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REQUEST FOR PROPOSALS RFP 11-26 FINANCIAL AUDIT SERVICES The City of Santa Rosa desires to solicit qualified proposals for Financial Audit Services in accordance with this Request for P

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REQUEST FOR PROPOSALS

RFP 11-26 FINANCIAL AUDIT SERVICES

Proposal Mailing Date October 31, 2011

Proposal Submittal Due Date

January 9, 2012

at 5:00 p.m

To Jim Wright Purchasing Agent City of Santa Rosa – Purchasing Office

Santa Rosa, CA 95404 707-543-3706 Voice

jwright@srcity.org

The City of Santa Rosa does not discriminate on the basis of disability in the admissions

or access to, or treatment of or employment in its programs or activities related aids or services, including printed information in alternate formats, to enable persons with disabilities to participate in public meetings, programs, bid openings, and to deliver bid packages to the location specified herein, are available by contacting the Purchasing Office at (707) 543-3700 one week prior to the meeting, program, bid due date

Disability-or fDisability-ormal bid opening

This is trial version www.adultpdf.com

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REQUEST FOR PROPOSALS

RFP 11-26 FINANCIAL AUDIT SERVICES

The City of Santa Rosa desires to solicit qualified proposals for Financial Audit Services in accordance with this Request for Proposal This Request for Proposals is expected to result in a firm fixed price contract

SCOPE OF WORK

The City Council and Finance Department requires outside auditing services to audit all of the City funds including Housing Authority, and Redevelopment Agency In addition the audit firm is to issue the required opinion letters in order for the City to satisfy the requirements to issue a ‘single audit” edition of its General Purpose Financial Statement The contract period would be for two years with the option to renew the agreement for one 3-year extension, one 2-year extension, three 1-year extensions, or any combination of extensions not exceeding a total of three years, upon mutual agreement of parties

The audits of the General Purpose Financial Statements shall be made in accordance with generally accepted auditing standards and Government Auditing Standards, issued by the Comptroller General of the United States, and will include tests of the accounting records and such other auditing procedures as the auditor considers necessary in the circumstances in order to allow for an expression of an opinion of the General Purpose Financial Statements being audited Audits

to be performed include:

• Comprehensive Annual Financial Report

• Single Audit Financial Statements

• Report on the City’s GANN Appropriations Limit calculations

• Housing Authority Financial Report

• HUD REAC Report

• Redevelopment Agency Financial Report to include Redevelopment Compliance Report

• Transportation Development Act (TDA) Compliance Report

• The Public Transportation Modernization, Improvement, and Service Enhancement Account Program (PTMISEA Letter)

• Sub-Recipient Audits of Non-Profit CDBG Grantees ( as needed)

The auditors will be required to observe the adequacy of the system of internal control, and if weaknesses are noted, make appropriate recommendations The auditor’s comments shall be included in a separate management letter

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The City will also require assistance in the implementation of applicable new GASB statements and

in updating our financial statement presentation tools (Excel spreadsheets) as necessary to accommodate new presentation requirements

In addition, the City requires assistance in preparing the following State Controller Reports

• City Financial Transactions Report

• Redevelopment Agency Financial Transactions Report

This assistance is to include responding to any questions from the State regarding these reports The scope of the audit shall comply with all the charter provisions, code regulations and bond requirements of all the funds of the City of Santa Rosa All state and federal regulations regarding audit requirements shall be included in the scope of the audit It shall be the auditor’s responsibility

to assist the City in observation of and compliance with the necessary GFOA requirements for the Certificate of Achievement for Excellence in Financial Reporting

The scope of the audit shall also include anticipated changes in audit standards; e.g., Government Auditing Standards 2010 Exposure Draft, and requirements including but not limited to those associated with pensions and OPEB

PROPOSAL PROCESS

Proposals will consist of technical and cost proposals, vendor qualifications/experience, and

references An original and six copies of the complete technical and cost proposals are

required The original must be clearly marked and contain original signatures and must be easily reproducible on a standard copying machine Failure to clearly mark the original and

provide original signatures may result in a proposal being found non-responsive and given no consideration The technical, qualifications/experience and reference portion of the proposals will

be weighted more heavily than the costs portion of the proposals

Technical Proposals: Technical proposals must fully address the evaluation factors listed below

and the SPECIAL AND GENERAL PROVISIONS The Technical Proposal will contain an

executive summary, clearly convey the scope of work which is covered by the total maximum fee

in the Cost Proposal (below), include a timeline for completion of the 2011 audit no later than

November 1, 2012, and clearly address the evaluation criteria identified in the EVALUATION OF

PROPOSALS AND NEGOTIATIONS section Proprietary data or trade secrets should be clearly

identified as such in your proposal

Cost Proposals: The intent of this contract is to agree upon a total maximum fee in each of two

years (2012 & 2013), and to agree upon a scope of work Services will be billed monthly based

upon estimated percentage of annual total work performed in that month to a total maximum fee for that year The total maximum fee proposed is the firm fixed price for each fiscal year The

City’s fiscal year is July 1 to June 30; therefore, the 2012 audit covers the 2011-2012 fiscal year ending June 30, 2012

Costs proposals will provide the 2012 billing rates for each class of labor to be used, the estimated

hours required of each labor class, and extension and total resulting in total maximum fee covering the scope of work proposed The total maximum fee figures will then be given for 2013

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costs must be charged to various funds each year, fees billed will have to be broken down into costs for each audit; therefore, cost proposals shall substantially resemble Attachment B

Vendor Qualifications/Experience: Proposals must contain a statement as to qualifications of the

proposing firm, and identify the proposed audit manager and other staff that would have assignments under this contract, and provide their resumes This section is to include a list of municipal audits in California for which your firm is under contract for the 2012 fiscal year, and provide the name of the scheduled audit manager for each

References: Provide the names, phone number, contact person and mailing address of at least

five references for which similar services have been provided in the last three fiscal years Indicate

on which of the referenced audits the proposed audit manager has served

EVALUATION OF PROPOSALS AND NEGOTIATIONS

An evaluation panel will review all proposals submitted and select the top three proposals These top vendors may then be invited to make a presentation to the evaluation panel in City Offices in

Santa Rosa, California, at no cost to the City The City may request Best and Final offers Based

on the presentation and Best and Final offers, if requested, the panel will select the proposal which best fulfills the City's requirements The City will negotiate with that vendor to determine final pricing, and contract form There will be no public opening and reading of bids Overall responsiveness to the Request for Proposals is an important factor in the evaluation process Proposals will be evaluated on the basis of:

• Firm’s experience providing audit services for other municipalities of similar size and complexity as found at the City of Santa Rosa

• Firm’s recent and current experience in performing federal single audits and producing reports that were accepted in the first submittal

• Firm’s experience in working with SunGard IFAS accounting systems, and evidence of ability to work with the City’s database system

• Experience of individual staff members, who will be assigned to perform this audit, in public agency audits of similar size and complexity including audits resulting in the issuance of a Single Audit Report, and in auditing SunGard IFAS accounting systems

• Responsiveness to the Request for Proposal and understanding of the scope of work as evidenced by the proposals, estimate of staff hours required, references, and presentations

• References

• Costs

All proposals, offers and counter offers will be extended through the City Purchasing Agent whose

name, address and telephone number are shown in REQUIRED DATA FORMS: Designated

Contacts Any negotiations may be conducted by the Purchasing Agent or another party as noticed

by the Purchasing Agent Award will be by City Council Motion No other officer or agent may

obligate or bind the City In REQUIRED DATA FORMS: Designated Contacts, auditors will

designate, by name, who will receive offers and counter offers The person named will be an authorized agent of auditor able to conduct negotiations or written offers in good faith

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ESTIMATED SCHEDULE

January 16 (week of), 2012 Panel meets to screen proposals

January 23 (week of), 2012 Presentations to the panel

SPECIAL PROVISIONS Payments

Payments will be made based upon estimated percentage of annual total work performed in that

invoice period to a total maximum fee for that year Fees for services rendered may be billed as

work progresses to 75% of the fee for each audit Final payment will be made after submission to CITY of the Independent Auditor’s Reports and Management Letter AUDITOR shall make submission by November 1 of each contract year Payments will be made within thirty days after receipt of an original and two copies of an invoice

Work Time and Conditions

All examinations and audit work performed on City premises shall be conducted Monday through Friday; City holidays accepted The City will provide Auditor sufficient work space to conduct their examinations File cabinets and security storage shall be provided by the Auditor Auditor will be responsible for supplying all necessary office equipment and supplies to perform the audit examinations The City and Auditor will make all reasonable efforts to cooperate in scheduling and completing all audits

Ownership of Work Papers

All work papers of the Auditor shall remain the property of the Auditor In addition, to the extent that the Auditor utilizes any of their own property (including, without limitation, any hardware, software, proprietary or confidential information, or trade secrets) in performing the required services, such property shall remain the property of the Auditor, and the City shall have no rights or interest in such property except as expressly defined herein

GENERAL PROVISIONS Proposals: Auditors are required to submit a proposal on all bid items Proposal submittals which

do not have all items bid will not be considered

Cash discount must be shown on proposal; otherwise, prices will be considered net Unless prices and all information requested are complete, proposal may be disregarded and given no consideration

This Request for Proposals shall result in a firm, fixed price contract

In case of default by the auditor, the City of Santa Rosa may procure the articles or services from other sources and may deduct from any monies due, or that may thereafter become due to the

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auditor, the difference between the price named in the contract or purchase order and the actual cost thereof to the City of Santa Rosa

All prices and proposals must be in ink or typewritten No pencil figures or erasures are permitted Mistakes may be crossed out and corrections inserted adjacent thereto and must be initialed in ink

by person signing the proposal

All proposals must be signed with the firm's name and by a responsible officer or employee Obligations assumed by such signature must be fulfilled

Submission of Proposals: Each proposal must be submitted on the prescribed form in a sealed

envelope with a proposal number, closing date and time on the outside

Information must be furnished complete in compliance with the terms, conditions, provisions and specifications of the Request for Proposals The information requested and the manner of submission are essential to permit prompt evaluation of all proposals on a fair and uniform basis Accordingly, the City reserves the right to declare as non-responsive and reject any proposal in which material information requested is not furnished or where indirect or incomplete answers or information is provided

Proposals and modifications or corrections thereof received after the closing time specified will not

be considered

Proposals shall be for the total net price including all applicable taxes and charges

No telegraphic, telephone or facsimile of proposals will be accepted If a photocopy is to be submitted, it must be signed in original, in ink

If you do not bid, return this Request for Proposals and state reason, otherwise your name may be removed from our mailing list

Proposal Postponement and Amendment: The City of Santa Rosa reserves the right to revise or

amend the specifications up to the time set for opening of proposals Such revisions and amendments, if any, shall be announced by amendments to this solicitation Copies of such amendments shall be furnished to all prospective auditors Prospective auditors are defined as those auditors listed on the City's Request for Proposals list for this material/service or who have obtained his documents subsequent to the advertisement If revisions and amendments require changes in quantities or prices proposed, or both, the date set for opening of proposals may be postponed by such number of days as in the opinion of the City shall enable auditors to revise their proposals In any case, the proposal opening shall be at least five working days after the last amendment; and the amendment shall include an announcement of the new date, if applicable, for the opening of proposals

Single Proposal Response: If only one proposal is received in response to the Request for

Proposals, a detailed cost proposal may be requested of the single auditor A cost/price analysis and evaluation and/or audit may be performed of the cost proposal in order to determine if the price

is fair and reasonable

Proposal Withdrawal: After the proposals are opened, proposals may not be withdrawn for ninety

(90) calendar days Prior to the date/time set for the proposal opening, however, proposals may be

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modified or withdrawn by the auditor's authorized representative in person, or by written telegraphic notice If proposals are modified or withdrawn in person, the authorized representative shall make his identity known and shall sign a receipt for the proposal Written or telegraphic notices shall be

received in the office indicated on the DESIGNATED CONTACTS page of this Request for

Proposals no later than the exact date/time for the proposal opening A telegraphic modification or withdrawal received in the designated office by telephone from the receiving telegraph office no later than the date/time set for the proposal opening shall be considered if such message is confirmed by a copy of the telegram

Auditor Investigation: Before submitting a proposal, each auditor shall make all investigations

and examinations necessary to ascertain all conditions and requirements affecting the full performance of the contract and to verify any representations made by the City upon which the auditor will rely If the auditor receives an award as a result of its proposal submission, failure to have made such investigations and examinations will in no way relieve the auditor from its obligation to comply in every detail with all provisions and requirements of the contract, nor will a plea of ignorance of such conditions and requirements be accepted as a basis for any claim whatsoever by the auditor for additional compensation [NOTE: Refer to Special Provisions Section

and/or Minimum Specifications for any additional terms and conditions.]

Competency of Auditors: No proposal will be accepted from or contract awarded to an auditor

who is not licensed in accordance with the law, who does not hold a license qualifying auditor to perform work under this contract, to whom a proposal form has not been provided and who has not successfully performed on projects of similar character and scope The auditor may be required, before the award of any contract, to show, to the complete satisfaction of the City, that it has the necessary facilities, ability, experience, and financial resources to provide the services specified herein in a satisfactory manner Generally, auditor history and references are required at a minimum The City may make reasonable investigations deemed necessary and proper to determine the ability of an auditor to perform the work, and the auditor shall furnish the City all information requested for this purpose [NOTE: Refer to Special Provisions Section and/or Minimum

Specifications for any additional terms and conditions.]

Award: The City of Santa Rosa reserves the right to reject any and all proposals; to waive any

informality in the proposals; and to accept the proposal that appears to be in the best interest of the City The City intends to award to a single auditor

In determining and evaluating the best proposal, the prices will not necessarily be controlling, but quality, equality, efficiency, utility, general terms, delivery, suitability of the service offered, and the reputation of the service in general use will also be considered with any other relevant factors Auditors shall be required to provide all of the information requested herein This information will be

a critical part of the proposal evaluation and award Failure to provide this information may be sufficient reason to declare the proposal non-responsive The Purchasing Agent shall be the sole judge in the determination of these matters

Notice of contract award, if contract be awarded, will be made within ninety (90) days of opening of proposals to the auditor, whose proposal complies with all the requirements in the Request for Proposals and is found to be the best value to the City

Auditor shall submit to the City, for approval, within ten (10) days from notice of contract award, all Certificates of Insurance evidencing the required coverage as described under Insurance in the schedule of the Request for Proposals

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The auditor shall not commence work under the terms and conditions of the contract until all Certificates of Insurance have been approved by the City and auditor has received notice to proceed in writing and an executed copy of the contract from the City of Santa Rosa Purchasing Agent [NOTE: Refer to Special Provisions Section and/or Minimum Specifications for any additional

terms and conditions.]

Payment to the Auditor: Payment will be made on a calendar-month basis in arrears Invoices

shall be submitted to the person and address specified in the contract, bid, or purchase order In the event this Agreement becomes effective or terminates during the course of a month, the amount paid to the CONTRACTOR for the part month shall be determined by prorating the amount on the basis of the number of calendar days involved Processing of payment will be delayed for Auditor’s

failure to include reference to Agreement (including Number) on the invoice and for failure to

maintain current insurance information with the CITY in accordance with insurance requirements hereunder In no event shall CITY be obligated to pay late fees or interests, whether

or not such requirements are contained in the Auditor’s invoice Invoices for services provided in June or for any services not previously invoiced shall be submitted within 10 working days after June 30 to facilitate CITY fiscal year end closing Failure to comply with this invoice submission requirement may delay payment

In connection with any cash discount specified in the bid response, if applicable, or Auditor’s Proposal, time will be computed from the date correct invoices are received by the person and address specified in the contract, bid, or purchase order For the purpose of earning the discount, payment is deemed to be made on the date of mailing of the City warrant or check

Contract Administration: Except as otherwise specifically provided in this Request for Proposals

and the resulting Purchase Contract or Purchase Order, any notice, submittal or communication required or permitted to be served on a party hereto, may be served by personal delivery to the person or the office of the person identified Service may also be made by mail, by placing a notice, submittal or communication in an envelope with the proper first-class postage affixed thereto and

addressed as indicated, and depositing said envelope in the United States mail (See REQUIRED

DATA SECTION, Designated Contacts)

Retention of Records: The auditor shall be required to retain any records necessary to document

the charges for goods to be provided or services to be performed and make such records available

to the City for inspection at the City's request for a period of four (4) years

Non-Collusion Affidavit: The auditor declares, by signing and submitting a proposal, that the

proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the auditor has not directly or indirectly induced or solicited any other auditor to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived, or agreed with any auditor or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the auditor has not in any manner, directly or indirectly, sought by agreement, communication,

or conference with anyone to fix the proposal price of the auditor or any other bidder, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other auditor, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the auditor has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, proposal depository, or to any member

or agent thereof to effectuate a collusive or sham proposal

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Proposal Contents: This proposal consists of the Request for Proposals, Proposal, Provisions,

Specifications, Attachments and other terms and conditions as are attached or incorporated by reference in the schedule of the Request for Proposals

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REQUIRED DATA Designated Contacts

Auditor is required to indicate in the space provided below, or include in their proposal, the designated contact individual’s name and address as requested under Notification in the General Provisions Section of the Request for Proposals

CITY OF SANTA ROSA

Cost Proposal

Jim Wright Purchasing Agent

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