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

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

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

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

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

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

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

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 9 VENDOR RESPONSIBILITY CERTIFICATION

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 11 BEST TOOLS – OSC WEBSITE

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 12 RESOURCES

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 14 Financial & Organizational Capacity LET’S LOOK AT THE FACTOR:

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 15 NY STATE TAX WARRANT

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 17 Legal Authority LET’S LOOK AT THE FACTOR:

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 18 WORKERS’ COMPENSATION INSURANCE & DISABILITY BENEFIT COVERAGE

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 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

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

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

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

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.

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

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 26 Integrity LET’S LOOK AT THE FACTOR:

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 28 Past Performance LET’S LOOK AT THE FACTOR:

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 29  References  Open Book New York   NYC Vendex  PRIOR CONTRACTING

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 30  OPEN BOOK NEW YORK

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

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

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 33 GENERAL RESOURCES - GOOGLE IT…

STATE OF NEW YORK OFFICE OF THE STATE COMPTROLLER 34  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

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