Audits – Comptroller’s List of Prequalified CPA Firms

The City of New York Procurement Policy Board Rules authorize the Comptroller to maintain a list of prequalified auditors. §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.”

Attached are links to the Accounting Firm Questionnaire (PDF and Microsoft Word) 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.

In accordance with the New York City Procurement Policy Board Rules, applicant CPA firms 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. Vendors are required to submit updated questionnaires if any changes occur in the interim three year period. Vendex submissions should be made both to the Mayor’s Office of Contract Services and to the Office of the Comptroller at the time of applying for placement on the CPA List. 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/selltonyc/html/tocvendex.html

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 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 or disks will, however, be accepted.

Submissions will generally include the:

Completed Accounting Firm Questionnaire

Applying firm’s current registration with the New York State Education Department

Applying firm’s current peer review report, letter of comments if any, and AICPA acceptance letter

Completed Vendex Vendor and Principal Questionnaires.

Submissions should be addressed to my attention,  

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 mg.

CDs, diskettes or hardcopy submissions may be mailed to my attention at:

The City of New York Office of the Comptroller
Bureau of Audit
One Centre Street, Room 1100
New York, New York 10007

Please note that the Office of the Comptroller requires CPAs that have been placed on the CPA List to annually affirm that there have been no changes to the information submitted in the Accounting Firm Questionnaire or submit the updated information via a new Accounting Firm Questionnaire.

If you have any questions or require any assistance, please call me at (212) 669-8887 or e-mail me at

dhochba@comptroller.nyc.gov

Sincerely,

Dennis J. Hochbaum
Director Quality Assurance

To download or save a copy of the appropriate form (the Accounting Firm Questionnaire, the Annual Affirmation Form, or the current List of Prequalified CPA Firms.) Right Click on the link and choose Save Target As ... from the menu

• Accounting Firm Questionnaire PDF (Print Version Only)
• Accounting Firm Questionnaire Word
• Annual Affirmation Form PDF(Print Version Only)
• Annual Affirmation Form Word
• List of Prequalified CPA Firms (Last updated August 15, 2008)