REQUEST FOR PROPOSALS

Transcription

1 REQUEST FOR PROPOSALS PROFESSIONAL AUDIT SERVICES (RFP ) January 15, 2019 REQUEST FOR PROPOSALS PROFESSIONAL AUDIT SERVICES The Luzerne Cunty Transprtatin Authrity (LCTA), the public transprtatin prvider in Luzerne Cunty, in accrdance with directives frm the U. S. Department f Transprtatin and the Pennsylvania Department f Transprtatin, is required t btain prpsals frm Certified Public Accuntants t perfrm audits n its state and federally funded transit prgrams. The perids t be audited are the fiscal reprting perids frm July 1, 2018 thrugh June 30, 2019 with the ptin t renew cntract fr FY and FY The audit is t be cnducted in accrdance with generally accepted auditing standards; Gvernment Auditing Standards, issued by the Cmptrller General f the United States; and the prvisins f Office f Management and Budget (OMB) Circular A-133, Audits f States, Lcal Gvernments and Nn-Prfit Organizatins, as well as auditing standards set frth by the Pennsylvania Department f Transprtatin. All prpsals and related dcuments will be subject t the financial assistance cntract between the Pennsylvania Department f Transprtatin (PennDOT) and LCTA. LCTA will nt discriminate against any prpser because f race, clr, religin, sex, r natinal rigin. Any firm r persn wh enters int a cntract with LCTA must agree t cmply with any and all FTA, LCTA and Cmmnwealth f PA laws, rules and regulatins regarding the prhibitin f discriminatin. All prpsers, by submitting a prpsal, shall accept the affirmative duty t ascertain and cmply with such laws.

2 Cpies f the RFP package can be requested by at jalu@lctabus.cm r btained frm ur website, All questins regarding the RFP are t be directed t Jhn Alu, Directr f Finance. Three (3) cpies f the prpsal must be submitted in the frmat utlined and marked Audit Prpsal (RFP ). Cmpleted prpsals are due at the ffices f LCTA n later than nn (12:00 P.M. EST) n March 29, Prpsals shuld be addressed t: Jhn Alu Luzerne Cunty Transprtatin Authrity 315 Nrthamptn St. Kingstn, PA Prpsals received later than nn (12:00 P.M. EST) n March 29, 2019 shall be rejected. The Luzerne Cunty Transprtatin Authrity reserves the right t reject any and all prpsals. 1.1 Submissin Instructins Quantity The prpser shall submit three (3) cpies f its prpsal and in a separate sealed envelpe, three (3) cpies f its cst prpsal. Any attachments r backup material will nly require a single cpy Due Date In rder t be cnsidered, prpsals must be received at the ffices f LCTA by nn (12:00 P.M. EST) n Friday, March 29, Failure f the U.S. Pstal Service r ther delivery service t deliver prpsal packages n time shall result in the prpsal nt being pened r cnsidered. Prpsals shuld be clearly marked Audit Prpsal and delivered t: Prprietary Infrmatin Jhn Alu Luzerne Cunty Transprtatin Authrity 315 Nrthamptn St. Kingstn, PA Any infrmatin cntained in the prpsal that the prpser cnsiders prprietary must be clearly identified as such. LCTA will respect requests fr nn-disclsure f prprietary infrmatin t the extent that infrmatin s restricted cnfrms t the Freedm f Infrmatin Act and the Pennsylvania Sunshine Laws. 1

3 1.1.4 Frms Appendices A, B & C f this slicitatin cntain certain frms that are mandatry in the prpsal prcess. These frms must be executed and submitted in their exact frmat in rder fr the prpsal t be cnsidered respnsive. Precise, unedited cmputer reprductins t expedite the prpsal preparatin prcess are acceptable Availability f Electrnic Versin f this Dcument The Request fr Prpsals and all related frms cntained herein are available electrnically in Prtable Dcument Frmat (PDF). Interested parties wh desire an electrnic cpy f this dcument shuld cntact Jhn Alu (jalu@lctabus.cm). Files will be sent via t the requesting party. LCTA des nt warrant the integrity r frmat accuracy f any file r dcument sent in this manner. 1.2 Questins Cncerning the Prject Verbal and Written Questins Prspective prpsers are encuraged t submit substantive questins, cmments, and cncerns in writing. Written questin received n later than 3:00 P.M. EST n February 15, 2019 will be answered in writing and distributed via addendum t thse listed n the RFP distributin list. Questins shuld be addressed t Jhn Alu f LCTA at 315 Nrthamptn St., Kingstn, PA ed questins will be cnsidered as written; hwever, n telephne slicitatins will be hnred. 1.3 On-Site Interviews LCTA reserves the right t cnduct n-site interviews with ne r mre f the tp ranked prpsers as part f the evaluatin and selectin prcess. 1.4 Prpsal Frmat General LCTA desires t cntract with a qualified Certified Public Accunting Firm fr the cmpletin f audits relating t prgrams administered by the Authrity. It is expected that if an award is made, it will be made fr audit f ne (1) fiscal year being July 1, 2018 thrugh June 30, 2019 and with the ptin t renew fr FY and LCTA reserves the right t reject any and all prpsals received as a result f this request, r t negtiate separately with cmpeting prpsers Submissin f Supplemental Material Prpsers will be permitted t submit any additinal infrmatin they cnsider relevant t the prject scpe f wrk and the prject at hand. Such supplemental materials, if submitted, shuld be in additin 2

4 t the prpsal, nt cntained in the prpsal itself. Only ne cpy f any supplemental material shuld be submitted Minimum Requirements Technical Prpsal At a minimum, each technical prpsal shuld cntain the fllwing elements rganized in the fllwing fashin and in the rder listed. Cver: RFP Prject title and prpser s name Letter f Transmittal: This letter must include the name, address, and phne number f the prpser s cntact persn and that f the firm. The prpser must prvide an affirmative statement that it is independent f Luzerne Cunty as defined by current prfessinal standards. Prfessinal standards refer specifically t Generally Accepted Auditing Standards as established by the American Institute f Certified Public Accuntants and Generally Accepted Gvernment Auditing Standards established by the U.S. General Accunting Officer. An affirmative statement must be included indicating that the firm and all assigned key prfessinal staff are prperly registered/licensed t practice in Pennsylvania. The perid f time fr which the ffer will be hnred, which shuld be at least 60 days frm the date f the prpsal. One riginal must be signed by an authrized fficer f the prpser. Official prpsal frm See Appendix B Table f Cntents Prpsal: The prpsal shall be a cmprehensive, accurate and effective presentatin. Three (3) cpies shuld be submitted. The prpsal shall be submitted n 8 ½ X 11 paper with flduts as required. N mre than 30 sheets (60 pages) shuld be cntained in the prpsal and printing n bth sides f the pages will be permitted. Sectin 1 Firm Prfile The prpsal shuld state the size f the firm, the size f the firm s gvernmental audit staff and the lcatin fr the ffice frm which the audit will be perfrmed. If the prpser is a jint venture r cnsrtium, the qualificatins f each firm cmprmising the jint venture r cnsrtium shuld be separately identified and the firm that is t serve, as the principle auditr shuld be nted, if applicable. The firm is als required t submit a cpy f the reprt n its mst recent external quality cntrl review (Peer Review), with a statement whether that quality cntrl review included a review f specific gvernment engagements. The firm shall als prvide infrmatin n the results f any federal r state desk reviews r field reviews f its audits during the past (3) years. In additin the firm shall prvide infrmatin n the circumstances and status f any disciplinary actin taken r pending against the firm during the past three (3) years with state regulatry bdies r prfessinal rganizatins. 3

5 Sectin 2 Audit Apprach Prpsers shuld include as part f this sectin the prpsed segmentatin f the engagement including anticipated time frames and methdlgies fr each segment, apprach taken t gain and dcument an understanding f LCTAs internal cntrl structure, identificatin f the apprach used fr the test f cntrls and t test cmpliance, the auditing standards t be applied, apprach taken t determine laws and regulatins applicable t audit wrk, and arrangements fr prgress meetings, cnsultatin, and draft reprt reviews. Sectin 3 Summary f Qualificatins Prpsers shuld identify the principal management and supervisry staff, including engagement partners, managers, and ther supervisrs and specialists, wh wuld be assigned t the engagement and indicate whether each persn is licensed t practice as a Certified Public Accuntant in Pennsylvania. Please include cpies f all prfessinal resumes and licenses. The firm als shuld prvide infrmatin n the gvernment auditing experience f each persn, including infrmatin n relevant cntinuing prfessinal educatin fr the past three (3) years and membership in prfessinal rganizatins relevant t the perfrmance f this audit. Sectin 4 Experience Fr the firm s ffice that will be assigned respnsibility fr the audit, list the mst significant engagements perfrmed in the last five years that are similar t the engagements described in this request fr prpsals. Indicate the scpe f wrk, dates f the engagements, name f the engagement partner, ttal audit hurs, and the name, address and telephne number f the principal client cntact. Sectin 5 Appendix A - The prpser must indicate its cmpliance with certain Federal and state executive rders, laws, statues, and regulatins t be cnsidered fr award: Integrity Certificatin Cmmnwealth f Pennsylvania Nn-discriminatin Clause Receipt f Addenda (submit whether r nt any addenda are issued) Civil Rights (EEO, Title VI & ADA) DBE Certificatin Nn-Cllusin Affidavit Luzerne Cunty Transprtatin Authrity s Prtest Prcedure Terminatin f Cntract Cst Prpsal Cst prpsals must be submitted as a separate dcument frm the prpsal and in the frmat cntained in Appendix C. Three (3) cpies are required. The cst prpsal frmat is available in Micrsft Excel frmat fr ease f cmpletin. The cst prpsal must cntain all pricing infrmatin relative t perfrming the audit engagement as described in this request fr prpsal. The ttal all-inclusive price must cntain all direct and indirect csts including all ut-f-pcket expenses. Direct csts include the prfessinal rates fr partners, mangers, supervisrs, and staff accuntants and must supprt the ttal all-inclusive price. 4

6 The Luzerne Cunty Transprtatin Authrity will nt be respnsible fr expenses incurred in preparing and submitting the prpsal and sealed cst prpsal. Such csts shuld nt be included in the prpsal. The infrmatin requested is required t supprt the reasnableness f the prpsed cst and is fr the review f the evaluatin cmmittee nly. It will nt be shared with ther prpsers r released t the general public except in the frm f ttal cntract value. The prices and rates fr persnnel, verhead and prfit must be binding fr the life f the cntract if a Ntice t Prceed is issued within sixty (60) days f submissin. The Grand Ttal must be binding fr this perid and may becme the Nt t Exceed Amunt issued with the Ntice t Prceed. 1.5 Disadvantaged Business Enterprise If nt addressed under subcntractrs, please identify any participatin in the prject by a disadvantaged business enterprise. A listing f all certified DBE firms in the Cmmnwealth f Pennsylvania can be viewed at The Luzerne Cunty Transprtatin Authrity (LCTA) has established a Disadvantaged Business Enterprise (DBE) prgram in accrdance with regulatins f the U.S. Department f Transprtatin (DOT), 49 CFR Part 26. LCTA has received Federal financial assistance frm the Department f Transprtatin, and as a cnditin f receiving this assistance, LCTA has signed an assurance that it will cmply with 49 CFR Part 26. It is the plicy f LCTA t ensure that DBEs as defined in part 26, have an equal pprtunity t receive and participate in DOT-assisted cntracts. It is als ur plicy: 1. T ensure nndiscriminatin in the award and administratin f DOT-assisted cntracts; 2. T create a level playing field n which DBEs can cmpete fairly fr DOT-assisted cntracts; 3. T ensure that the DBE Prgram is narrwly tailred in accrdance with applicable law; 4. T ensure that nly firms that fully meet 49 CFR Part 26 eligibility standards are permitted t participate as DBEs; 5. T help remve barriers t the participatin f DBEs in DOT-assisted cntracts; 6. T assist the develpment f firms that can cmpete successfully in the market place utside the DBE Prgram. The Cmpliance Manager has been delegated as the DBE Liaisn Officer. In that capacity, the Cmpliance Manager is respnsible fr implementing all aspects f the DBE Prgram. Implementatin f the DBE Prgram is accrded the same pririty as cmpliance with all ther legal bligatins incurred by LCTA in its financial assistance agreements with the Department f Transprtatin. 5

7 LCTA has disseminated this plicy statement t the Bard f Directrs and all f the cmpnents f ur rganizatin. We have distributed this statement t DBE and nn-dbe business cmmunities that perfrm wrk fr us n DOT-assisted cntracts. LCTAs plicy statement will appear in lcal and transitriented publicatins nce a year and will be included in all Requests fr Prpsals and Invitatins fr Bids. 1.6 Cntract Award f Cntract LCTA anticipates award f a cntract at its regularly scheduled Bard meeting n April 23, A Ntice t Prceed is anticipated within ne (1) mnth, fllwing receipt f necessary dcumentatin, such as insurance certificates frm the selected vendr Cntract Type LCTA will enter int a firm, fixed fee cntract with the selected vendr Time fr Cmpletin LCTA will negtiate with the highest ranked prpser t establish a prject schedule based n the prpsed schedule submitted in the prpsal. The desired time frame fr cmpletin f each audit engagement is ne (1) mnth althugh LCTA will seek a schedule that is mutually satisfactry t all parties. 1.7 Evaluatin Methdlgy Evaluatin Criteria Prpsals fr this prject shall be evaluated by a cmmittee (BEC) using the fllwing rank-rdered criteria with their respective weights: Prpser Experience 40%. This categry includes prir transit authrity auditing experience, prir gvernment auditing experience, prir Single Audit experience. Prpsed wrk plan and assignments 30%. This categry includes the quality and applicability fr the prpsed wrk plan and assignments, qualificatins f the individual persnnel assigned t the engagement, the anticipated timeliness f the audit wrk and resulting reprts. Cst 30%. This categry includes factrs such as csts that are cmparative t the ther prpsals fr each element in the Cst Prpsal Frm; unit prices that are cmparable t similar unit prices in the industry; and inclusin f extraneus elements Evaluatin Cmmittee 6

8 LCTA shall frm a Bid Evaluatin Cmmittee (BEC) fr this slicitatin. Prpsers shall nt cntact any member f the Evaluatin Cmmittee during this prcurement ther than the cntact names specified in the RFP. Each cmmittee member will review all prpsals individually and cmplete an evaluatin frm. Once all frms are cmpleted and tabulated, the cmmittee will cnvene t recmmend a vendr fr the prject t the LCTA Bard f Directrs. Interviews between the cmmittee and finalists may r may nt be necessary. The cmmittee reserves the right t accept r reject any r all prpsals. 1.8 Prpsal Summary Prcurement Schedule (Tentative) Advertisement f Request fr Prpsal January 15, 2019 Release Date fr RFP January 15, 2019 Deadline fr written questins February 15, 2019 Prpsals due March 29, 2019 Cntract Award / Ntice t Prceed April 23, Prject Gals General Gals LCTA desires t cntract with a qualified Certified Public Accunting Firm fr the cmpletin f an audit relating t prgrams administered by LCTA. It is expected that if an award is made, it will be made fr audits f ne (1) fiscal year beginning July 1, 2018 thrugh June 30, 2019 and with the ptin t renew fr FY and FY Descriptin f LCTA Reprting Entity and Its Service The Luzerne Cunty Transprtatin Authrity was created n Octber 10, 1972 under the prvisins f the Municipal Authrities Act f 1945, P.L LCTA prvides fixed rute transprtatin service within Luzerne Cunty with the exceptin f the Greater Hazletn Area, as well full Shared Ride para-transit service. LCTA receives perating assistance, capital funding, and asset maintenance funding frm federal, state and lcal gvernment surces Basis f Accunting 7

9 LCTAs financial statements are presented n the accrual basis f accunting. Revenues are recrded when earned and expenses are recrded when a liability is incurred, regardless f timing r related cash flws Budget LCTA annually adpts a budget which is the instrument used t mnitr revenues and expenditures fr each fiscal year. The prpsed budget reflects, as nearly as pssible, the estimated revenue and expenditures. The estimated perating budget fr bth fixed-rute and para-transit prgrams is apprximately $15.9 millin. The capital budget varies based upn capital prjects scheduled and undertaken fr any particular fiscal year Staff and Recrd Keeping LCTA uses MAS-90 as its general ledger sftware. The Accunting Manager is respnsible fr the day t day recrd keeping. The Directr f Finance versees all accunting peratins and will be available t assist the auditr Prir Audits LCTA has received an unmdified pinin the past three years. Prir years audit reprts and financial statements are available fr review. 2.3 General Scpe Prpser Deliverables The prpser is expected t issue the fllwing reprts, in their entirety, in respnse t this request fr prpsal: Auditr s reprts n the fair presentatin f the financial statements Single Audit Reprt including the auditrs reprts n Internal Cntrl and Cmpliance Supplemental State Audit Reprts fr filing with PennDOT Frm DCED-CLGS-04 fr file with Pennsylvania Department f Cmmunity and Ecnmic Develpment Management Letter Prpsers Respnsibilities All prpser respnsibilities are utlined in this specificatin. Hwever, the cntract between the prpser and LCTA shall describe the prpser s respnsibilities as they are agreed t by bth parties. The Prpser s respnsibilities will include the fllwing: Prvide an pinin n the respective financial psitin f LCTA based n the auditing prcedures applied during the audit f the financial statements and the reprts f ther auditrs, as applicable as well as assist in develpment f the ntes t financial statements 8

10 Prvide experienced staff that understand the industry and audit methdlgy Prvide an Engagement Partner t act as a single pint f cntact fr all cmmunicatin regarding wrk under the Request fr Prpsal Adhere t agreed upn audit timeline LCTAs Respnsibilities LCTA will: Prvide a member f the Finance Department t serve as the single pint f cntact fr this engagement. Prepare the Management Discussin and Analysis Prvide an adjusted trial balance and all supprting dcumentatin Prepare draft financial statements and required supplementary infrmatin APPENDIX A REQUIRED FORMS AND CERTIFICATIONS Please be sure t execute each f the fllwing affidavits, certificatins, and assurances. Failure t d s will render yur prpsal nn-respnsive and it will nt be granted further cnsideratin. Integrity Certificatin Cmmnwealth Of Pennsylvania Nn-Discriminatin Clause Receipt f Addenda (submit whether r nt any addenda are issued). Civil Rights (EEO, Title VI & ADA) DBE Certificatin Nn-Cllusin Affidavit Luzerne Cunty Transprtatin Authrity s Prtest Prcedure Terminatin f Cntract 9

11 INTEGRITY CERTIFICATION CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (1) The prspective lwer tier participant certifies, by submissin f this bid r prpsal, that neither it nr its "principals" [as defined at 49 C.F.R.' (p)] is presently debarred, suspended, prpsed fr debarment, declared ineligible, r vluntarily excluded frm participatin in this transactin by any Federal department r agency. (2) When the prspective lwer tier participant is unable t certify t the statements in this certificatin, such prspective participant shall attach an explanatin t this prpsal. (If the lwer tier cvered participant (applicant fr an FTA grant, r cperative agreement, r ptential third party cntractr) is unable t certify t any f the statements in this certificatin, the participant shall attach an explanatin t this certificatin.) THE LOWER TIER COVERED PARTICIPANT (APPLICANT FOR AN FTA GRANT OR CO- OPERATIVE AGREEMENT, OR POTENTIAL CONTRACTOR FOR A MAJOR THIRD PARTY CONTRACT),, CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO. Signature & Title f Authrized Official The undersigned chief legal cunsel fr the (Cntractr) hereby certifies that the (Cntractr) has authrity under State and Lcal law t cmply with the subject assurances and that the certificatin abve has been legally made. Signature f Cntractr's Attrney Date (Applies t Cntractr/Subcntractrs with cntracts in excess f $25,000) (Failure t cmplete this frm and t submit it with yur bid will render the bid nn-respnsive). 10

12 COMMONWEALTH OF PENNSYLVANIA NON-DISCRIMINATION CLAUSE 1. Cntractr shall nt discriminate, against any emplyee, applicant fr emplyment, independent cntractr r any ther persn because f race, clr, religius creed, natinal rigin, age r sex. Cntractr shall take affirmative actin t ensure that applicants are emplyed, and that emplyees r agents are treated during emplyment, withut regard t their race, clr, religius creed, ancestry, natinal rigin, age r sex. Such affirmative actin shall include, but is nt limited t, the fllwing: emplyment, upgrading, demtin, r transfer; recruitment r recruitment advertising; layff r terminatin; rates f pay r ther frms f cmpensatin; and selectin fr training. Cntractr shall pst in cnspicuus places, available t emplyees, agents, applicants fr emplyment and ther persns, a ntice t be prvided by the cntracting agency setting frth the prvisins f this nn-discriminatin clause. 2. Cntractr shall in advertisements r requests fr emplyment placed by it r n its behalf state that all qualified applicants will receive cnsideratin fr emplyment withut regard t race, clr, religius creed, ancestry, natinal rigin, age r sex. 3. Cntractr shall send each labr unin r wrkers' representative with which it has a cllective bargaining agreement(s) r ther cntract r understanding, a ntice advising said labr unin r wrkers' representative f its cmmitment t this nn-discriminatin clause. Similar ntice shall be sent t every ther surce f recruitment regularly utilized by Cntractr. 4. It shall be n defense t a finding f nncmpliance with the Cntract Cmpliance Regulatins issued by the Pennsylvania Human Relatins Cmmissin r this nn-discriminatin clause that the Cntractr has delegated sme f its emplyment practices t any unin, training prgram r ther surce f recruitment which prevents it frm meeting its bligatins. Hwever, if the evidence indicates that the Cntractr was nt n ntice f the third-party discriminatin r made a gd faith effrt t crrect it, such factr shall be cnsidered in mitigatin in determining apprpriate sanctins. 5. Where the practices f a unin r any training prgram r ther surce f recruitment will result in the exclusin f minrity grup persns, s that the Cntractr will be unable t meet its bligatins under the Cntractr Cmpliance Regulatins issued by the Pennsylvania Human Relatins Cmmissin, r this nn-discriminatin clause. The Cntractr shall then emply and fill vacancies thrugh ther nn-discriminatry emplyment prcedures. 6. The Cntractr shall cmply with the Cntract Cmpliance Regulatins f the Pennsylvania Human Relatins Cmmissin, 16 PA Cde Chapter 49 and will all laws prhibiting discriminatin in hiring r emplyment pprtunities. In the event f Cntractr's nn-cmpliance with the nn-discriminatin clause f this cntract r with any such laws, this cntract may, after hearing and adjudicatin, be 11

13 terminated r suspended, in whle r in part, and the Cntractr may be declared temprarily ineligible fr further Cmmnwealth cntracts, and such ther sanctins may be impsed and remedies invked as prvided by the Cntract Cmpliance Regulatins. 7. The Cntractr shall furnish all necessary emplyment dcuments and recrds t, and permit access t its bks, recrds and accunts by, the cntracting agency and the Human Relatins Cmmissin, fr purpses f investigatin t ascertain cmpliance with the prvisins f the Cntractr Cmpliance Regulatins, pursuant t PA Cde Chapter f these regulatins. If the Cntractr des nt pssess dcuments r recrds reflecting the necessary infrmatin requested, it shall furnish such infrmatin n reprting frms supplied by the cntracting agency r the Cmmissin. 8. The Cntractr shall actively recruit minrity Subcntractrs r Subcntractrs with substantial minrity representatin amng their emplyees. 9. The Cntractr shall include the prvisins f this nn-discriminatin clause in every subcntract, s that such prvisins will be binding upn each Subcntractr. 10.The terms used in this nn-discriminatin clause shall have the same meaning as in the Cntract Cmpliance Regulatins issued by the Pennsylvania Human Relatins Cmmissin, 16 PA Cde Chapter Cntractr bligatins under this clause are limited t the Cntractr's facilities within Pennsylvania r where the cntract is fr purchase f gds manufactured utside f Pennsylvania, the facilities at which such gds are actually prduced. Wherever herein abve the wrd Cntractr is used it shall als include the wrd Engineer, cnsultant, Researcher, r ther Cntracting Party as may be apprpriate. Name f Individual, Partnership, r Crpratin Address Authrized Persn Signature Title Date 12

14 RECEIPT OF ADDENDA Certificatin f Receipt f Addenda t the Request fr Prpsal Failure t submit this frm in a prperly executed manner will result in the bid/prpsal being fund nn-respnsive and rejected. This certificatin required fr all prcurements. Acknwledgement f Receipt f Addenda The undersigned hereby acknwledges receipt f the fllwing addenda t the abve referenced RFP: Addendum Number:, dated: Addendum Number:, dated: Addendum Number:, dated: Name f Individual, Partnership r Crpratin: Address: Name f Authrized Persn: Title f Authrized Persn: Signature: Date: 13

15 Civil Rights (EEO, Title VI & ADA) 29 U.S.C. 623, 42 U.S.C U.S.C. 6102, 42 U.S.C U.S.C , 49 U.S.C CFR Part 1630, 41 CFR Parts 60 et seq. The fllwing requirements apply t the underlying cntract: (1) Nndiscriminatin - In accrdance with Title VI f the Civil Rights Act, as amended, 42 U.S.C. 2000d, sectin 303 f the Age Discriminatin Act f 1975, as amended, 42 U.S.C. 6102, sectin 202 f the Americans with Disabilities Act f 1990, 42 U.S.C , and Federal transit law at 49 U.S.C. 5332, the Cntractr agrees that it will nt discriminate against any emplyee r applicant fr emplyment because f race, clr, creed, natinal rigin, sex, age, r disability. In additin, the Cntractr agrees t cmply with applicable Federal implementing regulatins and ther implementing requirements FTA may issue. (2) Equal Emplyment Opprtunity - The fllwing equal emplyment pprtunity requirements apply t the underlying cntract: (a) Race, Clr, Creed, Natinal Origin, Sex - In accrdance with Title VII f the Civil Rights Act, as amended, 42 U.S.C. 2000e, and Federal transit laws at 49 U.S.C. 5332, the Cntractr agrees t cmply with all applicable equal emplyment pprtunity requirements f U.S. Department f Labr (U.S. DOL) regulatins, "Office f Federal Cntract Cmpliance Prgrams, Equal Emplyment Opprtunity, Department f Labr," 41 C.F.R. Parts 60 et seq., (which implement Executive Order N , "Equal Emplyment Opprtunity," as amended by Executive Order N , "Amending Executive Order Relating t Equal Emplyment Opprtunity," 42 U.S.C. 2000e nte), and with any applicable Federal statutes, executive rders, regulatins, and Federal plicies that may in the future affect cnstructin activities undertaken in the curse f the Prject. The Cntractr agrees t take affirmative actin t ensure that applicants are emplyed, and that emplyees are treated during emplyment, withut regard t their race, clr, creed, natinal rigin, sex, r age. Such actin shall include, but nt be limited t, the fllwing: emplyment, upgrading, demtin r transfer, recruitment r recruitment advertising, layff r terminatin; rates f pay r ther frms f cmpensatin; and selectin fr training, including apprenticeship. In additin, the Cntractr agrees t cmply with any implementing requirements FTA may issue. (b) Age - In accrdance with sectin 4 f the Age Discriminatin in Emplyment Act f 1967, as amended, 29 U.S.C. 623 and Federal transit law at 49 U.S.C. 5332, the Cntractr agrees t refrain frm discriminatin against present and prspective emplyees fr reasn f age. In additin, the Cntractr agrees t cmply with any implementing requirements FTA may issue. (c) Disabilities - In accrdance with sectin 102 f the Americans with Disabilities Act, as amended, 42 U.S.C , the Cntractr agrees that it will cmply with the requirements f U.S. Equal Emplyment Opprtunity Cmmissin, "Regulatins t Implement the Equal Emplyment Prvisins f the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining t emplyment f persns with disabilities. In additin, the Cntractr agrees t cmply with any implementing requirements FTA may issue. (3) The Cntractr als agrees t include these requirements in each subcntract financed in whle r in part with Federal assistance prvided by FTA, mdified nly if necessary t identify the affected parties. Authrized Official f Firm Title f Authrized Official Date 14

16 Disadvantaged Business Enterprises (DBEs) 49 CFR Part 26 a. This cntract is subject t the requirements f Title 49, Cde f Federal Regulatins, Part 26, Participatin by Disadvantaged Business Enterprises in Department f Transprtatin Financial Assistance Prgrams. The natinal gal fr participatin f Disadvantaged Business Enterprises (DBE) is 10%. The agency s verall gal fr DBE participatin is 0.56 %. b. The cntractr shall nt discriminate n the basis f race, clr, natinal rigin, r sex in the perfrmance f this cntract. The cntractr shall carry ut applicable requirements f 49 CFR Part 26 in the award and administratin f this DOT-assisted cntract. Failure by the cntractr t carry ut these requirements is a material breach f this cntract, which may result in the terminatin f this cntract r such ther remedy as Luzerne Cunty Transprtatin Authrity deems apprpriate. Each subcntract the cntractr signs with a subcntractr must include the assurance in this paragraph (see 49 CFR 26.13(b)). c. Bidders/fferrs are required t dcument sufficient DBE participatin t meet these gals r, alternatively, dcument adequate gd faith effrts t d s, as prvided fr in 49 CFR Award f this cntract is cnditined n submissin f the fllwing cncurrent with and accmpanying an initial prpsal: 1. The names and addresses f DBE firms that will participate in this cntract; 2. A descriptin f the wrk each DBE will perfrm; 3. The dllar amunt f the participatin f each DBE firm participating; 4. Written dcumentatin f the bidder/fferr s cmmitment t use a DBE subcntractr whse participatin it submits t meet the cntract gal; 5. Written cnfirmatin frm the DBE that it is participating in the cntract as prvided in the prime cntractr s cmmitment; and 6. If the cntract gal is nt met, evidence f gd faith effrts t d s. Bidders/Offerrs must present the infrmatin required abve as a matter f respnsiveness with initial prpsals (see 49 CFR 26.53(3)). d. The cntractr is required t pay its subcntractrs perfrming wrk related t this cntract fr satisfactry perfrmance f that wrk n later than 30 days after the cntractr s receipt f payment fr that wrk frm Luzerne Cunty Transprtatin Authrity. In additin, the cntractr is required t return any retainage payments t thse subcntractrs within 30 days after the subcntractr's wrk related t this cntract is satisfactrily cmpleted. e. The cntractr must prmptly ntify Luzerne Cunty Transprtatin Authrity, whenever a DBE subcntractr perfrming wrk related t this cntract is terminated r fails t cmplete its wrk, and must make gd faith effrts t engage anther DBE subcntractr t perfrm at least the same amunt f wrk. The cntractr may nt terminate any DBE subcntractr and perfrm that wrk thrugh its wn frces r thse f an affiliate withut prir written cnsent f Luzerne Cunty Transprtatin Authrity. f. The cntractr hereby agrees t subcntract a minimum f % f the cntract t Disadvantaged Business Enterprises. (A list f DBE s certified in the Cmmnwealth f Pennsylvania can be fund in the DBE Directry, which can be accessed at Authrized Official f Firm Title f Authrized Official Date 15

17 NON-COLLUSION AFFIDAVIT INSTRUCTIONS FOR NON-COLLUSION AFFIDAVIT 1. This Nn-Cllusin Affidavit is material t any cntract awarded pursuant t this Bid. Accrding t the Pennsylvania Anti- bid-rigging Act, 73 P.S et sec., gvernmental agencies may require Nn-Cllusin Affidavits t be submitted tgether with bids. 2. This Nn-Cllusin Affidavit must be executed by the member, fficer r emplyee f the bidder wh makes the final decisin n prices and the amunt quted in the bid. 3. Bid rigging and ther effrts t restrain cmpetitin, and the making f false SWORN statement in cnnectin with the submissin f bids are unlawful and may be subject t criminal prsecutin. The persn wh signs the Affidavit shuld examine it carefully befre signing and assure himself r herself that each statement is true and accurate, making diligent inquiry, as necessary, f all ther persns emplyed by r assciated with the bidder with respnsibilities fr the assciated apprval r submissin f the bid. 4. In the case f a bid submitted by a jint venture, each party t the venture must be identified in the Bid Dcuments, and an Affidavit must be submitted separately n behalf f each party. 5. The term "Cmplementary Bid" as used in the Affidavit has the meaning cmmnly assciated with that term in the bidding prcess, and includes the knwing submissin f bids higher than the bid f anther firm, any intentinally high r nn-cmpetitive bid, and any ther frm f bid submitted fr the purpse f giving a false appearance f cmpetitin. 6. Failure t file an Affidavit in cmpliance with these instructins may result in disqualificatin f the bid. 16

18 NON-COLLUSION AFFIDAVIT FOR BID FOR (Name f prject r item being bid upn) State f Cunty f I state that I am f (Title) (Name f my Firm) and that I am authrized t make this affidavit n behalf f my firm, and its Owners, Directrs, and Officers. I am the persn respnsible in my firm fr price(s) and the amunt f this bid. I state that: 1. The price(s) and amunt f this Bid have been arrived at independently and withut cnsultatin, cmmunicatin r agreement with any ther cntractr, bidder r ptential bidder. 2. Neither the price(s) nr the amunt f this bid, and neither the apprximate price(s) nr apprximate amunt f this bid, have been disclsed t any ther firm r persn wh is a bidder r ptential bidder, and they will nt be disclsed befre bid pening. 3. N attempt has been made r will be made t induce any firm r persn t refrain frm bidding n this cntract, r t submit a bid higher than this bid, r t submit any intentinally high r nn-cmpetitive bid r ther frm f cmpetitive bid. 4. The bid f my firm is made in gd faith and nt pursuant t any agreement r discussin with, r inducement frm, any firm f persn t submit a cmplementary r ther nn-cmpetitive bid. 5., its affiliates, (Name f my firm) subsidiaries, fficers, directrs, and emplyees are nt currently under investigatin by any gvernmental agency and have nt in the last fur years been cnvicted r fund liable fr any act prhibited by State r Federal Law in any jurisdictin, invlving cnspiracy r cllusin with respect t bidding n any public cntract, except as fllws: 17

19 I state that understands and (Name f my firm) Acknwledges that the abve representatins are material and imprtant, and will be relied n by in awarding the cntract(s) fr which this (Name f my firm) bid is submitted. I understand and my firm understands that any misstatement in this affidavit is and shall be treated as fraudulent cncealment frm (Name f public entity) f the true facts relating t the submissin f bids fr this cntract. (Name) (Cmpany Psitin) SWORN TO AND SUBSCRIBED BEFORE ME THIS DAY OF, 20. Ntary Public My Cmmissin Expires 18

20 Luzerne Cunty Transprtatin Authrity Prtest Prcedure If a bidder/prpser perceives that a segment f the specificatins is either t restrictive fr cmpetitin r if the bidder/prpser perceives any imprprieties in the slicitatin r specificatins, a written prtest must be filed with LCTA s Executive Directr at least five (5) business days prir t bid pening r the due date fr prpsals. Any prtests cncerning the award f a cntract after the bid pening, r after a public annuncement by LCTA f a cntractr selectin decisin, r after an evaluatin f prpsals submitted under an RFP, must be made within five (5) days after the bid pening, r public annuncement in the case f an RFP, in rder t permit LCTA the pprtunity t reslve the issue prir t cntract award. Cntents f Prtest t LCTA A bidder r prpser filing a prtest with LCTA must submit the prtest in writing, via certified United States mail with a return receipt request, t Luzerne Cunty Transprtatin Authrity (LCTA) c/ Executive Directr, 315 Nrthamptn St, Kingstn, PA The prtest must include: 1. The name and address f the bidder; 2. Prject number and the number f the slicitatin; 3. A detailed and factual statement f the grunds fr prtest and any supprting dcumentatin. The dcumentatin submitted t LCTA must be fully supprted t the extent pssible; 4. The desired relief, actin r ruling frm LCTA. Fllwing an adverse decisin by the Executive Directr, the bidder r prpser may file a prtest with FTA Reginal Office III fr reslutin. FTA Review f Prtest: A prtester must exhaust all administrative remedies with LCTA befre pursuing a prtest with FTA. Review f a prtest by FTA will be limited t: (1) LCTA s failure t have r fllw its prtest prcedures, r its failure t review a cmplaint r prtest; r (2) Vilatins f Federal law r regulatin. Fllwing any adverse decisin by the Executive Directr, the bidder may file a prtest if there has been a vilatin in cnnectin with 1 and 2 abve. An appeal t FTA must be received by the U. S. Department f Transprtatin, Federal Transit Administratin ( FTA ), Regin III, 1760 Market Street, Suite 500, 19

21 Philadelphia, PA 19103, within five (5) wrking days f the date the prtester learned r shuld have learned f an adverse decisin by the Executive Directr r ther basis f appeal t FTA. Cntents f Prtest t FTA A bidder filing a prtest with FTA must submit the prtest in writing, via certified United States mail with a return receipt request, t the U. S. Department f Transprtatin, Federal Transit Administratin ( FTA ), Regin III, 1760 Market Street, Suite 500, Philadelphia, PA The prtest must include: 1. The name and address f the bidder; 2. Identificatin f the grantee (LCTA), prject number and the number f the slicitatin; 3. A detailed and factual statement f the grunds fr prtest and any supprting dcumentatin. The dcumentatin submitted t FTA must be fully supprted t the extent pssible; 4. A cpy f the prtest filed with LCTA, and a cpy f the LCTA s decisin, if any; and 5. The desired relief, actin r ruling frm FTA. FTA will nt cnsider any data that was nt submitted t LCTA. If new data becmes available after the exhaustin f administrative remedies with LCTA, that data shuld be submitted t LCTA with a request fr recnsideratin. If the request is denied r if the prtestr s administrative remedies with LCTA are again exhausted, the prtestr may then submit the new data t FTA. N frmal briefs r ther technical frms f pleading r mtin are required, but a prtest and ther submissin shuld be cncise, lgically arranged, and clear. Bid prtests must be filed with FTA n later than five (5) days after the exhaustin f administrative remedies with LCTA is knwn r shuld have been knwn, whichever is earlier. Authrized Official f Firm Title f Authrized Official Date 20

22 Terminatin a. Terminatin fr Cnvenience f Default: LCTA may terminate this cntract, r any prtin f it, by serving a ntice r terminatin n the Cntractr. The ntice shall state whether the terminatin is fr cnvenience f LCTA r fr the default f the Cntractr. If the terminatin is fr default, the ntice shall state the manner in which the cntractr has failed t perfrm the requirements f the cntract. The Cntractr shall accunt fr any prperty in its pssessin paid fr frm funds received frm LCTA r prperty supplied t the Cntractr by LCTA. If the terminatin is fr default, LCTA may fix the fee, if the cntract prvides fr a fee, t be paid the cntractr in prprtin t the value, if any, f wrk perfrmed up t the time f terminatin. The Cntractr shall prmptly submit its terminatin claim t LCTA and the parties shall negtiate the terminatin settlement t be paid the Cntractr. If the terminatin is fr the cnvenience f LCTA, the Cntractr shall be paid its cntract clse-ut csts, and a fee, if the cntract prvided fr payment f a fee, in prprtin t the wrk perfrmed up t the time f terminatin. If, after serving a ntice f terminatin fr default, LCTA determines that the Cntractr has an excusable reasn fr nt perfrming, such as strike, fire, fld, events which are nt the fault f and are beynd the cntrl f the cntractr, LCTA, after setting up a new wrk schedule, may allw the Cntractr t cntinue wrk, r treat the terminatin as a terminatin fr cnvenience. Additinal infrmatin related t LCTA s Cntract Terminatin can be fund in LCTA s Purchasing Regulatins & Prcurement Manual. Authrized Official f Firm Title f Authrized Official Date 21

23 APPENDIX B OFFICIAL AUDIT PROPOSAL FORM Please be sure t cmplete this frm in its entirety. Failure t d s will render yur prpsal nn-respnsive and it will nt be granted further cnsideratin. 1.1 Prpser Guarantee The prpser certifies that it can and will prvide, at a minimum, all services set frth in Sectin 2.3 General Scpe. 1.2 Prpser Warranties Prpser warrants that it has an errrs and missins insurance plicy with cverage f nt less than $1,000,000 fr the willful r negligent acts r missins f any partners, fficers, emplyees r agents theref and prf shall be submitted upn award f the cntract Prpser warrants that all infrmatin prvided by it in cnnectin with this prpsal is true and accurate. 1.3 Prpser Small Business Participatin T be filled ut by LCTA, if Prpser will claim the small business preference assciated with this slicitatin: RFP/IFB: Prfessinal Audit Services Date Advertised: January 15, 2019 NAICS Cde: Average number f emplyees ver the past 12 mnths: Average annual receipts ver the past 3 years: Type f entity (i.e. sle prprietr): Authrized Official f Firm Title f Authrized Official Date 22

24 APPENDIX C COST PROPOSAL FORM TO BE SUBMITTED IN A SEPARATELY SEALED ENVELOPE Engagement Partner Manager Senir Audit Staff Clerical TOTAL JULY 1, JUNE 30, 2019 HOURS Internal Cntrl Hurly Audit Review and Audit Review & Ttal Annual Rate Planning Dcumentatin Testing Reprts Hurs Fee INDIRECT COSTS $ TOTAL ANNUAL COST $ Authrized Official f Firm Title f Authrized Official Date 23

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