Request for Proposals (RFP) - Northern Shenandoah Valley Regional

Request for Proposals (RFP)
Auditing Services – RFP# NSVRC2015-001
Northern Shenandoah Valley Regional Commission (NSVRC)
April 10, 2015
Purpose
The purpose of this RFP is to obtain the services of a public accounting firm whose
principal officers are independent certified public accountants, certified or licensed by a
regulatory authority of a state or other political subdivision of the United States. A Single
A-133 financial compliance audit is required and must be conducted in accordance with
generally accepted auditing standards in the United States; the standards applicable to
financial audits contained in Government Auditing Standards, issued by the Comptroller
General of the United States. This Request for Proposal (RFP) is to contract for a
financial and performance audit for the fiscal year ending June 30, 2015. This proposal
includes options for two additional years. Beginning with the 2016 fiscal year (As of July
1, 2015) the Commission will require financial compliance audits conforming to the
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards adhering to the new Super Circular.
Description of Entity and Records to be Audited
The Northern Shenandoah Valley Regional Commission was established as a state
planning district and a governmental subdivision of the Commonwealth of Virginia as
authorized by the Virginia Area Development Act (Title 15.1, Chapter 34, Sections15.11400, et seq., Code of Virginia (1950) as amended.) on May 10, 1970. The purpose of
the Commission is to promote the orderly and efficient development of the physical,
social, and economic elements of the Planning District by planning, encouraging and
assisting governmental subdivisions to plan for the future. The NSVRC currently serves
five (5) counties, seven (7) towns, and one (1) city in the Shenandoah Valley.
Administrative offices and all records are located at 400 Kendrick Lane, Suite E, Front
Royal, Virginia 22630.
The NSVRC is governed by an appointed Board and is staffed with ten full-time
employees. The Commission provides a cost sharing multiple employer retirement plan
to all of its employees through the Virginia Retirement System.
The NSVRC receives funding annually from a variety of sources including local member
contributions assessed on a per capita rate, state funding through the Commonwealth’s
annual budgetary process and grants and service agreements for provision of technical
assistance to meet local, state and federal priorities and mandates. Programs vary each
fiscal year although funding from local, state and federal sources average 30%, 35%
and 34% respectively with an additional 1% provided by private funding. Core programs
consistently include transportation, community development, hazard mitigation and
natural resources.
April 10, 2015 Auditing Services RFP
The NSVRC operates on the accrual basis of accounting and utilizes a cost allocation
plan to calculate and assess a fluctuating indirect rate to program direct charged
salaries. The financial management system used by the Commission is GMS (Grants
Management System). The NSVRC also maintains separate financial documentation of
an Enterprise Fund using Quickbooks software.
The most recent annual audit reports may be reviewed on the Commission website at
www.NSVregion.org. Budgeted annual revenues in the fiscal year ending June 30,
2015 are $2,365,900.
Delivery Schedule
The Northern Shenandoah Valley Regional Commission’s records will be audited
through June 30, 2015. Staff will make all records available to the successful Proposer
by August 7, 2015.
The Proposer will transmit one electronic copy of the draft audit reports to the Northern
Shenandoah Valley Regional Commission’s Executive Director and Director of
Finance & Administration by September 14, 2015. The final draft audit report is due no
later than October 5, 2015. The final draft audit reports will be presented to the
Northern Shenandoah Valley Regional Commission’s Board on October 15, 2015 for
approval.
RFP Requirements
To be considered for selection, Proposers must submit a complete response to the
Request for Proposals. Failure to submit all information requested may result in the
rejection of the incomplete Proposal. NSVRC staff will review the RFP submittals, and
the most qualified firms will be invited for telephone or in-person interviews.
An electronic (PDF) copy of the RFP shall be submitted with a subject line: “NSVRC
Auditing Services Proposal” by 4:00 p.m., June 15, 2015 to sowens@nsvregion.org.
Proposals may be mailed to: NSVRC, Attention: Shelley Owens, 400 Kendrick Lane,
Suite E, Front Royal, VA. 22630.
It is the sole responsibility of the Proposer to ensure their Proposal reaches the
designated location by the designated date and hour. No Proposals received after the
prescribed date and hour will be considered. All costs incurred in the preparation of a
proposal responding to this RFP will be the responsibility of the Proposer and will not be
reimbursed by the NSVRC.
RFPs should be as thorough and detailed as possible to allow for a proper evaluation of
capabilities of each proposing accounting firm. Proposals at a minimum, shall include the
following items:
1. Auditing Experience
The Proposer should describe prior auditing experience including the names, eaddresses, contact persons, and telephone numbers of at least three (3) prior
organizations audited. Experience should include the following categories:
April 10, 2015 Auditing Services RFP
a. Prior experience auditing Planning District Commissions
b. Prior experience auditing programs funded by the Commonwealth of Virginia
c. Prior experience auditing programs financed by the Federal Government
d. Prior experience auditing similar county or local government activities
e. Demonstrated ability in completing audits accurately and promptly
2. Organization, Size, and Structure
The Proposer should describe their organization, its size and structure. Indicate if
appropriate, if the firm is a small or minority-owned business. Proposer should include
a copy of their most recent Peer Review, if the Proposer has had a Peer Review.
Proposer should provide qualifications of the audit team members.
3. Understanding of Work to be Performed and Cost
The proposal should describe an understanding of work to be performed, including audit
procedures, estimated hours, and other pertinent information. An estimated cost of one
fiscal year’s entire audit cost must be included.
Contract Period and Renewal Options
If a contract is awarded, it shall be for the FY2015 audit beginning on August 7, 2015
and ending on October 15, 2015. At the discretion of the Northern Shenandoah Valley
Regional Commission, this audit contract may be extended for two additional one-year
periods. The cost for the optional periods will be agreed upon by the Northern
Shenandoah Valley Regional Commission and the successful Proposer.
The Commission may, at its sole discretion, and with at least (10) ten business days in
advance of the end date of a contract, extend, in writing, the term of the existing contract
to allow completion of any work undertaken but not completed; extension decisions will
be based on a written report from the auditing firm with express details of the causes of
the anticipated delay and commitment to complete the work within a reasonable time
period.
Award of Contract:
Once the Proposals have been identified, NSVRC intends to engage in individual
discussions and interviews with a limited number of Proposers deemed fully qualified,
responsible and suitable on the basis of initial responses, and with professional
competence to provide the necessary services. Repetitive informal interviews are
permitted. Proprietary information from competing proposers (including any data on
estimated man-hours or rates and the plan for accomplishing the scope of work) will not
be disclosed to the public or to competitors provided such information is duly marked as
"Proprietary Information" by the Proposer and the designation is justified as required by
April 10, 2015 Auditing Services RFP
§2.2-4342, Code of Virginia, as revised.
At the conclusion of the informal interviews, on the basis of evaluation factors derived
during the selection process, the Commission will select the Proposer from those
interviewed based on whose professional qualifications and proposed services are
deemed the most meritorious.
The NSVRC reserves the right to reject any and all Proposals, and to waive formalities.
Firms will not be compensated for time spent preparing responses to this RFP.
__________________________________________________________________________________
§ 2.2-4310. Discrimination prohibited; participation of small, women-, minority- and service
disabled veteran-owned business.
A. In the solicitation or awarding of contracts, no public body shall discriminate against a proposer or
offeror because of race, religion, color, sex, national origin, age, disability, status as a service disabled
veteran, or any other basis prohibited by state law relating to discrimination in employment. Whenever
solicitations are made, each public body shall include businesses selected from a list made available by
the Department of Minority Business Enterprise.
B. All public bodies shall establish programs consistent with this chapter to facilitate the participation of
small businesses and businesses owned by women, minorities, and service disabled veterans in
procurement transactions. The programs established shall be in writing and shall comply with the
provisions of any enhancement or remedial measures authorized by the Governor pursuant to
subsection C or, where applicable, by the chief executive of a local governing body pursuant to § 15.2965.1, and shall include specific plans to achieve any goals established therein. State agencies shall
submit annual progress reports on small, women- and minority-owned business procurement and on
service disabled veteran-owned business procurement to the Department of Minority Business
Enterprise in a form specified by the Department of Minority Business Enterprise. The Department of
Minority Business Enterprise shall make information on service disabled veteran-owned procurement
available to the Department of Veterans Services upon request.
C. Whenever there exists (i) a rational basis for small business enhancement or (ii) a persuasive
analysis that documents a statistically significant disparity between the availability and utilization of
women- and minority-owned businesses, the Governor is authorized and encouraged to require state
agencies to implement appropriate enhancement or remedial measures consistent with prevailing law.
D. In the solicitation or awarding of contracts, no state agency, department or institution shall
discriminate against a proposer or offeror because the proposer or offeror employs ex-offenders unless
the state agency, department or institution has made a written determination that employing exoffenders on the specific contract is not in its best interest.
E. As used in this section:
“Minority individual'' means an individual who is a citizen of the United States or a legal resident alien
and who satisfies one or more of the following definitions:
1. “African American'' means a person having origins in any of the original peoples of Africa and who is
regarded as such by the community of which this person claims to be a part.
April 10, 2015 Auditing Services RFP
2. “Asian American'' means a person having origins in any of the original peoples of the Far East,
Southeast Asia, the Indian subcontinent, or the Pacific Islands, including but not limited to Japan,
China, Vietnam, Samoa, Laos, Cambodia, Taiwan, Northern Mariana, the Philippines, a U.S. territory of
the Pacific, India, Pakistan, Bangladesh, or Sri Lanka and who is regarded as such by the community of
which this person claims to be a part.
3. “Hispanic American'' means a person having origins in any of the Spanish-speaking peoples of
Mexico, South or Central America, or the Caribbean Islands or other Spanish or Portuguese cultures
and who is regarded as such by the community of which this person claims to be a part.
4. “Native American'' means a person having origins in any of the original peoples of North America and
who is regarded as such by the community of which this person claims to be a part or who is
recognized by a tribal organization.
“Minority-owned business'' means a business concern that is at least 51% owned by one or more
minority individuals who are U.S. citizens or legal resident aliens, or in the case of a corporation,
partnership, or limited liability company or other entity, at least 51% of the equity ownership interest in
the corporation, partnership, or limited liability company or other entity is owned by one or more
minority individuals who are U.S. citizens or legal resident aliens, and both the management and daily
business operations are controlled by one or more minority individuals.
“Service disabled veteran'' means a veteran who (i) served on active duty in the United States military
ground, naval, or air service, (ii) was discharged or released under conditions other than dishonorable,
and (iii) has a service-connected disability rating fixed by the United States Department of Veterans
Affairs.
“Service disabled veteran business'' means a business concern that is at least 51% owned by one or
more service disabled veterans or, in the case of a corporation, partnership, or limited liability company
or other entity, at least 51% of the equity ownership interest in the corporation, partnership, or limited
liability company or other entity is owned by one or more individuals who are service disabled veterans
and both the management and daily business operations are controlled by one or more individuals who
are service disabled veterans.
“Small business'' means a business, independently owned or operated by one or more individuals who
are U.S. citizens or legal resident aliens, and together with affiliates, has 250 or fewer employees, or
average annual gross receipts of $10 million or less averaged over the previous three years. One or
more of the individual owners shall control both the management and daily business operations of the
small business.
“State agency'' means any authority, board, department, instrumentality, institution, agency, or other
unit of state government. “State agency'' shall not include any county, city, or town.
“Women-owned business'' means a business that is at least 51% owned by one or more women who
are U.S. citizens or legal resident aliens, or in the case of a corporation, partnership, or limited liability
company or other entity, at least 51% of the equity ownership interest is owned by one or more women
who are U.S. citizens or legal resident aliens, and both the management and daily business operations
are controlled by one or more women.
April 10, 2015 Auditing Services RFP
§ 2.2-4311. Employment discrimination by contractor prohibited; required contract provisions. -All public bodies shall include in every contract of more than $10,000 the following provisions:
1. During the performance of this contract, the contractor agrees as follows:
a. The contractor will not discriminate against any employee or applicant for employment because of
race, religion, color, sex, national origin, age, disability, or other basis prohibited by state law relating to
discrimination in employment, except where there is a bona fide occupational qualification reasonably
necessary to the normal operation of the contractor. The contractor agrees to post in conspicuous
places, available to employees and applicants for employment, notices setting forth the provisions of
this nondiscrimination clause.
b. The contractor, in all solicitations or advertisements for employees placed by or on behalf of the
contractor, will state that such contractor is an equal opportunity employer.
c. Notices, advertisements and solicitations placed in accordance with federal law, rule or regulation
shall be deemed sufficient for the purpose of meeting the requirements of this section.
2. The contractor will include the provisions of the foregoing paragraphs a, b and c in every subcontract
or purchase order of over $10,000, so that the provisions will be binding upon each subcontractor or
vendor.
§ 2.2-4311.1. Compliance with federal, state, and local laws and federal immigration law;
required contract provisions. -- All public bodies shall provide in every written contract that the
contractor does not, and shall not during the performance of the contract for goods and services in the
Commonwealth, knowingly employ an unauthorized alien as defined in the federal Immigration Reform
and Control Act of 1986.
§ 2.2-4312. Drug-free workplace to be maintained by contractor; required contract provisions. -All public bodies shall include in every contract over $10,000 the following provisions:
During the performance of this contract, the contractor agrees to (i) provide a drug-free workplace for
the contractor's employees; (ii) post in conspicuous places, available to employees and applicants for
employment, a statement notifying employees that the unlawful manufacture, sale, distribution,
dispensation, possession, or use of a controlled substance or marijuana is prohibited in the contractor's
workplace and specifying the actions that will be taken against employees for violations of such
prohibition; (iii) state in all solicitations or advertisements for employees placed by or on behalf of the
contractor that the contractor maintains a drug-free workplace; and (iv) include the provisions of the
foregoing clauses in every subcontract or purchase order of over $10,000, so that the provisions will be
binding upon each subcontractor or vendor.
For the purposes of this section, “drug-free workplace” means a site for the performance of work done
in connection with a specific contract awarded to a contractor in accordance with this chapter, the
employees of whom are prohibited from engaging in the unlawful manufacture, sale, distribution,
dispensation, possession or use of any controlled substance or marijuana during the performance of
the contract.
Issued by: Northern Shenandoah Valley Regional Commission
Ms. Martha Shickle, Executive Director
400 Kendrick Lane, Suite E, Front Royal, Virginia 22630
Telephone (540) 636-8800 Email: mshickle@NSVregion.org
April 10, 2015 Auditing Services RFP