1. State Purchasing Forum Impacts of SFS on VendRep System & Other Updates Lynn Hansen Irene Waldorf May 2011

2. Get up-to-date on: Relationship of the VendRep System & Statewide Financial System (SFS) Proposed revisions to Not-For-Profit Vendor Responsibility Questionnaire Resources for responsibility reviews Best Practices New training sessions

3. What is the VendRep System? Users Purpose Functionality

4. What is SFS? DOB FMS Project OSC FOCAS Project SFS Program

5. Vendor File What is the Vendor File? What verification is completed? Is the vendor assigned a unique number? Why does a vendor need to be on the Vendor File?

6. How are Systems Related?

7. Vendor ID will impact Vendor enrollment VendRep System searches Standard name Central update Documents

8. Documents will change Questionnaires Vendor responsibility profile Website VendRep System user supports Standard emails to vendors Check what your agency is using as information may need revision

9. Vendor Responsibility Process Requirements for Vendor Responsibility review will not change A vendor on the vendor file does not replace the review

10. Process to Add a Vendor How does a vendor get into the VendRep System without a Vendor ID? How does a vendor get a Vendor ID to obtain a contract? How does a vendor’s information get updated?

11. Where to Find Information SFS: http://www.sfs.ny.gov VendRep: http://www.osc.state.ny.us/vendrep Vendor File: http://osc.state.ny.us/vendor_mana gement/

12. Not-For-Profit Questionnaire Why change? –Experience –Difficult for complex entities –Collecting unused information –Information readily available from other sources Status

13. Major Changes NFP will select scope of disclosure Easier to complete due to elimination of some questions

14. New Terms Legal Business Entity Reporting Entity Organizational Unit Associated Entity

15. Legal Business Entity Must have an IRS assigned Federal Tax Identification Number (TIN) Must have New York State Vendor ID

16. Reporting Entity A Legal Business Entity Or An Organizational Unit of the larger Legal Business Entity

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

18. 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”

19. Scope Reporting Entity –Exclude affiliate issues Associated Entities –Report larger issues –Limit reporting to federal or within New York State

20. Next Steps for Questionnaire Vendor testing Final revisions Schedule implementation Notice to all VR communication liaisons Email VendRep System vendors

21. New Resources for Your Use US Food and Drug Administration –Medical Device Recalls NYS Office of the Medicaid Inspector General –Final Audit Reports Google http://www.osc.state.ny.us/vendrep/resources_agency.htm

22. Best Practices Quiz Time

23. Best Practices #1 When a vendor files their questionnaire on the VendRep System, the Agency does not need to print and send the questionnaire to OSC as part of the procurement record.

24. Best Practices #1 When a vendor files their questionnaire on the VendRep System, the Agency does not need to print and send the questionnaire to OSC as part of the procurement record.

25. Best Practices #2 An Agency viewed 10 sites when conducting their review. All of their screen shots should be printed and attached to the Vendor Responsibility Profile.

26. Best Practices #2 An Agency viewed 10 sites when conducting their review. All of their screen shots should be printed and attached to the Vendor Responsibility Profile.

27. Best Practices #3 A printed screen shot of the Attorney General’s Charities Registration web page is not sufficient notification to let OSC know that the Not-For-Profit vendor is current.

28. Best Practices #3 A printed screen shot of the Attorney General’s Charities Registration web page is not sufficient notification to let OSC know that the Not-For-Profit vendor is current.

29. Best Practices #4 If a vendor discloses an issue on their questionnaire, the agency must address the issue on the Vendor Responsibility Profile submitted to OSC.

30. Best Practices #4 If a vendor discloses an issue on their questionnaire, the agency must address the issue on the Vendor Responsibility Profile submitted to OSC.

31. Best Practices #5 A vendor’s Workers Compensation or Disability Insurance coverage has recently expired. The agency has held contracts with this vendor for several years and knows the vendor provides quality service. The agency should send the contract to OSC for approval because the vendor will probably renew their coverage before OSC ever gets a chance to review the contract.

32. Best Practices #5 A vendor’s Workers Compensation or Disability Insurance coverage has recently expired. The agency has held contracts with this vendor for several years and knows the vendor provides quality service. The agency should send the contract to OSC for approval because the vendor will probably renew their coverage before OSC ever gets a chance to review the contract.

33. Best Practices #6 A vendor disclosed that their asbestos handling license was revoked for numerous violations. They are now the low bidder on a project to provide landscaping services. The agency noted the Vendor Responsibility Profile as follows and this is acceptable to OSC: –Issue Description: Q. 6.0 –Agency Resolution: This has no impact on our contract.

34. Best Practices #6 A vendor disclosed that their asbestos handling license was revoked for numerous violations. They are now the low bidder on a project to provide landscaping services. The agency noted the Vendor Responsibility Profile as follows and this is acceptable to OSC: –Issue Description: Q. 6.0 –Agency Resolution: This has no impact on our contract.

35. Best Practices #7 The vendor used a paper questionnaire. Even though there were no issues disclosed, the questionnaire must be sent to OSC as part of the new contract if the transaction equals or exceeds $100,000.

36. Best Practices #7 The vendor used a paper questionnaire. Even though there were no issues disclosed, the questionnaire must be sent to OSC as part of the new contract if the transaction equals or exceeds $100,000.

37. Best Practices #8 A vendor disclosed there is an open investigation and provided available details, stating it is “under dispute.” The agency included the vendor’s comments on the Vendor Responsibility Profile and included in the resolution that they will monitor the outcome of the investigation. This is acceptable to the Agency and OSC will find it acceptable.

38. Best Practices #8 A vendor disclosed there is an open investigation and provided available details, stating it is “under dispute.” The agency included the vendor’s comments on the Vendor Responsibility Profile and included in the resolution that they will monitor the outcome of the investigation. This is acceptable to the Agency and OSC will find it acceptable.

39. Best Practices #9 The vendor responded “Yes” to the question about entering into a formal monitoring agreement as a condition of a contract award from a government entity. They provided only the name of the agency involved. The agency included this as an issue on the Vendor Responsibility Profile and this will be acceptable to OSC.

40. Best Practices #9 The vendor responded “Yes” to the question about entering into a formal monitoring agreement as a condition of a contract award from a government entity. They provided only the name of the agency involved. The agency included this as an issue on the Vendor Responsibility Profile and this will be acceptable to OSC.

41. Best Practices #10 The vendor disclosed an issue on page 3 of their questionnaire. It is appropriate that the agency sent only page 3 of the questionnaire to OSC with the contract.

42. Best Practices #10 The vendor disclosed an issue on page 3 of their questionnaire. It is appropriate that the agency sent only page 3 of the questionnaire to OSC with the contract.

43. Best Practices #11 An agency reviewed a vendor but could not decide if the vendor is really responsible. After the agency sends it to OSC, the VendRep team will conduct an independent review and tell the agency what the determination should be.

44. Best Practices #11 An agency reviewed a vendor but could not decide if the vendor is really responsible. After the agency sends it to OSC, the VendRep team will conduct an independent review and tell the agency what the determination should be.

45. Best Practices #12 A Not-For-Profit vendor hired an independent auditing firm to perform its Federal Single Audit. As a result, several material weaknesses were discovered. The vendor does not need to disclose the issues since the audit was paid for by the vendor and completed by an independent auditor.

46. Best Practices #12 A Not-For-Profit vendor hired an independent auditing firm to perform its Federal Single Audit. As a result, several material weaknesses were discovered. The vendor does not need to disclose the issues since the audit was paid for by the vendor and completed by an independent auditor.

47. Best Practices #13 When a vendor claims to be exempt from Workers Compensation coverage, the agency should provide an explanation as to why the vendor is exempt from obtaining Workers Compensation coverage for each contract sent to OSC.

48. Best Practices #13 When a vendor claims to be exempt from Workers Compensation coverage, the agency should provide an explanation as to why the vendor is exempt from obtaining Workers Compensation coverage for each contract sent to OSC.

49. Best Practices #14 In conducting a vendor responsibility review, the agency checked Google (using key words of “fraud, investigate, lawsuit”), checked Workers Comp/ Disability Insurance and GuideStar. Finding nothing of concern, the agency noted this in the Vendor Responsibility Profile and sent the contract to OSC for approval. This is an example of an acceptable review.

50. Best Practices #14 In conducting a vendor responsibility review, the agency checked Google (using key words of “fraud, investigate, lawsuit”), checked Workers Comp/ Disability Insurance and GuideStar. Finding nothing of concern, the agency noted this in the Vendor Responsibility Profile and sent the contract to OSC for approval. This is an example of an acceptable review.

51. Best Practices #15 We all have the same goal of procuring services from responsible vendors!!

52. Best Practices #15 We all have the same goal of procuring services from responsible vendors!!

53. New Training Offered Vendor Responsibility 101 NYS VendRep System – Computer-based – Agency site – OSC

54. OSC Contact OSC Help Desk 866-370-4672 or 518-408-4672 ciohelpdesk@osc.state.ny.us VendRep Website www.osc.state.ny.us/vendrep

55. SFS Contact SFS Help Desk 877-SFS-4185 helpdesk@sfs.ny.gov SFS Website www.sfs.ny.gov

56. Presenters Office of the State Comptroller Lynn Hansen - 518-474-2590 Irene Waldorf - 518-474-2277