Section Overview and Policies:
The purpose of this section is to remind Business Units to verify vendor qualifications prior to making payment when the vendor is:
- required to be licensed, certified or registered to practice their profession or occupation within New York State;
- required to be insured to do business in New York State; and/or
- required by the contract to have certain education, specialized knowledge or skills to provide services.
This section also describes ways in which to make necessary verifications.
Verifying vendor qualifications should typically be done by the contracting entity when awarding a contract, as part of the contracting entity’s vendor responsibility review. However, it is important for Business Units to be diligent throughout the contract term in verifying that a vendor to which payments are being made is maintaining the required qualifications. It is equally important that such qualifications be verified for non-contractual payments to vendors. In the past, the Office of the State Comptroller has identified millions of dollars in payments to vendors who were not properly licensed or did not meet contract requirements at the time the services were performed.
Process and Document Preparation:
BACKGROUND
New York State requires certain professionals to obtain a license or certification in order to practice their profession within the State. New York State also requires individuals practicing certain occupations to register with the State Agency that regulates that occupation. For example:
- The New York State Board of Regents and the New York State Education Department, through the Office of Professional Development, oversee the preparation, licensure and practice of 48 professions, including Physicians, Certified Public Accountants, Architects, Registered Nurses and Dentists.
- The New York State Department of State is responsible for the licensure, registration and/or regulation of many other professions, including Armored Car or Security Guards, Real Estate Professionals and Private Investigators. In addition to New York State licensing and certification requirements, many New York State contracts require individuals providing services have certain education, specialized knowledge or skills in order to provide services.
All vendors doing business with New York State that are required by Law to have a valid license or certification, to have certain insurance coverage, and/or be registered with a State Agency, and all vendors that are required by contract to have certain education, specialized knowledge or skills, must meet those requirements at the time services are provided in order to be eligible for payment.
BUSINESS UNIT RESPONSIBILITY
When a Business Unit contracts with a vendor that is required to be licensed, certified, registered or insured to practice their profession or occupation within New York State or a vendor that is contractually required to have certain education, specialized knowledge or skills to provide services, Business Unit Management should implement controls to ensure those requirements were met prior to paying the vendor.
For those vendors that are required to be licensed, certified, registered, or insured, agencies should periodically obtain a copy of the required license/certification/registration and a valid picture ID and verify those documents for accuracy. The New York State Education Department, Department of State, Insurance Department, Attorney General, Worker’s Compensation Board and Unified Court System all maintain websites where license/certification/registration/insurance information can be verified. See below for a link to these websites and a list of qualifications that can be verified.
For those vendors requiring certain education, specialized knowledge or skills, agencies should obtain a resume from the vendor. Information on the resume should be verified by such methods as requesting college transcripts and contacting past employers.
NEW YORK STATE DEPARTMENT OF EDUCATION – OFFICE OF PROFESSIONAL DEVELOPMENT:
The following table provides a listing of licenses and registrations that may be verified at the New York State Department of Education-Office of Professional Development website (http://www.op.nysed.gov/prof/).
To determine if a specific individual is licensed under one of these professions, please see the following website: http://www.op.nysed.gov/opsearches.htm.
| Profession | |
|---|---|
| Acupuncture | Mental Health Practitioners -Creative Arts Therapists -Marriage and Family Therapists -Mental Health Counselors Clinical -Psychoanalysts |
| Architecture | Midwifery |
| Athletic Training | Nursing -Registered Professional Nurses -Nurse Practitioners -Licensed Practical Nurses |
| Audiology | Occupational Therapy -Occupational Therapists -Occupational Therapy Assistants |
| Certified Shorthand Reporting | Ophthalmic Dispensing |
| Chiropractic | Optometry |
|
Clinical Laboratory Technology -Clinical Laboratory Technologists-Cytotechnologists-Clinical Laboratory Technicians-Certified Histological Technicians |
Pharmacy -Pharmacists -Pharmacy Establishments |
| Dentistry -Dentists-Dental Anesthesia/Sedation-Dental Hygienists-Certified Dental Assistants | Physical Therapy -Physical Therapists -Physical Therapist Assistants |
| Dietetics-Nutrition | Podiatry |
| Engineering | Psychology |
| Interior Design | Public Accountancy -Certified Public Accountants -Public Accountants |
| Land Surveying | Respiratory Therapy -Respiratory Therapists -Respiratory Therapy Technicians |
| Landscape Architecture | Social Work -Licensed Master Social Worker (LMSW) -Licensed Clinical Social Worker (LCSW) |
| Massage Therapy | Speech -Language Pathology |
| Medical Physics | Veterinary Medicine -Veterinarian-Veterinary Technician |
| Medicine-Physicians-Physicians, 3-year limited license-Physician Assistants-Specialists Assistants | |
NEW YORK STATE DEPARTMENT OF STATE - DIVISION OF LICENSING SERVICES
The following table provides a listing of licensed professions and occupations that may be verified at the New York State Department of State-Division of Licensing Services website at https://dos.ny.gov/division-licensing-services.
To determine if a specific individual is licensed under one of these professions,
please see the following website: http://www.op.nysed.gov/opsearches.htm.
| Profession | |
|---|---|
| Apartment Information Vendor and Apartment Sharing Agents | Home Inspection |
| Appearance Enhancement | Notary Public |
| Armored Car Services | Pet Cemetery and Pet Crematorium |
| Athlete Agents | Private Investigator |
| Bail Enforcement Agent | Real Estate Appraiser |
| Barber | Real Estate Broker |
| Bedding Manufacturer and Refurbisher | Real Estate Salesperson |
| Central Dispatch Facility | Security or Fire Alarm Installer |
| Coin Processor | Security Guard |
| Document Destruction Contractor | Telemarketer Business |
| Health Club Services | Ticket Reseller |
| Hearing Aid Dispensers | Watch, Guard, & Patrol Agency |
NEW YORK STATE EDUCATION DEPARTMENT - OFFICE OF HIGHER EDUCATION
The following New York State Education Department-Office of Higher Education website can be used to verify educational licenses.
http://eservices.nysed.gov/teach/certhelp/CpPersonSearchExternal.jsp?trgAction=INQUIRY:
NEW YORK STATE UNIFIED COURT SYSTEM
The following New York State Unified Court System website allows you to verify Attorneys licensed to practice law in New York State.
http://iapps.courts.state.ny.us/attorney/AttorneySearch
NEW YORK STATE ATTORNEY GENERAL - CHARITY REGISTRATION BUREAU
The following New York State Attorney General's website allows you to access the Charities Registration database to verify a charitable corporation's registration and filing status.
http://www.charitiesnys.com/RegistrySearch/search_charities.jsp
For more clarification regarding charity registration information that Business Units must submit to the Office of the State Comptroller in connection with State contracts, see Chapter XI, Section 2.O - Contracts with Not-for-Profit Organizations, of this Guide.
NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
- The following New York State Department of Financial Services websites allow you to verify insurance agent and broker licenses.https://myportal.dfs.ny.gov/nylinxext/elsearch.alice?type=fstload
- The following New York State Department of Financial Services websites allow you to verify bail bondsman licenses.https://myportal.dfs.ny.gov/web/guest-applications/bail-bonds-search
NEW YORK STATE WORKER’S COMPENSATION BOARD
The following New York State Worker’s Compensation Board website allows you to verify a vendor’s Worker’s Compensation Insurance and Disability Benefit coverage.
http://www.wcb.ny.gov/content/ebiz/icempcovsearch/icempcovsearch_overview.jsp
Guide to Financial Operations
REV. 05/16/2019