REQUEST FOR PROPOSALS

FOR

PUBLIC ACCOUNTING,

AUDITING,

AND

RELATED ADVISORY SERVICES

i

I. SUMMARY

II. GENERAL PROVISIONS

III. TIMETABLE & DESIGNATED CONTACT

IV. GENERAL REQUIREMENTS

V. PROPOSAL FORMAT AND CONTENTS

VI. INSURANCE REQUIREMENTS

VII. COST PROPOSAL FORMAT AND REQUIRED INCLUSIONS

VIII. SELECTION PROCESS

IX. NON-COLLUSION

X. IRAN DIVESTMENT ACT

XI. EXECUTIVE ORDER 16

EXHIBIT A - SCOPE OF WORK

EXHIBIT B - PROPOSAL SUBMISSION PACKET

EXHIBIT C - CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY

NEW YORK STATE-CERTIFIED MBEs/WBEs/SDVOBs AND EQUAL EMPLOYMENT

OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

EXHIBIT D - LIST OF BPCA & BPCPC BOARD MEMBERS AND EMPLOYEES

EXHIBIT E - BPCA SAMPLE FORM OF CONTRACT

I. SUMMARY

Battery Park City Authority d/b/a Hugh L. Carey Battery Park City Authority (“BPCA”) requests proposals

(individually a “Proposal” and collectively the “Proposals”) from qualified accounting firms (individually a

“Proposer” and collectively the “Proposers”) to provide public accounting, auditing, and related advisory services to BPCA.

The services to be provided shall include, but not be limited to, (1) auditing BPCA’s annual financial statements;

(2) reviewing BPCA’s interim financial statements; (3) issuing required audit reports and opinion letters; and (4) providing related reports, presentations, and advisory services, including but not limited to internal controls reporting, compliance reviews, and consultation on accounting and financial reporting matters.

A detailed scope of work for which the selected Proposer will be responsible is attached as Exhibit A – Scope of

Work (the “Work”).

Created in 1968, BPCA is a New York State public benefit corporation responsible for financing, developing, constructing, maintaining, and operating Battery Park City as a richly diversified mixed-use community providing residential and commercial space, with related amenities such as parks, plazas, recreational areas, and a waterfront esplanade. A summary of BPCA’s structure, mission, and history, as well as the Battery Park City project area, may be viewed at: http://bpca.ny.gov/. Public information regarding BPCA’s finances, budget, internal controls, guidelines, and policies may be viewed at: http://bpca.ny.gov/public-information/.

New York State-certified Minority-Owned Business Enterprises (“MBE”), Women-Owned Business Enterprises

(“WBE”) and Service-Disabled Veteran-Owned Business Enterprises (“SDVOB”) are encouraged to submit

Proposals.

II. GENERAL PROVISIONS

This request for Proposals, including attachments, exhibits, and any amendments or addenda (collectively, the

“RFP” or “Solicitation”) is subject to the rights reserved by BPCA, including, but not limited to BPCA’s right to:

• Reject any or all Proposals received in response to the Solicitation,

• Withdraw the Solicitation at any time, at the Authority’s sole discretion,

• Make an award under the Solicitation in whole or in part,

• Disqualify any Proposer whose conduct and/or Proposal fails to conform to the requirements of the

Solicitation,

• Seek clarifications and/or revisions of a Proposal or any part of a Proposal,

• Use information obtained by the Authority through site visits, interviews, investigation of a Proposer’s qualifications, experience, ability or financial standing; and any other material or information provided by or received from the Proposer during the RFP process,

• Prior to the review of Proposals, direct Proposers to submit modifications to their Proposals addressing any subsequent amendments to the Solicitation,

• Request that Proposers submit best and final offers (“BAFOs”) after review and/or negotiation of

Proposals,

• Change any of the scheduled dates contained in this RFP,

• Waive any non-material requirements of this RFP,

• Negotiate with the any one or multiple Proposers within the scope of the Solicitation and in the best interests of the Authority,

• Conduct contract negotiations with any additional Proposer(s) if the Authority is unable to finalize contractual terms with the first selected Proposer, http://bpca.ny.gov/ http://bpca.ny.gov/public-information/

• Utilize any and all ideas submitted in the Proposals received regardless of whether a contract is ultimately awarded pursuant to this RFP; and

• Require clarification at any time during the RFP process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of a Proposal and/or to determine a Proposer’s compliance with the requirements of the Solicitation.

BPCA is not liable or responsible in any way for any expenses incurred in the preparation of a Proposal in response to this RFP.

All information submitted in response to this RFP is subject to the Freedom of Information Law, Article 6 of the

New York State Public Officers Law (“FOIL”), which requires public access to certain documents possessed by

BPCA, unless a specific exemption applies. Proposers shall identify any information in their respective Proposals that they consider to be confidential and exempt from FOIL by clearly marking such information as confidential.

Notwithstanding the foregoing, BPCA, is obligated to disclose information consistent with the requirements of

FOIL, NYS Public Officers Law Section 87 and, to the extent that BPCA: (a) receives a request under FOIL for a

Proposal submitted pursuant to this RFP; and (b) determines in its sole discretion that any information marked as confidential does not meet any of the exemptions contained in the applicable portions of the Public Officers Law, then BPCA will notify the Proposer of the information it intends to provide in response to the FOIL request and

Proposer will have ten (10) business days to submit a written statement to BPCA explaining why such information should be exempt from disclosure under FOIL.

III. TIMETABLE & DESIGNATED CONTACT

A. Key Dates

Subject to change at BPCA’s discretion, the following are key dates for this RFP:

Procurement Step Date

RFP Issued July 24, 2026

Virtual Pre-Proposal Meeting1 N/A

Deadline to Submit Questions to BPCA* August 3, 2026, at 3:00 p.m.

BPCA’s Response to Substantive Questions2 August 7, 2026

PROPOSAL DUE DATE August 18, 2026, at 3:00 p.m. (the “Due Date”)

Proposer Interviews (if any) Week of August 31, 2026

Contract Start Date March 1, 2027

*All questions regarding this RFP should be submitted in writing via email to the

“Designated Contact”: Danah Alexander, BPCA’s Associate Contracting Officer, at danah.alexander@bpca.ny.gov.

1 Firms must RSVP with the Designated Contact at least 24 hours prior to the pre-proposal meeting.

2 Responses will be provided in the form of an addendum to be posted on BPCA’s website at https://bpca.ny.gov/apply/rfp-opp/

B. Anticipated Contract Term

The anticipated term of the contract awarded pursuant to this RFP (the “Contract”) will be three (3) years with two (2) one-year renewal options which may be exercised by BPCA in its sole discretion upon notice to the vendor to whom the Contract is awarded in advance of the expiration of the initial three-year term.

BPCA reserves the right to terminate the Contract at any time, with or without cause, in accordance with the terms of the Contract. BPCA’s sample form of contract is attached as Exhibit E.

IV. GENERAL REQUIREMENTS

A. Minimum Qualification Requirements

The following are the minimum qualification requirements for this RFP. Proposals that fail to meet these requirements will be rejected.

1) The Proposer must be lawfully authorized to do business in the State of New York.

2) The Proposer must demonstrate the ability to provide the services described in this RFP to BPCA within New York City, including the ability to attend in-person meetings at BPCA offices as requested.

3) The Proposer must be a public accounting firm duly licensed and registered to practice in the State of New York by the New York State Education Department, Office of the Professions, and the

Lead Engagement Partner (as such term is defined in Exhibit A) must be a Certified Public

Accountant currently licensed and in good standing in the State of New York.

B. MBE/WBE/SDVOB Participation, Joint Ventures, and Sub-contracting Goals

Contractor requirements and procedures for business participation opportunities for New York State certified MBEs/WBEs/SDVOBs and equal employment opportunity requirements relating to minority group members and women are attached as Exhibit C. For questions relating to MBE/WBE/SDVOB participation, joint ventures and sub-contracting goals only, please contact the “MBE/WBE/SDVOB

Designated Contact” Zag Kimpolo at zag.kimpolo@bpca.ny.gov or 212-417-2339.

C. Restricted Period

New York State’s State Finance Law sections 139-j and 139-k apply to this RFP, restricting Proposers’ contacts with BPCA. Proposers are restricted from making any contact (defined as oral, written or electronic communications with BPCA under circumstances where a reasonable person would infer that a communication was intended to influence BPCA’s conduct or decision with respect to a procurement) relating to this RFP with anyone other than the Designated Contact, as specified in Section III.A., or

MBE/WBE/SDVOB Designated Contact, as specified in Section IV.B., from the time of Proposer’s receipt of notice of this RFP through the date of the Final Award as defined in BPCA’s Procurement Guidelines

(the “Restricted Period”). BPCA employees must record certain contacts during the Restricted Period, including, but not limited to, any oral or written communications that could reasonably be seen as intended to influence BPCA’s conduct or award of this RFP. Upon notice of an improper contact, BPCA shall make a determination regarding the Proposer’s eligibility to continue participating in this RFP.

D. Submission of Proposals mailto:zag.kimpolo@bpca.ny.gov

Proposals must be received by BPCA no later than the Proposal Due Date and Time set forth above.

• Each Proposer must e-mail their Technical Proposal to the following e-mail address: technicalproposals@bpca.ny.gov

The Technical Proposal must be clearly labeled as “Technical Proposal Enclosed – Public

Accounting, Auditing & Related Advisory Services RFP

• Each Proposer must also e-mail their Cost Proposal to the following e-mail address:

costproposals@bpca.ny.gov

The Cost Proposal must be separately attached and clearly labeled as “Cost Proposal Enclosed –

Public Accounting, Auditing & Related Advisory Services RFP

• Each Proposer is responsible for the successful delivery and receipt of their Proposal. BPCA does not accept Proposals sent via messenger, overnight courier, or certified mail to BPCA offices. If a Proposer has already sent a Proposal via one of these methods, please e-mail the

Proposal to the above e-mail address by the Due Date. If a Technical Proposal’s file size is too large to submit by e-mail, the Proposer must make alternate electronic accommodations (e.g., linking to a file sharing website), which shall also be transmitted through technicalproposals@bpca.ny.gov. Please contact the Designated Contact prior to the Due Date to ensure successful transmission of the documents prior to the Due Date.

Proposals must arrive at the time and place specified herein. Please leave ample time for submission. Late Proposals, no matter the cause of their lateness, may NOT be accepted. Hard copy or faxed Proposals will NOT be accepted. A Proposer may, after submitting a Proposal, amend its Proposal by submitting an amended Proposal, clearly labeled “Amended Proposal –

Public Accounting Auditing & Related Advisory Services RFP as long as the amended Proposal is submitted by the Due Date.

V. PROPOSAL FORMAT AND CONTENTS

A. Proposal Format

The Proposal must:

• Have numbered pages,

• Use fonts no smaller than 10 points,

• Be formatted to 8½” x 11” sized pages,

• Be submitted in Adobe PDF, Microsoft Word or Excel format.

B. Proposal Content

In addition to the separately sealed Cost Proposal, described in Section VII below, each Proposal must include the following in the order listed, which shall comprise the Proposer’s Technical Proposal:

1) Executive Summary. Executive Summary may be no longer than two (2) single-sided pages.

2) Completed Proposal Submission Packet, attached as Exhibit B.

3) Additional Documentation: Required Attachments.

4) Financial Statements: Provide a copy of your firm’s most recent Audited Financial Statements

(within the last year) or where an audited financial statement is not available, the most recent tax return. In the event you do not have an audited financial statement, you must provide a statement to that effect and a summary of financial information for the calendar year most recently ended certified by an authorized officer.

5) A copy of the Proposer’s Internal Revenue Service (“IRS”) Form W-9

(https://www.irs.gov/pub/irs-pdf/fw9.pdf)

6) Appendices:

1. Attach professional biographies for all employees identified in your Proposal, including but not limited to the Lead Engagement Partner, who will be identified as such in the Proposal.

2. Attach a project showing completion dates for key tasks, milestones, etc. and final completion of all Work.

3. A detailed list identifying any and all exceptions taken to BPCA’s standard form of contract, attached as Exhibit E, explaining the reasons for such exceptions. Such exceptions must be detailed in an appendix to your Proposal labeled, “Appendix:

Objections to BPCA Form of Contract.” BPCA will consider any exceptions submitted in evaluating the Proposals but is under no obligation to accept them.

NOTE: EXCEPTIONS THAT ARE NOT SUBMITTED WITH THE

PROPOSAL WILL NOT BE CONSIDERED. BPCA will not accept any additional exceptions to the Contract after submission of the Proposals and reserves the right to reject Proposals based on non-conformance with the standard form of

Contract.

BPCA reserves the right to reject any Proposals that fail to include any required item described in this Section V. B., including Cover Letters that are unsigned or fail to include each of the above representations (including an appendix, if applicable).

VI. INSURANCE REQUIREMENTS

A. General Requirements

The total cost of the required insurance listed in paragraphs B. and C. below must be incorporated into the Cost Proposal. The additional insured protection afforded by BPCA, BPCPC, and the State of

New York must be on a primary and non-contributory basis. Except for Professional Liability all policies must include a waiver of subrogation in favor of BPCA, BPCPC, and the State of New York, no policies may contain any limitations / exclusions for New York Labor Law claims, and cross liability coverage must be provided for BPCA, BPCPC, and the State of New York.

All of the carriers that provide the below required insurance must be rated “A-:VII” or better by A.M.

Best and must provide direct written notice of cancellation or non-renewal to BPCA, BPCPC, and the

State of New York at least 30 days before such cancellation or non-renewal is effective, except for cancellations due to non-payment of premium, in which case 10 days written notice is acceptable.

https://www.irs.gov/pub/irs-pdf/fw9.pdf

B. Insurance Requirements for the Selected Proposer

The selected Proposer will be required to obtain and provide proof of the types and amounts of insurance listed below: (i) as a condition precedent to the award of the contract for the Project; and (ii) continuing throughout the entire Term. The insurance policies listed below must also conform to the applicable terms of the Contract, as shown in BPCA’s sample form of contract attached.

• Commercial General Liability Insurance, written on ISO Form CG 00 01 or its equivalent and with no modification to the contractual liability coverage provided therein, shall be provided on an occurrence basis and limits shall not be less than:

• $1,000,000 per occurrence

• $2,000,000 general aggregate

• $2,000,000 products/completed operations aggregate

BPCA, BPCPC, and the State of New York must be protected as additional insureds on ISO Form CG

2010 (11/85) or its equivalent on policies held by the selected Proposer and any of its subcontractors.

• Automobile Liability Insurance with a combined single limit of not less than $1,000,000.

Coverage must apply to the Proposer’s owned, hired, and non-owned vehicles and protect BPCA, BPCPC, and the State of New York as additional insured.

• Workers’ Compensation, Employer’s Liability, and Disability Benefits shall not be less than statutory limits.

• Professional Liability (“Errors & Omissions”) Insurance must be maintained at a limit of not less than $2,000,000 each claim.

• Data Breach and Privacy / Cyber Liability Insurance must be maintained during the term of this Contract, including coverage for failure to protect confidential information and failure of the security of the Proposer’s computer systems which results in unauthorized access to BPCA’s data.

Said insurance shall be maintained at limits not less than $1,000,000 each claim.

Said insurance shall provide coverage for damages arising from, but not limited to the following:

· Breach of duty to protect the security and confidentiality of nonpublic proprietary corporate information.

· Personally identifiable nonpublic information (e.g., medical, financial, or personal in nature in electronic or non-electronic form);

· Privacy notification costs, breach response sublimit should be at least 50% of the liability limit

· Regulatory defense and penalties.

· Website media liability; and

· Cyber theft of customer’s property, including but not limited to money and securities.

· Computer network systems attacks

· Denial or loss of service

· Introduction, implantation or spread of malicious software code

· Unauthorized access and use of computer systems

· Other necessary and customary coverages.

If policy or policies are written on a claims-made basis, coverage must be in place for a period of at least 12 months after the completion or termination of the Agreement.

C) Insurance Requirements for all Subcontractors

Any subcontractor(s) utilized by the selected Proposer will be required to obtain the types and amounts of insurance listed below: (i) as a condition of commencing any Work; and (ii) continuing throughout the duration of the subcontractor’s Work. The insurance policies listed below must also conform to the applicable terms of the Contract, as shown in BPCA’s sample form of contract attached:

• Commercial General Liability Insurance, written on ISO Form CG 00 01 or its equivalent and with no modification to the contractual liability coverage provided therein, shall be provided on an occurrence basis and limits shall not be less than:

• $1,000,000 per occurrence

• $2,000,000 general aggregate which must apply on a per location / per project basis

• $2,000,000 products/completed operations aggregate

BPCA, BPCPC, and the State of New York must be protected as additional insureds on ISO Form CG

2010 (11/85) or its equivalent on policies held by all subcontractors. Should the subcontractor’s work include construction activities of any kind then the subcontractor must maintain Products / Completed

Operations coverage for no less than three years after the construction work is completed and continue to include Additional Insured protection for BPCA, BPCPC & the State of New York for the prescribed timeframe. When providing evidence of insurance, the subcontractor must include a completed Acord 855 NY form. Securing the required limits via a combination of primary and umbrella/excess liability policies is allowed. The General Aggregate limit must apply on a per project basis on the primary General Liability policy should a combination of primary and Umbrella/Excess liability policies be utilized to secure the required total limits of coverage.

• Automobile Liability Insurance with a combined single limit of not less than $1,000,000.

Coverage must apply to the subcontractor’s owned, hired, and non-owned vehicles and protect

BPCA, BPCPC, and the State of New York as additional insured.

• Workers’ Compensation, Employer’s Liability, and Disability Benefits shall not be less than statutory limits, including United States Longshore and Harbor Workers Act coverage as applicable to the operations of the subcontractor.

• Subcontractors will also be required to obtain all other insurances listed in Section VI (C) unless otherwise approved in writing by BPCA prior to commencement of any Subcontractor’s work.

VII. COST PROPOSAL: FORMAT AND REQUIRED INCLUSIONS

Fixed annual fees for all services described in Exhibit A, excluding ad hoc consulting services, which will be billed at the hourly rates set forth below if requested by BPCA.

A. Schedule of Installment Payments

FISCAL YEAR

Installment

Payments per

Service

Description Payment Date* 2027 2028 2029 2030 2031**

#1 – Review

Services

Delivery of

Review Report

TBD $ ___________ $ __________ $ __________ $ __________ $ _________

#2 - Audit

Services

Audit Progress

Payment #1

#3 - Audit

Payment #2

#4 - Audit

Payment #3

#5 - Audit

Completion of

Audit Deliverable

Package

TOTAL FIXED YEARLY AMOUNT

*Payment Dates to be determined by BPCA and included in the yearly engagement letter.

** Payments for services in this year shall only be made if the Agreement is extended at the option of the Owner.

B. Public Accounting, Auditing and Related Advisory Services Hourly Rates

All-inclusive hourly rates shall apply only to ad hoc consulting services requested by BPCA under section 8 of Exhibit A, including accounting, financial reporting, internal control, GASB, compliance, and other related advisory services.

Hourly rates are to be provided based on the professional title, specifying each staff member assigned to support BPCA by title. The Authority shall be entitled to establish annual, monthly, or per-project caps on maximum permissible hourly fees, provided that such caps shall be established via advance written notice to advisors where applicable. Advisors shall only exceed such caps upon express written authorization by the

Authority.

Professional Title

Hourly Rate ($/Hour)

Partner

$ _________.00/hour

Manager

Supervisor

Staff Auditor

Proposers shall provide a lump sum price for the completion of all Work for each year of the engagement, including the optional fourth and fifth year, as well as a total lump sum price for all five years. Each Cost Proposal must also separate out the cost of the audit and review on a yearly basis, including the cost for the optional fourth and fifth year. The tasks set forth for each of these separate items are set forth in the Scope of Work, attached hereto as Exhibit A. In addition, the Cost Proposal must include a schedule containing the hourly rate of each proposed worker on the engagement.

VIII. SELECTION PROCESS

A. Evaluation

Each timely submitted Proposal will be reviewed for compliance with the form and content requirements of this RFP. A committee of BPCA employees selected by BPCA (the “Committee”) will then review and evaluate the Proposals in accordance with the evaluation criteria set forth below. While only

Committee members will score the evaluation criteria, the Committee may consult an outside expert for advisement on the evaluation of matters requiring technical expertise. Before final selection, BPCA must determine that the proposed selected Proposer is responsible, in accordance with applicable law and

BPCA’s Procurement Guidelines, which may be viewed at: http://bpca.ny.gov/public-information/.

B. Interviews http://bpca.ny.gov/public-information/

BPCA reserves the right to decide whether to interview any or all of the Proposers. The Committee may conduct interviews for many reasons, including to further assess a Proposer’s ability to perform the

Work or provide specific services, or to seek information related to any other evaluation criteria. The proposed Lead Engagement Partner, as well as all other key personnel proposed to perform the Work, must be available to participate in the interview.

C. Evaluation Criteria for Selection

Selection will be based upon the following criteria:

1) Technical Evaluation:

Evaluation Criteria Weight A) Demonstrate relevant experience and knowledge of the Authority and like organizations

40%

B) Firm response, resources, organizational capability, interview feedback, quality/experience of assigned staff

40%

C) Approach to the Work, including staffing, communication and responsiveness, proposed sub-consultants, and scheduling protocols

10%

D) Response to Diversity Practices Questionnaire 10%

2) Cost Proposal evaluation.

D. Basis for Contract Award

The Contract will be awarded to the highest technically rated Proposer whose Proposal is determined to be responsive and in the best interests of BPCA, subject to a determination that the Cost Proposal is fair, reasonable, and provides the best value to BPCA given the requirements of the project.

IX. NON-COLLUSION

By submitting a Proposal, each Proposer warrants and represents that any ensuing Contract has not been solicited or secured directly or indirectly in a manner contrary to the laws of the State of New York, and that said laws have not been violated and shall not be violated as they relate to the procurement or the performance of the Contract by any conduct, including the paying or giving of any fee, commission, compensation, gift, or gratuity or consideration of any kind, directly or indirectly, to any member of the board of directors, employee, officer or official of BPCA.

X. IRAN DIVESTMENT ACT

By submitting a Proposal or by assuming the responsibility of any Contract awarded hereunder, each

Proposer certifies that it is not on the “Entities Determined To Be Non-Responsive Proposers/Offerers

Pursuant to The New York State Iran Divestment Act of 2012” list (“Prohibited Entities List”) posted on the

New York State Office of General Services website at:

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf and further certifies that it will not utilize any subcontractor/consultant that is identified on the Prohibited Entities List on this Contract. The selected

Proposer agrees that should it seek to renew or extend any Contract awarded hereunder, it must provide the same certification at the time the Contract is renewed or extended. The selected Proposer also agrees that any proposed assignee of the Contract will be required to certify that it is not on the Prohibited Entities List before BPCA may approve a request for assignment of the Contract.

During the term of any Contract awarded hereunder, should BPCA receive information that a person (as defined in State Finance Law §165-a) is in violation of the above-referenced certifications, BPCA will review such information and offer the person an opportunity to respond. If the person fails to demonstrate that it has ceased its engagement in the investment activity which is in violation of the New York State Iran

Divestment Act of 2012 within 90 days after the determination of such violation, then BPCA shall take such action as may be appropriate and provided for by law, rule, or contract, including, but not limited to, seeking compliance, recovering damages, or declaring the selected Proposer in default of the awarded Contract.

BPCA reserves the right to reject any request for renewal, extension, or assignment for an entity that appears on the Prohibited Entities List prior to the renewal, extension, or assignment of the Contract, and to pursue a responsibility review with the selected Proposer should it appear on the Prohibited Entities List hereafter.

XI. EXECUTIVE ORDER 16

Pursuant to Executive Order 16 dated March 17, 2022, all State agencies and authorities are prohibited from entering into any new contract or renewing any existing contract with an entity conducting business operations in Russia. As part of this solicitation, each firm is required to certify that the firm is not an ‘entity conducting business operations in Russia.’ Certification under Executive Order No. 16 can be found in section XV of Exhibit B: Proposal Submission Packet.

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EXHIBIT A

(Scope of Work)

The selected Consultant shall perform the following public accounting and audit services tasks for BPCA, including the provision of labor and materials necessary to complete the tasks:

1) An audit of the Organization’s statement of net position as of October 31, and the related statements of revenue, expenses, and changes in net position and cash flow statements for the year then ended in accordance with Generally Accepted Governmental Auditing Standards (“U.S. GAGAS”).

2) A review of the Organization’s statement of net position as of April 30, and the related statements of revenue, expenses, and changes in net position and cash flow statements for the six months then ended.

3) A report to BPCA’s Audit Committee (under AICPA AU-C 260).

4) A report on internal controls.

5) A management letter to be attached to the year-end and six-month financial statements, if needed.

6) A report on compliance with investment guidelines.

7) A report on information technology observations and recommendations.

8) Ad-hoc, informal consultation and guidance on related financial accounting and internal control matters, such as, but not limited to, GASB issues impacting the Organization’s recording or reporting of business transactions.

9) Presentation of audited financial statements to BPCA’s Audit Committee and attendance at monthly

Board and/or quarterly Audit Committee meetings as requested.

10) All Work to be performed by the Consultant under this Agreement shall be performed under the supervision of a Partner of the firm who will be in charge of this engagement, who must ensure that the work completed for BPCA under this Agreement is performed competently and in a timely manner (the “Lead

Engagement Partner”). The Lead Engagement Partner shall be responsible for all engagement with BPCA with regards to this Agreement and its performance, and for any report(s) issued hereunder. Consultant shall ensure that the Lead Engagement Partner at all times has and maintains appropriate authority from a professional, legal or regulatory body required to perform the Work. The Lead Engagement Partner identified under this Agreement may not be changed at any point during the Term without prior written approval from BPCA.

11) Any third-party CPA opinions that may be needed to address the financial position of the Authority.

B-1

EXHIBIT B

(Proposal Submission Packet)

B-2

I. PROPOSAL SUBMISSION CHECKLIST AND CONFIRMATION STATEMENT

[ ] The Proposer hereby certifies that they meet the Minimum Qualification Requirements as stated in Section

IV.A of the RFP.

[ ] The Proposer hereby certifies that except as disclosed in the Proposal, no officer or employee of the Proposer is directly or indirectly a party to or in any other manner interested financially or otherwise in this RFP.

[ ] The Proposer hereby certifies that they have reviewed BPCA’s form of contract, attached as Exhibit E to the

RFP, and either has no objections or has detailed their objections in an appendix to their Proposal.

[ ] The Proposer hereby certifies that they possess the experience, ability, resources and financial standing to perform the Services and shall, upon request by the Authority, provide documentation of such.

[ ] The Proposer hereby certifies that their Proposal submitted for Public Accounting, Auditing and Related

Advisory Services RFP includes the following required documents and forms, or that, where any required form or document may not be included, a written explanation has been provided for that omission:

1. Forms & Items included in this Exhibit:

[ ] This Checklist

[ ] Answers to “Information Required”

[ ] Vendor Responsibility Questionnaire / Certificate of No Change

[ ] Statement of Non-Collusion

[ ] Affirmation of Understanding of and Agreement Pursuant to State Finance Law §139-j(3) and

§139-j(6)(b)

[ ] Certification of Compliance with New York State Finance Law §139-k(5)

[ ] Disclosure of Prior Non-Responsibility Determinations

[ ] Encouraging the Use of New York State Businesses Statement

[ ] Acknowledgement of Addenda Form

[ ] MWBE Utilization Plan

[ ] SDVOB Utilization Plan

[ ] Minority and Women Owned Business Enterprises And Equal Employment Opportunity

Policy Statement

[ ] Diversity Practices Questionnaire

[ ] Executive Order 16 Certification

[ ] Gender-Based Violence and the Workplace Certification

2. Additional Required Documents

[ ] Executive Summary

[ ] Copy of the Proposer’s IRS W9 Form (https://www.irs.gov/pub/irs-pdf/fw9.pdf)

[ ] Copy of the Proposer’s financial statements per section V.B.4

[ ] Copies of appendices listed in section V.B.6

Name of Proposer:

Officer Name:

Officer Title: ________________________________

(Signature of Officer) https://www.irs.gov/pub/irs-pdf/fw9.pdf

B-3

II. INFORMATION REQUIRED

A. Questions and Information Sought Relating to the Work

1) Describe your firm’s background, services, size, and history as these factors are relevant to the

Work.

2) Describe your proposed approach and methodology for Audits and Reviews, including the firm’s quality assurance practices.

3) Please describe your experience performing Audits and Reviews.

4) List each key member(s) of the team you intend to assign to this engagement and include for each listed individual: (a) area(s) of specialization; (b) title and/or position within your firm; (c) the services to be performed; (d) key members start date with the firm.

5) Identify the person who will be the lead project manager (the “Lead PM”) and primary contact in providing services to BPCA, and any other persons who will be listed as a “key person” in any contract with BPCA. Summarize your lead audit partner and rotation services.

6) Identify any subcontractors you intend to use for this engagement and describe the services to be performed by each subcontractor.

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7) Describe your proposed team’s experience with similar work for other public entities, with an emphasis on New York State public entities.

8) Clearly identify any information in your Proposal that you believe to be confidential and exempt from FOIL and state the reasons. Please note that this question is for informational purposes only, and BPCA will determine, in its sole discretion, whether requested documents are exempt from disclosure under FOIL.

9) Provide at least 3 client references for whom your firm has performed similar work to that requested in this RFP. For each client, describe the project, the project’s date, and services performed, and provide the name, address, and telephone number for a person at client’s firm familiar with such work.

10) Describe your firm’s environmentally sustainable business practices or activities and how such practices may be brought to use in the performance of the Work.

11) Describe your firm’s industry specific knowledge of real estate and leases.

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12) What are your firm’s practices regarding AI and data security and protection.

13) Where and what is your staff’s primary location? Are there any offshore staff that would be included on the team?

14) Can you provide a retention listing of all the employees who will part of this engagement?

B. Questions and Information Sought Relating to Proposer’s Firm & Eligibility

15) Within the past three (3) years, have there been any significant developments in your firm such as changes in ownership or restructuring? Do you anticipate any significant changes in the near future? If so, please describe.

16) How does your firm identify and manage conflicts of interest?

17) Are there any potential conflict of interest issues posed by your firm’s performance of the Work on behalf of BPCA?

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18) Has your firm or have any of the firm’s partners/employees been disciplined or censured by any regulatory body within the last five (5) years? If so, please describe the relevant facts.

19) Within the last five (5) years, has your firm, or a partner or employee in your firm, been involved in litigation or other legal proceedings relating to the provision of professional services? If so, please provide an explanation and the current status or disposition of the matter.

20) List any professional or personal relationships your firm’s employees may have with BPCA’s

Board Members and/or employees. A list of which is attached as Exhibit D.

21) If selected, will your firm assign any person to this engagement who was previously an employee of BPCA or BPCPC? If so, please: i) identify when (month and year) that person’s employment at BPCA/BPCPC terminated, and ii) describe that person’s involvement, if any, with matters related to this RFP during his/her employment at BPCA/BPCPC.

22) In the past five (5) years, have any public sector clients terminated their working relationship with your firm? If so, please provide a brief statement of the reasons. Provide the name of the client and provide a contact person, address and telephone number.

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III. VENDOR RESPONSIBILITY QUESTIONNAIRE

A. Instructions:

The Standard Vendor Responsibility Form should be filled out by someone in your firm who knows about tax filings, prior findings of non-responsibility by a governmental authority, etc., and can certify the accuracy of all information requested in the form (such as legal status, tax status, and debarment status).

You must answer every question on the questionnaire.

NOTE: You may fill out the “Certificate of No Change” form instead ONLY if your firm has submitted the

Vendor Responsibility form to Battery Park City Authority already during this calendar year. If this is the first time your firm is proposing to do work for Battery Park City Authority this year, then you must fill out the entire Vendor Responsibility Questionnaire.

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B. Standard Vendor Responsibility Questionnaire

a. Legal Business Name:

b. Federal Employer Id No.

(FEIN):

c. D/B/A – Doing Business As

(if applicable):

County Filed:

d. Website Address

(If Applicable)

e. Principal Place of Business Address:

f. Telephone:

g. Fax (If Applicable):

h. Authorized Contact for this

Questionnaire:

i. Name:

ii. Title:

iii. Telephone:

iv. Email:

i. Type Of Business (please check appropriate box and provide additional information)

◻ Corporation (Sole Proprietor).

State of Incorporation:

◻ Corporation (General Partnership).

State of Incorporation:

◻ Corporation (Not-For-Profit).

Charities Registration Number:

◻Corporation (Limited Liability Company/LLC).

Jurisdiction Filed In:

◻Corporation (Limited Partnership).

State/County filed in:

◻ Individual

◻ Other – Specify:

j. If not incorporated or formed in New York State, please provide a current

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Certificate of Good

Standing from your state or applicable local jurisdiction.

k. List the name and title of each principal owner, officer, major stockholder

(10% or more of the voting shares for publicly traded companies, 25% or more of the shares for all other companies), director, and member, as applicable:

l. Authorized Contact for the

Proposed Contract:

i. Name:

ii.Title:

iii. Telephone:

iv. Email:

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Vendor Name: Vendor FEIN:

C. Does the vendor use, or has it used in the past five (5) years, any other business name, FEIN, or D/B/A other than what is listed in question a-c above?

If yes, please provide the name(s), FEIN(s), and D/B/A(s) and the address for each such company and D/B/A on a separate page and attach to this response.

Yes ◻ No◻

D. Within the past five (5) years, has the vendor, any principal, owner, officer, major stockholder (10% or more of the voting shares for publicly traded companies, 25% or more of the shares for all other companies), affiliate3 or any person involved in the bidding, contracting or leasing process been the subject of any of the following:

a. a judgment or conviction for any business related conduct constituting a crime under federal, state or local government law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing or bid collusion or any crime related to truthfulness and/or business conduct?

b. a criminal investigation or indictment for any business related conduct constituting a crime under federal, state or local government law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing or bid collusion or any crime related to truthfulness and/or business conduct?

c. an unsatisfied judgment, injunction or lien for any business related conduct obtained by any federal, state or local government agency including, but not limited to, judgments based on taxes owed and fines and penalties assessed by any federal, state or local government agency?

d. an investigation for a civil or criminal violation for any business related conduct by any federal, state or local agency?

e. a grant of immunity for any business-related conduct constituting a crime under federal, state or local governmental law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, bid collusion or any crime related to truthfulness and/or business conduct?

3"Affiliate" meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any individual, entity or group of principal owners or officers who own more than 50% of the voting stock of the vendor; or (c) any entity whose voting stock is more than

50% owned by the same individual, entity or group described in clause (b). In addition, if a vendor owns less than 50% of the voting stock of another entity, but directs or has the right to direct such entity’s daily operations, that entity will be an “affiliate” for purposes of this questionnaire.

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f. a federal, state or local government suspension or debarment from the contracting process?

g. a federal, state or local government contract suspension or termination for cause prior to the completion of the term of a contract?

h. a federal, state or local government denial of a lease or contract award for non-responsibility?

i. an administrative proceeding or civil action seeking specific performance or restitution in connection with any federal, state or local contract or lease?

j. a federal, state or local determination of a willful violation of any public works or labor law or regulation?

k. a sanction imposed as a result of judicial or administrative proceedings relative to any business or professional license?

l. a consent order with the New York State Department of

Environmental Conservation, or a federal, state or local government enforcement determination involving a violation of federal, state or local environmental laws?

m. an Occupational Safety and Health Act citation and Notification of Penalty containing a violation classified as serious or willful?

n. a rejection of a bid on a New York State contract or a lease with the State for failure to comply with the MacBride Fair

Employment Principles?

o. a citation, violation order, pending administrative hearing or proceeding or determination issued by a federal, state or local government for violations of:

i. health laws, rules or regulations Yes ◻ No◻

ii. unemployment insurance or workers’ compensation coverage or claim requirements Yes ◻ No◻

iii. ERISA (Employee Retirement Income Security Act) Yes ◻ No◻

iv. human rights laws Yes ◻ No◻

v. federal U.S. Citizenship and Immigration Services laws Yes ◻ No◻

vi. Sherman Act or other federal anti-trust laws Yes ◻ No◻

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p. entered into an agreement to a voluntary exclusion from contracting with a federal, state or local governmental entity?

q. a denial, decertification, revocation or forfeiture of Women’s

Business Enterprise, Minority Business Enterprise or

Disadvantaged Business Enterprise status?

r. a rejection of a low bid on a federal, state or local contract for failure to meet statutory affirmative action or Minority or

Women's Business Enterprise or Disadvantaged Business

Enterprise status requirements on a previously held contract?

s. a finding of non-responsibility by an agency or authority due to a violation of State Finance Law §139-j?

For each YES answer to questions D.a-s above, provide details on additional pages regarding the finding, including but not limited to cause, current status, resolution, etc.

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E. During the past three (3) years has the vendor failed to:

a. File returns or pay any applicable federal, state or local government taxes?

If yes, identify the taxing jurisdiction, type of tax, liability year(s) and tax liability amount the company failed to file/pay and the current status of the liability.

b. File returns or pay New York State Unemployment Insurance?

If yes, indicate the years the company failed to file/pay the insurance and the current status of the liability.

Yes ◻ No◻

F. Have any bankruptcy proceedings been initiated by or against the vendor or its affiliates within the past seven (7) years (whether or not closed) or is any bankruptcy proceeding pending by or against the vendor or its affiliates, regardless of the date of filing?

If yes, indicate if this is applicable to the submitting vendor or one of its affiliates:

If it is an affiliate, include the affiliate’s name and FEIN:

Provide the court name, address and docket number:

Indicate if the proceedings have been initiated, remain pending or have been closed:

If closed, provide the date closed:

G. Does the vendor have the financial resources necessary to fulfill the requirements of the proposed contract?

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H. Certification:

State of: )

) ss:

County of: )

CERTIFICATION:

The undersigned, personally and on behalf of the vendor identified in questions B.a-c above, does hereby state and certify to Battery Park City Authority – State of New York that the information given above is true, accurate and complete. It is further acknowledged that Battery Park City Authority – State of New York will rely upon the information contained herein and in any attached pages for purposes of evaluating our company for vendor's responsibility for contract award and Battery Park City Authority – State of New York may, in its discretion, by means which it may choose, verify the truth and accuracy of all statements made herein. It is further acknowledged that intentional submission of false or misleading information may constitute a felony under Penal Law Section 175.35 or may constitute a misdemeanor under Penal Law Sections 175.30, or

210.45, and may also be punishable by a fine and/or imprisonment of up to five years under 18 USC Section

1001 and may result in a denial of contract award or contract termination.

Name of Business:

Address:

City, State, Zip:

Officer Name:

Officer Title:

Signature of Officer

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IV. CERTIFICATE OF NO CHANGE FORM

NOTE: You may fill out the “Certificate of No Change” form instead ONLY if your firm has submitted the Vendor

Responsibility form to Battery Park City Authority already during this calendar year. If this is the first time your firm is proposing to do work for Battery Park City Authority this year, then you must fill out the entire Vendor

Responsibility Questionnaire.

CERTIFICATE OF NO CHANGE

STATE OF ( )

COUNTY OF ) ss.:

The undersigned, being duly sworn, deposes and says:

1. I am________________________________, the________________________________ (title) of

________________________________ (hereinafter the “Contractor”), which is currently submitting an amendment to a State Contract.

2. Contractor previously submitted the completed Battery Park City Authority Standard Vendor

Responsibility Questionnaire, dated________________________, in connection with another State

Contract.

3. Attached is an accurate and true copy of such previously submitted Standard Vendor Responsibility

Questionnaire.

4. I hereby certify that with the exception of the information specified in Question 12, and as changed herein, there has been no material change in the information pertaining to the Contractor specified on such attached Questionnaire.

AUTHORIZED CONTACT FOR THE PROPOSED CONTRACT:

Name & Title: __________________________________________________

Telephone Number: ______________________________________________

Email: _________________________________________________________

Signature

Print Name

Title

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V. STATEMENT OF NON-COLLUSION

A. By submission of this Proposal, Proposer and each person signing on behalf of Proposer certifies, (and in the case of a joint Proposal each party thereto certifies) as to its own organization, under penalty of perjury, that to the best of his knowledge and belief:

a. The prices in this Proposal 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 Proposer or with any competitor.

b. or with any competitor. B) Unless otherwise required by law, the prices which have been quoted in this Proposal have not been knowingly disclosed by the Proposer and will not knowingly be disclosed by the Proposer prior to opening, directly or indirectly to any other Proposer or to any competitor.

c. No attempt has been made or will be made by Proposer to induce any other person, partnership, firm or corporation to submit or not to submit a Proposal for the purpose of restricting competition.

B. A Proposal shall not be considered for award nor shall any award be made where sub-paragraphs A.a, A.b, and A.c above have not been complied with provided however, that if in any case Proposer cannot make the foregoing certification and the Proposer shall so state and shall furnish with its Proposal a signed statement which sets forth in detail the reasons therefore. Where sub-paragraphs A.a, A.b, and

A.c above have not been complied with, Proposal shall not be considered for award nor shall any award be made unless the Authority determines that such disclosure was not made for the purpose of restricting competition.

The fact that a Proposer (a) has published price lists, rates, or tariffs covering items Being procured, (b) has informed prospective customers of proposed or pending Publication of a new or revised price lists for such item, or (c) has sold the same items To other customers at the same prices being proposed, does not constitute, without more, a disclosure within the meaning of paragraph A.a above.

C. This Proposal, if made by a corporate Proposer, shall be deemed to have been authorized by the board of directors of the Proposer and such authorization shall be deemed to include the signing and…