides instruction on best practices when conducting vendor responsibility determinations...for instance a few of first questions are whether the matter is resolved and what impact does issue have on transaction. Other similar questions or statements to check off would be helpful.

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 13 QUESTIONNAIRE When a new VRQ is required, are there different term requirements for paper as opposed to on-line re- certifications or is it 6 months across the board? I am finding the 6 month requirement when on-line questionnaires are completed but can't find confirmation of this on the OSC website for paper questionnaires.

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 14 GRANTS PREQUALIFICATION Prequalification (for Grants Gateway) duplicates some of Vend Rep, but it also provides a lot of additional information. How can we agencies utilize the information in the document vaults during the Vend Rep process?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 15 SUBCONTRACTORS What are the vendor responsibility requirements for subcontractors?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 16 SUBCONTRACTORS I have some questions related to subconsultants on jobs working in NYS; specifically the insurance requirements for subs and also subs that are not based in NYS.

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 17 DETERMINATIONS How exactly can one agency use the determination another agency has made on the same firm. Understanding that each agency must make their own independent determination, if OGS finds someone non responsible and during the same month another agency is considering the same firm, what level independent investigation and determination is required by that second agency?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 18 NON-RESPONSIBILITY FINDING Has OSC disqualified any Vendors for Vendor Responsibility? Where would this information be available to Agencies?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 19 NON-RESPONSIBILITY FINDING Can you qualify what would cause a vendor to be deemed non-responsible? Who is it that determines that a 'finding' on a vendor would result in that vendor being non-responsible and thus cause an agency to move onto the next eligible vendor to award a contract?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 20 NON-RESPONSIBILITY FINDING A question that often arises is the question of how, in particular, a vendor can be deemed non-responsible. I recognize this issue is a complex one, and that each instance must be evaluated on a case by case basis. I suppose the crux of the issue is that our campuses have the impression that it is very difficult, or nearly impossible, to deem a vendor non-responsible.

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 21 NON-RESPONSIBILITY FINDING In the Resolution of Consent of the Council of Contracting Agencies, it states Agencies are required to provide OGS the names of any contractor/grantee which has been found to be non-responsible during the term of the contract/grant. At this time, OGS website provides List of Offerers Determined to be Non-responsible bidders Maintained by the OGS under State Finance Law 139j(10)(b) and List of Debarred Offerers Maintained by the OGS under State Finance Law 139-j(10)(b)...which is for Procurement Lobbying, namely restrictions on contacts during the procurement process. Where would an Agency find non-responsible Vendor Responsibility determinations? OGS:

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 22 PAUSE For Audience Questions

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 23 QUESTIONNAIRE On the NFP questionnaire, Q 9.6 asks for government audit information. Should a federal single audit be included in the response?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 24 SUBCONTRACTORS We have many exempt vendors (counties) that subcontract with private or non profit vendors. Would we be required to complete a Profile for such a subcontract?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 25 VENDOR ISSUES What should I do if my vendor has a tax lien or warrant?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 26 WCB/DI How long does it usually take the Workers Compensation Board to approve an exemption?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 27 DOCUMENTATION What vendor responsibility documents are required when the contract is less than $100,000 and why?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 28 QUESTIONNAIRE Can a vendor mark certain proprietary information to not be available by a FOIL request?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 29 VENDOR REGISTRATION What should we do when a vendor is not registered with the NYS Department of State?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 30 NYS VENDREP SYSTEM My vendors ask who has access to view their certified questionnaires.

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 31 WCB/DI I received a Workers Comp form for the vendors parent corporation, listing the vendor as a DBA. Is this acceptable?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 32 NOT-FOR-PROFIT VENDORS Can we submit a contract for a Not-For-Profit if they are not registered with the AGs Charities Registration?

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER OSC HELP DESK