Independent Auditing Services

The County of Wayne, NY is soliciting sealed proposals for Independent Auditing Services. Such proposals may be submitted electronically using the County’s eProcurement Portal at https://procurement.opengov.com/portal/co-wayne-ny-us OR by mail in a sealed envelope clearly identified and filed with the Clerk of the Wayne County Board of Supervisors, 26 Church Street, Lyons, New York 14489, on or before 2:00 pm prevailing time on 2:00 pm. Late responses will not be accepted.

Project Details

• Reference ID: 017-26
• Department: County Auditor
• Department Head: Kala Wood (County Auditor)

Important Dates

• Questions Due: 2026-04-09T19:00:00.000Z

Evaluation Criteria

• Cost and Fee Structure (150 pts) —

  Cost score will be calculated based on the Combined Lump Cost of all years of service. Hourly Rates for additional services will not be used in the calculation

• Reputation and professional qualifications of the specific individuals who are assigned to the project (100 pts)
• Experience providing similar services based on references of former and current clients (200 pts)
• Experience with GASB related presentations and successful strategies for the same (200 pts)
• Experience with Nursing Home (LTC) audits (150 pts)
• Proposed Work Plan to accomplish the required services as specified within the required timeframe (200 pts)

Submission Requirements

• Offeror Background —

  Please provide the following information regarding your Agency/Firm

• Federal ID Number: (required)
• Contact Information for Proposal Clarification (required) —

  Identify an individual who can be contacted for clarification on this proposal if different from the person submitting the proposal. Please include the Name, Title, Email, and Phone Number.

• Critical Team Members (required) —

  Identification of the critical project team (shown below), which shall be used by Offeror for the duration of the Contract resulting from this RFP.  These individuals cannot be removed or replaced, unless requested or approved to do so by the County.  

  The Project Manager:  this individual shall be the daily single-point-of-contact and the primary point of contact to resolve any issues, clarify cost, clarify schedule, and answer any questions.  This individual will be the project lead for the execution of this project for the entire duration of the project. Please include their name, title and contact information below.

• W-9 (required) —

  Please upload a copy of your W-9. Please ensure that all areas of the form are complete and the form is signed and dated

• Narratives/ Technical Response —

  Please either complete the response in the Long Text Response Boxes provided or as an attached file 

• Do you want to upload your proposal? (required) —

  Select no if you want to complete it in the system

• File Upload (required) —

  Please submit a response here 

• Narrative Regarding Offeror's Background and Experience (required) —

  The narrative should include the following:

  1. The proposal shall demonstrate the qualifications of the firm and the particular staff to be assigned to the engagement. 
  2. A detailed description of your organization’s experience with similar projects, including a listing of any current and completed projects within the last five (5) years for the same type of project and client names, any proposed project of this same type, and the client’s name.
  3. The proposer should state the size of the firm's governmental audit staff, the location of the office from which the work will be performed, and the number and nature of professional staff to be employed in this project on a full and part-time basis. 
  4. Proposers should provide information on the results of any federal or state desk or field reviews of their audits during the past three years. The proposers shall provide information on the circumstances and status of any disciplinary action taken or pending against their firm during the past three years by State regulatory bodies or professional organizations.
  5. A resume and biography for each staff member assigned to the audit, including a detailed description of qualifications and training. Please include specific references, experience, education, and training related to applicable GASB requirements for each individual assigned.
• Technical Narrative (required) —

  The Narrative should include the following:

  1. An auditor's approach to meet the request for proposal requirements. The proposal should address all points outlined in this request, and should be prepared simply and economically, providing a straightforward, concise description of the proposer's capabilities to satisfy the requirements of this request.

  2. A proposed work plan, which includes estimates for each major component of the audits by staff level and assignment. Please include a brief discussion of audit procedures to be employed in each major component of the audits. In developing the work plans, references should be made to such sources of information as the County Budget, related materials, organizational charts, manuals, programs, and financial and other management information systems. The type and extent of analytical procedures to be used should be included in the proposed plan, along with the approach that will be taken to gain and document an understanding of the County's internal control structure.

  3. Describe how you will fulfill the activity as identified in this RFP. Include a tentative time schedule.

  4. Please describe your firm’s ability to stay up to date on GASB statements and implement any required work related to GASB statements that are required to be adopted by the County during the term contracted with your firm.

  5. Describe how your firm would be able to assist and or complete the New York State AFR by the April 30th due date. Also, describe how you would do this if the audit field work has not been completed by the due date.

• Supplemental Information Upload
• Insurance Documentation Upload
• References —

  Vendor must identify three (3) related projects in size, complexity, scope, and technical environment in which the Offeror has provided similar services. For each project, provide the following:

  Point of Contact: (Name, Position, Company Address, Phone Number, Email)

  Scope of Services completed / in progress

  Length of Contract: (Dates of Services or Term length)

• Reference #1 (required)
• Reference #2 (required)
• Reference #3 (required)
• Required Forms
• Non-Collusion Certification (required) —

  By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid, each party thereto certifies to its own organization, under penalty of perjury, that to the best of its knowledge and belief:

  1. The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement for the purpose of restricting competition as to any matter relating to such prices with any other bidder or with any competitor.
  2. Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to opening, directly or indirectly, to any bidder or any competitor; and
  3. No attempt has been made or will be made by the bidder to induce any other person, partnership, or corporation to submit or not to submit a bid for the purpose of restricting competition.

  The signature of the Bidder to this Bid shall be deemed a specific subscription to the certificate required under Section 103-d of the General Municipal Law of the State of New York, and the Bidder affirms that the statements herein contained are true under the penalties of perjury.

• Certification Regarding Debarment, Suspension, and Responsibility (required) —

  The authorized representative submitting this Bid certifies, to the best of his/her knowledge and belief, that the Contractor and its principals: 

  1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency. 
  2. Have not within a three-year period preceding the proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or Local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; 
  3. Are not presently indicted or otherwise criminally or civilly charged by a government entity (Federal, State, or Local) with commission of any of the offenses enumerated in paragraph (2) of this certification; and 
  4. Have not, within a three-year period preceding the Agreement, had one or more public transactions (Federal, State, or Local) terminated for cause or default. 
• Disclosure Statement (required) —

  A disclosure statement should be provided by each firm stating whether the firm or employee was (1) ever found guilty of violating any laws, rules, or regulations relating to its services by a court or a Federal or State Agency or (2) was ever involved in any litigation related to its services

  Please respond to the following: Within the past five years, has the firm or any member been the subject of any of the following: (if the answer to any of the below questions is yes, select yes and describe in detail the circumstance of each affirmative answer; attach additional pages if necessary)

  1. A judgment of conviction for any business-related conduct constituting a crime under state or federal law?
  2. A grant of immunity for any business-related conduct constituting a crime under state or federal law?
  3. A federal or state suspension or debarment?
  4. A rejection of any bid for lack of qualification or responsibility?
  5. A Rejection of any proposed subcontract for lack of qualifications or responsibility?
  6. Any assessment of liquidated damages under any contract?
  7. A denial or revocation of prequalification?
  8. A prevailing wage or supplement payment violation that is deemed to be founded?
  9. A State Labor Law final determination for a violation deemed willful?
  10. Any criminal conviction concerning formation of, or any business association with, an allegedly false or fraudulent women’s or minority business enterprise?
  11. Any denial, decertification, revocation, or forfeiture of Women’s Business Enterprise or Minority Business Enterprise status?
  12. A consent order with the NYS Department of Environmental Conservation, or a federal, state, or local government enforcement determination involving a violation of federal or state environmental law? 
  13. Any bankruptcy proceeding?
  14. Any suspension or revocation of any business or professional license?
  15. Any determination of violations:
      1. Federal, state, or local health laws, rules, or regulations
      2. Unemployment insurance or workers' compensation coverage, or claim requirements
      3. Federal, state, or local human rights laws
• Please describe in detail any answers that are yes: (required)
• Please attach any additional documentation if necessary
• Certification of Compliance with the Iran Divestment Act (required) —

  As a result of the Iran Divestment Act of 2012 (the “Act”), Chapter 1 of the 2012 Laws of New York, a new provision has been added to State Finance Law (SFL) §165-a and New York General Municipal Law §103-g, both effective April 12, 2012. Under the Act, the Commissioner of the Office of General Services (OGS) will be developing a list of “persons” who are engaged in “investment activities in Iran” (both are defined terms in the law) (the “Prohibited Entities List”). Pursuant to SFL §165-a (3)(b), the initial list is expected to be issued no later than 120 days after the Act’s effective date, at which time will be posted on the OGS website. 

  By submitting a bid in response to this solicitation or by assuming the responsibility of a Contract awarded hereunder, each Bidder/Contractor, any person signing on behalf of any Bidder/Contractor and any assignee or subcontractor and, in the case of a joint bid, each party thereto, certifies, under penalty of perjury, that once the Prohibited Entities List is posted on the OGS website, that to the best of its knowledge and belief, that each Bidder/Contractor and any subcontractor or assignee is not identified on the Prohibited Entities List created pursuant to SFL §165-a(3)(b). 

  Additionally, Bidder/Contractor is advised that once the Prohibited Entities List is posted on the OGS Website, any Bidder/Contractor seeking to renew or extend a Contract or assume the responsibility of a Contract awarded in response to this solicitation must certify at the time of the Contract is renewed, extended, or assigned that it is not included on the Prohibited Entities List. 

  During the term of the Contract, should the County receive information that a Bidder/Contractor is in violation of the above-referenced certification, the County will offer the person or entity an opportunity to respond. If the person or entity fails to demonstrate that he/she/it has ceased engagement in the investment which is in violation of the Act within 90 days after the determination of such violation, then the County shall take such action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Bidder/Contractor in default. 

  The County reserves the right to reject any bid or request for assignment for a Bidder/Contractor that appears on the Prohibited Entities List prior to the award of a contract and to pursue a responsibility review with respect to any Bidder/Contractor that is awarded a contract and subsequently appears on the Prohibited Entities List.

• Certification Regarding Lobbying (required) —

  The authorized representative certifies, to the best of his or her knowledge and belief, that: 

  1. No federal appropriated funds have been paid or will be paid, by or on behalf of the Undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 

  2. If any funds other than federal appropriated funds have been paid or will be paid to any Person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. 

  3. The undersigned shall require that the language of this certification be included in the award documents for all* sub-awards at all tiers (including sub-contacts, sub-grants, and Contracts under grants, loans, and cooperative agreements) and that all* sub-recipients shall certify and disclose accordingly. 

  This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

• Individual, Corporate, Partnership or LLC Acknowledgment (required) —

  Please download the below documents, complete and have notarized. An online notarization option will be provided for you when responding.

• COST PROPOSAL —

  The Offeror is required to provide a clear breakdown in this Pricing Table.  The Offeror’s Total Project Cost shall include the cost for everything that is necessary to meet the intent of the County as described in this RFP, including, but not limited to:  materials, products, labor, subcontractors, suppliers, equipment, applicable taxes, fees, overhead, profits, travel, direct and indirect costs, etc.

  The authorized representative proposes to furnish and deliver the services described in the Specifications and its responding Proposal to the County of Wayne, at the prices stated in the Proposal submitted. The individual submitting this Proposal on behalf of the business entity noted above, certifies with their submittal that:

  • They understand and have complied with the requirements of State Finance Law Sections 139-j and 139-k and will continue to do so throughout the Restricted Period.
  • They have read and understood the full Request for Proposal cited above; and
  • They are duly authorized to submit this Proposal on behalf of the business entity noted above.

  Additionally, by submission of this RFP, the person submitting on behalf of the business entity noted above certifies, and in the case of a joint quote each party thereto certifies as to its own organization, under penalty of perjury, that the business entity submitting this quote has and has implemented a written policy addressing sexual harassment prevention in the workplace and provides annual sexual harassment prevention training to all of its employees.  Such policy shall, at a minimum, meet the requirements of Section 201-g of the New York State Labor Law.

• Cost Proposal (required) —

  Please download the below documents, complete, and upload.

• Statement of Certifications and Assurances (required) —

  The Offeror does hereby, expressly affirm, declare, confirm, certify, and assure ALL of the following:

  1. The Offeror has thoroughly reviewed this RFP, contract documents, including the sample agreement, and all pertinent appendices, exhibits, and attachments included as part thereof, and we fully understand all elements required for the full completion of the project as defined therein.  

  2. The Offeror further certifies that, if selected as the successful firm, we will enter into the contract agreement included with this RFP.  

  3. The prices in his Proposal have been arrived at independently without collusion, consultation, communication, or agreement to restrict competition as to any matter relating to such prices with any other firm or with any other competitor.

  4. The Prices quoted in his Proposal have not been and will not be knowingly disclosed directly or indirectly by the respondent to any other firm or competitor prior to the final date and time for submission of such proposal.

  5. No attempt has been made or will be made by the respondent to induce any other person, partnership, or corporation to submit or not to submit a proposal to restrict competition.

  6. The Response submitted in response to the RFP shall remain valid for at least 60 days subsequent to the date of the Response opening and thereafter in accordance with any contract pursuant to the RFP.

  By confirming below, the signatory certifies legal authority to bind the responding entity to the provisions of this RFP and any contract awarded pursuant to it.  The Owner may, at its sole discretion and at any time, require evidence documenting the signatory’s authority to be personally bound or to legally bind the responding entity.

• How do you want to collect pricing? (required) —
  • Choose Option 1 when you have set line items, for example:
    • This is a quote for goods or commodities.
    • This is a public works bid, with a pricing table that can be uploaded into OpenGov Procurement from an Excel spreadsheet.
    • Seeking services for hourly rate schedules.
  • Choose Option 2 when you need vendors to provide you with the line items. 
• Award Method (required) —

  Is cost the only factor for the award? Select Yes for a Bid (Commodities, Goods, Non-Professional Services, Construction Work), No for an RFP, Request for Competitive Offer

• Bid Bond? (required) —

  Is a Bid Bond required?

• Performance, Labor and Material Payment Bonds? (required) —

  are surety bonds required 

• Piggybackable (required) —

  Do you want the results to be able to be used by other municipal entities? 

• Contract Term? (required) —

  Please select a contract term

• Is this subject to Prevailing Wages? (required) —

  Public Works projects require Prevailing Wages to be paid for Article 8 (Construction Trades) and Article 9 (Building Services)

• PRC Number (required) —

  What is the PRC Number for the Project

  A PRC number can be obtained from the New York State Department of Labor and must be provided to contractors on a project

• Article 8 or Article 9 (required) —

  Article 8 projects require bid submissions to be physical (hardcopy) only. Article 9 may be submitted physically or electronically 

• Insurance (required) —

  What is the the category for insurance requirements 

• Excess/Umbrella Coverage Required (required) —

  Choose the amount of Excess/Umbrella Coverage required 

• Professional Liability (Errors & Omissions) (required) —

  Is Professional Liability Coverage Required?

  If the contractor &/or subcontractor will provide or furnish professional services under this contract, through a delegation of professional design services or otherwise, then the Contractor & subcontractor shall be responsible for purchasing and maintaining applicable professional liability insurance

• Cyber Liability (required) —

  Is Cyber Liability Coverage required?

  It is required when any business has access to county systems, where there is a potential to access or handle county-protected data (PII, financial info, etc.)

• Excess/Umbrella Coverage (required) —

  Choose the amount of Excess/Umbrella Coverage required 

• Contractors' Pollution Liability (required) —

  Is Contractors' Pollution Liability required?

  All contractors, including prime & subcontractors performing any work that could create a pollution condition, poor air quality, hazardous materials exposure, lead, mold, pesticides, tank removal/installation, etc., are required to provide Contractors Pollution Liability coverage. 

• Environmental Contractors Liability (required) —

  Is Environmental Contractors Liability coverage required?

  Environmental Contractors Liability is required if work includes asbestos, lead abatement, mold remediation &/or hazardous materials.  All contractors, including prime & subcontractors, handling environmental exposures are required to provide this coverage. 

• Owner and Contractors Protective (OCP) Liability (required) —

  Is OCP coverage required?

  Include upon recommendation of the County Insurance Provider

• Installation Floater (required) —

  Is an Installation Floater required?

  Include upon recommendation of the County Insurance Provider

• Railroad Protective Liability (required) —

  Is Railroad Protective Liability coverage required?

  Required if any construction or demolition operations are being performed on or within 50 feet of any railroad property, railroad bridge, trestle, track, roadbed, tunnel, underpass, or crossing.

• Pre-Proposal Meeting? (required) —

  Is a pre-proposal meeting required or necessary?

• Please provide the date for vendors to schedule a site visit by: (required) —

  Format: "If interested in a Site Visit please contact the person below no later than Site Visit Request Date."

  Example: 2/11/2026

• Point of Contact Name: (required)
• Point of Contact Title: (required)
• Point of Contact Phone #: (required)
• Point of Contact Email: (required)
• Pre-Proposal Zoom Link: (required)