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Request for Qualifications (RFQ)

Town of Yates, Orleans County, New York
Request for Qualifications (RFQ)
Professional Auditing Services

The Town of Yates, New York, is requesting written list of qualifications from firms of certified public accountants, in accordance with applicable law, to conduct an examination and to render an opinion on the comprehensive annual financial statements of the Town of Yates. Proposals will be received at the Town Clerk’s Office, 8 South Main Street, Lyndonville, New York, 10498, until 4:00 p.m. on February 1, 2019, at which time no further proposals will be considered. The Town of Yates is an Equal Opportunity Employer.

The following procedures are designed to provide for a fair and open process in awarding professional services based on qualifications, merit and cost effectiveness through accessible advertising. Services include annual appointments and day-to-day programs, projects and contracts.

Scope of Services:
Any person or firm interested in providing professional auditing services to the Town of Yates.

1) Appointment of Auditor. An independent auditor shall be appointed by Town Board by a majority vote of its membership for a term of one (1) year from the first day of January of the year of appointment and until successor has been appointed and qualified. The auditor shall receive such compensation as shall be agreed upon by Town Board of the Town of Yates.

2) Requirements. The Auditor shall be a registered CPA of the State of New York, but need not be a resident of the Town. In lieu of appointing an individual auditor, the Board may appoint a firm of auditors, one (1) or more members of which shall be a registered CPA of New York.

3) Duties.
The Auditor shall:

A. Act as the Auditor for the Town and employ at the Auditor’s expense such personnel as are deemed necessary to carry on the duties prescribed for the Auditor for the Town.

B. The Auditor shall audit the municipality’s financial statements of the various funds for the year ending December 31, 2018 and all other related statements and supplementary schedules prepared in conformity with the requirements of audit as promulgated by applicable law for the year then ending, for the purpose of expressing an opinion on them as to whether these financial statements are fairly presented, in all material respects, in conformity with generally accepted accounting practices.

C. The Auditor shall conduct the audit in accordance with auditing standards generally accepted in the United States of America, Government Auditing Standards.

D. The Auditor will present for purposes of additional analysis the Schedule of Expenditures of Federal Awards and Schedule of Expenditures of State Financial Assistance, and all related disclosures, if required under the Single Audit Law. This information, if necessary, will be subjected to the tests and other auditing procedures applied in the examination of financial statements.

E. The Auditor’s audit of the municipality’s financial statements shall include examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements; therefore, the audit will involve judgment about the number of transactions to be examined and the areas to be tested. The auditor will plan and perform the audit to obtain reasonable rather than absolute misstatement, whether from errors, fraudulent financial reporting, misappropriation of assets, or violations of laws or governmental regulations that are attributable to the municipality or to acts by management, employees or agents acting on behalf of the municipality. The auditor will inform the municipality of any material errors that come to the auditor’s attention, and will inform the municipality of any fraudulent financial reporting or misappropriation of assets that come to the auditor’s attention. The auditor will also inform the municipality of any violations of laws or governmental regulations that come to the auditor’s attention, unless clearly inconsequential.

F. The Auditor’s procedures will include tests of documentary evidence supporting the transactions recorded in the accounts, and may include tests of the physical existence of inventories, and direct confirmation of receivables and certain other assets and liabilities by correspondence with selected individuals, creditors, and financial institutions. The auditor will request written and representations from the municipality’s compliance with applicable laws and regulations and the provisions of contracts and agreements. However, the objective of the audit will not be to provide an opinion on overall compliance and the Auditor will not express such an opinion.

G. The Auditor shall identify and ensure that the Municipality complies with laws, regulations, contracts and agreements. As part of obtaining reasonable assurance about whether the financial statements are free of material misstatement, the Auditor will perform tests of the Municipality’s compliance with applicable laws and regulations and the provisions of contracts and agreements. However, the objective of the audit will not be to provide an opinion on overall compliance and the Auditor will not express such an opinion.

H. The Auditor shall also prepare the Annual Financial Statement, Annual Debt Statement, Annual Update Document, Justice Court Account Review and assist in preparing the budget, as requested. In this vein, the Auditor shall testify when required on the financial condition of the Municipality when in the opinion of the Municipality such testimony is required.

I. The Auditor shall also perform such non-audit services as may be agreed upon by the auditor and Municipality so long as such services do not violate independence standards set forth by the AICPA Code of Professional Conduct and Government Auditing Standards, issued by the Comptroller General of the United States.

Applicants’/Proposers’ Responsibility in Responding to Town Request For Qualifications

The applicant/proposer shall in response to the Town’s RFQ, at a minimum, include the following information:

A. Qualification requirements to compete for the needed service or activity as set forth in the “duties and responsibilities” of the position defined in the Town’s RFQ. Qualifications, at a minimum, shall include requirements defined as follows:

1. Full name and business address.

2. Listing of all post high school education of the applicant and/or members of a professional firm seeking to provide professional services as described within the body of the RFQ.

3. A listing of any professional affiliations or membership in any professional societies or organizations, with an indication as to any offices held.

4. The number of licensed professionals employed (if a professional firm) and/or affiliated with the professional entity seeking to provide services to the Town. A description of each individual’s qualifications, including education, Licensure and years of professional experience.

5. A listing of all previous Public Sector entities served by the applicant/proposer licensed professional including dates of service and position(s) held.

6. Proposed cost of the service(s) or activities, including the hourly rate of individuals who will perform the services or activities. The proposed cost should include:

a. Site visits and expenses

b. Expenses for travel, postage and telephone excluded from the hourly rate.

7. Insurance. The applicant/proposer, as a member of a profession which is subject to suit for professional malpractice, shall provide documentation that insurance for professional liability/malpractice coverage with limits as to liability acceptable to the Town of Yates.

8. Three (3) references from government clients, with full contact information for each, including address and valid phone numbers.

B. The applicant/proposer shall submit two (2) copies of his/her proposal to the attention of the Town Supervisor by February 1, 2019 for review and consideration by the Town Supervisor and Town Board.

Basis for Award of Contract/Agreement for Professional Services
The Town shall award all professional service contracts or agreements based on qualification, merit and cost competitiveness. Selection criteria will include:

1. Qualifications of the individual or firms who will perform the service or activity.

2. Experience and references.

3. Ability to perform the service or activity in a timely fashion, including staffing and the staff’s familiarity of the service or activity.

4. Cost Competitiveness.

5. The Town reserves the right to conduct an interview or interviews with the prospective professional to discuss the scope of the professional services as outlined in the applicant’s/proposer’s proposal.

6. All awards or waivers will be by resolution acted on by the Town Board at a Town meeting.

7. For annual appointments, the Town Board, Town Supervisor and Administrative staff will conduct a performance review a minimum of once per year in late November, early December.

8. All awards are subject to availability of funds.

9. This policy will include, but not be limited to, all of the above listed requirements.

Release Date:

December 10, 2018

Deadline for Submission

Proposals are due no later than 4:00 p.m. on February 1, 2019, and shall be directed to:

James J. Simon, Supervisor
Town of Yates
8 South Main Street 
PO Box 484
Lyndonville, NY 14098

Inquiries may be addressed to, (585)765-9716.


Request for Qualifications (RFQ)

Town of Yates, Orleans County, New York

Request for Qualifications (RFQ)
Bookkeeping Services

The Town of Yates is seeking proposals to establish a roster of qualified consultants to provide bookkeeping services to the Town Supervisor on an ongoing basis.

Under the direction of the Town Supervisor, the bookkeeper will assist the Supervisor and Town by providing professional services including, but not limited to:
• Inputting and coding cash receipts into system.
• Maintaining General ledger and reconciling bank accounts monthly.
• Submitting Reports to Board before Monthly Board meeting
• Processing both Biweekly and Monthly Payrolls and updating any payroll changes or new employees added.
• Preparing all W-2, W-3, 1099 and 1096 year end forms and send out.
• Preparing Payroll Quarterly 941 and NYS-45 reports for IRS and NYS.
• Completing all civil service requests for pink sheets on positions and salary changes
• Processing all Checks for Bills to be paid from board meeting and prepaids at month end.
• Submitting Monthly Retirement Reports to NYS Retirement system
• Assisting the Supervisor in completing Budget and input numbers into system.
• Working with auditors in sending reports for AUD and making any necessary journal entries.
• Generating reports for FOIL requests pertaining to financial information.

Form of Proposal:
Three copies of the following shall be provided:
• Letter of proposal indicating the consultant’s interest;
• Brief description of the firm’s or individual’s qualifications, principals, and areas of particular expertise; and
• A list of clients and relevant projects.
Please note: a fee quotation for professional services may be provided, but is not required.
The Town Supervisor will review all responses to this RFQ. The Supervisor may conduct interviews with one or more respondents. All respondents will be notified of the selection as soon as possible after the submission deadline.

Special Conditions:
• The Town of Yates reserves the right to reject any or all proposals; to negotiate any elements of a proposal; to conduct interviews at its sole discretion; and to solicit and/or select contractors outside of the scope of this RFQ;
• The Town of Yates assumes no responsibility or liability for costs incurred by respondents to this RFQ, including any requests for additional information, interviews, or negotiations; and
• All applicable State and Federal rules and regulations must be adhered to by the respondent including stipulations on equal opportunity employment, affirmative action, nondiscrimination, civil rights, Americans with disabilities, and record keeping.

The Town of Yates, in accordance with all applicable local, state and federal policies and regulations, will not discriminate on the basis of race, color, sex or national origin in considering the contractor to select.

Evaluation Criteria:
The Town of Yates shall select, in its sole discretion, the most qualified firm(s), based on the best value evaluation of the following criteria:
• Relevance of previous experience;
• Prior experience with the Town of Yates or comparable municipal entities;
• Demonstrated capacity to complete assignments and manage complex projects.
• Cost effectiveness of the negotiated rate of compensation.

Release Date:
December 4, 2018

Deadline for Submission
Proposals are due no later than 4:00 p.m. on December 18, 2018, and shall be directed to:
James J. Simon, Supervisor
Town of Yates
8 South Main Street
PO Box 484
Lyndonville, NY 14098

Inquiries may be addressed to, (585)765-9716.