Sources-Sought-RFI-docx.pdf

RFI REQUESTING SOURCES SOUGHT AND CAPABILITY STATEMENTS for

Financial, Audit, Compliance and Risk Analysis Services

THIS IS A SOURCES SOUGHT NOTICE ONLY. This is not a request for offers, quotes or proposals. This notice does not represent a commitment by the Government to issue a solicitation or award a contract. This is a market research tool only to determine the capability of potential sources.

The Department of Housing and Urban Development (HUD) is contemplating establishing a contract under NAICS Code(s) 541211, Office of Certified Public Accountants, and the Small

Business Standard is $20.5 million, PSC Code R704, Support-Management: Auditing, for

Financial, Audit, Compliance and Risk Analysis Services and is issuing this Request For

Information (RFI) in order to solicit responses from capable sources and capability statements to ensure sufficient competition exists to meet the Government’s requirements.

Firms should be 8(a) Contractors/Participants.

Please review the draft performance work statement (PWS) and provide your feedback to

Danielle Boseman (CS) at danielle.e.boseman@hud.gov. Please call Danielle Boseman at

(202) 402-7316 if there are questions.

BACKGROUND

The Department of Housing and Urban Development, Office of Single-Family Housing

(OSFAM) requires the services of a Certified Public Accounting firm. The Contractor shall provide attest and non-attest services to include providing compliance reviews and monitoring, quality control testing and evaluation, internal control evaluations, and reviews compliant with the Departmental Management Control Program (Handbook 1840.1). The Contractor shall assist

OSFAM with assessing the internal control structure for managing the risk of improper payments in disposing of HUD single-family program properties.

The current firm-fixed price contract is awarded to Castro and Company.

DEFINITIONS

Business/Work Days - Every official work day of the week which are days between and including Monday to Friday. This does not include public holidays and weekends.

Calendar Day - Any day of the week.

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Contractor - A supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

Contracting Officer (CO) - A person with authority to enter, administer, and/or terminate contracts and make related determinations and findings on behalf of the Government. Note: the only individual who can legally bind the Government.

Contracting Officers Representative (COR) - An employee of the U.S. Government appointed by the Contracting Officer to perform contract administration activities regarding technical issues. This individual has authority to provide technical direction to the Contractor if direction is within the scope of the contract, does not constitute a change and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

Defective Service - A service output that does not meet the standard of performance associated with the Performance Work Statement.

Deliverable - Anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

Government Furnished Property (GFP) - Government-furnished property means property in the possession of, directly acquired by, the Government and subsequently furnished to the

Contractor for performance of a contract. Government-furnished property includes, but is not limited to, spares and property furnished for repair, maintenance, overhaul, or modification.

Government-furnished property also includes contractor-acquired property if the contractor-acquired property is a deliverable under a cost contract when accepted by the Government for continued use under the contract.

Performance Requirements Summary (PRS) - A listing of the performance requirements under the contract that are to be evaluated by the Government on a regular basis, performance indicators for these requirements, performance standards for these requirement and surveillance methods to be used to determine if performance standards are met.

Performance Standard - The Contractor's performance level required by the Government.

Performance Work Statement (PWS) A statement of work for performance-based acquisitions that describe the required results in clear, specific and objective terms with measurable outcomes.

Physical Security - Actions that prevent the loss or damage of Government property.

Quality Assurance (QA) - Policies and procedures adopted by the Government to ensure that supplies and services acquired under Government contracts conform to the contracts quality requirements.

Quality Assurance Surveillance Plan (QASP) - A plan describing how the agency shall survey, observe, test, sample, evaluate and document the contractor’s performance in meeting critical performance standards identified in the contract.

Quality Control (QC) - All necessary measures taken by the Contractor to assure that the quality of a product of service shall meet contract requirements.

Service Contract - A contract that directly engages the time and effort of a Contractor whose primary purpose is to perform an identifiable task rather than to furnish an end item of supply.

Subcontractor - Any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, material, equipment, or services of any kind under a prime contract or a subcontract entered about such prime contract, and any person who offers to furnish or furnishes general supplies to the prime contractor or a higher tier subcontractor. The Government does not have privity of contract with a subcontractor.

Work Day - The number of hours per day the Contractor provides services in accordance with the contract.

Work Week - Monday through Friday, unless specified otherwise.

GENERAL DESCRIPTION OF WORK

OSFAM requires the services of a Certified Public Accounting firm to ensure that all financial transactions and programs are performed in accordance with HUD-established directives and federal regulations. The Contractor shall provide attest and non-attest services to include providing compliance reviews and monitoring of policies and programs, quality control testing and evaluation of OSFAMs program and transactions, internal control evaluations of processes, and reviews of OSFAMs programs to determine if programs are compliant with the

Departmental Management Control Program (Handbook 1840.1). The Contractor shall perform the services described in section, as requested/ordered by HUD.

The Contractor shall use internal HUD data, external industry data, and any other information the

Contractor and HUD agree is valid to evaluate program performance/compliance in terms of meeting Departmental goals while minimizing opportunities and incidences of waste, fraud, and abuse. The Contractor shall make field visits to Contractors within the M&MIII structure to include but, not be limited to: mortgagee compliance manager, field servicer manager, and asset manager. The Contractor shall also make field visits to the HOCs to conduct procedural and file reviews necessary to ensure that HOCs are following prescribed guidelines for program administration and to measure the effectiveness of internal controls. During its HOC reviews, the Contractor shall use data mining, recovery auditing, and other techniques deemed appropriate by the Contractor and HUD to conduct comprehensive analyses needed to ensure proper corrective actions are taken, if necessary.

CONTEMPLATED PERFORMANCE METRICS

All deliverables shall be reviewed at 100%.

CONTEMPLATED REPORT REQUIREMENTS

The deliverables will be various reports that will be prepared in accordance with agreed upon procedures report pursuant to AICPA guidelines.

CONTEMPLATED MAGNITUDE OF THE PROJECT

$3M to $4M

CONTEMPLATED PLACE OF PERFORMANCE

Performance of the tasks outlined in the PWS shall be performed at the Vendor’s office and at various HUD offices, such as HQ’s, HOC’s, and the NSC.

RESPONSE REQUESTED

8(a) Contractors/Participants are encouraged to respond.

This synopsis is a market research tool being used to determine the availability and capability of potential sources prior to determining the method of acquisition and whether the Government will proceed with this acquisition. The Government will not pay for any information solicited.

If a contract is ultimately pursued, responses to this synopsis will be used to aid in determining whether the acquisition is set-aside for small business or in establishing small business subcontracting goals. All qualified 8(a) firms are encouraged to respond.

The capability statement shall address, at a minimum, the following for the past three years:

1. Name and address of company and or companies (if there is a teaming arrangement or joint venture);

2. Technical expertise relevant to the requirement;

3. Technical approach relevant of the requirement (1 to 2 paragraphs);

4. Management approach relevant to the requirement (1 to 2 paragraph);

5. Corporate experience relevant to the requirement (1 to 2 paragraph);

6. Indicate if you are a small business or any other socio-economic categories that apply to your firm under the designated NAICS code;

7. Whether you have had unequal access to any information relevant to the acquisition that could provide an unfair competitive advantage;

8. Relevant past performance. Your capability statement needs to include a list of three customers (Government/non-Government) within the past three (3) years highlighting similar work in nature, scope, complexity, and difficulty and a brief description of the scope of work. Your submission for relevant past performance must include for each customer:

• Contract name;

• Contracting Agency or Department, POC and contact information;

• Yearly contract value (in $$);

• Whether your firm was the prime or a subcontractor;

• Period of performance;

• Description of work and how it relates to the requirements.

Interested firms responding to this market survey must provide a capability statement demonstrating their experience, skills and capability to fulfill the Governments requirements for the above. The capability statement shall be in sufficient enough detail, but not exceed 6 pages

TOTAL, so that the Government can determine the experience and capability of your firm to provide the requirements above. Please specify one primary and one alternate Point of Contact

(POC) within your firm, including telephone numbers and email addresses in case clarifications of your submission are needed.

Only electronic copies of capability statements will be accepted and should be emailed to danielle.e.boseman@hud.gov. The e-mail shall contain the following subject line: Response to

Sources Sought Notice – Financial, Audit, Compliance and Risk Analysis Services. The

Government may use the responses received to determine whether to proceed with the acquisition as a set-aside, or in the absence of a least two small business responses to this notice, may determine to proceed with a full and open competition. This decision and whether to proceed with the acquisition is at the sole discretion of the Government.

All interested contractors should submit their capability statements by Friday, March 1, 2019 by 2:00 PM Eastern Daylight Time, Attention: Danielle Boseman. Late responses will not be considered.

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