Bureau of Audit

COMPTROLLER’S LIST OF PREQUALIFIED CPA FIRMS

The City of New York Procurement Policy Board Rules (“PPB”) authorize the Comptroller to maintain a list of prequalified auditors. PPB rule §3-10(k) states:
 “PQL of Auditors. A PQL of auditors shall be maintained by the Comptroller in accordance with this section. An agency seeking to award an audit contract shall solicit only those suppliers that have been prequalified by the Comptroller.”

• List of Prequalified CPA Firms (pdf) (Last Updated March 11, 2013)

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APPLY TO BECOME A PREQUALIFIED CPA FIRM

Attached are links to the Accounting Firm Questionnaire (PDF) that Certified Public Accounting Firms (CPAs) are required to complete in order to be considered for placement on the Comptroller’s List of Prequalified CPA Firms. There are alsoa link to the Annual Affirmation Form that CPAs who are already on the List must annually complete in order to remain on the List.

• Accounting Firm Questionnaire (pdf)
• Annual Affirmation Form (pdf)

Application Process Vendex

In accordance with the PPB rules, CPA firms, applying for placement on the PQL, are also required to complete and submit the New York City Vendex Vendor and Principal Questionnaires. Vendors are required to submit new questionnaires once every three years. If any changes occur within the three year period, vendors are required to submit updated questionnaires. At the time of applying for placement on the CPA List, vendex submissions should be made both to the Mayor’s Office of Contract Services and to the Office of the Comptroller. Updated questionnaires regarding interim changes need be submitted to the Mayor’s Office of Contracts only.
Electronic copies of the Vendex Vendor and Principal Questionnaires as well as the Vendors’ Guide to Vendex may be downloaded from the internet at:

http://www.nyc.gov/html/mocs/html/research/vendex.shtml

Vendex submissions to the Mayor’s Office of Contract Services should be mailed to:
Mayor’s Office of Contract Services
Attention: VENDEX
253 Broadway, 9 th Floor
New York, NY 10007

The Mayor’s Office of Contract Services requires Vendex forms to be submitted in hardcopy. The Office of the Comptroller however, prefers that the Vendex submissions and all other forms and documents (e.g., the Accounting Firm Questionnaire and Annual Affirmation Form) be electronically submitted, if possible. Completed documents may be e-mailed or faxed to the Comptroller’s Office. (You may wish to convert any electronic files to PDF before e-mailing them.) Hardcopy submissions will, however, be accepted.

Submissions will generally include:

• Completed Accounting Firm Questionnaire;
• Firm’s current registration with the New York State Education Department;
• Firm’s current peer review report, letter of comments if any, and AICPA acceptance letter; and  
• Completed Vendex Vendor and Principal Questionnaires.

Submissions should be addressed to the attention of:  

Dennis J. Hochbaum
Director Quality Assurance

Submissions may be e-mailed or faxed to cpalist@comptroller.nyc.gov or (212) 815-8635. Please be advised that e-mail submissions must be less than 10 MB.

CDs or hardcopy submissions may be mailed to the attention of:

Dennis J. Hochbaum
Director Quality Assurance
The City of New York Office of the Comptroller
Bureau of Audit
One Centre Street, Room 1100
New York, New York 10007

If you have any questions or require any assistance please call (212) 669-8887 or email dhochba@comptroller.nyc.gov.