Professional_Auditing_Services.pdf

REQUEST FOR PROPOSALS (RFP)

2101-RFP

PROFESSIONAL AUDITING SERVICES

City of Rock Hill

757 S. Anderson Road, Building 103

Rock Hill, SC 29730

RELEASE DATE: April 2, 2026

DEADLINE FOR QUESTIONS: April 28, 2026

RESPONSE DEADLINE: May 5, 2026, 2:00 pm

RESPONSES MUST BE SUBMITTED ELECTRONICALLY TO:

https://procurement.opengov.com/portal/cityofrockhill

City of Rock Hill

REQUEST FOR PROPOSALS (RFP)

2101-RFP

Professional Auditing Services

I. Introduction II. Request for Proposals

III. Scope of Work IV. Terms & Conditions V. Local Purchasing

VI. Evaluation VII. Vendor Questionnaire

Attachments:

A - SAMPLE Agreement for Goods & Services

B - Schedule of Professional Fees and Expenses

C - Proposer Guarantees

D - Proposer Warranties

Request for Proposals (RFP) #2101-RFP Title: Professional Auditing Services

1. Introduction

1.1. Summary

The City of Rock Hill, South Carolina ("City") is seeking proposals from qualified companies to provide professional auditing services by certified public accountants for the fiscal year ending June 30, 2027, with the option of auditing its financial statements for each of the three (3) subsequent fiscal years.

The audit will encompass a financial and compliance examination of the City's Annual Comprehensive

Financial Report (ACFR) in accordance with the laws and/or regulations of the State of South Carolina.

The financial and compliance audit will cover federal, state, and local funding sources in accordance with generally accepted auditing standards: Government Auditing Standards, July 2011 revisions; the Single

Audit Act of 1984; the Single Audit Act Amendments of 1996; the provisions of Title 2 U.S. Code of

Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards (Uniform Guidance), and all other applicable laws and regulations.

1.2. Background

The City serves an area of approximately 44 square miles with a population of 75,654. The City's fiscal year begins on July 1 and ends on June 30.

The City provides the following services to its citizens:

A. Residential and commercial sanitation

B. Water, sewer, electric, and storm water management services

C. Police and fire protection

D. Parks, recreation, and tourism services

The City has a total payroll of approximately $100 million covering roughly 1,000 full-time employees.

More detailed information on the government and its finances can be found in annual budgets, annual comprehensive financial reports, and official statements available online at Financial Reports | Rock Hill, SC

1.3. Contact Information

Sarah Kesler

Procurement Analyst

Email: sarah.kesler@cityofrockhill.com

Phone: (803) 329-7070

Department:

Finance https://www.cityofrockhill.com/government/government-transparency-performance/reports/financial-reports https://www.cityofrockhill.com/government/government-transparency-performance/reports/financial-reports mailto:sarah.kesler@cityofrockhill.com tel:(803)329-7070

1.4. Timeline

Solicitation Release Date April 2, 2026

Question Submission Deadline April 28, 2026, 4:00pm

Proposal Submission Deadline May 5, 2026, 2:00pm

The City of Rock Hill's eProcurement Portal only.

NOTE: The proposal opening is virtual. No in-person meeting will be held.

2. Request for Proposals

PROJECT: Professional Auditing Services

RFP Number: 2101-RFP

Proposal DUE DATE: Tuesday, May 5, 2026 before 2:00 pm

2.1. General Information

Electronic submissions will be received by the Procurement Division of the City of Rock Hill, South

Carolina via the City's eProcurement Portal up to but not later than the published date and time. The eProcurement Portal clock is the official timekeeper for determining all deadline dates and times.

Without exception, responses will not be accepted after the submission deadline, regardless of any technical difficulties, such as poor internet connections. The City strongly recommends completing your response well ahead of the deadline.

2.2. No Pre-Proposal Meeting

There will be no pre-proposal meeting for this project. Companies are expected to fully inform themselves as to the conditions, requirements, and specifications necessary to submit a proposal.

2.3. Purpose

The City of Rock Hill, South Carolina is seeking proposals from qualified companies to provide the City with Professional Auditing Services by certified public accountants for the fiscal year ending June 30, 2027, with the option to audit the City’s financial statements for each of the three subsequent fiscal years. These audits are to be performed in accordance with the provisions contained in this Request for

Proposals.

The initial term of the resulting agreement is one (1) year. The anticipated start date is July 1, 2026 with three (3) one-year options, if renewals are exercised. The Finance Department is responsible for this project.

2.4. Competition Intended

The process of responding to this Request for Proposals (RFP) should involve interested companies reviewing and analyzing the information provided herein and responding to all items where a response is requested.

2.5. Definitions

Proposer/Company/Vendor/Contractor/Supplier: These terms are used to encompass the party seeking to have an agreement with the City of Rock Hill.

City: This term is defined as the City of Rock Hill, South Carolina. All communications relating to the procurement process or the resulting purchase should be directed to the City’s Procurement Office.

Purchase: This term means the agreement to be executed by the City and the successful company.

2.6. Discrepancies and Questions

Companies shall have no contact related to this project with the City of Rock Hill elected or appointed officials or employees during the solicitation process, other than the contact person specified within this solicitation. Any such contact will subject the Company to immediate disqualification for consideration for this project.

Should the Company have questions, find discrepancies in the plans and/or specifications, or be in doubt as to the meaning or intent of any part thereof, the Company shall request clarification from the City via the eProcurement Portal, not later than 4:00 pm on Tuesday, April 28, 2026.

All questions will be answered, and any changes will be communicated through an addendum posted on the City’s eProcurement Portal. As a registered Company, you will also receive addenda notifications in your email by clicking “Follow” on this project. It is the Company's responsibility to check the website for this information before submitting. Failure to request such clarification is a waiver of any claim by the

Company for additional expenses because its interpretation was different from the City’s.

2.7. Proposer's Minimum Qualification

A qualified company is defined for this purpose as one that meets, or by the date of proposal acceptance can meet, all requirements for licensing, insurance, and service contained within this

Request for Proposals.

2.8. Proposal Preparation

All proposal responses shall be:

1. Prepared and submitted electronically via the City's eProcurement Portal by an authorized company representative.

2. Each proposal constitutes an offer and may not be withdrawn except as provided herein. Prices are to remain firm for the period stated in the Request for Proposals.

3. Each proposal shall include the name, address, telephone number, and e-mail address of at least three (3) current customers for whom they have provided similar products or services. These references may be contacted, and if so, their responses may constitute a significant part of the proposal evaluation process.

4. The City of Rock Hill assumes no responsibility for costs incurred in responding to this Request for

Proposals.

2.9. Proposal Submission

Proposals must be received before 2:00 pm on Tuesday, May 5, 2026 to be considered.

The City assumes no responsibility for late proposals. No proposal may be withdrawn for a period of sixty (60) calendar days after the date set for the opening thereof unless approved in writing by the

Procurement Manager. All proposals must be approved by the Rock Hill City Manager and the department(s) in charge of the project. Failing an agreement, the City may reject all proposals and resubmit for new proposals or make any other decisions it deems to be in its own best interest.

The e-Procurement Portal uses an 'electronic lock box' system to receive and protect all Company responses. Only the Company can see that they have submitted a response and the information contained in that response. The Company may withdraw its submission and resubmit anytime until the due date and time. Once the submission phase has ended, the City can view the proposals and begin the evaluation of all received.

https://procurement.opengov.com/portal/cityofrockhill

2.10. Availability of the e-Procurement Portal

All responses to the Solicitation must be submitted electronically through the e-Procurement Portal.

Should there be any technical issues with the Portal (not user/Supplier issues) that prevent any Supplier from submitting a response within the two (2) hours immediately before the due time, the Solicitation due date and time shall be extended for a period of 24 hours. The technical issue must be with the

Portal provider (OpenGov) and affects all participating Suppliers. The City shall verify the technical issue or unavailability of the Portal with OpenGov, the system provider. Technical issues localized to a single supplier will not be considered a cause for an extension.

The e-Procurement Portal will not allow submissions after the established due date and time have passed.

2.11. Errors in Proposal

Proposers or their authorized representatives are expected to fully inform themselves as to the conditions, requirements, and specifications before submitting proposals. Failure to do so will be at the company's own risk. In case of an error in the extension of prices in the proposal, the unit price shall govern. If an error is made before submitting the proposal, the company may withdraw its proposal electronically through the City's eProcurement Portal and may resubmit prior to the stated proposal submission deadline. The City reserves the right to waive any informalities, technical defects, and minor irregularities in proposals received.

2.12. Award Criteria

The award shall be made to a company that submits the highest-scoring proposal, taking into consideration product or service quality, past performance, and compliance with the stated terms, conditions, and specifications. Notwithstanding the foregoing, the City of Rock Hill reserves the right to reject any or all proposals, to accept any proposal submitted, waive any informality, and negotiate with the low Proposer(s) on any changes that the City of Rock Hill considers necessary or desirable for its own interests. The City alone shall make such determination.

Should the City identify the lowest bid as an Abnormally Low Bid (ALB) in accordance with the City's own internal guidance, the City may request the Vendor to provide information or an explanation in support of what appears to be an ALB. Should the City believe the Vendor cannot fulfill the requirements of an

Awarded Contract for the amount of the offer, the City may disqualify the submission.

In addition, the City of Rock Hill's Procurement Policies and Procedures Manual, as amended or supplemented from time to time, is hereby incorporated by this reference and shall apply to this

Request for Proposals. The City reserves all alternatives, terms, and conditions as set forth therein.

2.13. Compliance with Laws

The successful Proposer shall obtain and maintain all licenses, permits, liability insurance, and workers' compensation insurance, and comply with all other standards or regulations required by federal, state, county, or City statutes, ordinances, and rules during the performance of any purchase between the company and the City. Any such requirement specifically outlined in any purchasing document between the company and the City shall be supplementary to this section and not in substitution thereof.

2.14. Suspension and Debarment

The Proposer certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal, state, or local agency. Where the Proposer is unable to certify any of the statements in this certification, such Offeror shall attach an explanation to this proposal.

2.15. Subcontractors

The awarded Company agrees that it shall not delegate, subcontract, or assign all or any portion of the project to any third party without the express written consent of the City.

2.16. Brand Name

The use of a brand name is for the sole purpose of describing the standard of quality, performance, and a characteristic desired, and is not intended to limit or restrict competition.

2.17. Retainage

The City reserves the right to hold up to 10% of the invoice amount in retainage to ensure that the project, materials, and services are delivered to the City’s satisfaction. All retainages will be paid when all issues, in the sole opinion of the City, have been resolved, and retainage may be held until the project completion.

2.18. Local Providers

Proposers should keep in mind the City’s goal of supporting local businesses and supply houses for materials and labor whenever practicable, so long as pricing and other contract conditions are not adversely affected.

2.19. Proposal Submission

The following material is required to be received by Tuesday, May 5, 2026 at 2:00 pm for a proposing firm to be considered:

I. Title Page

A title page showing the following:

a. Request for Proposals subject;

b. the firm's name;

c. the name, address, telephone number, and email address of the contact person;

d. the date of the proposal.

II. Table of Contents

III. Transmittal Letter

A signed letter for transmittal briefly stating the proposer's understanding of the work to be done, the commitment to perform the work within the given time period, a statement of why the firm believes itself to be the best qualified to perform the engagement, and a statement that the proposal is a firm and irrevocable offer for sixty (60) days.

IV. Technical Proposal

A detailed proposal that follows the list of requested information in Section 2.20 of this Request for Proposals.

V. Completed copy of the Schedule of Professional Fees and Expenses form, attached to this Request for

Proposals (Attachment B).

VI. Executed copies of the Proposer Guarantees and Proposer Warranties, attached to this Request for

Proposals (Attachments C and D, respectively).

2.20. Technical Proposal Format

General Requirements

The purpose of the Technical Proposal is to demonstrate the qualifications, competence, and capacity of the firms seeking to undertake an independent audit of the City in conformity with the requirements of this Request for Proposals. As such, the substance of proposals will carry more weight than their form or manner of presentation. The Technical Proposal should demonstrate the qualifications of the firm and the managing staff to be assigned to this engagement. It should also specify an audit approach that will meet the Request for Proposals requirements.

The Technical Proposal should address all points outlined in the Request for Proposals. The proposal should be prepared simply and economically, providing a straightforward, concise description of the proposer's capabilities to satisfy these requirements. While additional data may be presented, the following subjects, items 1 through 6, must be included. They represent the criteria against which the proposal will be evaluated.

1. Independence

The firm should provide an affirmative statement that is independent of the City as defined by generally accepted auditing standards, the U.S. General Accounting Office's Government Auditing

Standards. The firm should also provide an affirmative statement that is independent of all the component units of the City as defined by those same standards.

2. License to Practice in South Carolina

An affirmative statement should be included that the firm and all assigned key professional staff are properly registered or licensed to practice in the State of South Carolina.

A City of Rock Hill business license will be required of the awarded firm during the time it is conducting the audit in Rock Hill, but it is not required at the time of submission to this Request for Proposals.

3. Firm Qualifications and Experience

The firm should state its size, the location of the office from which the work on this engagement is to be performed, and the number and nature of the professional staff to be employed in this engagement on a full-time basis, as well as the number and nature of the staff to be so employed on a part-time basis.

If the firm is a joint venture or consortium, the qualifications of each firm comprising the joint venture or consortium should be separately identified, and the firm that is to serve as the principal auditor should be noted, if applicable.

The firm is also required to submit a copy of the report on its most recent external quality control review, with a statement on whether that quality control review included a review of specific government engagements.

The firm shall also provide information on the results of any federal or state desk reviews, or field reviews, of audits performed by its office during the past three (3) years. In addition, the firm shall provide information on the circumstances and status of any disciplinary action taken or pending against its office during the past three (3) years with state regulatory bodies or professional organizations.

4. Partner, Supervisory, and Staff Qualifications and Experience

Identify the principal supervisory and management staff, including engagement partners, managers, and other supervisors and specialists who would be assigned to the engagement.

Indicate whether each such person is registered or licensed to practice as a certified public accountant in the State of South Carolina. Provide information on the government auditing experience of each person.

Engagement partners, managers, and other supervisory staff and specialists may be changed if those personnel leave the firm, are promoted, or assigned to another office. However, in any case, the City retains the right to approve or reject replacements.

Consultants and firm specialists mentioned in response to this Request for Proposals can only be changed with the express prior written permission of the City, which retains the right to approve or reject replacements.

Other audit personnel may be changed at the discretion of the proposer, provided that replacements have substantially the same or better qualifications or experience.

5. Similar Engagements with Other Government Entities

List the most significant engagements (maximum 5) performed in the last five (5) years that are similar to the engagement described in this Request for Proposals. Note any experience with utility enterprise fund accounting and auditing. Indicate the scope of work, date, engagement partners, and the name, telephone number, and email address of the principal client contact.

6. Specific Audit Approach

The proposal should briefly set forth a work plan, including an explanation of the audit methodology to be followed to perform the services required in Section 3 of this Request for

Proposals, including the level of staff and number of hours to be assigned to the major segments of the engagement.

3. Scope of Work

The City will be including in its financial statements an Annual Comprehensive Financial Report

(“ACFR”). The auditor is to provide an audit report on the fair presentation of that set of financial statements sufficient to satisfy the requirements of the Government Finance Officers Association’s

Certificate of Achievement Program and in a form that complies with the AICPA’s definition of the appropriate form of the independent auditor’s report for audits of GASB 34 governments as defined in its current edition of Audits of State and Local Government Units. The audit must also cover the City’s

Schedule of Expenditures of Federal Awards, which may be included in the ACFR or issued separately.

3.1. City of Rock Hill Information

A. Fund Structure

The City uses the following fund types and account groups in its financial reporting:

Fund Type/Account Group Number of Individual

Funds

Number with Legally

Adopted Annual Budgets

General fund 1 1

Special revenue funds 3 -

Capital projects funds 16 1

Enterprise funds (including bond construction funds)

10 6

Permanent fund 1 -

B. Budgetary Basis of Accounting

The City prepares both the general fund and utility enterprise fund budgets on the modified accrual basis, which is consistent with the basis of accounting for its general fund, but not for its utility enterprise fund, for which the full accrual basis of accounting is used. The City Council does not routinely adopt budget amendments.

C. Federal and State Financial Assistance

During the fiscal year to be audited, the City will likely receive over $20 million in federal financial assistance from eight to ten federal agencies (some of which pass through various State agencies). Typically, two or more grant programs will qualify as Major Federal Financial Assistance

Programs.

D. Pension and OPEB Plans

The City participates in the following pension plans:

1. South Carolina Retirement System (SCRS) and South Carolina Police Officers Retirement

System (PORS), both of which are defined benefit cost-sharing multiple-employer public employee retirement systems. Actuarial services for these plans are provided by the South

Carolina Public Employee Benefit Authority (PEBA).

2. International City Managers Association Section 457 Deferred Compensation Plan (for certain prior City Managers and City Council Members only) and Section 401(a) plan, open to all employees.

3. South Carolina Deferred Compensation Commission 401(k) and 457 Plans, open to all employees.

The City has contracted with an actuary to calculate its future liabilities for the cost of post-retirement health care benefits. Additionally, the City has joined the SC Other Retirement

Benefits Employer Trust (SC ORBET) and makes annual contributions into the Trust.

E. Component Units

The City is defined, for financial reporting purposes, in conformity with the Governmental

Accounting Standards Board's Codification of Governmental Accounting and Financial Reporting

Standards, Section 2100. Using these criteria, a component unit is included in the City's financial statements.

City management identified the following component unit for inclusion in the City's financial statements:

The Housing Development Corporation of Rock Hill is an organization charged with providing safe and affordable housing to low- and moderate-income citizens. This organization has a July to June fiscal year.

This component unit is to be audited as part of the audit of the City's financial statements.

Additionally, separate financial statements are issued for the component unit, and a separate audit opinion on those statements is required. All records for the organization are maintained by

City staff and are kept on City premises.

The management of the City has determined that the following potential component units should not be included in the City's financial statements for the following reasons:

1. Rock Hill Economic Development Corporation - No significant influence over operations, no fiscal dependency on the City, no significant financial benefit or burden relationship with the

City.

2. Rock Hill Housing Authority - No significant influence over operations, no fiscal dependency on the City, no significant financial benefit or burden relationship with the City.

F. Joint Ventures

The City does not participate in joint ventures with other governments.

G. Magnitude of Finance Operations

The Finance Department is headed by Maddison Wilkerson and consists of 33 employees. The principal functions performed, and the number of employees assigned to each function, are as follows:

Administration

Accounting

Utility, Customer Service, and Collections

H. Computer Systems

Most of the City's general ledger, accounts payable, payroll, and fixed assets accounting presently run in a client-server environment using Financial and Utility billing software from Cayenta, a subsidiary of Harris Computer, both based in Canada. The systems have been in place for over 25 years and are operated by the City's Information Technology Department. Some minor internally written software packages are still used.

I. Internal Audit Function

The City does not, at present, maintain an internal audit function.

J. Availability of Prior Audit Reports and Working Papers

Interested proposers who wish to review prior years' audit reports can view several prior year

ACFRs on the City's website, found here: Financial Reports | Rock Hill, SC

K. Special State Reporting Requirements

SC Code of Laws Section 14-1-208 requires that the annual audit include a review of accounting controls over court assessments and further requires the City to include, in its audited financial statements, a supplementary schedule detailing the disposition of court assessments and amounts required to be used for victim services activities. The law requires that the schedule be included in the external auditor's report by an "in relation to" paragraph as required by generally accepted auditing standards when information accompanies the basic financial statements in auditor-submitted documents. The law allows up to $1,000 to be paid from fines and assessments to the auditor for the actual cost of preparing the schedule after the audit is submitted to the

State Treasurer, along with a statement of the actual cost incurred.

The SC Department of Transportation (SCDOT) also requires a separate grant schedule to be included in the audited financial statements with audit assurance similar to the court assessments schedule described above.

3.2. Auditing Standards

To meet the requirements of this Request for Proposals, the audit shall be performed in accordance with generally accepted auditing standards as set forth by the following:

a. the American Institute of Certified Public Accountants,

b. the standards for financial audits set forth in the U.S. Comptroller General's Government https://www.cityofrockhill.com/government/government-transparency-performance/reports/financial-reports

Auditing Standards,

c. the provisions of the Single Audit Amendments of 1996, and

d. the provisions of the U.S. Office of Management and Budget (OMB) Uniform Guidance.

3.3. Reports to Be Issued

Following the completion of the audit of the fiscal year's financial statements, the auditor shall issue:

1. A report on the fair presentation of the basic financial statements in conformity with generally accepted accounting principles and on the supplementary schedule of expenditures of federal awards.

2. A report on the compliance and on internal control over financial reporting based on an audit of financial statements performed in accordance with Government Auditing Standards.

3. A report on compliance with requirements applicable to each major federal financial assistance program and on internal control over compliance in accordance with the Uniform Guidance.

4. A schedule of findings and questioned costs.

5. A summary of prior year findings.

In the required report on internal controls, the auditor shall communicate any control deficiencies found during the audit. A control deficiency shall be defined as a significant deficiency in the design or operation of the internal control structure, which could adversely affect the organization's ability to record, process, summarize, and report financial data consistent with the assertions of management in the financial statements. Control deficiencies that are also material weaknesses shall be identified as such in the report, if applicable.

The report on compliance shall include all material instances of noncompliance, if applicable.

3.4. Fraud and Illegal Acts

Auditors shall be required to make an immediate, written report of all fraud and illegal acts, or indicators of such, of which they become aware to the Mayor, City Manager, and Deputy City Managers of the City.

3.5. Reporting to City Council

Auditors shall assure themselves that the Mayor, City Council, and City Manager are informed of each of the following:

1. The auditor's responsibility under generally accepted auditing standards

2. Significant accounting policies

3. Management judgments and accounting estimates

4. Significant audit adjustments

5. Other information in documents containing audited financial statements

6. Disagreements with management

7. Management consultation with other accountants

8. Major issues discussed with management prior to retention

9. Difficulties encountered in performing the audit

3.6. Special Considerations

The City will submit its annual comprehensive financial report to the Government Finance Officers

Association of the United States and Canada for review in their Certificate of Achievement for Excellence in Financial Reporting program. It is anticipated that the auditor will be required to provide special assistance to the City to meet the requirements for that program.

The City currently anticipates it may prepare one or more official statements in connection with the sale of debt securities, which will contain the general-purpose financial statements and the auditor's report thereon. To the extent permitted by professional standards, the auditor shall be required, if requested by the fiscal advisor and/or underwriter, to issue a "consent and citation of expertise" as the auditor and any necessary "comfort letters".

The City has determined that the United States Department of Housing and Urban Development will function as the cognizant agency in accordance with the provisions of the U.S. Office of Management and Budget (OMB) Uniform Guidance.

The Schedule of Expenditures of Federal Awards and related auditor's report, as well as the reports on the internal controls and compliance, are to be issued as part of the annual comprehensive financial report.

3.7. Working Paper Retention and Access to Working Papers

All working papers and reports must be retained, at the auditor's expense, for a minimum of three (3) years, unless the firm is notified in writing by the City of the need to extend the retention period. The auditor will be required to make working papers available, upon request, to the following parties or their designees:

1. City of Rock Hill

2. U.S. Department of Housing and Urban Development (HUD)

3. U.S. General Accounting Office (GAO)

4. Parties designated by the federal or state governments or by the City as part of an audit quality review process

5. Auditors of entities of which the City is a subrecipient of grant funds (the State of South

Carolina)

In addition, the firm shall respond to the reasonable inquiries of successor auditors and allow successor auditors to review working papers relating to matters of continuing accounting significance.

3.8. Schedule for 2027 Fiscal Year Audit

Each of the following should be completed by the auditor no later than the dates indicated:

1. Interim Work

The auditor shall complete any interim work by June 30, 2027.

2. Detailed Audit Plan

The auditor shall provide the City by June 30, 2027, both a detailed audit plan and a list of all schedules to be prepared by the City's staff.

3. Fieldwork

City staff will have the books closed and all schedules prepared for final fieldwork to begin by October 15, 2027. The auditor can begin fieldwork on or after that date, but should have all fieldwork completed by November 20, 2027.

4. Reports

The auditor shall have drafts of the ACFR to management available for review by the City

Manager and Chief Financial Officer (CFO) by December 4. 2027. A revised report shall be delivered to the CFO by December 15, 2027.

A similar time schedule will be developed for audits of future fiscal years.

4. Terms & Conditions

4.1. Insurance

The Company agrees that the Company shall keep and maintain general automobile liability insurance for $1,000,000 per occurrence for each vehicle and $1,000,000 in aggregate for all vehicles that the

Company brings onto City property or use in any manner in the provision of services, including transportation to and from the site(s) where the services are rendered. The Company agrees that the

Company shall maintain general liability insurance for at least $2,000,000 per incident/occurrence and

$2,000,000 in aggregate for all incidents/occurrences during the policy period. The Company agrees that the Company shall maintain Workers' Compensation Insurance on all of the Company’s employees. In no event shall the Company serve as a self-insurer for the purpose of Workers' Compensation Insurance.

The Company further agrees that the Company shall maintain professional liability insurance for at least

$2,000,000 per claim and $2,000,000 in aggregate for all incidents/occurrences during the policy period.

The Company also agrees that the Company shall provide, in a form acceptable to the City, certificates of Workers' Compensation Insurance, Automobile Liability Insurance, and General Liability Insurance.

Coverages must be maintained throughout the life of the contract, including any applicable warranty period.

4.2. Illegal Immigration Reform Act Compliance

The Proposer certifies that it will comply with South Carolina Code of Laws Sections 8-14-10 through 8-4-

90 (as amended) titled, "Unauthorized Aliens and Public Employment," and agrees to provide to the City any documentation required to establish, as applicable, (i) the inapplicability of such laws to the

Proposer, its subcontractor(s) and its sub-subcontractor(s); and (ii) the compliance with these laws by the Proposer, its subcontractors, and its sub-subcontractors.

4.3. Indemnification

The Company shall indemnify and hold harmless the City from and against all liability, loss, damages, or injury, and all costs and expenses (including attorneys' fees and costs of any suit related thereto), suffered or incurred by the City, to the extent arising from the Company’s or its subcontractors' (i) negligent performance of the Work under the Final Contract; (ii) intentional misconduct, negligent acts, or omissions during the performance of the Work; and (iii) breach of any term, covenant, representation, or warranty of the Final Contract.

4.4. Freedom of Information Act

All proposals will be public information, per FOIA guidelines.

4.5. Iran Divestment Act

By signing its proposal, the Proposer certifies that it:

(i) is not identified on the list of persons determined by the Executive Director of the State Fiscal

Accountability Authority to engage in investment activities in the country of Iran as described in South

Carolina Code of Laws Section 11-57-310 (as amended), or any other list of prohibited investments created by the State legislature;

(ii) will not take any action causing it to appear on any such list during the term of the Final Contract;

and

(iii) will not utilize any subcontractor that is identified on any such list to provide goods or services thereunder.

4.6. Agreement

The selected company will be required to use the City of Rock Hill’s standard agreement. See attached sample agreement.

4.7. Non-Appropriation of Funds

This Agreement shall be subject to the availability and appropriation of funds by Management and City

Council. Management and City Council appropriate funding on an annual basis during each fiscal year. If

Management or City Council does not appropriate the funding under this agreement, the City will not be obligated to pay amounts due beyond the fiscal year for which funds were appropriated. No act or omission by the City, which is attributable to non-appropriation of funds, shall constitute a breach of or default under this Agreement.

4.8. Statement on Disadvantaged Business Enterprises (DBE)

(i) The City recognizes that business firms owned and operated by minority persons and women have been historically restricted from full participation in our free enterprise system to a degree disproportionate to other businesses.

(ii) The City believes that it should work to ameliorate past discrimination by facilitating the participation of underrepresented groups in the City’s economic community and that such participation is in its best interests and the best interests of its citizens.

(iii) The City will work to ensure that such underrepresented groups, and the businesses they own and lead, are afforded the maximum practicable opportunity—in balance with financially safe and sound business practices–to compete for and perform contracts when the City is procuring construction services, supplies, equipment contracts, lease agreements, or consultant and other services, within the laws of the State of South Carolina.

(iv) The City endeavors to develop, establish, implement, and administer its policies, programs, and procedures to promote balanced economic growth throughout its community.

Accordingly, the City shall not discriminate and shall prohibit discrimination in its selection and retention of contractors, subcontractors, and suppliers, against any person or business on the basis of race, color, national origin, religion, sex, sexual orientation, gender identity, marital status, status as a parent, age, disability, genetic information, or military status. The City recognizes that disparate treatment on any such basis in the pursuit of economic opportunities is intolerable discrimination.

4.9. City Business License

The winning Proposer, prior to execution of the Final Contract, must possess or obtain a City of Rock Hill

Business License. Such license must be maintained throughout the duration of the Work. If the Proposer is not currently doing other business inside the City limits, the fee for such license is based on the amount of the Final Contract. If the winning Proposer is currently doing other business within the City limits and does not possess a business license, then the fee for the license is based on the total gross receipts from customers within the City limits. Contact the City Business License Office at 803-329-5590 to determine the exact amount of the fee or ask other pertinent questions regarding doing business in the City of Rock Hill.

4.10. Excluded Companies

Proposals from companies may be excluded for any of the following reasons:

(i) Reason to believe collusion exists among the companies

(ii) The Company is involved in any litigation against the City

(iii) The Company is in arrears on any existing contract or has defaulted on a previous contract with the

City

(iv) Lack of financial stability

(v) Failure to perform under previous or present contracts with the City

(vi) Is currently debarred by the State of South Carolina Procurement Services

Excluded vendors/contractors can resubmit complete company information with references for City review after a minimum of one (1) year from the last excluded Bid. The City will contact the submitting vendor/contractor with its decision within thirty (30) days of company information submittal. The City reserves the right to include or exclude said vendor/contractor based on findings.

4.11. Customer Service

Please remember, although you are a contracted City service, you each represent the City of Rock Hill during all work performed, face-to-face as well as telephone conversations. These guidelines are to give all contract employees a solid feeling of what the City of Rock Hill expects from any contracted service.

Overview:

• Be friendly, courteous, and helpful

• Company uniforms must be worn at all times

• Employees must look and act professionally at all times

Company's Employees:

Before the company's employees can enter the project site, it shall investigate and determine that its employees working on the project site are not listed on the sexual offender registry. The contractor shall require all subcontractors to make a similar investigation. One such investigation within six (6) months of commencement of the project work, by the employer, fulfills the City’s requirement for the project.

The Rock Hill Police Department along with the City of Rock Hill also reserves the right to cancel any contracts, agreements, purchasing or distribution, etc., if they feel the project, purchasing, vehicle(s), and or property(s) may be in jeopardy due to the company's employee(s) having a criminal history which may lead to ethical issues while dealing with City workings or investigative activities.

5. Local Purchasing

The City of Rock Hill intends to promote the use of local businesses and hire citizens living within the local Rock Hill/York County area when possible.

(i) Local vendors, services, contractors, companies, and businesses (Rock Hill/York County) with a valid

City of Rock Hill business license may have the opportunity to receive a 3% or a 5% adjustment factor during the consideration of bids. A local vendor, service, contractor, company, or business is defined as a business offering the services and or products being requested. The business must have been established for not less than one year within York County limits and hold a valid City of Rock Hill

Business License for the entire year before the solicitation date. City Council shall be entitled to make the final decision as to whether such business is local and may at its discretion consider factors such as the length of time before issuance of the local business license, the actual physical presence within the corporate limits or within York County, property taxes attributable to such entity received by the City of

Rock Hill, local employment, and any other reasonable factors to ensure that this policy is not being circumvented.

(ii) Businesses located within the Rock Hill municipal limits may be considered for a 5% adjustment factor.

Businesses located in York County outside the Rock Hill municipal limits may be considered for a 3% adjustment factor.

(iii) The maximum value of the percentage adjustment factor will be capped at $25,000.

(iv) If a local business is within the percentage guideline, not exceeding $25,000 of the lowest proposal received, the local business may be considered for the award if it is willing to provide goods or services at the price of the lowest proposal received.

(v) If the conditions above are met, and the local business is not willing to provide goods or services at the price of the lowest proposal received, the consideration of the award will revert to the lowest proposal received or the next lowest local business within the percentage (maximum $25,000) adjustment factor threshold.

(vi) The contractor and/or business must reasonably attempt to hire local Rock Hill/York County residents.

(vii) Selected businesses must make a reasonable effort to purchase/lease all material, equipment, and supplies associated with the awarded proposal from a local business with a valid City of Rock Hill

Business License.

(viii) Businesses receiving the award must supply the City with a list of their employees working on the project, that includes the city in which they reside, along with a list of all equipment, material, suppliers, and subcontractors and their addresses. This list will be used in the evaluation process.

(ix) Special consideration may be given to companies that have products produced and/or manufactured in the United States.

(x) Local Purchasing provisions of this section will be in effect and apply to bidding until June 30, 2026 and expire unless re-authorized by the City Council.

(xi) Local Purchasing adjustment factors cannot apply:

(a) to Federally Funded Projects

(b) to State-Funded Projects where the State restricts the use of local preferences under such circumstances; or

(c) to projects funded by Bond proceeds, where the Bond covenants restrict the manner of procurement.

(xii) Utilization of the Local Purchasing program requires a minimum of three bids. If three or more bids are not received, the Local Purchasing program cannot be utilized.

6. Evaluation

1. All responses are subject to a determination of "responsive" and "responsible" prior to award. The

City is the sole judge as to the Proposer's "responsiveness" and "responsibility." The City reserves the right to request additional information.

2. The City will review all proposals and reserves the right to request necessary modifications, waive minor technicalities, reject all proposals, reject any proposal that does not meet the mandatory requirement(s), or cancel this RFP, according to the City's best interests.

3. The City will evaluate responses on a weighted evaluation system.

4. The City's evaluation team may elect to first rank proposals with a simple numeric score and then detail score only the top tier of proposals.

5. The City's evaluation team may elect to interview one or more proposing companies before making an award. The City shall not reimburse the company for the costs associated with the interview process.

The City of Rock Hill assumes no responsibility for costs incurred in responding to this RFP.

No. Evaluation Criteria Scoring Method Weight (Points)

1. Experience, Past Projects, References Points Based 40 (40% of Total)

2. Approach to Project and Capacity Points Based 40 (40% of Total)

3. Price Points Based 20 (20% of Total)

7. Vendor Questionnaire

7.1. Company Information*

Please provide the following information as it should appear in a potential agreement with your company:

• Company (legal entity that will enter into the contract)

• Name and Title (person authorized to enter into contract)

• Address (location of the office where or from which the work will be performed)

• Telephone Number

• Email Address

*Response required

7.2. Company Confirmation*

The Company affirms that we have read and understand the enclosed RFP requirements and specifications and do submit this proposal for: Professional Auditing Services.

☐ Please confirm

*Response required

7.3. Submission of Proposal *

Upload the complete proposal here.

*Response required

7.4. Upload any additional documents

Include any additional information requested in the solicitation.

7.5. References*

Provide the name, address, email, and telephone number of at least three (3) references familiar with the quality of work done by your company of similar nature as contained in the Scope of Work. By submission of the references, you are authorizing the City of Rock Hill to contact these references.

*Response required

7.6. Suspension and Debarment Certification*

The Company certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal, state, or local agency. Where the submitting entity is unable to certify any of the statements in this certification, such company shall attach an explanation to the submission.

☐ Please confirm

*Response required

7.7. Illegal Immigration Reform Act Compliance *

The Company certifies that it will comply with the requirements of Chapter 14, Title 8 of the South

Carolina Code of Laws titled Unauthorized Aliens and Public Employment and agrees to provide to the

City of Rock Hill any documentation required to establish either; (a) the applicability of such law to the

Company, subcontractor, and sub-subcontractor; or (b) the compliance with this law by the Company and any subcontractors or sub-subcontractors.

☐ Please confirm

*Response required

7.8. Iran Divestment Act *

The Company certifies that it:

1) is not identified on the list of persons determined by the Executive Director of the State Fiscal

Accountability Authority to engage in investment activities in the country of Iran as described in South

Carolina Code of Laws Section 11-57-310 (as amended), or any other list of prohibited investments created by the State legislature;

2) will not take any action causing it to appear on any such list during the term of the Final Contract; and

3) will not utilize any subcontractor that is identified on any such list to provide goods or services thereunder.

☐ Please confirm

*Response required

7.9. Customer Service *

The Company representative has read and agrees to the standards set forth in the City's Customer

Service agreement.

☐ Please confirm

*Response required