RFP 2024-10_External Auditing Services RFP_complete.pdf

Putnam|Northern Westchester

BOARD OF COOPERATIVE EDUCATIONAL SERVICES

200 BOCES Drive Yorktown Heights, NY 10598-4399

(914) 248-2398 FAX (914) 245-4540

E-MAIL: Purchasing@pnwboces.org

NOTICE TO PROPOSERS

Don Mahler Purchasing Agent

Putnam/Northern Westchester BOCES, (hereinafter PNW BOCES), hereby invites the submission of sealed proposal for External Auditing Services.

External Auditing Services

RFP # 2024-10

Proposal Due Date: May 20, 2025 @ 11:30 a.m.

PNW BOCES

School Services Building - Purchasing

200 BOCES Drive Yorktown Heights, NY 10598

At the above stated time and place all proposals will be publicly opened and the initial years proposal will be publicly read aloud. The names of the proposing vendors shall be available following the proposal opening via formal request sent to the Purchasing Agent. Specification forms may be obtained from http://www.bidnetdirect.com/.

In the event that the PNW BOCES Purchasing Office is closed the day of the proposal’s opening, the proposal(s) will be opened at the same time, on the next day that the PNW BOCES Purchasing Office is open. All proposals received after the date and time stated in the Notice to Providers will not be considered and will be returned to the proposing vendor.

PNW BOCES, reserves the right to accept each proposal by individual item, by category, by groups of items or as a whole, or in its discretion, to reject all proposals. PNW BOCES also reserves the right to waive any informality in the proposal process if determined to be in the best interest of PNW BOCES.

Proposals opened and read shall remain irrevocable for the contract period. The award of contracts, if at all, shall be made as soon as practicable after the opening. Any quantities, if shown, are estimates and not guaranteed.

Don Mahler Purchasing Agent Dated: April 17, 2025

REQUEST FOR PROPOSAL #2024-10

External Auditing Services

THIS RFP IS IN THREE SECTIONS:

SECTION A – Requirements Section

SECTION B – Information Section

SECTION C – Forms

TABLE OF CONTENTS

SECTION A – REQUIREMENTS SECTION

Purpose Scope of Services RFP Submission RFP Format and Organization

SECTION B – INFORMATION SECTION

Proposal Scoring and Evaluation Terms and Conditions Summary of Key Information Insurance Requirements

SECTION C – FORMS

Company Information Pricing Form Proposal Certification Bidder Information & References Vendor Responsibility Questionnaire Indemnification Agreement Hold Harmless Agreement Non-Collusive Certification Iran Divestment Act Statement Non-Discrimination Statement General Municipal Law Section 103-g Statement ACH Enrollment Form W-9 Form

SECTION A – REQUIREMENTS SECTION

The Putnam/Northern Westchester BOCES, hereinafter referred to as “PNW BOCES”, invites proposals for EXTERNAL AUDITING SERVICES.

In accordance with PNW BOCES policies and procedures, contracts for professional services requiring special skill or training are not subject to competitive bidding requirements of § 103 of General Municipal Law.

1. PURPOSE

PNW BOCES is soliciting proposals from independent, qualified, and experienced Certified Public Accountants for audit of the financial statement for the year ending June 30, 2026.

This is a one-year contract with an option of four additional one-year periods to renew. The original contract award and subsequent renewals will be based on the recommendation of the Business Official and the Superintendent, with the approval of the Board of the participating district.

The districts maintain records in compliance with the New York State Uniform System of Accounts for school districts. Activities and balances of the following must be included in the audit:

• Funds and account groups of the Board including:

1) General Fund

2) Special Aid Fund

3) School Store Fund

4) School Lunch Fund

5) Capital Projects Fund

6) Risk Retention/Internal Service Fund

7) Fixed Assets Accounts

8) Long-term Debt Fund

9) Trust and Agency Funds including:

a) Private Purpose Trust Funds

b) Miscellaneous Special Revenue Funds

c) Permanent Funds

d) Agency Funds

• Extra Classroom Activity Funds Government Grants

2. SCOPE AND REPORTING REQUIREMENTS

The annual audit shall be performed in accordance with standards and procedures developed by:

United States General Accounting Office Government Accounting Standards Board (GASB)

• American Institute of Certified Public Accountants (AICPA)

Generally Accepted Auditing Standards (GAAS) Standards promulgated by the New York State Comptroller Regulations of the Commissioner of Education Regulations of the Federal, State, and Local Governments regarding Federal, State, and Local

Funds

The audit will include tests of the accounting records of PNW BOCES and other procedures you consider necessary to enable you to express an unqualified opinion that the financial statements are fairly presented, in all material respects, in conformity with generally accepted accounting principles and to report on PNW BOCES compliance with laws and regulations and its internal controls as required for a single audit. If your opinion is other than unqualified, you will fully discuss the reasons with PNW BOCES in advance.

Interim fieldwork should be performed throughout the school year.

The audit firm shall provide financial statements and a Management Letter issuing an opinion on the accompanying financial statements that will include a statement of audit discoveries, a description of any material weaknesses in internal control, and recommendations for financial management improvement. The financial statements must include:

Basic Financial Statements

• District-wide

1. Statement of Net Assets

2. Statement of Activities

• Fund Financial Statements

1. Balance Sheet - Governmental Funds

2. Statement of Revenues, Expenditures, and Changes in Fund Balances -

Governmental Funds

3. Reconciliation of the Statement of Revenues, Expenditures, and

Changes in Fund Balances of Governmental Funds to the Statement of Activities

4. Statement of Revenues, Expenditures, and Changes in Fund Balance - Budget and Actual - General and Special Aid Funds

5. Internal Service Fund - Statement of Net Assets

6. Internal Service Fund - Statement of Revenues, Expenses, and Changes in

Net Assets

7. Internal Service Fund - Statement of Cash Flows

8. Statement of Fiduciary Net Assets

9. Statement of Changes in Fiduciary Net Assets

10. Notes to the Basic Financial Statement

Individual Fund Financial Statements and Schedules

• General Fund

1. Balance Sheet

2. Statement of Revenue, Expenditures, and Changes in Fund Balance - Budget and Actual

3. Schedule of Expenditures and Other Financing Uses Compared to Budget

• Special Revenue Funds

1. Balance Sheets for the Special Aid Fund, School Lunch Fund, School Store Fund, Special Purpose Fund, and Capital Projects Fund.

2. Statement of Revenues, Expenditures and Changes in Fund Balance for the

School Lunch Fund, School Store Fund, Special Purpose Fund, and Capital Projects Fund.

3. Special Aid Fund Statement of Revenues, Expenditures, and Changes in Fund Balance - Budget and Actual

4. Capital Projects Fund - Project-Length Schedule

• Supplementary Information

1. Analysis of Due to School Districts

• Any additional statements that may become required by a district.

Special audits or management services shall be performed in accordance with specific guidelines from the NYS Education Department, the Board of Education or Superintendent of Schools and will meet the requirements defined in 0MB Circular A-133, "Audits of State and Local Governments".

The district will require that the selected firm’s assigned staff perform preliminary audit work for approximately five workdays prior to the close of the fiscal year. The districts’ fiscal years end on June 30th. The Commissioner’s regulations require the Independent Auditor’s report to be filed by October 1st. Therefore, fieldwork shall begin no later than April 30th and end on or before August 27th and the audit firm shall provide the audit reports and accompanying financial statements to the district on or before

September 30th. The audit must be scheduled on consecutive days agreeable to the Business Office.

The audit firm will provide at least twenty copies of all reports to the Business Official. The management letter should be included in the binder with the financial statements. The audit firm shall present its findings to the Board of Education at a regularly scheduled public meeting.

Auditors shall be required to make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which they become aware to the Business Official, the Superintendent, and the Board.

All working papers associated with this audit shall be retained by the audit firm for a minimum of six years from the date of the audit report. Further, all such working papers shall be available for examination by authorized representatives of cognizant agencies, the district and subsequent auditors for a period of six years from the date of submission of the final invoice or until litigation, audit or claim has been fully resolved, if later.

If the district prepares official statements in connection with the sale of debt securities which will contain the general purpose financial statements and the Auditor’s report thereon, the Auditor shall be required, if requested by the fiscal advisor and/or underwriter, to issue a “consent and citation of expertise” as the Auditor of record for the district.

The Auditor will be expected to provide timely information and recommendations concerning any changes in GASB pronouncements, or changes in accounting principles or formats used by the appropriate governing agency.

3. RFP Submission:

Proposals must be clearly labeled:

“RFP#2024-10 External Auditing Services”, when they are submitted to PNW BOCES, 200 BOCES Drive, School Services Building. Purchasing Department, Yorktown Heights, NY 10598, on or before 11:30am on May 20, 2025.

There is no expressed or implied obligation for PNW BOCES to reimburse responding individuals or firms for any expenses incurred in preparing quotations, attending pre-quotation conferences, or interview(s) in responding to this request. Proposals submitted after the stated time and date will not be considered.

4. RFP Format and Organization

In order to facilitate a uniform audit proposal review process and maximize comparability, the proposal for audit services must clearly state the following information and be organized in the following manner:

Cover Page - The title page should state that the document is a Proposal for “External Audit Services” and list the date, audit firm name, contact person, local address, telephone number, and e-mail address.

Page Two – Table of Contents to identify the contents by section and page number.

Body of the Proposal

• Statement of your understanding of the work to be done

• Profile of the audit firm including size and location(s).

• Number and level of personnel to be assigned to this audit, including the names and NYS CPA license numbers of the partner(s) in charge. Please provide an affirmation statement that those assigned will have met all the continuing professional education (CPE) requirements necessary to satisfy the standards of the United States General Accounting Office (GAO) and New York State Education Department. An affirmative statement should be included that the firm and that all assigned key professional staff are properly licensed to practice in the State of New York. Also, provide the names of individuals in the firm that will be available throughout the term of the contract for continuing advice and counsel. P/NW BOCES and its Board reserves the right to reject staff who they feel do not have appropriate experience or qualifications to conduct the audit.

• Describe your firm’s approach to the audit including:

Type of audit program used Use of statistical sampling Use of computer audit specialists Organization of audit team Approximate time to be spent on audit both at PNW BOCES and in your office Provide a tentative audit activity schedule for the 6/30/26 audit.

• A listing of experience in the performance of the requested services for BOCES and/or school districts in New York State and the years of such experience. A listing of government or school district contacts to attest to The firm’s experience should be included. Please include the contacts’ telephone numbers and the years of engagement.

• An affirmation by the auditor that there are no conflicts of interest between the firm and the cooperative.

• A copy of the firm’s last external quality control/peer review report

• A statement explaining why the firm believes itself to be best qualified to perform the engagement

• A statement that the proposal is a firm and irrevocable offer for services to be rendered.

• A sample management letter

• A sample records request letter

Attachment A

• Please fill in the lines on Attachment A of the RFP with the appropriate information.

• Indicate fees for the requested services for each of the years ended June 30, 2026, 2027, 2028, 2029 and 2030.

The base fee for auditing services shall include the costs of performing the aforementioned activities and should be a flat annual rate that should include necessary expenses such as reproduction costs for general distribution of reports. Out-of-pocket expenses for the firm personnel (e.g., travel, lodging and subsistence) will be the responsibility of the Auditor and should be considered and included when determining the all-inclusive maximum price for the year. The base fee should also include follow up work, reconciling differences with other agencies, adjusting journal entries, and provide for advice and counsel to the cooperative throughout the term of the contract. Each proposal will also state the basis on which special audit or management services will be billed.

• Any proposals received after this deadline will not be considered.

• All proposals and accompanying documentation become the property of the cooperative. Any information received during the proposal process either orally or in writing, is not given in confidence and may be used, or disclosed to others, for any purpose, at any time without obligation, compensation or liability of any kind.

• Firms submitting proposals should be of sufficient size to ensure stability, responsiveness and timeliness during the engagement.

• The cooperative is not liable for any cost incurred by audit firms prior to the issuance of an agreement or contract.

• At the discretion of the cooperative, firms submitting proposals may be requested to make oral presentations as part of the evaluation process at a time determined by the cooperative.

• Following the notification of the selected firm, a contract will be executed between both parties.

• The cooperative reserves the right to retain all proposals submitted and use any idea in a proposal regardless of whether that proposal is selected.

Proposal Packages: Proposals will be received no later that the date and time stated above in the Notice to Proposers, on May 20th, 2025 at 11:30am, at which time they will be publicly opened.

Proposal Forms that need to be completed are listed below:

Pricing Proposal Form

Proposal Certification

Bidder Information and Reference

Vendor Responsibility Questionnaire

Indemnification Agreement

Hold Harmless Statement

Non-Collusive Statement

Iran Divestment Act Certification

Non-Discrimination Statement

General Municipal Law Section 103-g Statement

ACH Information and Enrollment Form

W9 Form

The contract period shall be from July 1, 2025, through June 30, 2026. PNW BOCES reserves the right to renew with Four additional One-Year options, if deemed in the best interest of PNW BOCES/Districts.

In addition to the above forms, also to be provided with the proposal is the Certificate if Insurance Policy, naming Putnam-Northern Westchester BOCES as an Additional Insured per the Insurance requirements listed in this RFP.

No interpretation of the meaning of the specification or other contract document will be made to any Contractor orally. Every request for such interpretation should be made in writing, via PNW BOCES’ solicitation on www.bidnetdirect.com, by April 25, 2025 at 11:30 AM. Answers will be posted as an addendum on www.bidnetdirect.com, on April 29, 2025 at 12:00 PM.

Discrepancies: Discrepancies and questions related to the bid documents and specifications must be brought to the attention of the Purchasing Agent by means of a question posted on www.bidnetdirect.com, before the deadline for posting questions has passed. Failure to obtain clarification in writing shall not relieve the Contractor of performing the normal good practice of the industry.

Anticipated Proposal Timeline

SECTION B – INFORMATION SECTION

1. PROPOSAL SCORING AND EVALUATION

PNW BOCES will form a committee to evaluate the proposals using the following grading rubric:

The committee may invite qualified Vendors for an interview, based on each Vendor’s score from the evaluation criteria items above. The interview will be scored independently. The committee reserves the right to decide, based solely on the interviews. The committee will make reasonable attempts to schedule each interview at a time that is agreeable to the Vendor.

Failure of a Vendor to report to an interview on the date scheduled may result in rejection of the Vendor’s Proposal. Points for cost will be assigned on the basis of ratio from low to high, meaning the Vendor with the lowest cost will be assigned the highest point value; second lowest cost will be assigned a point value in descending order in relation to how many RFP submittals are received.

Note: The evaluation team reserves the right to use discretion in awarding additional points for exceptional elements that may not be explicitly covered in the criteria but contribute to the overall strengthened effectiveness of this Proposal, The final decision will be based on the overall merit of the proposals and best fit for meeting the needs of students and teachers in our school and is the lowest responsive bidder, that is in the best interest of PNW BOCES and its component districts.

Request for Proposals Issued Tuesday, April 22, 2025 Proposal Questions Due to Be Posted on BidnetDirect.com

Friday, April 25, 2025

Addendum with Answers to RFP Questions to Be Issued on

BidnetDirect.com Tuesday, April 29, 2025

Due Date for Proposals Tuesday, May 20, 2025 Grading of Proposals Friday, May 23, 2025

Potential Interviews May 27 thru May 30, 2025 (Times TBD) Anticipated Award Date Tuesday, July 1, 2025

CRITERIA POINTS

Experience with External Auditing for School Districts 25

Quality of References 25

First Year Cost 30

Percent Increase in Cost for Additional Years 20

Total 100

Terms and Conditions

ACCEPTANCE OF PROPOSALS

This RFP should not be construed as a contract to purchase goods or services. PNW BOCES is not bound to accept the lowest price or any proposal of those submitted.

LIABILITY OF ERRORS

While PNW BOCES has used considerable efforts to ensure an accurate representation of information in this RFP, all prospective proposers are urged to conduct their own investigations into the material facts and PNW BOCES shall not be held liable or accountable for any error or omission in any part of this RFP.

CONTRACT DIGRESSION –FAILURE TO PERFORM

The Proposer will not assign or transfer the Contract or any right or privilege granted pursuant to the RFP, without prior written consent of PNW BOCES. If Contractor is adjudged bankrupt, or if a receiver is appointed to or for the Contractor, or if Contractor makes any assignment for the benefit of creditors, PNW BOCES may, at its option, terminate the Contract immediately without any prior notice to the Contractor.

Should the Contractor fail to perform as required by the specifications, PNW BOCES may cancel the order and/or contract. In such event, PNW BOCES will assume no responsibility for, nor will it reimburse the Contractor for any expense or loss to the contractor because of such termination or cancellation.

INDEMNIFICATION

To the fullest extent permitted by law, the Contractor shall defend (with counsel selected by PNW BOCES and reasonably approved by the Contractor), indemnify and hold harmless PNW BOCES, it’s employees, agents, and representatives, from any and all liability, losses, costs, damages, and expenses (including, but not limited to, reasonable attorneys’ fees and disbursements) from any claims, disputes, or causes of action of whatever nature arising, in whole or in part, from the performance of the Contractor’s duties hereunder or the action of or the failure to act by the Contractor, it’s representatives, employees, or anyone for whose acts the Contractor may be liable. In the event that any legal proceeding shall be instituted or that any claim or demand with respect to the foregoing be asserted by any person in respect of which indemnification may be sought from the Contractor under the provisions of this paragraph, PNW BOCES shall promptly notify the Contractor of such suit, claim or demand, and give the Contractor an opportunity to defend same and settle same without any cost to PNW BOCES and shall extend reasonable cooperation to the Contractor in connection with such defense, which shall be at the expense of the Contractor. In the event that the Contractor fails to defend the same within thirty (30) days of receipt of notice, PNW BOCES shall be entitled to assume the defense thereof and the Contractor shall be liable to repay PNW BOCES for all its expenses reasonably incurred in connection with said defense (including reasonable attorneys’ fees, disbursements, expert witness fees and settlement payments). All of the provisions of this paragraph will survive expiration or sooner termination of the Contract.

AWARD OF CONTRACT

When award Occurs: Award of contract occurs when a formal contract has been finalized or other evidence of acceptance by PNW BOCES is provided to the Proposer. A Recommendation of Award does not constitute award of contract.

Award: If a contract is awarded, it shall be awarded to the responsive and responsible Proposer whose offer conforming to the Request for Proposal will be most advantageous to PNW BOCES as set forth in the Evaluation Criteria.

COMPLIANCE WITH LAWS

The Contractor shall comply with all the provisions of laws in the State of New York and of the United States of America which affect municipalities and municipal contracts, and provide at his expense, any and all permits, licenses and registrations required for the fulfillment of this agreement, and more particularly the Labor Law, the Immigration and Naturalization Laws and Regulation, the General Municipal Law, the Workers’ Compensation Law, the Lien Law, Personal Property Law, State Unemployment Insurance Law, Federal Social Security Law, State, Local and Municipal Health Laws, Rules and Regulation, and any and all regulations promulgated by the State of New York and of amendments and additions thereto, insofar as the same shall be applicable to any contract awarded hereunder with the same force and effect as if set forth at length herein.

Summary of Key Information on PNW BOCES’ Existing Environment

1. Interview

The award process may include an interview with administration and (the Board or Audit Committee).

2. Termination of Contract

Any contract agreed to under this Request for Proposal is subject to termination by either party with thirty

(30) days written notice. In the event of termination of the contract, PNW BOCES’ responsibility shall be to pay for unpaid services performed and authorized costs incurred.

3. Right to Reject Requests for Proposal

PNW BOCES reserves the right to: (i) not select any of the applicants; (ii) require applicants to submit to a personal interview and/or submit additional or clarifying information; (iii) to reject any or all proposals;

(iv) to waive any formalities in the proposals; and (v) procure the services from other sources if deemed most advantageous to the objectives of the District.

The district’s determination of the applicant who is most advantageous to the goals and objectives of the district shall be final and conclusive. The appointment shall be determined by majority vote on a resolution to be read aloud at an open public meeting. No applicant shall cause or influence, or attempt to cause or influence, any District official, officer or employee to secure unwarranted privileges or advantages.

SECTION C-FORMS

Putnam Northern Westchester BOCES PNW BOCES

Contact Person Kevin Liebertz

Telephone Number (914) 248-2325

E-Mail Address kliebertz@pnwboces.org

Number of Bank Accounts Open at 12/31/24 8

2024/2025 Original Budget $118,115,000

2024/2025 Enrollment 1,698

Total Number of FT Employees 437

Total Number of hourly and daily Employees 342

Number of W-2 Forms Issued for 2023 Calendar Year 855

Number of Business Office Personnel 13

Number of Business Office Positions 13

Number of Bargaining Units 3

Number of Campuses 2

Financial Software WinCap

Number of Grants 14

Number of A/P Checks Issued in 2023/2024 5,022 checks & 5,643 ACH’s

Frequency of Accounts Payable Check Runs Bi-Weekly (26)

Number of 1099’s Issued for 2023 Calendar Year 793

Number of Purchase Orders Issued in 2023/2024 6076

Number of Bids issued in 2023/2024 17

Number of Cash Receipts Issued in 2023/2024 2,664

$ Amount of On-Going Capital Projects TBD

Number of Extra Classroom Checks Issued in 2023/2024

Current External Auditor The Bonadio Group

Frequency of Payroll Semi-Monthly

Pricing Form – Putnam Northern Westchester BOCES

Annual pricing for the fiscal years ended June 30, 2026, 2027, 2028, 2029, 2030.

The undersigned has carefully examined the Request for Proposal (RFP) for External Auditing Services and in accordance with the specifications of the RFP hereby submit this proposal and agree to furnish and perform the specified audit services for the school district within the time limits specified for the amounts indicated below.

The undersigned agrees to enter into a written contract to furnish such materials and services as required in the proposal specifications.

The audit firm agrees to perform the auditing services specified in this RFP for the amounts quoted as follows:

Audit of the fiscal year ended June 30, 2026 $______________________________________________

Audit of the fiscal year ended June 30, 2027 $______________________________________________

Audit of the fiscal year ended June 30, 2028 $______________________________________________

Audit of the fiscal year ended June 30, 2029 $______________________________________________

Audit of the fiscal year ended June 30, 2030 $______________________________________________

If the audit firm, in addition to the specified audit services performs other requested services, the audit firm will supply time records and service descriptions to validate any invoiced charges. In calculating fees for additional management services, the audit firm’s staffing fee structure, hourly rates and other costs will be as follows:

Name of firm: ____________________________________________________________________________________

Printed name and title of person signing: _____________________________________________________

Signature: ______________________________________________________________________________

PUTNAM NORTHERN WESTCHESTER BOCES

200 BOCES Drive

Yorktown Heights, NY 10598

RFP #2024-10

External Auditing Services

PROPOSAL CERTIFICATION

We have read the Request for Proposal (RFP) for (External Auditing Services) and fully understand its intent. We certify that we have adequate personnel, equipment, and facilities to fulfill the requirements thereto. We understand that our ability to meet the criteria and provide the required services shall be reviewed by the PNW BOCES, which will develop a recommendation for the Board’s consideration regarding the selection of the most advantageous (External Auditing Services) proposal.

It is understood that all information included in, attached to, or required by this RFP shall become public record upon delivery to PNW BOCES. The undersigned certifies that the completion of the Proposal is a binding commitment to provide the (External Auditing Services) requested as proposed herein.

Company name

Address

City, State, Zip

(Print name) (Signature)

(Phone) (Fax)

Yorktown Heights, NY 10598

BIDDER INFORMATION AND REFERENCE

Please provide the full name and corporate address of your organization.

Corporation Name:

Corporate Address:

Contact Person: Title:

Phone: Fax:

Email: Website:

REFERENCES: MUST BE PROVIDED FOR BID TO BE CONSIDERED

Contracting firm and its principal officer must be able to prove (5) years of continuous work experience, immediately preceding this quote, in the performance of work substantially equivalent to the scope of this project. References must be from companies in which you have provided same type of product/service.

Company Name: ________________________________________________________________________________________________________

Address: _________________________________________________________________________________________________________________________ Contact Person: _________________________________________________________________________________________________________________ Telephone: ____________________________________________ Email: __________________________________________________________________ Dates of Contract(s): ___________________________________________

Company Name: _________________________________________________________________________________________________________

Address: _________________________________________________________________________________________________________________________ Contact Person: _________________________________________________________________________________________________________________ Telephone: ______________________________________________ Email: ________________________________________________________________ Dates of Contract(s): ___________________________________________

Company Name: _________________________________________________________________________________________________________

Address: ________________________________________________________________________________________________________________________ Contact Person: _________________________________________________________________________________________________________________ Telephone: _______________________________________________ Email: _______________________________________________________________ Dates of Contract(s): ___________________________________________

Yorktown Heights, NY 10598

VENDOR RESPONSIBILITY QUESTIONNAIRE

1. VENDOR IS:

PRIME CONTRACTOR

2. VENDOR’S LEGAL BUSINESS NAME 3. IDENTIFICATION NUMBERS

a) FEIN #

b) DUNS #

4. D/B/A – Doing Business As (if applicable) & COUNTY FIELD: 5. WEBSITE ADDRESS (if applicable)

6. ADDRESS OF PRIMARY PLACE OF BUSINESS/EXECUTIVE OFFICE 7. TELEPHONE NUMBER 8. FAX NUMBER

9. ADDRESS OF PRIMARY PLACE OF BUSINESS/EXECCUTIVE OFFICE

IN NEW YORK STATE, if different from above

10. TELEPHONE NUMBER 11. FAX NUMBER

12. AUTHORIZED CONTACT FOR THIE

QUESTIONNAIRE Name

Title Telephone

Number Fax

Number e-mail

13. LIST ALL OF THE VENDOR’S PRINCIPAL OWNERS.

a) NAME TITLE b) NAME TITLE

c) NAME TITLE d) NAME TITLE

A DETAILED EXPLANATION IS REQUIRED FOR EACH QUESTION ANSWERED WITH A “YES,” AND MUST BE PROVIDED AS AN ATTACHMENT TO THE COMPLETED QUESTIONNAIRE. YOU MUST PROVIDE ADEQUATE DETAILS OR DOCUMENTS TO AID THE COUNTY IN MAKING A DETERMINATION OF VENDOR RESPONSIBILITY. PLEASE NUMBER EACH RESPONSE TO MATCH THE QUESTION NUMBER.

14. DOES THE VENDOR USE, OR HAS IT USED IN THE PAST FIVE (5) YEARS, ANY OTHER BUSINESS Yes No NAME, FEIN, or D/B/A OTHER THAN THOSE LISTED IN ITEMS 2-4 ABOVE? List all other business name(s), Federal Employer Identification Number(s) or any D/B/A names and the dates that these names or numbers were/are in use. Explain the relationship to the vendor.

18. HAVE ANY BANKRUPTCY PROCEEDINGS BEEN INITIATED BY OR AGAINST THE VENDOR OR Yes No ITS AFFILIATES 1 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 OR THE DATE OF FILING?

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.

19. IS THE VENDOR CURRENTLY INSOLVENT, OR DOES VENDOR CURRENTLY HAVE REASON

TO BELIEVE THAT AN INVOLUNTARY BANKRUPTCY PROCEEDING MAY BE BROUGHT

AGAINST

IT? Provide financial information to support the vendor’s current position, for example, Current Ration, Debt Ration, Age of Accounts Payable, Cash Flow and any documents that will provide the agency with an understanding of the vendor’s situation.

Yes No

20. IN THE PAST FIVE (5) YEARS, HAS THE VENDOR OR ANY AFFILIATES1 :

a) defaulted or been terminated on, or had its surety called upon to complete, any contract (public or private) awarded;

Indicate if this is applicable to the submitting vendor or affiliate. Detail the situation(s) that gave rise to the negative action, any corrective action taken by the vendor and the name of the contracting agency.

Yes No

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 entities daily operations, that entity will be an “affiliate” for purposes of this questionnaire.

15. WITHIN THE PAST (5) YEARS, HAS THE VENDOR, ANY INDIVIDUALS SERVING IN

MANAGERIAL OR CONSULTING CAPACITY, PRINCIPAL OWNERS, OFFICERS, MAJOR

STOCKHOLDER(S) (10% OR MORE OF THE VOTING SHARES FOR PUBLICLY TRADED

COMPANIES, 25% OR MORE OF THE SHARES FOR ALL OTHER COMPANIES), AFFLITIATE OR

ANY PERSON INVOLVED IN THE BIDDING OR CONTRACTING PROCESS:

a) 1. been suspended, debarred or terminated by a local, state or federal authority in connection with a contract or contracting process;

2. been disqualified for cause as a bidder on any permit, license, concession franchise or lease;

3. entered into an agreement to a voluntary exclusion from bidding/contracting;

4. had a bid rejected on an Putnam County contract for failure to comply with the MacBride Fair Employment Principles;

5. had a low bid rejected on a local, state or federal contract for failure to meet statutory affirmative action or M/WBE requirements on a previously held contract;

6. had status as a Women’s Business Enterprise, Minority Business Enterprise or Disadvantaged Business Enterprise, de-certified, revoked or forfeited;

7. been subject to an administrative proceeding or civil action seeking specific performance or restitution in connection with any local, state or federal government contract;

8. been denied an award of a local, state or federal government contract, had a contract suspended or had a contract terminated for non-responsibility; or

9. had a local, state or federal government contract suspended or terminated for cause prior to the completion of the term of the contract.

b) been indicted, convicted, received a judgment against them or a grant of immunity for any business- related conduct constituting a crime under local, state or federal law including but not limited to, fraud extortion, bribery, racketeering, price-fixing, bid collusion or any crime related to truthfulness and/or business conduct?

Yes

Yes

Yes

No

No

No

16. IN THE PAST THREE (3) YEARS, HAS THE VENDOR OR ITS AFFILIATES 1 HAD ANY CLAIMS, JUDGMENTS, INJUNCTIONS, LIENS, FINES OR PENALTIES SECURED BY ANY

GOVERNMENTAL AGENCY?

Indicate if this is applicable to the submitting vendor or affiliate. State whether the situation(s) was a claim, judgment, injunction, lien or other with an explanation. Provide the name(s) and address(es) of the agency, the amount of the original obligation and outstanding balance. If any of these items are open, unsatisfied, indicate the status of each item as “open” or “unsatisfied.”

Yes No

17. DURING THE PAST THREE (3) YEARS, HAS THE VENDOR FAILED TO:

a) file returns or pay any applicable federal, state or city taxes?

Identify the taxing jurisdiction, type of tax, liability year(s), and tax liability amount the vendor failed to file/pay and the current status of the liability.

b) file returns or pay New York State unemployment insurance?

Indicate the years the vendor failed to file/pay the insurance and the current status of the liability.

c) Property Tax Indicate the years the vendor failed to file.

Yes

Yes

Yes

No

No

No

Yorktown Heights, NY 10598

INDEMNIFICATION AGREEMENT

The Contractor agrees:

(a) that except for the amount, if any, of damage contributed to, caused by or resulting from the negligence of PNW BOCES, the Contractor agrees to indemnify and hold harmless the Putnam/Northern Westchester BOCES, its officers, employees and agents from and against any and all liability, damage, claims, demands, costs, judgments, fees, attorney's fees or loss arising directly or indirectly out of the performance or failure to perform hereunder by the Consultant or third parties under the direction or control of the Consultant; and

(b) to provide defense for and defend, at its sole expense, any and all claims, demands or causes of action directly or indirectly arising out of the Agreement and to bear all other costs and expenses related thereto.

AUTHORIZED SIGNATURE

DATE

NOTARY PUBLIC

DATE

RFP #2024-10

External Auditing Services

HOLD HARMLESS AGREEMENT

(This form must be SIGNED AND NOTORIZED – Submit with proposal)

It is hereby agreed and understood that the contractor agrees to hold harmless and indemnify PNW BOCES, or any officer, agent, servant, or employee of the PNW BOCES from any lawsuit, action, proceeding liability, judgment, claim or demand which may arise out of:

A) Any injury to person or property sustained by the awarded vendor, its agents, servants or employees or by any person, firm, or corporation employed directly or indirectly by them upon or in connection with their performance under the contract, however caused;

B) Any injury to person or property sustained by any person, firm, or corporation, caused by any act, default, error or omission of the awarded vendor, its agents, servants, or employees or any person, firm or corporation, directly or indirectly employed by them upon or in connection with performance under the contract.

The assumption of indemnity, liability and loss hereunder shall survive Microsoft Partner’s completion of service or other performance hereunder and any termination of this contract.

The awarded vendor at its own expense and risk shall defend any legal proceedings that may be brought against the PNW BOCES or any officer, agent, servant, or employee of the PNW BOCES on any claim or demand, and shall satisfy any judgment that may be rendered against the PNW BOCES or any officer, agent, servant, or employee of the PNW BOCES.

This Indemnification, Defense and Hold Harmless Agreement shall apply to any lawsuit, action, proceeding, liability, judgment, claim or demand, of whatever name or nature, notwithstanding that the awarded vendor may deem the same to be frivolous or without merit. It is intended that this Agreement be interpreted in the broadest manner possible so as to insulate all of the entities, parties and individuals named above form any liability, cost or judgment, monetary or otherwise, as the same may relate to the personnel and services provided by the Microsoft Partner.

Signature: Date:

Affirmed to me this day of , 2021

NON COLLUSIVE CERTIFICATION

Firm Name _________________________________________________________________________________________

Business Address ____________________________________________________________________________________

Telephone Number ________________________________________ Date of Bid _____________________________

By submission of this bid proposal, the bidder certifies that he is complying with Section 103-d of the General Municipal Law as follows:

Statement of non-collusion in bids and proposals to political subdivision of the state. Every bid or proposal hereafter made to a political subdivision of the state or any public department, agency or official thereof where competitive bidding is required by statute, rule, regulation, or local law, for work or services performed or to be performed or goods sold or to be sold, shall contain the following statement subscribed by the bidder and affirmed by such bidder as true under the penalties of perjury: Non-collusive bidding specification.

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

(1) The prices in this bid have been arrived at independently without collusion, consultation, communication or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor;

(2) Unless otherwise requested by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly by disclosed by the bidder prior to opening, directly or indirectly, to any other bidder or to any competitor; and –

(3) No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition.”

(B) A bid shall not be considered for award nor shall any award be made where (A) (1) (2) and (3) above have not been complied with; provided, however, that if in any case the bidder cannot make the foregoing certification, the bidder shall so state and shall furnish with the bid a signed statement which sets forth in detail the reasons therefore. Where (A) (1)(2) and (3) above have not been completed with, the bid shall not be considered for award nor shall any award be made unless the head of the purchasing unit of the political subdivision, public department, agency of official thereof to which the bid is made, or his designee, determines that such disclosure was not made for the purpose of restricting competition.

(1) The fact that a bidder (2) has (a) published price lists, rates, or tariffs covering items being procured, (b) had informed prospective customers of proposed or pending publication of new or revised price lists for such items, or (c) has sold the same items to other customers at the same prices being bid, does not constitute, without more, a disclosure within the meaning subparagraph one (A).

(2)Any bid hereafter made to any political subdivision of the state or any public department, agency or official thereof by a corporate bidder for work or services performed or to be performed or goods sold or to be sold, where competitive bidding is required by statute, rule, regulation, or local law, and where such bid contains the certification referred to in subdivision one of the section, shall be deemed to have been authorized by the board of directors to the bidder, and such authorization shall be deemed to include the signing and submission of the bid and the inclusion therein of the certificates to non-collusion as the act and deed of the corporation.

Signature ____________________________________________________ Title______________________________________________________

Yorktown Heights, NY 10598

IRAN DIVESTMENT ACT CERTIFICATION

The Iran Divestment Act of 2012 (“Act”), Chapter 1 of the 2012 Laws of New York, added State Finance Law (SFL), §165-a and General Municipal Law §103-g, effective April 12, 2012. Under the Act, the Commissioner of the New York State Office of General Services (“OGS”) developed a list (“Prohibited Entities List”) of “persons” who are engaged in “investment activities in Iran” (both are defined terms in the law). In accordance with SFL §165-a(3), the Prohibited Entities List may be found of the OGS website at:

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf .

Pursuant to General Municipal Law §103-g, by signing below, Bidder certifies as true under the penalties of perjury that: By submission of this proposal each Bidder and each person signing on behalf of any Bidder 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 its knowledge and belief that each Bidder is not on the list created pursuant to paragraph (b) of subdivision 3 of section 165-a of the State Finance Law.

A proposal shall not be considered for award nor shall any award be made where the certification has not been made, provided, however, that if in any case the Bidder cannot make the certification, the Bidder shall so sate and shall furnish with the proposal a signed statement which sets forth in detail the reasons therefor.

The Pearl River School District (“District”) may award a contract to a Bidder who cannot make the required certification on a case-by-case basis if:

1) The investment activities in Iran were made before April 12, 2012, the investment activities in Iran have not been expanded or renewed after April 12, 2012, and the person has adopted, publicized, and is implementing formal plan to cease the investment activities in Iran and to refrain from engaging in any new investments in Iran: or

2) The District makes a determination that the goods and services are necessary for the District to perform its functions and that, absent such exemption, the political subdivision would be unable to obtain the goods or services for which the contract is offered. Such determination shall be made in writing and shall be a public document.

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

The District reserves the right to reject any bid, proposal, contract or request for assignment for an entity that appears on the Prohibited Entities List prior to the award or execution of a contract or any renewal thereof, as applicable, and to pursue a responsibility review with respect to any entity that is awarded a contract and appears on the Prohibited Entities List after contract award.

DATE SIGNATURE

BUSINESS NAME PRINTED NAME

200 BOCES Drive

Yorktown Heights, NY 10598

NON-DISCRIMINATION STATEMENT

To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, military status, domestic violence victim status, or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractor shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contract is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due for a second or any subsequent violation.

BY:

Signature

Print Name and Title of Signatory

DATE:

Yorktown Heights, NY 10598

GENERAL MUNICIPAL LAW SECTION 103-g STATEMENT

The below signed bidder affirms the following as true under penalties of perjury:

By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief that each bidder is not on the list created pursuant to paragraph (b) of subdivision 3 of Section 165-a of New York State Finance Law.

Corporate or Company Name

By: _ Signature

Title

Sworn to before me this

Day of , 20

Notary Public

Putnam/Northern Westchester

BOARD OF COOPERATIVE EDUCATIONAL SERVICES

200 BOCES Drive, Yorktown Heights, NY 10598-4399

(914) 248-2326 FAX (914) 245-4540

E-MAIL:ap@pnwboces.org

ACH ENROLLMENT FORM

Putnam/Northern Westchester BOCES has begun making ACH vendor payments. This electronic banking method will expedite the payment process and provide email payment notification…at no additional cost to you!

Please complete the information required below, and attach a voided check. Should you have any questions, please don’t hesitate to contact me.

Return Completed Forms To:…