Verifying Vendor Licenses, Certificates, Registrations, Insurance and Qualifications

The purpose of this bulletin is to remind agencies 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.

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 agencies 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 that were not properly licensed or did not meet contract requirements at the time the services were performed.

This bulletin describes ways in which to make necessary verifications.

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.

When an Agency 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, Agency 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 web sites where license/certification/registration/insurance information can be verified.  See Table 1 through Table 7 (below) for a link to these web sites 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.

Table 1:
Table 1 provides a link to, and a listing of, Licenses and Registrations that may be verified at the New York State Department of Education Office of Professional Development website.

Table 2:
Table 2 provides a link to, and a listing of, licensed Professions and Occupations that may be verified at the New York State Department of State Division of Licensing Services website. 

Table 3:
Table 3 provides a link to, and listing of, Certifications for educational professions that may be verified at the New York State Education Department Office of Higher Education website.

Table 4:
Table 4 provides a link to the New York State Unified Court System website to verify Attorneys licensed to practice law in New York State.

Table 5:
Table 5 provides a link to the New York State Attorney General's Charities Registration database to verify a charitable corporation's registration and filing status.  See Bulletin G-79 for clarification of the charities registration information State agencies are required to submit to the Office of the State Comptroller in connection with State contracts with charitable organizations. (http://www.osc.state.ny.us/agencies/gbull/g_79.htm).

Table 6:
Table 6 provides a link to New York State Insurance Department's Insurance Company search. The Department is responsible for issuing licenses to insurance agents, brokers and bail bondsmen.

Table 7:
Table 7 provides a link to the New York State Workers' Compensation Board website to verify a vendor's Workers' Compensation Insurance and Disability Benefit coverage.

 

If you have questions regarding the requirements in determining proper qualifications when hiring or contracting with these professions please contact please contact the Bureau of State Expenditures Customer Service Help Desk at (518) 474-4868 or by email to stexpend@osc.state.ny.us

Source

Profession

http://www.op.nysed.gov/opsearches.htm

Acupuncture

Architecture

Athletic Training

Audiology

Certified Shorthand Reporting

Chiropractic

Clinical Laboratory Technology
-Clinical Laboratory Technologists
-Cytotechnologists
-Clinical Laboratory Technicians
-Certified Histological Technicians

Dentistry
-Dentists
-Dental Anesthesia/Sedation
-Dental Hygienists
      -Certified Dental Assistants

Dietetics-Nutrition

Engineering

Interior Design

Land Surveying

Landscape Architecture

Massage Therapy

Medical Physics

Medicine
-Physicians
-Physicians, 3-year limited license
-Physician Assistants
-Specialists Assistants

Mental Health Practitioners
-Creative Arts Therapists
-Marriage and Family Therapists
-Mental Health Counselors

Midwifery

Nursing
-Registered Professional Nurses
        ·Nurse Practitioners
-Licensed practical Nurses

Occupational Therapy
-Occupational Therapists
-Occupational Therapy Assistants

Ophthalmic Dispensing

Optometry

Pharmacy
-Pharmacists
-Pharmacy Establishments

Physical Therapy
      -Physical Therapists
      - Physical Therapist Assistants

Podiatry

Psychology

Public Accountancy
-Certified Public Accountants
-Public Accountants

Respiratory Therapy
-Respiratory Therapists
-Respiratory Therapy Technicians

Social Work

Speech-Language Pathology

Veterinary Medicine
-Veterinarian
-Veterinary Technician

Source

Profession

http://www.dos.state.ny.us/lcns/listoflncs.htm

Alarm Installer

Apartment Information Vendor

Apartment Sharing Agent

Appearance Enhancement

Armored Car Carrier

Armored Car Guard

Athlete Agents

Bail Enforcement Agent

Barber

Bedding

Central Dispatch Facility

Hearing Aid Dispenser

Hearing Aid Dispenser Business

Home Inspection

Notary Public

Private Investigator

Real Estate Appraiser

Real Estate Associate Broker

Real Estate Branch Office

Real Estate Broker

Real Estate Salesperson

Security Guard

Telemarketer Business

Watch, Guard, & Patrol Agency

Profession

http://eservices.nysed.gov/teach/certhelp/CpPersonSearch
External.jsp? trgAction=INQUIRY

Annotation – to base certificate

Extension – to base certificate

Classroom Teachers

Level 1 2 & 3 Teaching Assistant

Pre-Professional Teaching Assistant

Continuing Certificate as Teaching Assistant

Internship Certificate

Limited Teaching Certificate

Modified Temporary License

Statement of Continuing Eligibility

Transitional A, B and C Certificates

Exchange Permit

Adult, Community and Continuing Education Certificate

Coaching License

Permit for Service in Area for Which no Certificate Exists

Visiting Lecturer

Source

Profession

http://portal.courts.state.ny.us/pls/portal30/INTERNETDB_
dev.RPT_ATTY_ REG_NEW.show_parms

Attorney

Source

Organization

 http://bartlett.oag.state.ny.us/Char_Forms/search_charities.jsp   

Charitable

Source

Profession

http://www.ins.state.ny.us/iabedu.htm

Agents

Brokers

http://www.ins.state.ny.us/iablicn.htm

Bail Bondsman

Source

Insurance Type

 http://www.wcb.state.ny.us/content/main/Carriers/Carriers.jsp  

Workers' Compensation

Disability Benefit