RFP - Annual Audit Services

• Introduction
• RFP Information at a Glance
  
  1. The Agency's Reservation of Rights
  2. Scope of Work/Technical Specifications
     2.1 Special Conditions pertaining to this RFP
     2.2 Service Requirements
     2.3 Brief Agency Program Overview
     2.4 Completion Time Frame
     2.5 Audit Reports
     2.6 REAC
     2.7 Previous/Current Contractor(s)
  3. Proposal Format
     3.1 Proposal Documents to be Submitted
     3.2 Entry of Proposed Fees
     3.3 Additional Information Pertaining to each Pricing Item
     3.4 Submission Responsibilities
     3.5 Proposer's Responsibilities - Contact with the Agency
     3.6 Proposer's Responsibilities - Equal Employment Opportunity and Supplier Diversity
     3.7 Pre-proposal Conference
     3.8 Recap of Attachments
  4. Proposal Evaluation
     4.1 Evaluation Factors
     4.2 Evaluation Method
  5. Contract Award
     5.1 Contract Award Procedure
     5.2 Contract Conditions
     5.3 Contract Period
     5.4 Licensing and Insurance Requirements
     5.5 Right to Negotiate Fees
     5.6 Contract Services Standards
     5.7 Prompt Return of Contract Documents
• Index of Tables

1. As directed within Section 3.2.1 of the RFP document, enter proposed pricing, where provided for within the eProcurement Website web site.
2. As instructed within Section 3.0 of the RFP document, submit 3 copies of your "hard copy" proposal to the Agency Administrative Office.

1. The Agency's Reservation of Rights. The Agency reserves the right to:
   • Right to Reject, Waive, or Terminate the RFP. Reject any or all proposals, to waive any informality in the RFP process, or to terminate the RFP process at any time, if deemed by the Agency to be in its best interests.
   • Right to Not Award. Not to award a contract pursuant to this RFP.
   • Right to Terminate. Terminate a contract awarded pursuant to this RFP, at any time for its convenience upon 10 days written notice to the successful proposer(s).
   • Right to Determine Time and Location. Determine the days, hours, and locations that the successful proposer(s) shall provide the services called for in this RFP.
   • Right to Retain Proposals. Retain all proposals submitted and not permit withdrawal for a period of 60 days subsequent to the deadline for receiving proposals without the written consent of the Agency Contracting Officer (CO).
   • Right to Reject any Proposal. Reject and not consider any proposal that does not meet the requirements of this RFP, including but not necessarily limited to incomplete proposals and/or proposals offering alternate or non-requested services.
   • No Obligation to Compensate. Have no obligation to compensate any proposer for any costs incurred in responding to this RFP.
   • Right to Prohibit. At any time during the RFP or contract process to prohibit any further participation by a proposer or reject any proposal submitted that does not conform to any of the requirements detailed herein. By accessing the eProcurement Website (hereinafter, the "eProcurement Website" or "Website") and by downloading this document, each prospective proposer is thereby agreeing to abide by all terms and conditions listed within this document and within the eProcurement Website, and further agrees that he/she will inform the CO in writing within 5 days of the discovery of any item listed herein or of any item that is issued thereafter by the Agency that he/she feels needs to be addressed. Failure to abide by this timeframe shall relieve the Agency, but not the prospective proposer, of any responsibility pertaining to such an issue.
   • Right to Reject - Obtaining Competitive Solicitation Documents. The eProcurement Website is the only official and appropriate venue to obtain the competitive solicitation documents (and any other information pertaining to the competitive solicitation such as addenda). Accordingly, by submitting a response to this competitive solicitation the respondent thereby affirms that he/she obtained all information on the eProcurement Website. Any other group such as a bid depository that informs potential respondents of the availability of such competitive solicitations are hereby instructed to not distribute these documents to any such potential respondents, but to instruct the potential respondents to visit the eProcurement Website to obtain the documents. The Agency will reject without consideration any response submitted from a firm that has not obtained the documents from the eProcurement Website.
2. Scope of Work/Technical Specifications. The Agency is seeking proposals from qualified, licensed, and insured entities to provide the following detailed services:
   • Special Conditions pertaining to this RFP. Simultaneous to this RFP our Agency is conducting RFP No. P23001, Fee Accounting Services. Obviously, our Agency will NOT award both contracts to the same firm for these Annual Audit Services and for the Fee Accounting Services. However, our Agency encourages firms to respond to both RFP's so that our Agency can consider both offers.
     • Though we will not take such into consideration as a part of our evaluation when points are awarded pertaining to that evaluation (please see the following Section 4.1, Table No. 6, on Page 19 herein where in such a preference is not identified), a proposer may, if he/she wishes, indicate within their proposal submittal as to which award the firm would prefer to receive; in any case, the Agency will allow a firm to withdraw his/her offer without penalty if our Agency chooses to not award to a firm to the preference stated.
   • Service Requirements. The successful proposer will provide the following detailed services in accordance with the set schedules detailed following. The successful proposer will: (NOTE: The dates immediately following pertain to the first FYE2023; as detailed herein, those dates may change for the ensuing FYE2024 through FYE2027 audits.)
     • For the audit, the auditor will express an opinion on whether the Agency's June 30, 2023, financial statements and balances presented for comparative purposes are presented fairly, in all material respects, in conformity with Generally Accepted Accounting Principles (GAAP). Perform attestation procedures related to the electronic submission of audited financial statements to HUD.
     • The audit must be performed in accordance with Generally Accepted Auditing Standards (GAAS), Generally Accepted Government Auditing Standards (GAGAS); the Single Audit Act of 1984; P.L. 98-502; the Single Audit Act Amendments of 1996; P.L. 104-156; applicable OMB Circular A-133 compliance supplements; and the McKinney Homeless Assistance Act (see HUD Directive 583.235 and 583.305). The audit must be performed in accordance with Auditing Standards Generally Accepted in the United States of America, the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the Single Audit Act as amended, and the U.S. Office of Management and Budget Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations."
     • Within the attestation, the firm will opine upon whether the electronic data submitted is the same as the information issued in the audited hard copy financial statements.
     • The audit is to include sufficient procedures to establish whether, in all material respects, the amounts presented for September 30, 2022, are fairly presented. The auditor will not rely upon the work of any predecessor auditor for the September 30, 2023, financial statement balances.
     • The attestation procedures must be performed in accordance with attestation standards established by the American Institute of Certified Public Accountants and the U.S Department of Housing and Urban Development's Guidelines on Reporting and Attestation Requirements of Uniform Financial Reporting Standards (UFRS), dated May 2001.
     • It is the goal of the Agency that the chosen auditor will verify that the Agency's operations are in compliance with all applicable laws and governmental regulations; that financial procedures are being utilized and reports are in compliance with established policies, generally accepted accounting principles and other applicable rules and regulations.
     • For the audit, the successful proposer will be required to prepare all reports required by GAAS, the Single Audit Act as amended, as well as any and all reports required by federal, state, or local laws and regulations. For the attestation, the successful proposer will be required to report electronically to REAC in accordance with the Uniform Financial Reporting Standards regulations, 24 CFR Part 5, at least fifteen (15) calendar days, or earlier, prior to HUD submission due date to prevent being "late presumptively failed." Tasks related to electronic submission will be completed when submissions acceptable to HUD REAC have been delivered.
     • The Contractor will promptly notify the Agency Chief Executive Director in writing should its auditors discover fraud, defalcations, or similar irregularities involving federal funds. The operations of the Agency involving federal funds and its related entities include, but are not limited to, the programs identified within the immediate-following section.
   • Brief Program Overview. The Agency was last audited for the fiscal-year end September 30, 2021. The programs the Agency will require the successful proposer to audit for the fiscal years ending FYE2023, FYE2024, FYE2025, FYE2026, and FYE 2027, including the following Agency program and items:
     • Capital Fund Program grants (CFP) for the four fund years that may be active during the audited fiscal year(s);
   • Completion Time Frame (FYE2023). The FYE June 30, 2023 audit must be performed and the report submitted by March 1, 2024; including:
     • Fieldwork must be completed by March 31, 2024;
     • Draft report must be submitted to the Agency for review by April 30, 2024;
     • The Agency will endeavor to complete the draft review by May 15, 2024.
     • As long as the Agency meets the date detailed within 2.3.3, the Final report must be prepared for submission by June 1, 2024. (NOTE: This date may, by prior approval of the Agency, be extended by any amount of additional time that the Agency may take to complete the task detailed within the preceding Section 2.3.3 herein.)
     • Similar deadlines will be established for the work pertaining to ensuing FYE2024 ("similar," meaning the days will be the same, but the years will be adjusted accordingly) and for the ensuing work.
   • Audit Reports. No later than 7 days after completion, the successful proposer will be required to submit a total of 10 hard copies of the Single Audit Report and an electronic copy of the report to the Agency.
   • REAC. The successful proposer shall perform the agreed-upon procedures related to the FDS submission process to REAC, and must have obtained the required REAC user access and "M" Number to successfully submit the REAC data no later than 10 days after completion of the audit.
   • Previous/Current Contractor(s). The Agency's current contractor for these services is Gregory T. Redman, CPA of Tarboro, NC.

3. ---

   Proposal Format.
   • Tabbed Proposal Submittal. The Agency intends to retain the Contractor pursuant to a "Best Value" basis, not a "Low Bid" basis ("Best Value," in that the Agency will, as detailed within the following Section 4.0 herein, consider factors other than just cost in making the award decision). Therefore, so that the Agency can properly evaluate the offers received, all proposals submitted in response to this RFP must be formatted in accordance with the sequence noted within the table below. Each category must be separated by numbered index dividers (which number extends so that each tab can be located without opening the proposal) and labeled with the corresponding tab reference also noted below. None of the proposed services may conflict with any requirement the Agency has published herein or has issued by addendum.
   • [Table No. 3]
     • Form of Proposal. This Form is attached hereto as Attachment A to this RFP document. This 1-page Form must be fully completed, executed where provided thereon and submitted under this tab as a part of the proposal submittal.
     • Form HUD-5369-C (8/93), Certifications and Representations of Offerors, Non-Construction Contract. This Form is attached hereto as Attachment B to this RFP document. This 2-page Form must be fully completed, executed where provided thereon and submitted under this tab as a part of the proposal submittal.
     • Profile of Firm Form. The Profile of Firm Form is attached hereto as Attachment C to this RFP document. This 2-page Form must be fully completed, executed and submitted under this tab as a part of the proposal submittal.
     • Proposed Services. As more fully detailed within Section 2.0, Scope of Proposal/Technical Specifications, of this document, the proposer shall, at a minimum, clearly detail within the information submitted under this tab documentation showing:
     • As detailed within Section 4.1, Evaluation Factor No. 2, herein, the proposer's Demonstrated Technical Capabilities and Approach to performing the services outlined in Section 2.0, Scope of Work/Technical Specifications, including the availability of staff with professional qualifications and technical abilities based on the Agency review of the detailed professional resumes for persons identified within areas (5) and (6) of Attachment C, Profile of Firm Form and any other staff that will be performing services as the result of award of this RFP.
     • As detailed within Section 4.1, Evaluation Factor No. 3, herein, the Results of the proposer's Peer Review and the External Quality Reviews that the proposer may submit (NOTE: The Agency will place emphasis on the submitted Reviews associated with HUD-related work).
     • As detailed within Section 4.1, Evaluation Factor No. 4, the proposer's Demonstrated Relevant Experience in performing the same or similar services, including (and very importantly) the proposer's experience with low-income housing.
     • If appropriate, how staff are retained, screened, trained and monitored
     • The proposed quality assurance program.
     • An explanation and copies of forms that will be used and reports that will be submitted and the method of submission of such reports (i.e., written, fax, Internet, etc.).
     • A complete description of the products and services the firm provides.
     • Proposed Engagement Letter. The proposer may submit hereunder a copy of his/her proposed Engagement Letter. NOTE: Be aware that the Agency will not execute an Engagement Letter in lieu of executing the Sample Contract attached hereto at Attachment G (this Sample Contract IS the contract form that the Agency and the successful proposer will eventually execute); however, the Agency does recognize that the Engagement Letter can/may contain important contract performance information that can/may be in the best interests of the Agency to include as a part of the contract. Accordingly, the Agency reserves the right to include such Engagement Letter as an appendix to the contract after potential Agency-required revisions to the proposed Engagement Letter have been completed, especially revisions to clauses that may conflict with the Agency Sample Contract form.
     • Managerial Capacity/Financial Viability/Staffing Plan. The proposer entity must submit under this tab a concise description of its managerial and financial capacity to deliver the proposed services, including brief professional resumes for the persons identified within areas (5) and (6) of Attachment C, Profile of Firm Form. Such information shall include the proposer's qualifications to provide the services; a description of the background and current organization of the firm (including a current organizational chart).  
     • Client Information. The proposer shall submit a listing of former or current clients, including Public Housing Agency, for whom the proposer has performed similar or like services to those being proposed herein. The listing shall, at a minimum, include:
     • The client's name;
     • The client's contact name;
     • The client's telephone number and e-mail address;
     • A brief narrative description and scope of the service(s) and the dates the services were/are provided.
     • Equal Employment Opportunity/Supplier Diversity. The proposer must submit under this tab a copy of its Equal Opportunity Employment Policy and a complete description of the positive steps it will take to ensure compliance, to the greatest extent feasible, with the regulations detailed within the following Section 3.6 herein pertaining to supplier diversity (i.e., small, minority-, and women-owned businesses).
     • Subcontractor/Joint Venture Information (Optional Item). The proposer shall identify hereunder whether or not he/she intends to use any subcontractors for this job, if awarded, and/or if the proposal is a joint venture with another firm. Please remember that all information required from the proposer under the proceeding tabs must also be included for any major subcontractors (10% or more) or from any joint venture.
     • Other Information (Optional Item). The proposer may include hereunder any other general information that the proposer believes is appropriate to assist the Agency in its evaluation.
     • Optional Tabs. If no information is to be placed under any of the above noted tabs (especially the "Optional" tabs), please place there under a statement such as "No Information Is Being Placed Under This Tab" Or "This Tab Left Intentionally Blank." Do Not eliminate any of the tabs.
     • Proposal Submittal Binding Method. It is preferable and recommended that the proposer bind the proposal submittals in such a manner that the Agency can, if needed, remove the binding (i.e. "spiral-type" etc.) or remove the pages from the cover (i.e. 3-ring binder; etc.) to make copies, then conveniently return the proposal submittal to its original condition.
   • Entry of Proposed Fees.
     • The proposed fees shall be submitted by the proposer and received by the Agency, where provided for on the eProcurement Website only.  Do not submit, enter, or refer to any fees or costs within the 9-tab "hard copy" proposal submittal detailed within Section 3.0-any proposer that does so may, at the Agency's discretion, be rejected without further consideration. Further, there is not a charge by the Website to the proposers for entering any of these costs on-line. 
     • Unless otherwise stated, the proposed fees are all-inclusive of all related costs that the successful proposer will incur to provide the eProcurement Website, including, but not limited to: employee wages and benefits; clerical support; overhead; profit; licensing; insurance; materials; supplies; tools; equipment; long distance telephone calls; travel; and document copying not specifically agreed to by the Agency; etc.
   • [Table No. 4]
     • Qty - Unit of Measure - Description
     • 1 - Each - Firm-fixed Fee for 1st Contract Year: Annual Audit for FYE2023
     • 1 - Each - Firm-fixed Fee for 2nd Contract Year: Annual Audit for FYE2024
     • 1 - Each - Firm-fixed Fee for 3rd Contract Year: Annual Audit for FYE2025
     • 1 - Each - Firm-fixed Fee for 4th Contract Year: Annual Audit for FYE2026
     • 1 - Each - Firm-fixed Fee for 5th Contract Year: Annual Audit for FYE2027
     • 40 - Hours - Potential Additional Consulting (for, at the Agency's discretion, additional related work not already identified herein, the Agency may require that during the ensuing contract periods)
     • Lump-sum Cost Breakdown. The Agency may, and probably will, require the Contractor to, after contract execution, breakdown each of the Firm-fixed Annual Audit Fees into a proportional fee for each of the Agency's programs detailed within the preceding Section 2.1 herein. This breakdown shall be based on the Contractor's actual level of effort and expense for each such program and a detailed list of such shall be submitted to the Agency by the Contractor when directed by the Agency justifying the Contractor's figures.
   • Additional Information Pertaining to the above Pricing Items.
     • Quantities. All quantities entered by the Agency herein and within the corresponding Pricing Items within the eProcurement Website are for calculating purposes only. As may be further detailed herein, the Agency does not guarantee any minimum or maximum amount of work as a result of any award ensuing from this RFP, as the ensuing contract will be a Requirements Contract, in that the Agency shall retain one contractor only and shall retain the right to order from that contractor (successful proposer), on a task order basis, any quantity of services the Agency requires.
     • Important Notice!!! Entry of Proposed Costs. Proposers must submit, where provided within the eProcurement Website, a cost for each and every Pricing Item detailed within the preceding Table No. 4 herein. The eProcurement Website will automatically perform all required calculations.
       • Realistic Cost Proposed for each Pricing Item. Each proposer is strongly encouraged to enter where provided within the eProcurement Website a realistic cost for each Pricing Item, especially the hourly fees required. For example, if the successful proposer enters $1.00 for Pricing Item No. 4 (proposers typically do so in an effort to improve their position in regards to Evaluation Factor No. 1, as detailed within the following Table No. 6 herein), then the $1.00 is what the successful proposer will charge the Agency for any work that the Agency may retain the successful proposer to provide related to that Pricing Item if the Agency deems such retention is in the Agency's best interests to do so. Accordingly, it is the Agency's opinion that it is very much in the best interests of the proposer to propose a realistic for each and every Pricing Item. If, despite this warning, the successful proposer proposes a fee that the Agency deems is not realistic, then the Agency reserves the right to require the successful proposer to, at contract execution, present a cash bond in a suitable amount (i.e., $3,000.00, which the Agency will hold during the term of the ensuing contract period) to ensure that the successful proposer will fulfill his/her obligation in this matter.
       • Review the Entry of Proposed Fees. After a proposer has entered where provided within the eProcurement Website his/her proposed unit costs for the Pricing Items, the Website will automatically multiply the proposed unit costs by the listed quantities. The Agency strongly recommends that each proposer, after entry of these proposed fees within the eProcurement Website, print the receipt provided and review the entry to ensure that the proposer has entered the proposed fees correctly (the Website will allow the proposer to immediately re-enter the Website at any time prior to the posted deadline to correct any such entry). The proposer will NOT be able to correct this entry after the posted deadline has expired, which means that the Agency will utilize such entry, correct or incorrect, to assign the points pertaining to Evaluation Factor No. 1 detailed within the following Table No. 6 herein.
       • No Negotiation of Costs Proposed. The Agency will not, after the submittal deadline, negotiate an increase to any unit costs or fees proposed prior to the submittal deadline; accordingly, proposers are strongly cautioned to submit a realistic price for each Pricing Item identified within the preceding Table No. 4 herein.
       • Price Escalation. Pertaining to the ensuing contract, there shall be no escalation of any of the proposed unit costs allowed at any time during the awarded contract periods, except as already allowed by the proposer within the preceding Table No. 4 herein in that a proposer is allowed to if he/she wishes, submit an escalating cost in response to Pricing Items No. 1-5. No escalation will be allowed for Pricing Item No. 6, the hourly fee for potential additional work that the Agency may order.
       • On-going Services (Pricing Items No. 1 through No. 5). The services that the Contractor will be required to provide pertaining to these Pricing Items are most specifically identified within Section 2.0 herein; meaning the costs proposed for those Pricing Items shall reflect the total compensation the Contractor shall be paid to provide those services.
       • Consultant or Additional Services that may be required by the Agency (Pricing Item No. 6). Basically, if the Agency requires any additional services, the hourly fee proposed will, during the ensuing contract period(s), become the basis of negotiation for any such additional work that the Agency may require that is not already being provided by the firm-fixed monthly fees proposed for Pricing Items No. 1 through No. 5.
       • Assumption. It shall be the Agency's assumption that the successful proposer has based his/her proposed pricing for Pricing Items No. 1-5 upon the proposed fees submitted by the proposer for Pricing Item No. 6 (and by submitting a proposal in response to this RFP, the successful proposer automatically agrees that such is accurate). Accordingly, the Agency may use such an assumption, if necessary, to do any lump-sum proposal breakdown calculations during the term of the ensuing contract.
       • Prior Agency Approval Required. Please note that the successful proposer shall NOT conduct any work without the prior written authorization of the Agency representative (this "prior written authorization" may take the form of an email sent to the successful proposer by the Agency and acknowledged by return email by the successful proposer). Failure to abide by this directive shall release the Agency of any obligation to pay the successful proposer for any work conducted without the noted prior written authorization.
     • Overtime. Pursuant to the Contract Work Hours and Safety Standards Act, overtime shall not be less than time and one-half for hours worked in excess of 40 hours per week. The Agency shall consider the regular time to be Monday-Thursday (excluding holidays), 7:00 AM CT - 5:00 PM CT. Accordingly, the Agency will pay a rate of 1.5 of the listed hourly rates for Pricing Items No. 4 for any work the Agency requires the successful proposer to perform specifically during non-regular-time hours (the Agency shall NOT be responsible for paying the successful proposer for any work that the successful proposer CHOOSES to work during non-regular-time hours, only such hours that the Agency gives prior approval for).
       • The Agency shall NOT be responsible for paying the successful proposer for any work that the successful proposer chooses to work during non-regular-time hours; meaning, if the necessity for the work "after hours" is due to, for example, the Contractor's lack of staffing or due to other work that the Contractor may have with other clients, the Agency expects that such work will be provided during normal work hours.
     • No Deposit/No Retainer. The Agency will NOT pay any deposit or retainer fees as a result of an award of the ensuing contract. This means that the Agency will pay the successful proposer(s) for the firm-fixed fee(s) or, in the case of the potential additional consulting hourly fee, actual hours worked only. The Contractor will be required to submit a full backup detail of all hours worked, listed by no less than the "15-minute" standard.
     • Prior Agency Approval Required. Please note that the successful proposer shall NOT conduct any work without the prior written authorization of the Agency representative. Failure to abide by this directive shall release the Agency of any obligation to pay the successful proposer for any work conducted without the noted prior written authorization.
   • Proposal Submission. All pricing must be entered where provided within the eProcurement Website, and all "hard-copy" proposals must be submitted and time-stamped and received in the designated Agency office by no later than the submittal deadline stated herein (or within any ensuing addendum). A total of 1 original signature copy (marked "original") and 2 exact copies (each of the 3 separate proposal submittals shall have a cover and extending tabs) of the "hard copy" proposal submittal shall be placed unfolded in a sealed package and addressed to:
   • Roanoke Chowan Regional Housing Authority
   • Attention: Theodora Campbell, Chief Operating Officer
   • 205 Tinsley Way, Gaston, NC 27832
     • Labeling of the Sealed Proposal Submission Package. The package exterior must clearly denote the above-noted RFP number and must have the proposer's name and return address.
     • Submission Conditions. Do not fold or make any additional marks, notations, or requirements on the documents to be submitted! Proposers are not allowed to change any requirements or forms contained herein, either by making or entering onto these documents or the documents submitted any revisions or additions; and if any such additional marks, notations or requirements are entered on any of the documents that are submitted to the Agency by the proposer, such may invalidate that proposal. If, after accepting such a proposal, the Agency decides that any such entry has not changed the intent of the proposal that the Agency intended to receive, the Agency may accept the proposal and the proposal shall be considered by the Agency as if those additional marks, notations, or requirements were not entered on such. By accessing the eProcurement Website, registering, and downloading these documents, each prospective proposer that does so is thereby agreeing to confirm all notices that the Agency delivers to him/her as instructed, and by submitting a proposal, the proposer is thereby agreeing to abide by all terms and conditions published herein and by addendum pertaining to this RFP.
     • Submission Responsibilities. It shall be the responsibility of each proposer to be aware of and to abide by all dates, times, conditions, requirements, and specifications set forth within all applicable documents issued by the Agency, including the RFP document, the documents listed within the following Section 3.8, and any addenda and required attachments submitted by the proposer. By virtue of completing, signing, and submitting the completed documents, the proposer is stating his/her agreement to comply with all conditions and requirements set forth within those documents. Written notice from the proposer not authorized in writing by the CO to exclude any of the Agency requirements contained within the documents may cause that proposer to not be considered for award.
   • Proposer's Responsibilities - Contact with the Agency. It is the responsibility of the proposer to address all communication and correspondence pertaining to this RFP process to the CO only. Proposers must not make an inquiry or communicate with any other Agency staff member or official (including members of the Board of Commissioners) pertaining to this RFP. Failure to abide by this requirement may be cause for the Agency to not consider a proposal submittal received from any proposer who may not have abided by this directive.
     • Addenda. All questions and requests for information must be addressed in writing to the CO. The CO will respond to all such inquiries in writing by addendum to all prospective proposers (i.e. firms or individuals that have obtained the RFP Documents). During the RFP solicitation process, the CO will NOT conduct any ex parte (a substantive conversation-"substantive" meaning, when decisions pertaining to the RFP are made between the Agency and a prospective proposer when other prospective proposers are not present) conversations that may give one prospective proposer an advantage over other prospective proposers. This does not mean that prospective proposers may not call the CO-it simply means that, other than making replies to direct the prospective proposer where his/her answer has already been issued within the solicitation documents, the CO may not respond to the prospective proposer's inquiries but will direct him/her to submit such inquiry in writing so that the CO may more fairly respond to all prospective proposers in writing by addendum.
   • Proposer's Responsibilities - Equal Employment Opportunity and Supplier Diversity. Both the Contractor and the Agency have, pursuant to HUD regulation, certain responsibilities pertaining to the hiring and retention of personnel and subcontractors.
     • Within 2 CFR §200.321 it states:
       • Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms.
       • (a) The non-federal entity must take all necessary affirmative steps to assure that minority businesses, women's business enterprises, and labor surplus area firms are used when possible.
       • (2) Affirmative steps must include:
         • (1) Placing qualified small and minority businesses and women's business enterprises on solicitation lists;
         • (2) Assuring that small and minority businesses and women's business enterprises are solicited whenever they are potential sources;
         • (3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business and women's business enterprises;
         • (4) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women's business enterprises;
         • (5) Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and
         • (6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in paragraphs (1) through (5) of this section.
     • Within HUD Procurement Handbook 7460.8 REV 2 it states:
       • Section 15.5.A, Required Efforts. Consistent with Presidential Orders 11625, 12138, and 12432, the [Agency] shall make every effort to ensure that small businesses, MBEs, WBEs, and labor surplus area businesses participate in [Agency] contracting.
       • Section 15.5.B, Goals. [The Agency] is encouraged to establish goals by which they can measure the effectiveness of their efforts in implementing programs in support of . . . contracting with disadvantaged firms. It is important to ensure that the means used to establish these goals do not have the effect of limiting competition and should not be used as mandatory set-aside or quota, except as may otherwise be expressly authorized in regulation or statute. Some localities have adopted minority contracting set-aside policies or geographic limitations, which may be in conflict with Federal requirements for full and open competition.
     • Within our Agency Procurement Policy it states that our Agency will:
       • Assistance to Small and Other Business, Required Efforts:
         • Including such firms, when qualified, on solicitation mailing lists;
         • Encouraging their participation through direct solicitation of proposals or proposals whenever they are potential sources;
         • Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by such firms;
         • Establishing delivery schedules, where the requirement permits, which encourage participation by such firms;
         • Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and,
         • Requiring prime contractors, when subcontracting is anticipated, to take the positive steps listed above.
     • Requirements. Accordingly, please see Section 3.1.7 within Table No. 4 herein, which details the information pertaining to this issue that the proposer must submit in response to this proposal showing compliance, to the greatest extent feasible, with these regulations.
   • Pre-proposal Conference. There is not a pre-proposal conference scheduled in conjunction with this RFP.
   • Recap of Attachments. It is the responsibility of each proposer to verify that he/she has downloaded the following attachments pertaining to this RFP, which are hereby, by reference, included as a part of this RFP:
   • [Table No. 5]
   • This RFP Document
     • A - Form of Proposal
     • B - form HUD-5369-C (8/93), Certifications and Representations of Offerors, Non-Construction Contract
     • C - Profile of Firm Form
     • D - Section 3 Explanation
     • E - form HUD-5369-B (8/93), Instructions to Offerors, Non-Construction
     • F - Supplemental Instructions To Proposers & Contractors (SIPC)
     • G - Sample Contract Form (please note that this contract and the listed appendices are being given as a sample only Agency reserves the right to revise any clause herein and/or to include within the ensuing contract any additional clauses that the Agency feels it is in its best interests to do so)
     • G-1 - Sample Contract Appendix No. 1: form HUD-5370-C (01/2014), General Conditions for  Non-Construction Contracts Section I (With or without Maintenance Work)
     • G-2 - Sample Contract Appendix No. 2: form HUD 50071 (01/14), Certification of Payments to Influence Federal Transactions (NOTE: This form will only be completed and included as a part of the ensuing contract if the Agency anticipates that total awards pursuant to the ensuing contract may or will exceed $100,000.)
     • G-3 - Sample Contract Appendix No. 3: Standard Form LLL (Rev. 01/14), Disclosure of Lobbying Activities (NOTE: This form will only be completed and included as a part of the ensuing contract if the Contractor designates an affirmative answer to Item No. (2) within the immediate identified form 50071.)
     • G-4 - Sample Contract Appendix No. 4: North Carolina E-Verify Affidavit
     • H - Agency Profile of Properties
     • I - Latest Audit Report for fiscal year end June 30, 2023 (pertaining to the Roanoke Chowan Regional Housing Authority)
     • I-1 - Latest Audit Report for fiscal year end September 30, 2022 (pertaining to the Roanoke Chowan Regional Housing)

4. ---

   Proposal Evaluation.
   • Objective/Subjective Evaluation Factors. The following factors will be utilized by the Agency to evaluate each proposal submittal received; the award of points for each listed factor will be based upon the documentation that the proposer submits within his/her proposal submittal and online (specifically, the pricing submitted online): [Table No. 6] 
     • 30 points - Objective - the proposed costs submitted by the proposer. 3.2
     • 20 points - Subjective - (Technical) The proposer's demonstrated technical capabilities and approach to performing the services outlined in Section 2.0, Scope of Work/Technical Specifications, including the availability of staff with professional qualifications and technical abilities based on the Agency review of the detailed professional resumes for persons identified within areas (5) and (6) of Attachment C, Profile of Firm Form, and any other staff that will be performing services as a result of award of this RFP. 3.1.4.1
     • 10 points - Subjective - (Technical) The Results of the proposer's peer-review and external quality reviews that the proposer may submit (NOTE: The Agency will place particular emphasis on such submitted Reviews that are associated with HUD-related work). 3.1.4.2
     • 30 points - Subjective - (Technical) The proposer's demonstrated qualifications, relevant experience, and successful past performance in performing the same or similar services, including (and very importantly) the proposer's experience with low-income housing tax credit developments). 3.1.4.3
     • 10 points - Subjective - (Technical) The overall quality, organization, and professional appearance of the proposal submitted, based upon the opinion of the evaluators. 3.1 Table No. 3
     • 100 points - Total Points (other than preference points)
     • *NOTE:  Points will be awarded for each Subjective Factor by each of the appointed evaluation committee members based on his/her opinion after a thorough review of the information submitted by each proposer within his/her proposal.
   • Evaluation Method.
     • Initial Evaluation for Responsiveness. Each proposal received will first be evaluated for responsiveness (i.e. meets the minimum of the requirements).
     • Evaluation Packet. An evaluation packet will be prepared for each evaluator, including the following documents:
       • Instructions to Evaluators;
       • Proposal Tabulation Form;
       • Written Narrative Form for each proposer;
       • Recap of each proposer's responsiveness;
       • Copy of all pertinent RFP documents.
     • Evaluation Committee. The Agency anticipates that it will select a minimum of a three-person committee to evaluate each of the responsive "hard copy" proposals submitted in response to this RFP. PLEASE NOTE: No proposer shall be informed at any time during or after the RFP process as to the identity of any evaluation committee member. If, by chance, a proposer does become aware of the identity of such person(s), he/she SHALL NOT make any attempt to contact or discuss with such person anything related to this RFP. As detailed within Section 3.5 of this document, the designated CO is the only person at the Agency that the proposers shall contact pertaining to this RFP. Failure to abide by this requirement may (and most likely will) cause such proposer(s) to be eliminated from consideration for award.
     • Evaluation. The CO will evaluate and award points pertaining to Evaluation Factors No. 1 and 7 (the "Objective" Factors). The appointed evaluation committee, independent of the CO or any other person at the Agency, shall evaluate the responsive proposals submitted and award points pertaining to Evaluation Factors No. 2, 3, 4, 5, and 6 (the "Subjective" Factors). Upon final completion of the proposal evaluation process, the evaluation committee will forward the completed evaluations to the CO.
       • Points Awarded Range. Pertaining to the Subjective Factors, please note the following range of points awarded (points pertaining to this RFP are shaded-please also see the Evaluation Factors detailed within the preceding Section 4.1):
   • Points Awarded Range - [Table No. 7]
     • Classification* - Acceptable
       Rating - Excellent
       % - 95%/+
       10 - 10
       20 - 19-20
       30 - 29-30
       100** - 95-100
     • Classification* - Acceptable
       Rating - Very Good
       % - 90%/+
       10 - 9
       20 - 18
       30 - 27-28
       100** - 90-94
     • Classification* - Potentially Acceptable
       Rating - Good
       % - 80%/+
       10 - 8
       20 - 16-17
       30 - 24-26
       100** - 80-89
     • Classification* - Potentially Acceptable
       Rating - Average
       % - 70%/+
       10 - 7
       20 - 14-15
       30 - 21-23
       100** - 0-79
     • Classification* - Unacceptable
       Rating - Poor
       % - <70%
       10 - 0-6
       20 - 0-13
       30 - 0-20
       100** - 0-69
   • *Pursuant to Section 7.2.N.3 of HUD Procurement Handbook 7460.8 REV 2.
   • **Total available points to be awarded, including cost points, minus preference points.
     • Potential "Competitive Range" or "Best and Finals" Negotiations. The Agency reserves the right to, as detailed within Section 7.2.N through Section 7.2.R of HUD Procurement Handbook 7460.8 REV 2, conduct a "Best and Finals" Negotiation, which may include oral interviews with all firms deemed to be in the competitive range. Any firm deemed not to be in the competitive range shall be notified of such in writing by the Agency in as timely a manner as possible, but in any case within no longer than 10 days after the beginning of such negotiations with the firms deemed to be in the competitive range.
     • Determination of Top-ranked Proposer. Typically, the subjective points awarded by the evaluation committee will be combined with the objective points awarded by the CO to determine the final rankings, which are typically forwarded by the CO to the ED for approval. If the evaluation was performed to the satisfaction of the CEO, the final rankings may be forwarded to the Housing Authority Board of Commissioners (BOC) at a scheduled meeting for approval. Contract negotiations may, at the Agency's option, be conducted prior to or after the BOC approval.
       • Minimum Evaluation Results. To be considered to receive an award a proposer must receive a total calculated average of at least 70 points (of the 115 total possible points detailed within Section 4.1 herein).
       • Ties. In the case of a tie in points awarded, the award shall be decided as detailed within Section 6.12.C of HUD Procurement Handbook 7460.8 REV 2, by "drawing lots or other random means of selection."
     • Notice of Results of Evaluation. If an award is completed, all proposers will receive by e-mail a Notice of Results of Evaluation. Such notice shall inform all proposers of:
       • Which proposer received the award;
       • Where each proposer placed in the process as a result of the evaluation of the proposals received;
       • The cost or financial offers received from each proposer;
       • Each proposer's right to a debriefing and to protest.
     • Restrictions. All persons having familial (including in-laws) and/or employment relationships (past or current) with principals and/or employees of a proposer entity will be excluded from participation on the Agency evaluation committee. Similarly, all persons having ownership interest in and/or contract with a proposer entity will be excluded from participation on the Agency evaluation committee.

5. ---

   Contract Award.
   • Contract Award Procedure. If a contract is awarded pursuant to this RFP, the following detailed procedures will be followed:
     • By completing, executing, and submitting a proposal, the "proposer is thereby agreeing to abide by all terms and conditions pertaining to this RFP as issued by the Agency, either in hard copy or on the eProcurement Website," including the contract clauses already attached as Attachments G and G-1 through G-4, each attached hereto. Accordingly, the Agency has no responsibility to conduct after the submittal deadline any negotiations pertaining to the contract clauses already published.
   • Contract Conditions. The following provisions are considered mandatory conditions of any contract award made by the Agency pursuant to this RFP: Contract Form. The Agency will not execute a contract on the Contractor's form-contracts will only be executed on the Agency form (please see Sample Contract, Attachments G and G-1 through G-4 each attached hereto), and by submitting a proposal, the Contractor agrees to do so (please note that the Agency reserves the right to amend this form as the Agency deems necessary).  However, the Agency will, during the RFP process (prior to the posted question deadline), consider any contract clauses that the proposer wishes to include therein and submit in writing a request for the Agency to do so; but the failure of the Agency to include such clauses does not give the Contractor the right to refuse to execute the Agency's contract form. It is the responsibility of each prospective proposer to notify the Agency, in writing, prior to submitting a proposal, of any contract clause that he/she is not willing to include in the final executed contract and abide by. The Agency will consider and respond to such written correspondence, and if the prospective proposer is not willing to abide by the Agency's response (decision), then that prospective proposer shall be deemed ineligible to submit a proposal.
     • Mandatory HUD Forms. Please note that the Agency has no legal right or ability to (and will not) at any time negotiate any clauses contained within ANY of the HUD forms included as a part of this RFP.
     • E-Verify Affidavit. The Contractor must certify compliance with Alabama E-Verify requirements in that the Contractor is registered, uses, and will continue to use the E-Verify Federal Work Authorization Program throughout the contract period. This Form is attached hereto as Attachment G-3 to this RFP document. This 1-page Form will be fully completed and executed where provided thereon by the successful proposer and will be a part of the ensuing contract (NOTE: It is NOT necessary to complete and submit this form as a part of the proposal submittal-only the awarded proposer(s) will be required to do so as a part of the contract execution).
     • Assignment of Personnel. The Agency shall retain the right to demand and receive a change in personnel assigned to the work if the Agency believes that such change is in the best interest of the Agency and the completion of the contracted work.
     • Unauthorized Sub-contracting Prohibited. The Contractor shall not assign any right nor delegate any duty for the work proposed pursuant to this RFP (including, but not limited to, selling or transferring the contract) without the prior written consent of the CO. Any purported assignment of interest or delegation of duty, without the prior written consent of the CO shall be void and may result in the cancellation of the contract with the Agency, or may result in the full or partial forfeiture of funds paid to the Contractor as a result of the proposed contract; either as determined by the CO.
   • Contract Period. The Agency anticipates that it will initially award a contract for the period of 1 year with the option, at the Agency's discretion, of 4 additional one-year option periods, for a total maximum contract period of 5 years.  
   • Licensing and Insurance Requirements. Prior to award (but not as a part of the proposal submission), the Contractor will be required to provide:
     • Workers Compensation Insurance. An original certificate evidencing the proposer's current industrial (worker's compensation) insurance carrier and coverage amount (NOTE: Workers Compensation Insurance will be required of any Contractor that has employees other than just the owner working on-site to provide the services);
     • General Liability Insurance. An original certificate evidencing General Liability coverage, naming the Agency as an additional insured, together with the appropriate endorsement to said policy reflecting the addition of the Agency as an additional insured under the said policy (minimum of $1,000,000 each occurrence, the general aggregate minimum limit of $1,000,000, together with damage to premises and fire damage of $50,000 and medical expenses any one person of $5,000), with a commercially reasonable deductible (i.e., "commercially reasonable," meaning at least 1% of the "general aggregate minimum" of the policy, with a maximum deductible amount of $50,000);
     • Professional Liability Insurance. An original certificate showing the proposer's professional liability and/or "errors and omissions" coverage (minimum of $1,000,000 for each occurrence, general aggregate minimum limit of $1,000,000), with a commercially reasonable deductible (i.e., "commercially reasonable," meaning not greater than 1% of the "general aggregate minimum" of the policy, with a maximum deductible amount of $50,000);
     • Automobile Insurance. An original certificate showing the proposer's automobile insurance coverage in a combined single limit of $1,000,000. For every vehicle utilized during the term of this program, when not owned by the entity, each vehicle must have evidence of automobile insurance coverage with limits of no less than $100,000/$300,000 and medical pay of $5,000.
     • City/County/State Business License. If applicable, a copy of the proposer's business license allowing that entity to provide such services within the City of Northampton County, and/or the State of North Carolina.
     • Certificates/Profile of Firm Form. Pertaining to the aforementioned (within Sections 5.4.1 through 5.4.5) insurance certificates and licenses, each proposer is required to enter related information where provided for on the Profile of Firm Form (do not attach or submit copies of the insurance certificates or licenses within the proposal submittal-we will garner the necessary documents from the successful proposer prior to contract execution).
   • Right to Negotiate Final Fees. The Agency shall retain the right to negotiate the amount of fees that are paid to the Contractor, meaning the fees proposed by the top-rated proposer may, at the Agency's options, be the basis for the beginning of negotiations. Such negotiations shall begin after the Agency has chosen a top-rated proposer. If such negotiations are not, in the opinion of the CO, successfully concluded within 5 business days, the Agency shall retain the right to end such negotiations and begin negotiations with the next-rated proposer. The Agency shall also retain the right to negotiate with and make an award to more than one proposer.
   • Contract Service Standards. All work performed pursuant to this RFP must conform and comply with all applicable local, state, and federal codes, statutes, laws, and regulations.
   • Prompt Return of Contract Documents. Any and all documents required to complete the contract, including contract signature by the successful proposers, shall be provided to the Agency within 10 workdays of notification by the Agency.

Index of Tables -[Table No. 8]