Rent Revenue Audit Services Panel RFP_FINAL.pdf

REQUEST FOR PROPOSALS

FOR

PRE-QUALIFIED RENT REVENUE AUDIT SERVICES

PANEL

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

EXHIBIT F – COST PROPOSAL FORM

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 accounting firms (individually a “Proposer” and collectively the “Proposers”) for inclusion on a pre-qualified panel to provide Performance Rent, Effective Gross

Income (EGI), Qualified Capital Improvement (QCI), Quasi-Rent Stabilized Credit (QRS), Refinance Fee, Transaction Fee, Cash vs. Accrual, IFRS vs. GAAP, and Condo Deficiency Audit Services to BPCA. BPCA intends to establish a pre-qualified panel of qualified accounting firms (the “Panel”) to provide these services on an as-needed basis throughout the term of the resulting Panel. Proposers may seek qualification for one, several, or all audit service categories and shall identify the categories for which they possess relevant experience and expertise.

The services to be provided shall include, but not be limited to, reviewing BPCA’s and its sub-tenants’ leases, financial statements, schedule of revenues, cash receipt registers, deposit registers, trial balances (accrual and cash) and detailed schedules supporting the performance-based rent and reconcile it with the invoices and statements submitted to BPCA as well as the BPCA condo deficiency system (“CDS”) and compare the reduced payments to the sub-tenants’ cash receipts (including repayments of tenant deficiencies) and other financial records. A detailed scope of work describing the services that may be assigned to Panel firms is attached as Exhibit A – Scope of

Work (the “Work”).

Selection on the Panel does not guarantee any minimum amount of work. BPCA reserves the right to assign audits, task orders, or other engagements among Panel firms based on the firm's demonstrated expertise in the applicable audit category, qualifications, availability, past performance, capacity, and BPCA's operational needs.

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”) 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 the Proposal or any part of the Proposal.

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

• 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 Proposal process.

• Prior to reviewing Proposals received, direct Proposers to submit Proposal modifications addressing subsequent amendments to the Solicitation.

• Request that Proposers submit best and final offers subsequent to BPCA’s review of Proposals;

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

• Waive any non-material requirements of this RFP.

• Negotiate with one or more Proposers within the scope of the Solicitation and in the best interests of the

Authority.

• Conduct contract negotiations with one or more responsible Proposers if the Authority is unable to finalize contractual terms with any other selected Proposer.

• Utilize any and all ideas submitted in the Proposals received regardless of whether a Contract is offered;

and

• Require clarification at any time during the Procurement 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 are responsible for identifying any information in their respective Proposals considered to be confidential and exempt from FOIL. BPCA, however, is obligated to disclose information consistent with the requirements of FOIL, NYS Public Officers Law Section 87.

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 Tuesday, September 8, 2026

Deadline to Submit Questions to BPCA* Tuesday, September 15, 2026

BPCA’s Response to Substantive Questions Tuesday, September 22, 2026

Responses will be provided as an addendum to be posted on BPCA’s website (https://bpca.ny.gov/apply/rfp-opp/)

PROPOSAL DUE DATE Wednesday, September 30, 2026 at 3:00 PM

Proposer Interviews (if any) TBD

Anticipated Panel Start Date October 28, 2026

*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.

B. Anticipated Contract Term

The anticipated term of the Panel shall be three (3) years, with an option, exercisable solely by BPCA, to extend the Panel for an additional two (2) year period. During the term of the Panel, BPCA may issue assignments to one or more Panel firms as needed. Selection to the Panel does not guarantee any minimum volume of work, compensation, or assignment opportunities.

BPCA reserves the right to remove a firm from the Panel or terminate any resulting 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 perform all work as listed in Exhibit A within the

State of New York.

2) The Proposer must possess expertise in U.S. GAAP, IFRS, and other applicable international accounting standards.

3) The Proposer must have at least five (5) years of experience providing the audit services for which it is seeking qualification under this RFP.

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

Proposals must be received by BPCA no later than 3:00 p.m. on Wednesday, September 30, 2026.

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

The Technical Proposal must be clearly labeled as “Technical Proposal Enclosed – Pre-Qualified

Rent Revenue Audit Services Panel 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 –

Pre-Qualified Rent Revenue Audit Services Panel 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 in order 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, will 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 –

Pre-Qualified Rent Revenue Audit Services Panel 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 and,

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

B. Proposal Content

In addition to the separately submitted 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) Information Required and Completed Proposal Submission Packet, attached as Exhibit B.

3) 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.

4) Copy of the Proposer’s Internal Revenue Service (“IRS”) Form W-9

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

5) Appendices:

a) Attach professional biographies for all accountants and auditors identified in your Proposal.

b) Attach copies of Certified Public Accountant certifications for all employees to be assigned work under proposed contract.

c) Attach copies of three (3) similar audits your firm has conducted in the past three (3) years with any confidential information redacted or removed.

d) 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 5: Objections to BPCA Form of

Contract.”

BPCA reserves the right to disallow any additional exceptions to the Contract after submission of the Proposals and 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 selected Proposers 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 work; and (ii) continuing throughout the entire term of the Contract. 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 as Exhibit E.

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 BPCA, BPCPC, and the State of

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

All of the carriers that provide the below required insurance 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.

B. Insurance Requirements for the Selected Proposers

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

• $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 the selected Proposers 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. Securing the required limits via a combination of primary and umbrella/excess liability policies is allowed.

• 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 $1,000,000 each claim.

C. Insurance Requirements for all Subcontractors

Any subcontractor(s) utilized by the selected Proposers 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 such 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 as Exhibit E.

• 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.

• 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 insureds.

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

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

VII. COST PROPOSAL: FORMAT AND REQUIRED INCLUSIONS

Each Proposer shall complete and submit BPCA's Cost Proposal Form included in Exhibit F. The Cost

Proposal Form shall be completed in its entirety and submitted separately from the Technical Proposal in accordance with the submission requirements of this RFP.

The Cost Proposal shall include all rates, fees, and pricing information requested by BPCA and shall remain valid for a period of at least one hundred twenty (120) days following the Proposal Due Date.

BPCA reserves the right to negotiate pricing with one or more selected Panel firms and to utilize submitted rates when assigning work during the term of the Panel.

All proposed pricing shall be inclusive of overhead, administrative expenses, insurance, travel, and all other costs necessary to perform the services described in Exhibit A unless otherwise specifically identified in the Cost Proposal Form.

Nothing herein shall prevent BPCA from entering into a fixed-fee arrangement for Consultant

Services based on the hourly rates provided by Proposer should such arrangement be in the best interests of BPCA.

The Cost Proposal must be submitted per the requirements stated in Sections IV and V.

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 selected Proposers are responsible, in accordance with applicable law and BPCA’s Procurement Guidelines, which may be viewed at:

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

BPCA reserves the right to conduct the evaluation in one or more phases. BPCA may, in its sole discretion, conduct an initial screening of Proposals to identify those deemed reasonably susceptible of selection for appointment to the Panel. Only those Proposals advancing beyond any initial screening phase may be subject to further detailed evaluation and scoring.

B. Interviews

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 PM, 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 http://bpca.ny.gov/public-information/

Selection will be based upon the following criteria:

1) Technical Evaluation:

Evaluation Criteria

A) Demonstrated relevant experience providing audit services to comparable entities

35%

B) Staff qualifications and experience 35%

C) Proposed approach and understanding of work 20%

D) New York State Certified MWBE or SDVOB Firm 10%

2) Cost Proposal evaluation.

D. Basis for Contract Award

BPCA reserves the right to award contracts to multiple Proposers and establish a Pre-Qualified Rent

Revenue Audit Services Panel.

The highest technically rated Proposers whose Proposals are determined to be responsive and in the best interests of BPCA shall be selected for appointment to the Panel, subject to a determination that the Cost Proposal is fair, reasonable, and provides the best value to BPCA given the requirements of the anticipated services.

BPCA reserves the right to appoint as many firms to the Panel as it determines is necessary and appropriate.

Selection to the Panel does not guarantee the award of any specific assignment, minimum amount of work, or compensation

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/Offerors.

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. Selected

Proposers agree 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. Selected Proposers also agree 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 RFP, 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.

A-1

EXHIBIT A

(Scope of Work)

The selected Proposer shall perform the following: Performance Rent, Effective Gross Income (EGI), Qualified Capital Improvement (QCI), Quasi-Rent Stabilized Credit (QRS), Cash vs. Accrual reconciliation, IFRS vs. GAAP reconciliation, and Condo Deficiency Audit Services tasks for BPCA, including the provision of labor and materials necessary to complete each task:

1. Obtain the original and/or authenticated copies of the lease contracts, read, and abstract the lease data, and document the terms of the performance-based rent.

2. Obtain the data/information which includes audited financial statements, schedule of revenues, cash receipt registers, deposit registers, trial balances (accrual and cash) and detailed schedules supporting the performance rent and reconcile it with the invoices submitted to BPCA for the year being audited.

3. Analyze the detailed schedules supporting the performance-based rent reported and look for items excluded and not reported for the year being audited.

4. From the schedules provided, select samples for testing by tracing to invoices, cash receipts register, deposit slips, bank statements and any proof of collection and for testing relevant controls surrounding revenues for the year being audited.

5. Review and audit BPCA’s Condominium Deficiency Tracking System. Proposer shall examine the timeframe of billing and issuance of payment between the building condominium management and the unit owners. The review will encompass accuracy of billing, balances, and receivables integrity.

6. A review of any payments made to or received from tenants with respect to Capital Improvements to ascertain compliance with GAAP and BPCA’s audit rights under the applicable lease.

7. Monthly progress reports of projects completed and in progress as well as hours and expenditures to date. Written reports that document the results of any review, including methodology, findings, and recommendations as appropriate. Log and maintain meeting minutes for reference.

8. At the completion of the Audit, Proposer shall prepare a written report, reflecting all results of the audit procedures. The report should include an overall summary with a background and scope statement, and the results of the Audit, reflecting the financial impact of each finding. Selected

Proposer shall meet with BPCA’s finance team to review its findings.

9. Provide such other rent revenue audit, lease compliance, financial review, reconciliation, investigative audit, and related consulting services as may be identified by BPCA in an assignment, task order, work authorization, or other request issued during the term of the Panel.

All work to be performed by the selected Proposer shall be performed under the supervision of a Partner of the firm in charge of this engagement, who must ensure that the work completed for BPCA is performed competently, consistent with all relevant professional standards and guidelines, and in a timely manner.

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EXHIBIT B

(Proposal Submission Packet)

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 Pre-Qualified Rent Revenue Audit

Services Panel 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 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 Form W-9 (https://www.irs.gov/pub/irs-pdf/fw9.pdf)

[ ] Copy of the Proposer’s financial statements per section V.B.3

[ ] Copies of appendices listed in section V.B.5. (a)-(d).

Name of Proposer: ____________________________

Officer Name: ____________________________

Officer Title: ____________________________

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

B-2

II. INFORMATION REQUIRED

A. Minimum Requirements

1) Provide an itemized and brief narrative demonstrating how the Proposer meets each of the minimum qualifications requirements set forth in Section IV(A) of the RFP. Any projects identified must include the project title, a brief description of the scope of work, start date, end date (if applicable), location, and project owner or client.

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

Demonstrated Relevant Experience at Providing Audit Services to Comparable Entities

(35%)

2) Describe your firm’s background, services, size, and history as these factors are relevant to the Work, with an emphasis on providing audit services to comparable entities.

3) Identify the audit service areas in the checkbox below, for which your firm seeks qualification under this panel and describe your experience performing comparable services:

☐ Performance Rent / EGI Audits

☐ QCI / QRS Audits

☐ Condominium Deficiency Audits

4) Please describe your firm’s experience performing similar audits or related services, with an emphasis on work performed for New York State (NYS) Public Authorities, NYS Agencies, municipalities, or other comparable public sector entities. Include representative engagements involving real estate, ground lease, rent revenue, lease compliance, or related audit services.

B-3

5) Provide at least three (3) client references for whom your firm has performed similar work.

Include a description of the project, dates of service, and contact information.

Staff Qualifications and Experience (35%)

6) List each accountant and/or auditor 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) anticipated roles and responsibilities; and (d) relevant experience performing similar services.

7) 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. Describe their experience managing comparable assignments.

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

Proposed Approach and Methodology (20%)

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

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

10) 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

B-4 exempt from disclosure under FOIL.

11) 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.

12) 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.

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

14) Are there any potential conflict of interest issues posed by your firm’s performance of the

Work on behalf of BPCA?

15) Has your firm or has 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.

16) 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.

B-5

17) 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.

18) 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.

19) 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.

(Proposal Submission Packet)

B-6

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 in 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 the Battery Park City Authority this year, then you must fill out the entire Vendor Responsibility Questionnaire.

B-7

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, B-8 please provide a current

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:

B-9

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), affiliate1 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, 1"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.

B-10 racketeering, price-fixing, bid collusion or any crime related to truthfulness and/or business conduct?

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◻

B-11

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

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

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., as above, provide details on additional pages regarding the finding, including but not limited to cause, current status, resolution, etc.

B-12

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:

B-13

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

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

B-14

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

B-15

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. 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 submission of the Proposal and the inclusion thereof of the statement of non-collusion as the act and deed of the corporation.

(Insert Name of Proposer and Sign Below)

By: ______________________________________________________________ (Print full legal name of person, firm, partnership, or corporation)

(Signature)

(Address)

Corporate ID Number Federal ID Number Date

B-16

STATEMENT OF NON-COLLUSION (continued)

If the Proposer is an individual, the Proposer's legal residence is as follows:

Street Address City State ZIP

If Proposer is a Firm or Partnership, complete the following:

Name of Members or Partners Legal Residence

If Proposer is a Corporation, complete the following:

Names of All Officers

President:

Vice President:

Secretary:

Treasurer:

Other Officers/Titles (if applicable):

B-17

VI. OFFEROR’S AFFIRMATION OF UNDERSTANDING OF AND AGREEMENT PURSUANT TO

STATE FINANCE LAW §139-j(3) AND §139-j(6)(b)

For reference, the applicable sections of the New York State Finance Law can be found here:

https://www.nysenate.gov/legislation/laws/STF/139-J

Offeror affirms that it understands and agrees to comply with the procedures of Battery Park City relative to permissible Contacts as required by State Finance Law §139-j(3) and §139-j(6)(b).

By: ____________________________________________ Date: _________

(Signature)

(Name – Printed)

(Title)

Contractor Name: ___________________________________________________ (Company)

Contractor Address: __________________________________________________ https://www.nysenate.gov/legislation/laws/STF/139-J

B-18

VII. OFFEROR’S CERTIFICATION OF COMPLIANCE WITH STATE FINANCE LAW

§139-k(5)

For reference, the…