Presenter s Contact Information

7. NYS Web Sites NYS Department of Labor (DOL) debarred list for prevailing wage violations http://www.labor.state.ny.us/workerprotection/publicwork/PDFs/debarred.pdf NYS Department of State (DOS), Division of Corporations - confirm NYS corporation registration with DOS http://appsext5.dos.state.ny.us/corp_public/corpsearch.entity_search_entry DOS – confirm vendor has no NYS tax liens http://appsext4.dos.state.ny.us/stwarrants_public/st_search DOS – UCC listings to confirm that Vendor has no federal tax liens http://appsext4.dos.state.ny.us/pls/ucc_public/web_search.main_frame

8. Federal Web Sites General Services Administration (federal excluded parties list system) http://epls.gov US Department of Labor for OSHA violations (Occupational Safety and Health Administration) http://www.osha.gov/pls/imis/establishment.html Securities Exchange Commission (SEC) for publicly held companies http://www.sec.gov/edgar/searchedgar/webusers.htm Department of Justice http://www.usdoj.gov

9. Internet Searches Google - Advanced Search using key words: Fines, penalties, fraud, investigation, indictments, accounting practices, etc. Lexis/Nexis ($) Company Analyzer Accurint ($) Vendex

11. Review Process Use Critical Judgment Consider information disclosed Question responses from global company with no issues on SVRQ Question responses from construction or waste company that don’t have DEC or OSHA violations Question if responses don’t appear to make sense Ask vendor to explain why not disclosed

14. Responsive VS. Responsible Vendors found non-responsible must acknowledge such determination on every responsibility questionnaire they complete. Vendors found non-responsive do not meet the technical terms and conditions. Non-responsibility determinations have far greater adverse consequences for vendors.

17. Financial Example Furniture contract extension D&B reported numerous unsatisfied tax liens from other states Questioned financial ability and integrity Contractor provided proof of satisfaction New office manager Agency considered past performance Contract extended 12 months

18. Legal Authority Options: Check with DOS for NYS registration Obtain current certificate of good standing from jurisdiction where formed Obtain copy of Certificate of Incorporation Obtain copy of Certificate of signing authority signed by the corporation secretary and approved by board of directors.

19. Legal Authority Example Paging Company: press release of merger OGS sought assignment of contract Doing business as new company name DOS licensing requirements NYS corporations and LLCs must be registered in NYS with DOS. Out of state corporations - current certificate of good standing within their state. Assumed name certificate filed with DOS

20. Integrity Options: Review Dun & Bradstreet report Conduct Internet Search (news articles) LexisNexis Company Analyzer search Reports from other agencies, states or municipalities Contact State Inspector General (SIG) for state employee concerns

21. Integrity Example IT Consulting contractor Received “too good to be true offer” Bid Rigging Once is enough

23. Past Performance Options: NYC Vendex System Prior contract history with your agency Prior contract history with other governmental agencies News articles Internet searches Public records

26. Choices Reject the bid Award the bid Consider the risk for NYS with respect to the contract in question Award with contingencies Suspend current contract until issue resolved Ensure Due Process has been provided