PROVIDE AUDIT SERVICES

Request for Proposal # 320-120526FD
______________________________________________________
For purchasing division processing, please provide your company's Federal Employer Identification Number
or alternate identification number (e.g. Social Security Number). Pursuant to North Carolina General Statute
132-1.10(b) this identification number shall not be released to the public. This page will be removed and
shredded, or otherwise kept confidential, before the procurement file is made available for public
inspection.
This page is to be filled out and returned with your bid.
Failure to do so may subject your bid to rejection.
ID Number:
______________________________________________________
Federal ID Number or Social Security Number
______________________________________________________
Vendor Name
"All bidders are hereby notified that they must have the proper
license as required under the North Carolina laws. All
prospective contractors shall be responsible for complying with
state law and local ordinances."

City of Rocky Mount
Finance
Refer ALL Inquiries regarding this RFP to: Request for Proposal # 320-120526FD
Fantashia Dickens Proposals due date: 06/02/2026 2:00 PM
Purchasing Associate III
Contract Type: Professional Services
EXECUTION
In compliance with this Request for Quote, and subject to all the conditions herein, the undersigned Vendor offers and agrees to
furnish and deliver any or all items upon which prices are quoted, at the prices set opposite each item within the time specified
herein. By executing this quote, the undersigned Vendor certifies that this quote is submitted competitively and without collusion
(G.S. 143-54), that none of its officers, directors, or owners of an unincorporated business entity has been convicted of any
violations of Chapter 78A of the General Statutes, the Securities Act of 1933, or the Securities Exchange Act of 1934 (G.S. 143-
59.2), and that it is not an ineligible Vendor as set forth in G.S. 143-59.1. False certification is a Class I felony. Furthermore, by
executing this quote, the undersigned certifies to the best of Vendor's knowledge and belief, that it and its principals are not
presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by
any Federal or State department or City department. As required by G.S. 143-48.5, the undersigned Vendor certifies that it, and
each of its sub-contractors for any Contract awarded as a result of this RFQ, complies with the requirements of Article 2 of Chapter
64 of the NC General Statutes, including the requirement for each employer with more than 25 employees in North Carolina to
verify the work authorization of its employees through the federal E-Verify system. G.S. 133-32 and Executive Order 24 (2009)
prohibit the offer to, or acceptance by, any City Employee associated with the preparing plans, specifications, estimates for public
Contract; or awarding or administering public Contracts; or inspecting or supervising delivery of the public Contract of any gift from
anyone with a Contract with the City , or from any person seeking to do business with the City . By execution of any response in
this quote, you attest, for your entire organization and its employees or agents, that you are not aware that any such gift has been
offered, accepted, or promised by any employees of your organization. Do you have a financial interest or tangible personal
benefit with a city of Rocky Mount employee, officer, or agent? ____ Yes ____ No If yes note the employee, officer, or
agent; department; and the perceived or actual conflict of interest.
_______________________________________________________________
Failure to execute/sign quote prior to submittal shall render quote invalid and it WILL BE REJECTED. Late
quotes cannot be accepted.
VENDOR:
STREET ADDRESS: P.O. BOX: ZIP:
CITY & STATE & ZIP: TELEPHONE NUMBER: TOLL FREE TEL. NO:
PRINCIPAL PLACE OF BUSINESS ADDRESS IF DIFFERENT FROM ABOVE (SEE INSTRUCTIONS TO VENDORS ITEM #11):
PRINT NAME & TITLE OF PERSON SIGNING ON BEHALF OF VENDOR: FAX NUMBER:
VENDOR'S AUTHORIZED SIGNATURE: DATE: EMAIL:
Offer valid for at least 60 days from date of quote opening, unless otherwise stated here: ______ days.
ACCEPTANCE OF PROPOSAL
If any or all parts of this quote are accepted by the City of Rocky Mount, an authorized representative of the City of Rocky Mount
shall affix his/her signature hereto and this document and all provisions of this Request for Proposal along with the Vendor
response and the written results of any negotiations shall then constitute the written agreement between the parties. A copy of
this acceptance will be forwarded to the successful Vendor(s).

Proposal Number: 320-120526FD Vendor: __________________________________________
Contents
1.0 PURPOSE AND BACKGROUND ............................................................................................. 6
2.0 GENERAL INFORMATION ....................................................................................................... 6
2.1 REQUEST FOR PROPOSAL DOCUMENT ............................................................................. 6
2.2 NOTICE TO VENDORS REGARDING RFP TERMS AND CONDITIONS ............................... 6
2.3 RFP SCHEDULE ..................................................................................................................... 6
2.4 PROPOSAL QUESTIONS ....................................................................................................... 7
2.5 EMAILING OR MAILING INSTRUCTIONS .............................................................................. 7
2.6 AUTHORIZED SIGNATURE REQUIREMENT ......................................................................... 8
2.7 PROPOSAL CONTENTS ........................................................................................................ 8
2.7 DEFINITIONS, ACRONYMS, AND ABBREVIATIONS ............................................................ 8
3.0 METHOD OF AWARD AND PROPOSAL EVALUATION PROCESS ....................................... 9
3.1 METHOD OF AWARD ............................................................................................................. 9
3.2 CONFIDENTIALITY AND PROHIBITED COMMUNICATIONS DURING EVALUATION......... 9
3.3 INTERPRETATION OF TERMS AND PHRASES .................................................................. 10
4.0 REQUIREMENTS ................................................................................................................... 10
4.1 PRICING ................................................................................................................................ 10
4.2 INVOICES ................................................................................................................................. 10
4.3 MINORITY BUSINESS PARTICIPATION .............................................................................. 10
4.4 PROFILE OF THE FIRM ........................................................................................................ 11
4.5 AUDIT APPROACH ............................................................................................................... 11
4.6 VENDOR'S REPRESENTATIONS ........................................................................................ 11
5.0 SCOPE OF WORK ................................................................................................................. 12
5.1 DRAFT FINANCIAL STATEMENTS ...................................................................................... 12
5.2 GENERAL ............................................................................................................................. 12
5.3 VENDOR'S REPRESENTATION ........................................................................................... 15
ATTACHMENT A: PRICING ............................................................................................................. 16
ATTACHMENT B: ACCEPTANCE OF TERMS & CONDITIONS ....................................................... 17
ATTACHMENT C: SUPPLEMENTAL VENDOR INFORMATION...................................................... 17
ATTACHMENT D: DESCRIPTION OF THE GOVERNMENTAL ENTITY AND ITS ACCOUNTING
SYSTEM ................................................................................................................................. 18
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Proposal Number: 320-120526FD Vendor: __________________________________________
1.0 PURPOSE AND BACKGROUND
The City of Rocky Mount is seeking proposals for a single audit of the entity's governmental and business-type
activities, each major fund, the remaining fund information, and the compliance audit of the City's federal and state
award programs for the period ending 6/30/2027. The audit services include related notes to the financial statements
collectively comprising the City's basic financial statements.
Proposals shall be submitted in accordance with the terms and conditions of this RFP and any addenda issued hereto.
2.0 GENERAL INFORMATION
2.1 REQUEST FOR PROPOSAL DOCUMENT
The RFP is comprised of the base RFP document, any attachments, and any addenda released before Contract award.
All attachments and addenda released for this RFP in advance of any Contract award are incorporated herein by
reference. Vendor may attach its proposal to this RFP for submission; however, any and all additional, modified or
conflicting terms and conditions submitted on or with Vendor's proposal shall be disregarded and shall not be considered
a part of any contract arising from this RFP. Any attempt to delete or avoid the force of the previous sentence shall
render Vendor's proposal invalid, and it shall not be considered.
2.2 NOTICE TO VENDORS REGARDING RFP TERMS AND CONDITIONS
It shall be the Vendor's responsibility to read the Instructions, the Cities terms and conditions, all relevant exhibits and
attachments, and any other components made a part of this RFP and comply with all requirements and specifications
herein. Vendors also are responsible for obtaining and complying with all Addenda and other changes that may be
issued in connection with this RFP.
If Vendors have questions, issues, or exceptions regarding any term, condition, or other component within this RFP,
those must be submitted as questions in accordance with the instructions in Section 2.4 PROPOSAL QUESTIONS. If
the City determines that any changes will be made as a result of the questions asked, then such decisions will be
communicated in the form of an RFP addendum. The City may also elect to leave open the possibility for later negotiation
and amendment of specific provisions of the Contract that have been addressed during the question-and-answer period.
Other than through this process, the City rejects and will not be required to evaluate or consider any additional or modified
terms and conditions submitted with Vendor's proposal. This applies to any language appearing in or attached to the
document as part of the Vendor's proposal that purports to vary any terms and conditions or Vendors' instructions herein
or to render the proposal non-binding or subject to further negotiation. Vendor's proposal shall constitute a firm offer.
By execution and delivery of this RFP Response, the Vendor agrees that any additional or modified terms and
conditions, whether submitted purposely or inadvertently, shall have no force or effect, and will be disregarded.
Noncompliance with, or any attempt to alter or delete, this paragraph shall constitute sufficient grounds to reject
Vendor's proposal as nonresponsive.
Contact with anyone working for or with the City regarding this RFP other than the City Contract Specialist named on
the face page of this RFP in the manner specified by this RFP shall constitute grounds for rejection of said Vendor's
offer, at the City's election.
2.3 RFP SCHEDULE
The table below shows the intended schedule for this RFP. The city will make every effort to adhere to this schedule.
Event Responsibility Date and Time
Issue RFP City May 13, 2026
Submit Written Questions Vendor May 20, 2026, 5:00 p.m.
Provide Response to Questions City May 26, 2026, 5:00 p.m.
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Proposal Number: 320-120526FD Vendor: __________________________________________
Submit Proposals Vendor June 2, 2026, 2:00 p.m.
Anticipated Council Approval City June 22, 2026
Contract Award City/Vendor TBD
Contract Term City/Vendor July 1, 2026-June 30, 2029
2.4 PROPOSAL QUESTIONS
Upon review of the RFP documents, Vendors may have questions to clarify or interpret the RFP in order to submit the
best proposal possible. To accommodate the Proposal Questions process, Vendors shall submit any such questions by
the above due date.
Written questions shall be emailed to Fantashia.Dickens@rockymountnc.gov by the date and time specified above.
Vendors should enter "RFP # 320-120526FD: Questions" as the subject for the email. Questions submittals should
include a reference to the applicable RFP section and be submitted in a format shown below:
Reference Vendor Question
RFP Section, Page Number Vendor question ...?
Questions received prior to the submission deadline date, the City's response, and any additional terms deemed
necessary by the City will be posted in the form of an addendum on the City of Rocky Mount Purchasing web-page
http://www.rockymountnc.gov/services-finance-bids/ and/or the North Carolina Electronic Consultant Portal
(eVP), https://evp.nc.gov/solicitations/, and shall become an Addendum to this RFP. No information, instruction, or
advice provided orally or informally by any City personnel, whether made in response to a question or otherwise in
connection with this RFP, shall be considered authoritative or binding. Vendors shall rely only on written material
contained in an Addendum to this RFP.
2.5 EMAILING OR MAILING INSTRUCTIONS
Instructions: Quotes, subject to the conditions made a part hereof and the receipt requirements described below, shall
be received at the address indicated in the table below, for furnishing and delivering those items as described herein.
MAILING ADDRESS FOR DELIVERY OF QUOTE OFFICE ADDRESS FOR DELIVERY BY ANY OTHER
VIA U.S. POSTAL SERVICE MEANS, SPECIAL DELIVERY, OVERNIGHT DELIVERY,
OR BY ANY OTHER CARRIER
BID NUMBER: 320-120526FD QUOTE NUMBER: 320-120526FD
Attn: Fantashia Dickens, Purchasing Associate III Attn: Fantashia Dickens, Purchasing Associate III
Address: PO BOX 1180 Address: 331 S. Franklin Street
Rocky Mount, NC 27802 Rocky Mount, NC 27804
Vendors shall deliver either one (1) signed electronic emailed copy to fantashia.dickens@rockymountnc.gov or one
(1) signed original executed quote to the address identified in the table in this Section. Address the package and insert
the quote number as shown in the table above.
Quote number shall be marked on the outside of the sealed envelope with the Vendor's name and date and time
of opening.
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Proposal Number: 320-120526FD Vendor: __________________________________________
IMPORTANT NOTE: It is the responsibility of the Vendor to have the signed quote physically in this Office by the specified
time and date quotes are due, regardless of the method of delivery. This is an absolute requirement. The time of
delivery will be marked on each quote when received, and any quote received after the submission deadline will not be
accepted or evaluated.
All risk of late arrival due to unanticipated delay-whether delivered by hand, U.S. Postal Service, courier, or other
delivery service or method-is entirely on the Vendor. Note that the U.S. Postal Service generally does not deliver mail
to the street address above, but to the City's Mail Service Center. Vendors are cautioned that quotes sent via U.S. Mail,
including Express Mail, may not be delivered to the purchasing office on the due date in time to meet the quote deadline.
All Vendors are urged to take the possibility of delay into account when submitting a quote.
If the quote is hand-delivered, please note that the Frederick E. Turnage Municipal Building requires all visitors to sign
in with the guard stationed on the first floor. Visitors will only have access through the building, accompanied by a city
employee.
2.6 AUTHORIZED SIGNATURE REQUIREMENT
All submittals or other offers must be signed by an individual authorized to bind the Consultant contractually. The City
reserves the right to request documentation showing evidence of signatory authority (e.g., corporate resolution,
operating agreement, power of attorney, or other verification). Failure to provide such documentation upon request
may result in disqualification of the offer or rejection of the executed contract.
2.7 PROPOSAL CONTENTS
Vendors shall populate all attachments of this RFP that require the Vendor to provide information and include an
authorized signature where requested. Vendor RFP responses shall include the following items and those attachments
should be arranged in the following order:
a) Cover Letter
b) Title Page: Include the company name, address, phone number and authorized representative along with the
Proposal Number.
c) Completed and signed version of EXECUTION PAGES, along with the body of the RFP and signed receipt pages
of any addenda released in conjunction with this RFP (if required to be returned).
d) Completed version of ATTACHMENT A: PRICING
e) ATTACHMENT B: TERMS AND CONDITIONS
f) Completed and signed version of ATTACHMENT C: CERTIFICATION OF FINANCIAL CONDITION
g) Completed and signed version of ATTACHMENT D: SUPPLEMENTAL VENDOR INFORMATION
h) ATTACHMENT E: DESCRIPTION OF THE GOVERNMENTAL ENTITY AND ITS ACCOUNTING SYSTEM
i) Section 1 - Profile of the Firm
j) Section 2 - Audit Approach
2.7 DEFINITIONS, ACRONYMS, AND ABBREVIATIONS
a) BUYER: The employee of the City or Other Eligible Entity that places an order with the Vendor.
b) CONTRACT LEAD: Representative of the City of Rocky Mount Purchasing Office who corresponds with potential
Vendors in order to identify and contract with that Vendor providing the greatest benefit to the City and who will
administer this contract for the City.
c) QUALIFIED PROPOSAL: A responsive proposal submitted by a responsible Vendor.
d) RFP: Request for Proposal
e) SERVICES or SERVICE DELIVERABLES: The tasks and duties undertaken by the Vendor to fulfill the
requirements and specifications of this solicitation.
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Proposal Number: 320-120526FD Vendor: __________________________________________
f) VENDOR: Supplier, bidder, proposer, company, firm, corporation, partnership, individual or other entity submitting
a response to a Request for Proposal.
3.0 METHOD OF AWARD AND PROPOSAL EVALUATION PROCESS
3.1 METHOD OF AWARD
Proposals will be submitted in two sections and must be physically signed by an authorized representative of the Audit
firm. The first section will be comprised of the audit firm's prior experience and the qualifications of its personnel in
performing governmental audits. The second section will consist of completed cost estimate sheets. The Finance Office
staff will evaluate the auditor/firm on educational and technical qualifications. The firm best meeting the City's
expectations for experience, audit approach, and cost requirements will be selected.
Please keep in mind that cost, while an important factor, will not be the sole determining factor. Unusually low bids that
are obviously out of line with other bidders or are significantly lower than our current fees will raise concern. The lowest
bid will not automatically be awarded preferential consideration.
The City reserves the right to reject any or all bids, waive technicalities, and to be the sole judge of the suitability of the
services for its intended use, and further specifically reserves the right to make the award in the best interest of the
City.
Failure to respond to any requirements outlined in the RFP, or failure to enclose copies of the required documents,
may disqualify the bid. Firms must be registered with the North Carolina State Board of CPA Examiners.
The City reserves the right to waive any minor informality or technicality in proposals received.
Local Preference Policy. The only exception to the lowest responsive, responsible bidder method of award will be the
local preference policy. The preference will allow an Eligible Local Bidder to match the price and terms of the lowest
responsible, responsive bidder who is a Non-Local Bidder, if the Eligible Local Bidder's price is within five percent (5%)
or $25,000, whichever is less, of the lowest responsible, responsive Non-Local Bidder's price. An eligible local vendor
is one that is current on property taxes in the City of Rocky Mount and meets the qualifications set forth in the policy.
An application can be found at
https://rockymountnc.gov/RockyMountNC/Documents/Finance/Vendor%20Registration/LocalPreferenceForm.pdf
3.2 CONFIDENTIALITY AND PROHIBITED COMMUNICATIONS DURING EVALUATION
During the evaluation period-from the date proposals are opened through the date the contract is awarded-each
Vendor submitting a proposal (including its representatives, sub-contractors, and/or suppliers) is prohibited from having
any communications with any person inside or outside the using department, issuing department, other government
department office, or body (including the purchaser named above, department secretary, department head, members of
the general assembly and/or governor's office), or private entity if the communication refers to the content of Vendor's
proposal or qualifications, the contents of another Vendor's proposal, another Vendor's qualifications or ability to perform
the contract, and/or the transmittal of any other communication of information that could be reasonably considered to
have the effect of directly or indirectly influencing the evaluation of proposals and/or the award of the contract. A Vendor
not in compliance with this provision shall be disqualified from contract award unless it is determined in the City's
discretion that the communication was harmless, that it was made without intent to influence, and that the best interest
of the City would not be served by the disqualification. A Vendor's proposal may be disqualified if its sub-contractor and
supplier engage in any of the foregoing communications during the time that the procurement is active (i.e., the issuance
date of the procurement to the date of contract award). Only those discussions, communications, or transmittals of
information authorized or initiated by the issuing department for this RFP or general inquiries directed to the purchaser
regarding requirements of the RFP (prior to proposal submission) or the status of the contract award (after submission)
are excepted from this provision.
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Proposal Number: 320-120526FD Vendor: __________________________________________
3.3 INTERPRETATION OF TERMS AND PHRASES
This Request for Proposal serves two functions: (1) to advise potential Vendors of the parameters of the solution being
sought by the Department; and (2) to provide (together with other specified documents) the terms of the Contract
resulting from this procurement. As such, all terms in the Request for Proposal shall be enforceable as contract terms
in accordance with the General Contract Terms and Conditions. The use of phrases such as "shall," "must," and
"requirements" is intended to create enforceable contract conditions. In determining whether proposals should be
evaluated or rejected, the Department will take into consideration the degree to which Vendors have proposed or failed
to propose solutions that will satisfy the Department's needs as described in the Request for Proposal. Except as
specifically stated in the Request for Proposal, no one requirement shall automatically disqualify a Vendor from
consideration. However, failure to comply with any single requirement may result in the Department exercising its
discretion to reject a proposal in its entirety.
4.0 REQUIREMENTS
This Section lists the requirements related to this RFP. By submitting a proposal, the Vendor agrees to meet all stated
requirements in this Section as well as any other specifications, requirements and terms and conditions stated in this
RFP. If a Vendor is unclear about a requirement or specification or believes a change to a requirement would allow for
the City to receive a better proposal, the Vendor is urged and cautioned to submit these items in the form of a question
during the question-and-answer period in accordance with Section 2.4.
4.1 PRICING
Proposal price shall constitute the total cost to Buyer for complete performance in accordance with the requirements and
specifications herein, including all applicable charges, handling, administrative, and other similar fees. Vendor shall not
invoice for any amounts not specifically allowed for in this RFP. Complete ATTACHMENT A: PRICING FORM and
include in Proposal.
4.2 INVOICES
a) The Vendor must submit one monthly invoice within fifteen (15) calendar days following the end of each month in
which work was performed.
b) Invoices must be submitted to the following address: City of Rocky Mount
Attn: Accounts Payable
PO BOX 1180
Rocky Mount, NC 27802
c) Payment amounts will be made on a NET 30-day pay period upon submission of an invoice and appropriate trip
tickets to support such invoice.
4.3 MINORITY BUSINESS PARTICIPATION
The Bidder has the responsibility to make a good faith effort to solicit minority proposals and to attain the aspirational
ten percent (10%) goal. We encourage all Bidders, even MWBE/HUBs, to obtain the aspirational goal where
subcontracting and supplier opportunities exist. Use the table below to note the MWBE businesses that will be used as
suppliers or subcontractors for this contract.
MWBE FIRM OWNERSHIP STATUS ADDRESS WORK TYPE
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Proposal Number: 320-120526FD Vendor: __________________________________________
4.4 PROFILE OF THE FIRM
The first section should address the requested information below. The corresponding responses should begin with the
letter below for the requested information.
a) Indicate the Audit firm's office location(s) that will handle the audit.
b) Indicate the number of people (by level) located within the Audit firm's local office that will handle the audit.
c) Provide a list of the audit firms' local offices' current and prior government audit clients, indicating the type(s) of
services performed and the number of years served for each.
d) Indicate the experience of the local office in providing additional services to government clients by listing the
name of each government, the type(s) of service performed, and the year(s) of engagement.
e) Describe your audit organization's participation in AICPA-sponsored or comparable quality control programs
(peer review). Provide a copy of the firm's current peer review.
f) Describe the professional experience in governmental audits of each senior and higher-level person assigned
to the audit, the years on each job, and his/her position while on each audit. Indicate the percentages of time
each senior and higher-level personnel will be on site. Relevant experience and education with the new GASBS
reporting requirements should be clearly communicated.
g) Describe the relevant educational background of each person assigned to the audit, senior level and higher.
This should include seminars and courses attended within the past three years, especially those courses in
governmental accounting and auditing.
h) Describe the professional experience of assigned individuals in auditing relevant government organizations,
programs, activities, or functions (e.g., Water/Sewer, Electric service function).
i) Describe any specialized skills, training, or background in public finance of the assigned individuals. This may
include participation in State or national professional organizations, speaker or instructor roles in conferences
or seminars, or authorship of articles and books.
j) Provide names, addresses, and telephone numbers of personnel of current and prior governmental audit clients
who may be contacted for a reference.
k) Is the firm adequately insured to cover claims? Describe liability insurance coverage arrangements.
l) Describe any regulatory action taken by any oversight body against the proposing audit organization or local
office.
m) Comment on your knowledge of and relationship with the NC Local Government Commission and the
University of North Carolina School of Government in Chapel Hill.
4.5 AUDIT APPROACH
Proposals should include completed cost estimate sheets and any other necessary cost information in a separate, sealed
envelope marked - "Cost Estimate." The City will evaluate the qualifications of all firms submitting proposals before
considering the Cost Estimate.
a) Type of audit program used (tailor-made, standard government, or standard commercial).
b) Use of automated processes and internal control testing methods.
c) Organization of the audit team and the approximate percentage of time spent on the audit by each member.
d) Assistance expected from the government's staff, if other than outlined in the RFP.
e) Tentative schedule for completing the audit within the specified deadlines of the RFP.
f) Cost for each year must be fixed and list on the summary of Audit Cost Sheet.
g) Please list any other information the firm may wish to provide.
h) Please include the Summary of Audit Costs Sheet with your proposal.
4.6 VENDOR'S REPRESENTATIONS
a) Vendor warrants that qualified personnel shall provide Services under this Contract in a professional manner.
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