RFP FISCAL-01 4-1K AUDITOR.pdf

REQUEST FOR PROPOSALS

Solicitation No: 25-FISCAL01

For the Provision of

401(k) AUDIT

RFP Closing:

Single Point of Contact (SPC): Greg Tomlinson, Procurement & Contracts Manager

Oregon Child Development Coalition

9140 SW Pioneer Ct Ste E

Wilsonville, OR 97070

Questions must be submitted in writing via email to:

rfp@ocdc.net

Deadline for Questions: April 22nd, 2025 at 4:00 PM Pacific Standard Time

April 25th, 2025 at 2:00 PM Pacific Standard Time

April 17th, 2025 mailto:rfp@ocdc.net

Central Office

Procurement and Contracts Department

9140 SW Pioneer Ct, Ste E

Wilsonville, OR 97070

REQUEST FOR PROPOSAL (RFP)

Solicitation No: 25-FISCAL01

SUMMARY

The purpose of this Request for Proposals (Solicitation) is to obtain competitive Proposals form qualified Proposers interested in the provision of 401(k) Audit.

Interested Proposers must submit a Proposal pursuant to the provisions of this Solicitation by email to: rfp@ocdc.net or via the specifications listed in Section 3.5 NO LATER THAN:

SOLICITATION DUE DATE AND TIME (CLOSING):

No public opening will occur. Proposals will be opened and recorded. Subject to public records laws, the contents of any

Proposal will not be disclosed to the public until a notice of Intent To Award has been issued or the Solicitation is cancelled after opening Proposals.

Proposers are solely responsible for ensuring that the Oregon Child Development Coalition receives its Proposal.

LATE PROPOSALS WILL NOT BE ACCEPTED.

Prospective Proposers must register with Oregon Buys – http://oregonbuys.gov/ to obtain the solicitation and addendum documents.

All questions and comments regarding this solicitation must be directed ONLY BY EMAIL to: rfp@ocdc.net

PROPOSALS MUST BE PURSUANT TO THE PROVISIONS OF THIS SOLICITATION.

THE COALITION MAY REJECT ANY PROPOSAL NOT IN COMPLIANCE WITH ALL PRESCRIBED

REQUIREMENTS.

April 25th, 2025 at 2:00 PM Pacific Standard Time mailto:rfp@ocdc.net http://oregonbuys.gov/ mailto:rfp@ocdc.net

Table of Contents

Table of Contents

1 SECTION: GENERAL INFORMATION

1.1 INTRODUCTION

1.2 SCHEDULE

1.3 SINGLE POINT OF CONTACT (“SPC”)

2 SECTION: AUTHORITY, OVERVIEW, AND SCOPE

2.1 AUTHORITY AND METHOD

2.2 DEFINITIONS OF TERMS

2.3 SOLICITATION REVIEW

2.4 OVERVIEW AND PURPOSE

2.4.1 Agency Overview and Background

2.5 Project Overview, Background and Purpose

2.6 SCOPE OF WORK/SPECIFICATIONS

2.6.1 DUTIES

2.6.2 AUDIT OBJECTIVES

2.6.3 AUDIT PROCEDURE

2.6.4 OTHER SERVICES

2.6.5 OCDC MANAGEMENT RESPONSIBILITIES

2.6.6 ADDITIONAL REQUIREMENTS

3 SOLICITATION PROCESS

3.1 PUBLIC NOTICE

3.2 PRE-PROPOSAL CONFERENCE

3.3 QUESTIONS/REQUESTS FOR CLARIFICATIONS

3.4 SOLICIATION PROTESTS

3.4.1 Protests to Amendment(s)

3.4.2 Requirements for Protests

3.5 PROPOSAL DELIVERY OPTIONS

3.6 PROPOSAL MODIFICATION OR WITHDRAWAL

3.7 PROPOSAL DUE

3.8 PUBLIC OPENING

3.9 PROPOSAL REJECTION

4 SECTION: PROPOSAL REQUIREMENTS

4.1 MINIMUM SUBMISSION REQUIREMENTS

4.1.1 Introduction

4.1.2 Proposal Page Limits

4.1.3 Proposal Format and Quantity

4.1.4 Insurance Requirements

4.1.6 Business Registry

4.1.7 Authorized Representative

4.2 DETAILED PROPOSAL CONTENT REQUIREMENTS

4.2.1 Firm Overview and Team Qualifications (30 points possible)

4.2.2 Audit Approach & Timeline (30 points possible)

4.2.3 Experience on Similar Audits (30 points possible)

4.2.4 Price Evaluation (10 points possible)

4.3 EVALUATION PROCESS

4.3.1 Responsiveness and Responsibility Determination

4.3.2 Evaluation Criteria

4.3.3 Ranking of Proposers

5 SECTION: AWARD AND NEGOTIATION

5.1 AWARD NOTIFICATION PROCESS

5.1.1 Award Consideration

5.1.2 Intent to Award Notice

5.2 INTENT TO AWARD PROTEST

5.2.1 Protest Submission

5.2.2 Response to Protest

5.3 CONTRACT/PRICE AGREEMENT NEGOTIATION

5.3.1 Negotiation

1 SECTION: GENERAL INFORMATION

1.1 INTRODUCTION

The Oregon Child Development Coalition, (“OCDC”) a 501(c)(3) non-profit organization, is issuing this Request for Proposal (“RFP”) in compliance with 2 CFR part 200 for the provision of services from a qualified audit firm to perform an audit of OCDC’s 401(k) plan for the fiscal year ending 2024 with an expected start date of May 15th, 2025.

OCDC anticipates the award of one Contract from this RFP.

The term of the Contract is anticipated to be 1 year with no extension.

Any purchases under the awarded Contract must be authorized by purchase orders issued by

OCDC in accordance with the ordering procedures described in the EXHIBIT 1 – SAMPLE

CONTRACT AGREEMENT. Proposers are advised that there is no guarantee of any specific amount of purchases under the Contract. Notwithstanding the award of a Contract, OCDC may conduct separate solicitations or award project- specific contracts or purchase orders for Services similar to what is described within this RFP using any method allowed by law.

1.2 SCHEDULE

The table below represents a tentative schedule of events. All times are listed in Pacific Standard Time. All dates listed are subject to change. N/A denotes that event is not applicable to this RFP.

Event Date Time

Pre-Proposal Conference N/A N/A

Questions / Requests for Clarification Due April 22nd, 2025 4:00 PM PST

Answers to Questions / Requests for Clarification Issued (approx.)

April 24th, 2025 4:00 PM PST

RFP Protest Period Ends N/A N/A

Opening (Proposal Due) April 25th, 2025 2:00 PM PST

Opening of Proposal April 25th, 2025 2:30 PM PST

Presentations, Demonstrations, or Interviews As needed

Issuance of Notice of Intent to Award (approx.)

April 30th, 2025 10:00 AM PST

Award Protest Period Ends May 7th, 2025

1.3 SINGLE POINT OF CONTACT (“SPC”)

The SPC for this RFP is identified on the Cover Page, along with the SPC’s contact information.

Proposer shall direct all communications related to any provision of the RFP only to the SPC, whether about the technical requirements of the RFP, contractual requirements, the RFP process, or any other provision.

2 SECTION: AUTHORITY, OVERVIEW, AND SCOPE

2.1 AUTHORITY AND METHOD

OCDC is issuing this RFP pursuant to its requirements under 2 CFR Part 200.

OCDC is using the Procurement by Competitive Proposals method, in accordance with 2 CFR § 200.320.

2.2 DEFINITIONS OF TERMS

For the purposes of this RFP, capitalized words are defined in 2 CFR Part 200.1.

2.3 SOLICITATION REVIEW

Proposers must carefully review the Solicitation documents and are responsible for comprehending and adhering to all terms and conditions. Any defects, ambiguities, omissions, or errors should be brought to

OCDC’s attention by protest process outlined in Section 5.2.1 Protest Submission, protests or appeals based on such defects, ambiguities, omissions or errors received after issuance of the Notice of Intent to

Award (NOI) may not be received favorable consideration.

2.4 OVERVIEW AND PURPOSE

2.4.1 Agency Overview and Background

The Oregon Child Development Coalition is a private, non-profit organization governed by a volunteer

Board of Directors. OCDC was founded in 1971, prompted by the collaborative response to a tragic farm accident involving the death of a young child. Prior to this, the care and needs of children of migrant farmworkers was incredibly difficult, as their parents were working all day in the fields. The children either accompanied their parents or were left with older siblings for up to 12 hours a day.

Local volunteers in various communities across the state decided to change this intolerable situation by providing childcare. When state and federal funding were sought, these communities banded together and formed a coalition. In the many years that have passed since the organization’s founding, OCDC has evolved into one of the largest early childhood care and education services providers in Oregon, not to mention the state’s 6th largest non-profit organization. Each year the Oregon Child Development

Coalition serves over 4,000 children and families across 30 sites in 15 Oregon counties. Honoring our roots and looking confidently into the future, we remain committed to excellence around providing early childhood care and education opportunities to children and families to promote growth and independence.

2.5 Project Overview, Background and Purpose

The intent of issuing this Request for Proposal is to obtain services from a qualified audit form to perform an audit of OCDC’s 401(k) plan for the fiscal year ending 2024. The OCDC 401(k) Plan has been adopted to provide the opportunity to save for retirement on a tax-advantaged basis. This Plan is a type of qualified retirement plan commonly referred to as a 401(k) Plan.

Current Plan Assets are $55,973,709.00

The number of participants is 1,430

2.6 SCOPE OF WORK/SPECIFICATIONS

2.6.1 DUTIES

• The audit firm will audit OCDC’s 401(K) Plan for the year ending December 31st, 2024, in line with ERISA’s annual reporting requirements. The audit will cover the financial statements, including the statement of net assets available for benefits as of December 31st, 2023 and 2024, and the statement of changes in net assets available for benefits, along with related notes and supplemental schedules. The supplementary information will include assets held at the end of the year and assets acquired and disposed of within the year, required for the Plan’s Form 5500 filing with the EBSA of the DOL.

2.6.2 AUDIT OBJECTIVES

• The audit will be conducted in accordance with auditing standards generally accepted in the United States of America (U.S. GAAP). However, as permitted by 29 CFR 2520.103-8 of the DOL’s Rules and Regulations for Reproting and Disclosure under ERISA, and as instructed by OCDC, the audit firm will not perform any auditing procedures on asset information prepared and certified by Empower, the trustee, in accordance with 29 CFR 2520.103-5. The audit firm will compare this information with the related information included in the financial statements and supplemental schedules.

• Under ERISA, the Plan administrator is responsible to the Plan participants for the financial information and the ability of the certifying entity to issue such ERISA certification. Due to the significance of the information that the audit firm will not audit, the audit firm will not express an opinion on the financial statements and supplemental schedules.

• Upon competition of the audit of the Plan’s financial statements, the audit form will issue a written report addressed to the Plan’s Board of Trustees. The audit firm will not provide assurance that a limited scope disclaimer of opinion, as permitted by Regulation 2520.103-8 of the DOL’s Rules and Regulations for Reporting and Disclosure under ERISA, will be expressed. Circumstances may arise that necessitate further modifications to the report, such as adding an emphasis-of-matter or other-matter paragraph.

• The form and content of the information included in the financial statements and supplemental schedules, other than that derived from the information certified by the trustee, will be audited by the firm in accordance with U.S. GAAP and will be subject to tests of OCDC’s accounting records and other procedures the auditor considers necessary to express an opinion on whether the information is presented in compliance with DOL’s Rules and Regulations for Reproting and Disclosure under ERISA.

2.6.3 AUDIT PROCEDURE

• The audit firm will test documentary evidence supporting transactions and confirm investments, except those certified by the trustee. Written representations from attorneys may be requested, and OCDC may be billed for this. At the audit’s conclusion, the firm may require written representations from OCDC about the financial statements.

• The audit involves examining evidence on a test basis, evaluating accounting policies, estimates, and the overall presentation of the financial statements. It aims to ensure the financial statements are free of material misstatements due to errors, fraud, asset misappropriation, or legal violations. However, inherent limitations mean some material misstatements may not be detected.

• The auditor will inform management of any material errors, fraud, or legal violations found.

The audit firm will also include prohibited transactions in the supplemental schedule of nonexempt transactions for Form 5500. The audit covers the period specified and does not extend to later periods.

• The audit will include understanding the Plan and its environment, including internal control, to assess risks and design further audit procedures. It is not designed to provide assurance on internal control or identify deficiencies. However, internal control-related matters will be communicated to OCDC and governance as required.

• The audit firm will consider the Plan’s compliance with IRS requirements for tax-exempt status and ERISA plan qualification. The audit is not designed to disclose all matters affecting plan qualifications or compliance but will communicate any such instances or management improvement suggestions to OCDC.

2.6.4 OTHER SERVICES

• The audit firm will prepare the Plan’s financial statements in accordance with U.S. GAAP, based on information provided by OCDC. Services will be performed according to professional standards and are limited to financial statement preparation. The audit firm reserves the right to refuse any actions that could be seen as assuming management responsibilities.

2.6.5 OCDC MANAGEMENT RESPONSIBILITIES

• OCDC is responsible for designing, implementing, and maintaining internal controls to ensure the financial statements are free from material misstatement, whether due to fraud or error.

This includes selecting and applying accounting principles, establishing an accounting and financial reporting process, and preparing financial statements in conformity with U.S. GAAP.

• OCDC must provide all financial records and related information to the audit firm, ensure the accuracy and completeness of this information, and verify that the trustee’s certification includes the appropriate value of investments as of the Plan’s year-end. OCDC is also responsible for providing access to all relevant information, additional information requested by the audit firm, and unrestricted access to necessary personnel.

• OCDC is responsible for adjusting the financial statements to correct material misstatements and confirming the immateriality of uncorrected misstatements in a written management representation letter. Additionally, OCDC must design and implement programs to prevent and detect fraud, inform the audit firm of any known or suspected fraud, and ensure compliance with applicable laws and regulations.

• OCDC is responsible for the fair presentation of the supplemental schedule and the form and content of the financial statements in conformity with the DOL’s ERISA rules. OCDC will include the audit firm’s report on the supplementary information in any relevant documentation and present the audited financial statements with any supplementary information that includes the audit firm’s report.

• OCDC will oversee non-attest services provided by the audit firm, designate as qualified individual to evaluate the services, and accept responsibility for them.

2.6.6 ADDITIONAL REQUIREMENTS

• Provide three references, including both email and phone contact information, of organizations that can speak to the Proposer’s ability to perform the requirements of the Contract. The attached reference form must be completed (ATTACHMENT F – PROPOSER REFERENCE FORM). It is the Proposer’s responsibility to provide valid reference information and OCDC reserves the right to use reference check responses in its evaluation of Proposals.

3 SOLICITATION PROCESS

3.1 PUBLIC NOTICE

The RFP and attachments are published in the State of Oregon’s electronic procurement system OregonBuys at https://oregonbuys.gov/. Documents will not be mailed to Prospective Proposers.

Modifications, if any, to this RFP will be made by written Amendment(s) published in OregonBuys.

Prospective Proposer is solely responsible for checking OregonBuys to determine whether or not any

Amendment(s) have been issued. Amendment(s) are incorporated into the RFP by this reference.

3.2 PRE-PROPOSAL CONFERENCE

A Pre-Proposal conference will not be held for this RFP.

3.3 QUESTIONS/REQUESTS FOR CLARIFICATIONS

All inquiries, whether relating to the RFP process, administration, deadline or method of award, or to be the intent or technical aspects of the RFP must:

• Be delivered to the SPC via an OregonBuys submission, email, or hard copy;

• Reference the OregonBuys bid number;

• Identify Proposer’s name and contact information;

• Refer to the specific area of the RFP being questioned (i.e. page, section and paragraph number);

and

• Be received by the due date and time for Questions/Requests for Clarification identified in the

Schedule in Section 1.2.

3.4 SOLICIATION PROTESTS

Prospective Proposer may submit a Written protest of anything contained in this RFP, including but not https://oregonbuys.gov/ limited to, the RFP process, Specifications, Scope of Work, and the Sample Contract/Price

Agreement. This is Prospective Proposer’s only opportunity to protest the provisions of the RFP, except that Proposer may protest as provided below.

3.4.1 Protests to Amendment(s)

Prospective Proposer may submit a Written protest of anything contained in an Amendment. Protests to an

Amendment, if issued, must be submitted by 5:00 p.m. PST on the second Business Day following the issuance of the Amendment or the date/time specified in the Amendment, or they will not be considered.

Protests of matters not added or modified by the Amendment will not be considered.

3.4.2 Requirements for Protests

All protests must:

• Be delivered to the SPC via email, or hard copy;

• Reference the OregonBuys bid number;

• Identify prospective Proposer’s name and contact information;

• Be sent by an authorized representative;

• State the reason for the protest, including:

o The grounds that demonstrate how the Procurement Process is contrary to law, Unnecessarily

Restrictive, legally flawed, or improperly specifies a brand name; and;

o Evidence or documentation that supports the grounds on which the protest is based; and

• State the proposed changes to the RFP provisions or other relief sought.

Protests to the RFP must be received by the due date and time identified in the schedule section 1.2.

Protests to an Amendment must be received by the due date identified in the Amendment.

3.5 PROPOSAL DELIVERY OPTIONS

Proposer is solely responsible for ensuring its Proposal is received by the SPC in accordance with the RFP requirements before Opening. OCDC is not responsible for any delays in mail or by common carriers or by transmission errors or delays, or for any mis-delivery for any reason. A Proposal submitted by any means not authorized below will be rejected. The following delivery options are permitted for this RFP:

• Delivery through OregonBuy:

o Proposal submission should be electronically through OregonBuys: at OregonBuys.gov

• Alternative Delivery Option: Delivery through Mail or Parcel Carrier:

o A Proposal may be submitted through the mail or via parcel carrier and must be clearly labeled and submitted in a sealed envelope, package or box. The outside of the sealed submission must clearly identify the Proposer’s name and the OregonBuys bid number. It must be sent to the attention of the SPC at the address listed on the Cover Page.

• Alternative Delivery Option: Delivery in Person:

o A Proposal may be hand delivered and must be clearly labeled and submitted in a sealed envelope, package or box. A Proposal will be accepted, prior to Opening, during OCDC’s normal Monday-

Friday business hours of 8:00 a.m. to 5:00 p.m. Pacific Standard Time, except during Federal holidays and other times when OCDC is closed. The outside of the sealed submission must clearly identify the Proposer’s name and the bid number assigned to the RFP by OregonBuys. It must be delivered to the attention of the SPC at the address listed on the Cover Page.

3.6 PROPOSAL MODIFICATION OR WITHDRAWAL

If a Proposer wishes to make modifications to a submitted Proposal, the Proposer must submit its modification in one of the authorized methods listed in section 3.5 (Proposal Delivery Options). To be effective the modification must include the OregonBuys bid number and submitted to the SPC prior to

Opening.

If a Proposer wishes to withdraw a submitted Proposal, it must submit a Written notice signed by an

Authorized Representative of its intent to withdraw to the SPC via email, or hard copy prior to the Opening in accordance with OAR 125-247-0440. To be effective the notice must include the OregonBuys bid number.

3.7 PROPOSAL DUE

A Proposal (including all required submittal items) must be received by the SPC on or before Opening. All

Proposal modifications or withdrawals must also be received prior to Opening.

3.8 PUBLIC OPENING

A public Opening will NOT be held. Only the name of the Proposer will be read at the Opening, no other information will be made available at that time. Proposals received will not be available for inspection until after the evaluation process has been completed and the notice of Intent to Award is issued pursuant to OAR

125-247-0630.

3.9 PROPOSAL REJECTION

OCDC may reject a Proposal for any of the following reasons:

• Proposer fails to substantially comply with all prescribed RFP procedure and requirements, including but not limited to the requirement that Proposer’s Authorized Representative sign the Proposal;

• Proposer has liquidated and delinquent debt owed to the Federal Government, State or any department or agency;

• Proposer fails to meet the responsibility requirements of ORS 279B.110;

• Proposer makes any contact regarding this RFP with OCDC representative such as employees or officials other than the SPC or person authorized by the SPC, or inappropriate contact with the

SPC;

• Proposer attempts to influence a member of the Evaluation Committee;

• Proposer is conditioned on OCDC acceptance of any other terms and conditions or rights to negotiate any alternative terms and conditions that are not reasonably related to those expressly authorized for negotiation in the RFP or Amendment(s).

4 SECTION: PROPOSAL REQUIREMENTS

4.1 MINIMUM SUBMISSION REQUIREMENTS

4.1.1 Introduction

This section describes the mandatory format for the presentation of a Proposal in response to this

RFP. The purpose of this format is to ensure uniformity of the information from each Proposer and to aid in clear understanding and evaluation of each Proposal. Failure to provide any information requested in this RFP may result in rejection of the Proposal.

4.1.2 Proposal Page Limits

Proposer’s submitted Proposal must contain each of the following elements:

• Should be submitted in searchable MS Word/PDF format. Elaborate artwork and visuals are not necessary. Any MS Excel attachments may be submitted in MS Excel format. Brochures or other promotional presentations beyond that sufficient to present a complete and effective Proposal are not desired.

• The Proposer’s response is limited to 25 digital pages. This page limit is limited to the

Proposer’s response to the detailed Proposal content requirements found in Section 4.2 below, unless specific items required therein are exempted from this page restriction

(e.g., insurance forms). It is important to note that the page limit does not include

Attachment A through M or the evaluation section. Should a Proposal exceed the specified page limit, OCDC reserves the right to consider excluding pages, starting with the last page of the submission and continuing until the 25-page threshold is met. In the event that this action is taken, it will be applied uniformly to all Proposals that exceed the established page limit.

• Proposal should be organized in the order items appear in the below section number 4.2

Detailed Proposal Content Requirements.

4.1.3 Proposal Format and Quantity

Proposers must present a Proposal containing the specific information requested and submit all attachments as required on the ATTACHMENT - PROPOSAL SUBMISSION CHECKLIST.

Proposers are cautioned to provide their Proposals, in a brief and concise manner, as much detail as possible pertaining to their capabilities and experience in providing the services requested in this

RFP. Do not assume OCDC has any prior knowledge of the Proposer.

Proposal should follow the format and reference the section listed in the Detailed Proposal

Requirements section. Responses to each section and subsection should be labeled to indicate the item being addressed.

Proposal must address each of the items listed in this section and all other requirements set forth in this RFP. Proposer shall describe the goods to be provided or the services to be performed or both.

A Proposal that merely offers to provide the goods or services as stated in this RFP may be considered non-Responsive to this RFP and will not be considered further.

Proposal should not include extensive artwork, unusual printing or other materials not essential to the utility and clarity of the Proposal. Do not include marketing or advertising materials in the

Proposal, unless requested. Proposal should be straightforward and address the requests of the

RFP. Proposal containing unsolicited marketing or advertising materials may receive a lower evaluation score if required information is difficult to locate.

OregonBuys Electronic Response. Preferred method is for Proposer to submit its Proposal electronically through OregonBuys.

The Price Proposal must be submitted as a separate electronic response file.

Proposers shall submit one copy of its Proposal and all other submittal requirements, with

ATTACHMENT A – PROPOSER CERTIFICATION bearing the Proposer’s Authorized Representative’s signature, in one of the following formats: Adobe Acrobat (pdf), Microsoft Word (docx), or Microsoft

Excel (xlsx).

The PROPOSER CERTIFICATION -ATTACHMENT A must bear the Proposer’s Authorized

Representative’s signature.

The following do NOT count towards the total Proposal page count:

4.1.3.1 Proposal Certification

Identify on ATTACHMENT A – PROPOSER CERTIFICATION whether the:

1. Proposer is/is not a “resident Proposer”, as defined in ORS 279A.120(1);

2. Provide certification of nondiscrimination in obtaining any required subcontractors in accordance ORS 279A.110(4); and

3. Provide Written acknowledgement of receipt of all Addenda.

4.1.4 Insurance Requirements

A. Provide a statement of agreements to the insurance clause in EXHIBIT 1 – SAMPLE

CONTRACT AGREEMENT

4.1.5 Taxpayer Identification Number

Proposer shall provide its Taxpayer Identification Number (TIN) and back-up withholding status on a completed W-9 form.

4.1.6 Business Registry

Proposer shall be duly authorized by the State of Oregon to transact business in the State of Oregon before executing the Contract/Price Agreement.

Visit http://sos.oregon.gov/business/pages/register.aspx for Oregon Business Registry Information.

4.1.7 Authorized Representative

Failure of Proposer’s Authorized Representative to sign the Proposal may result in rejection of the

Proposal by OCDC.

4.2 DETAILED PROPOSAL CONTENT REQUIREMENTS

To be considered for evaluation, Proposal must contain each of the following elements.

4.2.1 Firm Overview and Team Qualifications (30 points possible)

A. Description of your firm, including experience with non-profit organizations and 401(k) audits.

Include resumes of key personnel who will be involved n the audit.

4.2.2 Audit Approach & Timeline (30 points possible)

A. Detailed description of your audit approach and methodology if different than described above. (15 points possible)

B. Proposed timeline for the audit, including key milestones. (15 points possible) http://sos.oregon.gov/business/pages/register.aspx

4.2.3 Experience on Similar Audits (30 points possible)

A. For a total of 1-3 of the most recent audits, include a brief description of project type, size, location, duration and objectives; a chronological timeline describing the tasks performed by the Proposer to fulfill the project objectives

4.2.4 Price Evaluation (10 points possible)

A. Provide a detailed budget including fees, expenses, and any other costs.

4.3 EVALUATION PROCESS

4.3.1 Responsiveness and Responsibility Determination

4.3.1.1 Responsiveness Determination

Proposal received prior to Opening will be received to determine if it is Responsive to all RFP requirements including compliance with Section 4.1 (Minimum Submission Requirements). If the

Proposal is unclear, the SPC may request clarification from Proposer. However, clarification may not be used to rehabilitate a non-Responsive proposal. If the SPC finds the Proposal non-Responsive, the Proposal may be rejected; however, OCDC may waive mistakes in accordance with OAR 125-247-

0470.

4.3.1.2 Responsibility Determination

OCDC will determine if an apparent successful Proposer is Responsible prior to award and execution of the Contract/Price Agreement. Proposers shall submit a signed PROPOSER RESPONSIBILTY FORM -

ATTACHMENT E with Proposal.

4.3.2 Evaluation Criteria

4.3.2.1 Evaluation Criteria

Each Proposal meeting all Responsiveness requirements will be independently evaluated by members of an Evaluation Committee. Evaluation Committee members may change and OCDC may have additional or fewer evaluators for options rounds of competition. Evaluators will assign a score for each evaluation criterion listed below, up to the maximum points available as specified.

SPC may request further clarification to assist the Evaluation Committee in gaining additional understanding of a Proposal. A response to a clarification request may only clarify or explain portions of the already submitted Proposal and may not contain new information not included in the original Proposal.

OCDC will score each Proposal by reviewing and evaluating the Proposal content requirements outlined above. The following table indicates how the total points in the scoring will be assigned by required Proposal item. Failure to meet minimum requirements for any individual item may disqualify the Proposal regardless of the total points scored for the other items. Each item will be evaluated as follows:

EVALUATION CRITERIA MATRIX

MAXIMUM

POINTS

POSSIBLE

1. Firm Overview and Team Qualifications 30

2. Audit Approach and Timeline 30

3. Experience on Similar Projects (“Project Samples”)

4. Price Evaluation

TOTAL POINTS POSSIBLE

4.3.3 Ranking of Proposers

4.3.3.1 Evaluation Committee

The Proposal will be evaluated by the Evaluation Committee consisting of not less than 3 knowledgeable individuals (Evaluators) to review and score Proposals according to the evaluation criteria set forth in this Solicitation. OCDC may assign certain Evaluators to evaluate specific

Proposal categories in keeping with the Evaluators’ area of expertise. Working as a Committee or independently (at the discretion of OCDC) with copies of the written Proposals, the Evaluators will independently assign scores to each Proposal received in accordance with the evaluation criteria defined herein.

Evaluators will utilize the criterion (as objectively as possible) to measure the merit of each Proposal received in accord with the subjective evaluation criteria to determine which Proposal(s) will provide

OCDC with the most advantageous and best overall value. The recommendations of this committee may be made by obtaining at least a majority vote of the committee members and will be final;

provided however, that the OCDC Procurement & Contracts Manager, upon reviewing the evaluation process and associated documentation, may request that the committee reconsider its recommendations or scores, or reconvene to complete any necessary processes.

5 SECTION: AWARD AND NEGOTIATION

5.1 AWARD NOTIFICATION PROCESS

5.1.1 Award Consideration

OCDC, if it awards a Contract/Price Agreement, will award a Contract/Price Agreement to the highest-ranking Responsible Proposer(s) based upon the scoring methodology and process described in Section 4.

OCDC may award less than the full Scope of Work described in this RFP.

5.1.2 Intent to Award Notice

OCDC will notify all Proposers in Writing that OCDC intends to award a Contract/Price Agreement to the selected Proposer(s) subject to successful negotiation of any negotiable provisions.

IF OCDC receives only one Proposal, OCDC may dispense with the evaluation process and Intent to Award protest period and proceed with Contract/Price Agreement Negotiations and award.

5.2 INTENT TO AWARD PROTEST

5.2.1 Protest Submission

An Affected Proposer shall have 7 calendar days from the date of the Intent to Award Notice to file a Written

Protest.

A Proposer is an Affected Proposer only if the Proposer would be eligible for Contract/Price

Agreement award in the event the protest was successful and is protesting for one or more of the following reasons as specified in ORS 279B.410:

• All higher ranked Proposals are non-Responsive.

• OCDC has failed to conduct an evaluation of Proposals in accordance with the criteria or process described in this RFP.

• OCDC abused its discretion in rejecting the protestor’s Proposal as non-responsive.

• OCDC’s evaluation of Proposal or determination of award otherwise violates ORS Chapter 279B or

ORS Chapter 297A.

5.2.1.1 Protest Requirements

Protest must:

• Be delivered to the SPC via email, or hard copy;

• Reference the OregonBuys bid number;

• Identify Proposer’s name and contact information;

• Be signed by an authorized representative of Proposer;

• Specify the grounds for the protest; and

• Be received within 7 calendar days of the Intent to Award Notice.

5.2.2 Response to Protest

OCDC will address all timely submitted protests within a reasonable time and will issue a Written decision to the respective Proposer(s). Protests that do not include the required information may not be considered by

OCDC.

5.3 CONTRACT/PRICE AGREEMENT NEGOTIATION

5.3.1 Negotiation

• After selection of a successful Proposer, OCDC may enter into Contract/Price Agreement negotiations with the successful Proposer, by submitting a Proposal, Proposer agrees to comply with the requirements of the RFP, including the terms and conditions of the EXHIBIT 1 – SAMPLE

CONTRACT AGREEMENT with the exception of those terms listed below for negotiation.

• Proposer shall review the attached Sample Contract/Price Agreement and note exceptions.

• Proposer must submit those exceptions to OCDC during the Questions/Requests for

Clarification period set forth in Section 3.3. If OCDC agrees to make any requested changes to the Sample Contract/Price Agreement, OCDC will issue an Amendment to notify Proposers of such changes. Unless OCDC issues an Amendment modifying any of the terms and conditions, OCDC intends to enter into a Contract/Price Agreement with the successful

Proposer substantially in the form set forth in EXHIBIT 1 – SAMPLE CONTRACT AGREEMENT.

• Following the selection the apparent successful Proposer, OCDC may agree to negotiate changes to the negotiable provisions of the Sample Contract/Price Agreement listed below. However, OCDC is not required to make any changes and many provisions cannot be changed. Proposer is cautioned that OCDC believes modifications to the standard provisions constitute increased risk and increased cost to OCDC.

• OCDC is willing to negotiate ONLY the Statement of Work.

• In the event that the parties have not reached mutually agreeable terms within 7 calendar days, OCDC, at its discretion, may terminate Negotiations and commence Negotiations with the next highest ranking Proposer.