The Vendex NYC form, integral to the Vendor Information Exchange System, serves as a vital tool for gathering information from vendors aspiring to do business with New York City. It ensures compliance with the city's mandate to engage only with responsible vendors through a thorough vetting process. Comprising the vendor questionnaire and the principal questionnaire, this form is designed to be filled out, printed, and submitted in paper format despite being made fillable online as of September 25, 2014.
In the dynamic landscape of New York City's procurement processes, the introduction of fillable VENDEX questionnaires marks a significant milestone, aiming to streamline the intricate task of collecting detailed information from vendors aspiring to engage in business with the city. As outlined in a notice dated September 25, 2014, by Mayor Bill de Blasio and Lisette Camilo, the City's Chief Procurement Officer, these forms—including the Vendor Questionnaire, Principal Questionnaire, and Certification of No Change—must still be completed and printed in paper format for submission, despite their digital fillability. This requirement underscores the city's cautious stride towards digital transformation, balancing convenience with the rigorous verification demands of its procurement protocols. The forms serve as critical tools for ensuring compliance with the mandate that New York City only conducts business with responsible vendors, a principle that safeguards public interests and maintains the integrity of city contracts. They are designed to capture comprehensive data on vendors and their principals, including but not limited to, personal identification, financial disclosures, and historical organizational roles. Moreover, the detailed instructions accompanying these questionnaires highlight the city's commitment to clarity and transparency in its procurement operations, providing a structured pathway for vendors to navigate the complexities of compliance and eligibility for city contracts.
Bill de Blasio
Mayor
Lisette Camilo
City Chief Procurement
Officer and Director of
Contract Services
253 Broadway, 9th Floor
New York, NY 10007
212 788 0010 tel
212 788 0049 fax
September 25, 2014
Please note that effective, September 25, 2014, the VENDEX questionnaires are now fillable. YOU WILL STILL NEED TO COMPLETE, PRINT AND SUBMIT THE PAPER COPIES. These include the:
•Vendor Questionnaire
•Principal Questionnaire
•Certification of No Change
Please be advised that certain fields require certain types of entry, e.g.:
•Date fields require entries to match: MM/DD/YYYY
•Telephone/Fax fields require entries to match: XXX-XXX-XXXX or (XXX) XXX-XXXX
•EIN/TIN/SSN fields require 9 digits and no dashes
•SSN only fields require entries to match XXX-XX-XXXX
Please also note that not all the fields will match the underlying formatting due to the limitations of the form, but ALL information will be able to be inputted. If you have any questions or concerns with the form, please email us at VENDEXFEEDBACK@cityhall.nyc.gov and we will get back to you as soon as possible.
PLEASE NOTE THAT ALTHOUGH THE FORMS ARE FILLABLE, YOU WILL STILL NEED TO COMPLETE, PRINT AND SUBMIT THE PAPER COPIES.
Thank you for your kind consideration.
Printed on paper containing 30% post-consumer material.
Principal Questionnair Fillable 9/25/14
Revised 9/25/14
Page 1 of 7
Principal’s SSN
-
PRINCIPAL QUESTIONNAIRE
The Vendor Information Exchange System (VENDEX) includes two questionnaires – the vendor questionnaire and the principal questionnaire. These have been developed to collect information from vendors who wish to do business with New York City, to ensure that New York City obeys the mandate in its charter to do business only with responsible vendors.
Questionnaires may be obtained in paper format from the VENDEX Unit (212-341-0933) or downloaded from the NYC website at http://www.nyc.gov/vendex.
Questionnaires must be completed in paper format. All questions must be answered. A response of “Not Applicable (N/A)”, or the equivalent, is not acceptable. Answers must be typewritten or printed in ink. If more space is needed to respond, photocopy the corresponding section’s page, check the box that additional information is attached, and attach the photocopied page to the questionnaire.
The publication “Vendor’s Guide to VENDEX” provides assistance and explanation for the questionnaires, including definitions of terms or phrases written in bold face throughout the questionnaires. If you have not obtained a copy of this publication, please download a copy from the New York City web site, or contact the VENDEX Unit at 212-341-0933. All forms must be sent to MOCS: 253 Broadway, 9th Floor; New York, New York 10007. If you have questions, contact the VENDEX Unit at 212-341-0933.
ANSWER THIS QUESTIONNAIRE CAREFULLY AND COMPLETELY. FAILURE TO SUBMIT A FULLY COMPLETED QUESTIONNAIRE MAY RESULT IN THE REJECTION OF THE VENDEX SUBMISSION. MAKING ANY UNAUTHORIZED CHANGE OR ALTERATION TO THE QUESTIONNAIRE WILL RENDER IT VOID.
Name of submitting vendor
Submitting vendor’s EIN/SSN/TIN
Type of submission: (Check one)
1.Full questionnaire
2.Changed questionnaire
If checked, provide submission date of last full questionnaire:
/
Name of person completing this principal questionnaire
Employer/Title
Telephone Number (
)
Fax Number (
Email address
The disclosure of the social security number is mandatory under the right granted New York City by the Tax Reform Act of 1976 and will be used for the purpose of tax administration. The number may also be used for general identification purposes. If you do not consent to such additional use for general identification purposes, please check here
Provide a detailed response for all questions answered with information and/or “YES” in the question’s corresponding section starting on page four of this questionnaire.
Principal Questionnaire
Page 2 of 7
1. Principal owner or officer’s name
SSN
Date of birth
Home address
Street/P.O. Box/Apt Number
Floor #/Suite #
City/State/Zip Code
Primary place of business address
Business telephone (
Business fax number (
Business email address
2. State all positions (with dates) held with submitting vendor during the past five (5) years
Title of position held:
Dates held
From
To
1)
2)
3)
Check if more than three (3) positions were held, and attach list of titles and dates held
3.
No
Yes
Do you hold a ten (10) percent or greater ownership interest in the
submitting vendor?
4.
Are there any outstanding loans, guarantees or any other form of security
or lease or any other type of contribution made in whole or in part between
you and the submitting vendor?
5.
Within the past three (3) years, have you been a principal owner or officer
of any entity other than the submitting vendor?
6.
Has New York City awarded any contracts to an entity listed in response
to Question 5 while you were a principal owner or officer?
Page 3 of 7
7.At any time during the past five (5) years, have you, and/or any entity in which you have been a principal owner or officer, been subject to any of the following actions, whether pending or completed:
a..
debarred from bidding on any government contract?
b.
Yes found non-responsible on any government contract?
c.
declared in default and/or terminated for cause on any contract, and/or had
any contract canceled for cause?
d.
determined to be ineligible to bid or propose on any contract?
e.
suspended from bidding on any government contract?
f.
received an overall unsatisfactory performance rating from any government
agency on any contract or agreement?
8. Do you presently serve, or have you within the past five (5) years served, as:
a.
an elected or appointed official or officer?
a full or part-time employee in a New York City agency or as a consultant to
any New York City agency?
an officer of any political party organization in New York City, whether paid or
unpaid?
as a consultant or advisor to a New York City agency that is or was involved
in the solicitation, negotiation, operation and/or administration of contracts on
which the submitting vendor will work during this three year VENDEX cycle?
9. During the past five (5) years, have you failed to:
file any applicable federal, state or New York City tax returns?
pay any applicable federal, state or New York City taxes or other assessed
New York City charges, including but not limited to water and sewer charges?
Page 4 of 7
Provide details to questions answered “yes” in the corresponding section below.
Corresponds to Question 3.
Total percentage of stock owned:
Purchase date:
(if sole proprietorship,
enter 100%)
Corresponds to Question 4. (check all that apply)
Loan amount
$
Lease amount
Guarantee amount
Other
(Name)
Security amount
Corresponds to Question 5.
Name of entity of which you are/were a principal owner or officer
Address
EIN/TIN
Telephone number (
Your title
Associated from
to
Still serving
Check if attaching additional information
Corresponds to Question 6.
Name of entity that received the contract
Provide a detailed response to all questions checked “YES” from pages one - three. If you need more space to respond, photocopy the corresponding section’s page, check the box that additional information is attached, and attach the photocopied page to this Questionnaire.
Page 5 of 7
Corresponds to Question 7. (Use this box for only one action. For each additional action, photocopy this page, complete the information and attach to this questionnaire.)
The following refers to section:
7a
7b
7c
7d
7e
7f
Action applies to:
You (as principal owner or officer)
Entity. If checked, name
Entity’s EIN/TIN
Your title (as principal owner or officer) (while action was underway)
Action is:
Pending
Completed
Date of action
Still ongoing
Name of agency initiating action
Contract number
Reason for action
Corresponds to Question 8. (check all that apply)
8a.
elected official
elected officer
appointed official
Name of agency where you serve(d)
Date started
Date completed
Still Serving
8b.
Full time employee
Part time employee
Consultant to NYC agency
Name of agency where you work(ed)
8c.
paid officer
unpaid officer
Name of political party or organization
8d.
Individual serves/served New York City agency as
consultant
advisor
Employee/advisor’s name
Date of Birth
Name of NYC agency
Page 6 of 7
Corresponds to Question 9.
9a.
You failed to file
Federal taxes
State taxes
N.Y. City taxes
If “State” is checked, and other than N.Y., name State
If “Other“ is checked, specify
Taxes were not filed for tax years:
19
20
9b.
You failed to pay:
Other NYC charge
If “Other NYC charge(s)” is checked, specify
Taxes were not paid for tax years:
Page 7 of 7
CERTIFICATION
THE PRINCIPAL QUESTIONNAIRE MUST BE CERTIFIED BY THE PRINCIPAL COMPLETING THE QUESTIONNAIRE. A MATERIALLY FALSE STATEMENT WILLFULLY OR FRAUDULENTLY MADE IN CONNECTION WITH THIS QUESTIONNAIRE MAY RESULT IN RENDERING THE SUBMITTING VENDOR NON-RESPONSIBLE WITH RESPECT TO THE VENDEX SUBMISSION AND, IN ADDITION, MAY SUBJECT THE PERSON MAKING THE FALSE STATEMENT TO CRIMINAL CHARGES.
I,
serving as
for
,
Name
Title
Submitting Vendor’s Name
being duly sworn, certify that:
•I have not altered the substance of this questionnaire in any manner;
•I have read and understand all of the items contained in the foregoing 6 pages of this
questionnaire and the following
pages of attachments;
•I supplied full and complete responses to each item therein to the best of my knowledge, information and belief;
•I understand that New York City will rely on the information supplied in this questionnaire as an inducement to enter into a contract with the submitting vendor;
•I understand that at the time of execution of any contract with New York City, the submitting vendor will be required to certify that the information I have supplied remains accurate, and I further understand that I may provide to the VENDEX unit, in writing, any change(s) in the information provided in this questionnaire at the time of any change in the circumstances;
•I have read the vendor questionnaire submitted by the submitting vendor, and the answers thereto, and that, to the best of my knowledge, information and belief, those answers are full, complete and accurate.
Sworn to before me this
day of
, 20
;
Notary Public
Print name
Signature
/ /
Date
Filling out the Vendex NYC form is a straightforward process designed to ensure that New York City engages with responsible vendors. This form is critical for vendors interested in conducting business with the city; hence, accuracy and completeness are paramount. Despite being available in a fillable version, the form still requires a hard copy submission following online completion. This guide will walk you through the necessary steps to accurately complete the form, ensuring your submission meets the required standards and avoids any potential complications.
By following these steps meticulously, you will have completed the Vendex NYC form accurately and thoroughly, positioning your submission for success. It’s important to keep a copy of the submitted documents for your records and future reference. Timely and precise completion of this questionnaire plays a crucial role in establishing and maintaining a responsible and transparent relationship with New York City as a vendor.
What are the VENDEX questionnaires and why are they important?
The VENDEX questionnaires, comprised of the Vendor Questionnaire and the Principal Questionnaire, are essential tools used by New York City to collect information from vendors who intend to do business with the city. Their primary purpose is to ensure compliance with the city's charter that mandates business only with responsible vendors. By analyzing the detailed information provided through these questionnaires, the city can assess the credibility, integrity, and financial stability of its potential business partners.
How can one obtain and submit the VENDEX questionnaires?
The questionnaires can be obtained either by downloading them from the New York City website or by requesting a paper copy from the VENDEX Unit. Once filled out, despite the forms being fillable online as of September 25, 2014, they require printing and submission in paper format to the Mayor's Office of Contract Services at 253 Broadway, 9th Floor, New York, NY 10007. It is crucial to ensure that all provided information is typewritten or printed clearly in ink.
Are there specific formatting requirements for the entries in the VENDEX questionnaires?
Yes, the VENDEX questionnaires have precise formatting requirements for various fields. For instance, date fields must follow the MM/DD/YYYY format, while telephone and fax numbers should match the XXX-XXX-XXXX or (XXX) XXX-XXXX patterns. Social Security Number (SSN) fields are specifically formatted to accept entries in the XXX-XX-XXXX format. Compliance with these requirements is necessary for the successful processing of the questionnaire.
What happens if additional space is needed to answer questions in the questionnaire?
If the provided space is insufficient for a complete answer, respondents are encouraged to photocopy the relevant section's page, indicate that additional information is attached, and include these photocopies with their submission. This ensures that all necessary details are conveyed comprehensively and clearly.
Can changes be made to the VENDEX questionnaires after submission?
Should there be any changes to the information initially provided or if a periodic update is due, the submitting vendor is required to complete a Changed questionnaire. This is crucial for maintaining up-to-date and accurate records which facilitate transparent and responsible procurement processes.
Is it mandatory to disclose the social security number on the VENDEX form, and how is it used?
The disclosure of the Social Security Number (SSN) is a mandatory requirement under the right granted to New York City by the Tax Reform Act of 1976, primarily used for the purpose of tax administration and, to a limited extent, for general identification purposes. Vendors have the option to withhold consent for its use beyond tax-related matters.
What should one do if they have questions or concerns about the VENDEX form?
For any questions or concerns regarding the VENDEX questionnaires, individuals are encouraged to contact the VENDEX Unit directly by email at VENDEXFEEDBACK@cityhall.nyc.gov. The team is committed to providing assistance and will respond as promptly as possible to resolve any uncertainties or provide additional information.
Filling out the Vendex NYC form can be a straightforward process, but it's easy to make mistakes that can cause delays or even result in a form being rejected. Here are eight common mistakes to avoid:
Submitting the Vendex NYC form correctly is crucial for vendors who wish to do business with New York City. Avoiding these common mistakes not only ensures that the form will be accepted but also helps streamline the process for both the vendor and the city's administration. Always double-check entries, adhere to the specified formats, and provide thorough and accurate information to avoid unnecessary complications.
When dealing with New York City's procurement process, the completion and submission of the VENDEX form is often just one step in a series of required documentation. To ensure a smooth and efficient interaction with the city's contracting system, other forms and documents might also need to be filled out and submitted alongside the VENDEX questionnaires. These documents help verify the credibility, financial health, and operational capacity of businesses seeking to work with the city. Here's an overview of some of those additional forms and documents:
It's essential for vendors to prepare and organize these additional forms and documents when submitting the VENDEX questionnaires to New York City. Proper documentation speeds up the review process, reduces the chances of submission errors, and enhances the likelihood of securing contracts with the city. Creating a checklist of these forms can be a practical step to ensure all necessary paperwork is accounted for and readily available.
The Vendex NYC form, requiring detailed information from vendors seeking to do business with New York City, shares characteristics with the SF-330 Form, used for architectural and engineering services contracts within the federal government. Both documents are designed to ensure that only responsible and qualified vendors and contractors are selected for public projects. They collect comprehensive information about the vendor's or contractor's qualifications, past performance, and organizational capabilities. Moreover, like the Vendex form, the SF-330 mandates that specific details be provided in a structured format, ensuring consistency and fairness in the evaluation process.
Similarly, the IRS W-9 Form, utilized to gather information from individuals or businesses for tax purposes, parallels the Vendex NYC form in its purpose of confirming the identity and tax status of the submitting party. Both documents require the submission's Social Security Number or Employer Identification Number, ensuring that entities are properly identified and vetted for compliance with legal and financial obligations. Additionally, both forms are integral in facilitating transparency and accountability, particularly in financial transactions with or within government entities.
The Dun & Bradstreet D-U-N-S Number Application shares a logical connection with the Vendex NYC form by aiming to authenticate and evaluate the financial stability and operational integrity of businesses. The D-U-N-S Number, a unique identifier, is required by many organizations, including government entities, to pre-qualify vendors. It helps in assessing the reliability and financial strength of companies, similar to how the Vendex form seeks to ascertain the responsibility and suitability of vendors for New York City contracts.
The Business Integrity Commission (BIC) License Application for businesses operating in New York City demonstrates another similarity. This application is designed for companies in the trade waste industry and requires detailed disclosures about principals and significant business relationships, akin to the information sought in the Vendex NYC form. Both documents play crucial roles in monitoring and regulating business activities to safeguard public interest and maintain high standards of business ethics within the city.
Last but not least, the Lobbying Disclosure Form, required for entities engaging in lobbying activities, mirrors the Vendex NYC form in its emphasis on transparency and integrity. By requiring detailed disclosures about lobbying activities and associated individuals, it ensures that public officials and the public are informed about who is attempting to influence government decisions. This level of scrutiny and disclosure aligns with the Vendex form’s objective to ensure that those doing business with the city maintain high ethical standards and are free from conflicts of interest.
When completing the VENDEX NYC form, it's vital to follow specific do's and don'ts to ensure accurate and efficient processing of your application. Here are eight key points to consider:
Adhering to these guidelines when filling out your VENDEX NYC form not only streamlines the submission process but also significantly increases the likelihood of a favorable review by New York City procurement officials.
There are several misconceptions surrounding the VENDEX NYC form that are important to clarify, ensuring vendors fully understand the requirements when engaging in business with New York City. Addressing these misunderstandings will streamline the submission process and improve compliance.
Addressing these misconceptions facilitates a clearer understanding of the VENDEX submission requirements. Vendors are encouraged to review each section carefully, ensuring that all information is provided accurately and in the required format to avoid any delays or rejections in the approval process.
When you're filling out and using the Vendex NYC form, it's important to keep several key points in mind. These tips are designed to streamline the process and ensure your submission is error-free and compliant with the city's requirements.
Filling out the form electronically is permitted as the Vendex questionnaires are now fillable; however, you must print and submit them in paper format for them to be considered valid.
Make sure to follow specific formatting instructions for entries, such as using MM/DD/YYYY for dates and XXX-XXX-XXXX or (XXX) XXX-XXXX for telephone and fax numbers.
Social Security numbers (SSNs) must be filled out in the XXX-XX-XXXX format, and Employer Identification Number (EIN)/Tax Identification Number (TIN) should be 9 digits with no dashes.
Despite the fillable form's limitations in matching the underlying formatting in some fields, rest assured that all information can be inputted successfully.
If any issues or concerns arise while completing the form, Vendex provides a specific email, VENDEXFEEDBACK@cityhall.nyc.gov, for inquiries, promising prompt assistance.
Completion and accuracy are critical as any incorrectly filled or incomplete forms may result in the rejection of your Vendex submission. This emphasizes the need for careful review before submission.
All forms, including the Vendor Questionnaire, Principal Questionnaire, and Certification of No Change, need to be submitted in paper format even after being filled out electronically.
Be aware that making any unauthorized changes or alterations to the questionnaire could render it void, highlighting the importance of strict adherence to the provided instructions.
Submission of incomplete information or an inappropriate response like "Not Applicable (N/A)" is not acceptable; detailed and specific responses are required for each question.
If additional space is required for any response, you are advised to photocopy the relevant section, indicate that more information is attached, and then attach the photocopy to the questionnaire. This ensures that all pertinent details are included.
The specified address for all submissions is MOCS: 253 Broadway, 9th Floor; New York, New York 10007. This address is where you must send all completed documents, ensuring they reach the correct destination for processing.
Remember, the objective of the Vendex questionnaires is to collect comprehensive information from vendors aspiring to do business with New York City. By adhering to the instructions and guidelines provided, vendors demonstrate responsibility and readiness to comply with the City's procurement processes.
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