The URL can be used to link to this page

Res No 047-12-13604RESOLUTION 47 -12 -13604 A Resolution authorizing the City Manager to enter into a five -year Performance Based Audit Contract with Advaion to perform performance based audits of City departments pursuant to Section 4 (F) of the City Charter. WHEREAS, the City is required by Charter, Section 4 (F), to perform and complete performance based audits of departments /division at least once every five years; and WHEREAS, the City last completed a single audit performed by a consultant in June, 2010; and WHEREAS, the City, to be in compliance with the Charter, has determined through a competitive process to award a five -year contract to Advaion, LLC to perform department /division performance based audits under a defined schedule over the five -year term, NOW, THEREFORE, BE IT ENACTED BY THE MAYOR AND CITY COMMISSION OF THE CITY OF SOUTH MIAMI, FLORIDA: Section 1. The City Manger is hereby authorized to award a five -year Performance Based Audit contract to Advaion, LLC for a total cost of $144,000 over the contract term to be charged to account 001 - 1310- 513 -3450, with a balance of $91,490. Each year, two departments will be scheduled for the audit; Year 1: Central Services and Parks and Recreation at $28,500; Year 2: Finance and Building and Zoning at $28,500; Year 3: Police and Planning and Zoning at $29,000; Year 4: Human Resources and Public Works at $29,500; Year 5: MIS and Code Enforcement at $28,500. Section 2. Severability. If any section, clause, sentence, or phrase of this resolution is for any reason held invalid or unconstitutional by a court of competent jurisdiction, this holding shall not affect the validity of the remaining portions of this resolution. Section 3. Effective Date: This resolution shall take effect immediately upon enactment. PASSED AND ENACTED this 21 day of February , 20120 ATTEST: APPROVED: Pg. 2 of Res. No. 47 -12 -13604 CITY CLERK LEGALITY A THEREOF.Ji CITY ATTORNEY COMMISSION VOTE: Mayor Stoddard: Vice Mayor Liebman: Commissioner Welsh: Commissioner Newman: Commissioner Harris: 5 -0 Yea Yea Yea Yea Yea South Miami CITY OF • - r OFFICE OF THE CITY MANAGER INTER OFFICE MEMORANDUM 11 To: The Honorable Mayor & Members of the Cit Commission From: Hector Mirabile, PhD, City Manager Date: January 26, 2012 l SUBJECT: A Resolution authorizing the City Manager to enter into a five - year contract with Advaion, LLC for the completion of performance based audits of City departments pursuant to Section 4 (F) of the City Charter. BACKGROUND#* An RFP was advertised for a firm to complete performance based audits of each City department/division to be in complaint with the City charter. Section 4 (F) of the City Charter, (as amended in 2000), the City of South Miami and certain divisions will conduct a performance based audit of each City department. These audits are called for in the Charter, specifically, Section 4, (F), which requires that "The City Commission shall require a performance -based audit for each department at least once every five years." This performance audit requirement was embedded in the charter since 2000; however, a single audit was performed by a consultant in June, 2010. No other audits were conducted prior to that effort. The audits will be performed as follows: Two departments /divisions per year over a five -year period, for a total of 10 individual department audits. The department schedule . is listed below. The audits will focus on "Department Performance" and is defined as to include workload measures, outputs, outcomes, and benchmarks either to professional standards, neighboring communities, or historical trends. The audits will confirm if there is a strategic road map in place that ties performance measures to goals and vision. Possible strengths and weaknesses, by department, will be identified in municipal service delivery and, a benchmark or roadmap will be provided for individual departments to increase performance measures as well as staff and resident satisfaction. In addition, the audit will reveal if departments /divisions utilize explicit measures of performance or benchmarks, either internal or external, to track or quantify delivery of services. There will also be a department follow -up process in place. The awarded vendor will be also be responsible to provide a brief evaluation within the following 12 month period to determine if the department/division previously audited has addressed the findings, achieved improvements or not met expectations or recommendations. An additional goal of the City, is for departments /divisions that complete the performance audit process to achieve recognition from the International City /County Management Association, (ICMA). ICMA's Certificate Program in Performance Measurement recognizes jurisdictions that excelled in local government performance measurement. In addition to the City website, the RFP was advertised in the Daily Business Review and was posted on Demand Star, a subscription based service that connects businesses to governments. Prior to receipt of proposals, a mandatory Pre -bid meeting was held on December 14, 2011; two firms attended as supported by the Pre -bid meeting sign -in sheet. One proposal was submitted, Advaion LLC. Advaion has had previous experience with similar audit requirements and has an ongoing contract with Jackson Health South Systems. Staff reached out to the internal audit department at Jackson who highly recommended Advaion. They have also expanded their scope of work to include working directly with their audit partners, KPMG. A check of other references were consistent with the report from Jackson. Advaion's yearly price schedule is listed below: Year , _ __... – - _ -..... _ —. - -- Department: Under Review Central Services & Parks ...... : _ _ I Total Cost i F i n ance & Building and Zoning Police & Planning and Zoning �, , • i t i ' WerTZA Human Resources & Public Works MIS & Code Enforcement —� Grand . - - - - �� i i 1' Accordingly, Advaion, LLC is recommended for the five -year contract. EXPENSE FY 2012, $28,500 from account no. 001 -1310 -513 -3450 with a current balance of $91,490. ATTACHMENTS: Resolution For Approval Performance Based Audit RFP Advertisement, Daily Business Review Pre -Bid Meeting Sign -in Sheet Advaion Proposal CITY OF SOUTH MIAMI PERFORMANCE BASED AUDITS The City of South Miami, Florida, hereinafter referred to as "City ", will receive sealed proposals. The submittal, consisting of one (1) original unbound proposal, ten (10) additional copies and one (1) digital Flash Drive or CD copy to the Office of the City Clerk, South Miami City Hall, 6130 Sunset Drive, South Miami, Florida 33143. Sealed Proposals must be received by the City Clerk, either by mail or hand delivery, no later than 10 A.M. local time on Friday, January 6, 2012. A public opening will take place at 10 A.M. in the City Commission Chambers located at City Hall on the same date. Any Proposals received after 10 A.M. local time on said date will not be accepted under any circumstances. Any uncertainty regarding the time a Proposal is received will be resolved against the Bidders. The Project is generally described as: The City of South Miami is accepting sealed PROPOSALs for performance based audits to be performed for City departments and certain divisions, The work covered by the specifications herein shall be for performance based audits as described in the contract documents and Scope of Services, The City will select a single vendor to perform performance based audits for specific City departments to be completed over a five -year period The work involved with the project shall include, but may not be limited to, the furnishing of all labor, materials, tools, equipment, superintendence and services necessary for the completion of the project. A Mandatory Meeting will be conducted at City Chambers at 2:00 P.M. located at 6130 Sunset Drive, South Miami 33143. Pre -Bid Conference shall be held at the site on Wednesday, Decmber 14, 2011. The conference shall be held regardless of weather conditions. Proposals are subject to the attached Performance Base Audit Agreement contained in the complete bid package. Interested Bidders who wish to bid on this RFP can obtain the complete bid package at City's website at Cityofsouthmiami. nett index. php ?src= gendocs &ref= Bid Posting2010 &category =RFPs- and-Bids or at the City Clerk's office Monday through Friday from 9:00 A.M. to 4:00 P.M. The City of South Miami reserves the right to award the bid to the lowest, most responsive, responsible bidder, as determined by the City Commission, subject to the right of the City to reject any and all bids, to waive any irregularity in the bids or bidding procedure and subject also to the right of the City to award bid and contract to bidders other than the low bidder. Maria Menendez South Miami City Clerk © thomasfpepe- 09 -28 -1 I Page 0 of 39 TABLE OF CONTENTS SCOPE OF SERVICES....... . . . . . . . . . . . . . . . & . . . . . . . . . *.0"6,0 1 GENERAL CONDITIONS .................................................. ............................... .................5 ..... ............................... INSURANCE AND INDEMNIFICATION ................................................ ............................... 12 SUBMISSIONREQUIREMENTS ............................................................................................. ............................... 13 PROPOSALSUBMITTAL FORM ........................................................................................... ............................... 15 BIDDER QUALIFICATION STATEMENT ............................................................................. ............................... 16 GOVERNMENTREFERENCES .............................................................................................. ............................... 19 NON- COLLUSION AFFIDAVIT ............................................................................:............. ............................too 20 PUBLIC ENTITY CRIMES AND CONFLICTS OF INTEREST ................................................. ............................... 21 DRUGFREE WORKPLACE ................................................................................................. ............................... 24 ACKNOWLEDGEMENT OF CONFORMANCE WITH OSHA STANDARDS.. 60*4*46 0441 to** 25 EPAYABLES QUESTIONS & ANSWER FORM ...................................................................... ............................... 26 EXHIBIT I PERFORMANCE BASED AUDIT AGREEMENT........ 29 EXHIBIT2 ICMA CRITERIA ............................................................................................... ............................... 36 ©thomasfpepe- 09 -28 -11 Page 0 of 39 SCOPE OF - - -- \ .. r�rrv' t' H1 --- . \h�W.T ^•nYM.../^S..!'M\'l^:MO 'yN ±[h>lh`f`Y <...� ^Y':S^T.v[`. .M.:.� T`•to .:..9> Performance Based • The City of South Miami is accepting sealed PROPOSAL.s for performance based audits to be performed for City departments and certain divisions. The work covered by the specifications herein shall be for performance based audits as described in the contract documents and Scope of Services. The City will select a single vendor to perform performance based audits for specific City departments to be completed over a five -year period and shall conform to the Scope of Services,. "Performance Based Audit Agreement ", Exhibit # I, and schedule indentified as #4 "Department Schedule." ?TAB. Pursuant to Section 4 (F) of the City Charter, (as amended in 2000), the City of South Miami and certain divisions will conduct a performance based audit of each City department. These audits are called for in the Charter, specifically, Section 4, (F), which requires that "The City Commission shall require a performance -based audit for each department at least once every five years." This performance audit requirement was embedded in the charter since 2000; however, a single audit was performed by a consultant in June, 2010. No other audits were conducted prior to that effort. The City intends to retain a single qualified vendor to conduct the department/division performance audits. The awarded vendor shall enter into an agreement, "Exhibit I Performance Based Audit Agreement ", for a 5 -year term from the date of execution. Only vendors with similar experiences and a proven track record of performing performance based audits either in the private or public sector are encouraged to apply. 1. Scope of Services The audit shall be performed as follows: Two departments /divisions per year over a five -year period, for a total of 10 individual department audits. The schedule is referenced as #4 "Department Schedule." The audits will focus on "Department Performance" and is defined as to include workload measures, outputs, outcomes, and benchmarks either to professional standards, neighboring communities, or historical trends. Other factors that should be considered: + Responsibility of the department. + Adherence to department budget line items. + Community's needs. + Department's goals. + Communication between and within departments. • Establishing a level of productivity and performance. • Assessing productivity and performance. © thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page • job training. • Work environment. • Technological impediments It will be the awarded vendor's option to determine the most effective method and /or strategy to collect the information necessary to complete the audit, including but not limited to; interviews with senior departmental staff, analyze any relevant City documents to determine if performance indicators were deployed and to assess if there was an established organizational capacity for their use, resident survey's to establish baseline data on citizen satisfaction and, to identify critical issues for future performance measurement development. 2. Deliverables The audits will confirm if there is a strategic road map in place that ties performance measures to goals and vision. Possible strengths and weaknesses, by department, will be identified in municipal service delivery and, a benchmark or roadmap will be provided for individual departments to increase performance measures as well as staff and resident satisfaction. In addition, the audit will reveal if departments utilize explicit measures of performance or benchmarks, either internal or external, to track or quantify delivery of services: At the completion of a single department audit, the awarded vendor will provide an assessment of the department and include corrective actions that can be reasonably deployed to effectively measure performance internally and to the residents they „serve to the City Manager. Department Follow -up Process: The awarded vendor will be responsible to provide a brief evaluation within the following 12 month period to determine if the department/division previously audited has addressed the findings, achieved improvements or not met expectations or recommendations provided in the original department/division assessment. 3. Performance Measurement Award, ICMA It is the goal of the City, for departments /divisions that completed the performance audit process, to achieve recognition from the International City /County Management Association, (ICMA). ICMA's Certificate Program in Performance Measurement recognizes jurisdictions that excelled in local government performance measurement. ICMA recognizes achievement in three categories, utilizing specific criteria for each. The categories are: • Achievement • Distinction • Excellence The awarded vendor must assist each department/division with the ICMA certificate application process and will provide supporting documentation as required by ICMA for each category. At the end of the 5 -year agreement, it is the objective of the City for all departments to achieve © thomasfpepe- 09 -0$ -1 I TABLE OF CONTENTS Page 2 the "Excellence" certificate. Refer to Exhibit #2, "1CMA Criteria: 2011 Certificates in Performance Management" For additional information, please refer to the ICMA website link listed below: http: / /icma.org /en /Page /107 /ICMA Center for Performance Measurement 4. Department Schedule Over a five -year period, the City departments audited will be as follows. Year I: "Central Services" and "Parks and Recreation" Year 2: "Finance" and "Building and Zoning" Year 3: "Police" and "Planning and Zoning" Year 4: "Human Resources" and "Public Works" Year 5: "Management Information Services" and "Code Enforcement" The awarded vendor is expected to complete each yearly audit within a one -year period, between October I` and September 30t4, from the execution date of this agreement. Completion is defined as when the awarded vendor submits a "Findings and Recommendations Report" to the City Manager. The awarded vendor must submit one unbound original, one electronic copy (flash drive or CD) and ten (10) copies. The mail and delivery address is: Mrs. Maria Menendez, City Clerk City of South Miami 6130 Sunset Drive South Miami, FL 33143 39 EVALUATION Scoring and Ranking An Evaluation Selection Committee comprised of 3 to 5 City staff members will review proposals submitted and rank each proposer using the evaluation factors listed in "Phase I" below: Phase l - Competitive Selection- Ranking; maximum 100 points. The evaluation factors used for determining qualifications for ranking include: • Respondents methodology and process for completing the performance audit. (Max 40 points) © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 3 • The ability of professional personnel, including pertinent training, skill and experience. (Max. 30 points) + Respondent's willingness to meet City timelines and budget requirements. (Max. 10 points) + The location of the firm and the place from which the work is to be performed. (Max 10 points) + The recent, current, and projected workloads of the firm. (Max. 10 points) Phase 11— Competitive Negotiations, Following ranking of the most qualified firms, the City may negotiate a contract with the most qualified firm for the professional services requested in accordance with the procedures of Section 287.055(5), Florida Statutes, including the procedures authorizing negotiation with successively ranked firms if negotiation with highest ranked firm fails. END OF SECTION Oo thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page . 4 GENERAL s and their agents who intend to submit, or who submitted, bids or responses for this City of South Miami Performance Based Audit, RFP, are hereby placed on formal notice k.:z:,.. , ....q�...... , _ ......:..... �..,._ ., .rv... ;� zr..vP ..... .... .. Performance Based Audit 1. Submission of Request for Proposals Proposers or Firms shall submit one (1) original unbound proposal, ten (10) additional copies and one (1) digital Flash Drive or CD copy to the Office of the City Clerk, South Miami City Hall, 6130 Sunset Drive, South Miami, Florida 33143. Request for Proposals (RFP) must be in conformance with the detailed submittal instructions and must be delivered by mail, courier or personal delivery by the time and date indicated in the legal notice. RESPONSE SUBMITTALS NOT RECEIVED BY THE DATE AND TIME SPECIFIED SHALL BE REFUSED. The time indicated by the time clock in the City Clerk office is considered the official time of receipt. No faxed or email RFP responses will be accepted. RFP's may be submitted in person or by mail to the following address: In Person /Courier /By Mail: South Miami City Hall Building 6130 Sunset Drive South Miami, FL 33143 ATTN: CITY CLERK OFFICE Upon submission, all documents become the property of the City of South Miami and are subject to public records laws. 2. Rules Regulations, Laws Ordinances & Licenses The awarded firm shall observe and obey all laws, ordinances, rules, and regulations of the federal, state, and local municipality, which may be applicable to the service being provided. The firm shall have or be responsible for obtaining all necessary permits or licenses required in order to provide this service. 3. Requests for Additional Information or Questions Any requests for additional information or clarification should be submitted in writing by 10:00 A.M. local time on Friday, January 4`", 2012 to the attention of Steven Kulick, C.P.M. Purchasing Manager at skulick(a� south m lam ifl.gov or via facsimile at (305) 667 -7806. The issuance of a written addendum is the only official method whereby interpretation and /or clarification of information can be given. If any addendums are issued to this RFP, the City will notify all prospective firms via the City's website. 4. Lobbying All firms and their agents who intend to submit, or who submitted, bids or responses for this City of South Miami Performance Based Audit, RFP, are hereby placed on formal notice © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 5 that neither City Commissioners, candidates for City Commissioner, nor any employee of the City of South Miami are to be lobbied either individually or collectively concerning this City of South Miami Performance Based Audi RFP. Contact shall only be made through regularly scheduled Commission meetings, or meetings scheduled through the Purchasing Division, which are for the purposes of obtaining additional or clarifying information. 5. Reserves the Right The City anticipates awarding one contract for services as a result of this RFP. The City, however, reserves the right to reject any and all submitted Responses and to further define or limit the scope of the award. The City reserves the right to request additional information from firms as deemed necessary. Notice is also given of the possibility that an award may be made without discussion or after limited negotiations. It is, therefore, important that all the parts of the Request for Proposal be completed in all respects. The City reserves the right to negotiate modifications to the response submittals that it deems acceptable, reject any and all RFP responses in its sole discretion, and to waive minor irregularities in the procedures. 6. Contract Cancellation The resulting contract may be canceled at any time by the City of South Miami without cause, upon a thirty (30) day written cancellation notice. 7. Ownership of Preliminary and Final Records All preliminary and final documentation and records shall become and remain the sole property of the City. The awarded firm shall maintain original documents thereof for its records and for its future professional endeavors and provide reproducible copies to the City. In the event of termination of the agreement, the proposing firm shall cease work and deliver to the City all documents (including reports and all other data and material prepared or obtained by the awarded firm in connection with the City of South Miami City Performance Based Audit RFP.) The City shall, upon delivery of the aforesaid documents, pay the firm and the firm shall accept as full payment for its services there under, a sum of money equal to the percentage of the work done by the firm and accepted as satisfactory to the City. 8. Indemnification To the extent permitted by law (F.S. 768.28) the proposing firm shall indemnify and hold harmless the City, its officers and employees, from liabilities, damages, losses and costs, including, but not limited to, reasonable attorney's fees, to the extent caused by the negligence, recklessness, or intentional wrongful misconduct of the proposing firm and any persons employed or utilized by proposing firm in the performance of this contract. © thomasfpepe- 09 -08- I I TABLE OF CONTENT Page 6 9. Equal EmploXment In accordance with Federal, State and Local law, the proposing firm will not discriminate against any employee or applicant for employment because of race, color, ethnicity, religion, sex, sexual orientation, national origin or handicap. The proposing firm will be required to comply with all aspects of the Americans with Disabilities Act (ADA) during the performance of this contract. 10. Insurance and Indemnification Without limiting its liability, the proposing firm shall be required to procure and maintain at its own expense during the life of the Contract, insurance of the types and in the minimum amounts stated below as will protect the proposing firm, from claims which may arise out of or result from the proposing firm's execution of a contract with the City of South Miami for Performance Based Audits, whether such execution by the firm or by any sub - consultant, or by anyone directly or indirectly employed by any of them or by anyone for whose acts any of them may be liable. The CONTRACTOR/COMPANY shall not commence WORK on this Agreement until he has obtained all insurance required by the City. The CONTRACTOR/COMPANY shall indemnify and save the City harmless from any and all damages, claims, liability, losses and causes of actions of any kind or nature arising out of a negligent error, omission, or act of the CONTRACTOR/COMPANY, its agents, representatives, employees, Sub - Contractor, or assigns, incident to arising out of or resulting from the performance of the CONTRACTOR/COMPANY'S professional services under this Agreement. The CONTRACTOR/COMPANY shall pay all claims and losses of any kind or nature whatsoever, in connection therewith, including the City's attorney's fees and expenses in the defense of any action in law or equity brought against the City arising from the negligent error, omission, or act of the CONTRACTOR/COMPANY, its agents, representatives, employees, Sub - Contractor, or assigns, incident to, arising out of or resulting from the performance of the CONTRACTOR/COMPANY'S professional services under this Agreement.. The CONTRACTOR/COMPANY agrees and recognizes that the City shall not be held liable or responsible for any claims, including the costs and expenses of defending such claims which may result from or arise out of actions or omissions of the CONTRACTOR/COMPANY, its agents, representatives, employees, Sub - Contractors, sub - contractors, or assigns. In reviewing, approving or rejecting any submissions or acts of the CONTRACTOR/COMPANY, the City in no way assumes or shares responsibility or liability of the CONTRACTOR/COMPANYS, Sub - Contractors, their agents or assigns. The CONTRACTORICOMPANY shall maintain during the term of this Agreement the following insurance. A. Professional Liability Insurance on a Florida approved form in the amount of $1,000,000 with deductible per claim if any, not to exceed 5% of the limit of liability providing for all sums which the CONTRACTOR/COMPANY shall become legally obligated to pay as damages for claims arising out of the services or work performed by the O thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 7 CONTRACTOR/COMPANY its agents, representatives, Sub - Contractors or assigns, or by any person employed or retained by him in connection with this Agreement. This insurance shall be maintained for four years after completion of the construction and acceptance of any Project covered by this Agreement. However, the CONTRACTO RICO MPANY may purchase Specific Project Professional Liability Insurance, in the amount and under the terms specified above, which is also acceptable. B. Comprehensive general liability insurance with broad form endorsement, on a Florida approved form including automobile liability, completed operations and products liability, contractual liability, severability of interest with cross liability provision, and personal injury and property damage liability with limits of $1,000,000 combined single limit per occurrence and $2,000,000 aggregate, including: • Personal Injury: $1,000,000; • Medical Insurance $25,000 per person; • Property Damage: $5000,000 each occurrence; • Automobile Liability: $1,000,000 each accident/occurrence, C. Umbrella Commercial General Liability insurance on a Florida approved form with the same coverage as the primary insurance policy but in the amount of $5,000,000 per claim. The City must be named as additional "named" insured for all except Workers' Compensation, and reflect the indemnification and hold harmless provision contained herein. Policy must specify whether it is primary or excess /umbrella coverage. City must receive 10 days advance written notice of any policy modification and 30 days advance written notice of cancellation, including cancellation for non - payment of premiums. All insurance must remain in full force and effect for the duration of the contract period with the City. The CONTRACTOR/COMPANY must provide not only a "certified copy" of the Binder but also the Policy itself with the name, address and phone number of the agent and agency procuring the insurance. D. Workman's Compensation Insurance in compliance with Chapter 440, Florida Statutes, as presently written or hereafter amended. E. The policies except for Section 10 A shall contain waiver of subrogation against City where applicable, shall expressly provide that such policy or policies are primary over any other collective insurance that City may have. The City reserves the right at any time to request a copy of the required policies for review. All policies shall contain a " severability of interest" or "cross liability" clause without obligation for premium payment of the City. F. All of the above insurance required to be provided by the CONTRACTOR/COMPANY is to be placed with BEST rated A -8 (A-V111) or better insurance companies, qualified to do business under the laws of the State of Florida on approved Florida forms. The CONTRACTOR/COMPANY shall furnish certified copies of all "Binders" or certificates of insurance to the City prior to the commencement of operations, which © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS I Page 8 "Binders" or certificates shall clearly indicate that the CONTRACTOR/COMPANY has obtained insurance in the type, amount, and classification as required for strict compliance with this Section and that no reduction in limits by endorsement during the policy term, or cancellation of this insurance shall be effective without thirty (30) days prior written notice to the CITY. Compliance with the foregoing requirements shall not relieve the CONTRACTOR/COMPANY of his liability and obligations under this Section or under any other portion of this Agreement. CONTRACTOR/COMPANY agrees to supply copies of certificates of insurance to the City verifying the above - mentioned insurance coverage. CONTRACTORICOMPANY agrees to list City as an Additional Insured of the CONTRACTOR/COMPANY's General liability insurance and shall provide the City quarterly reports concerning any and all claims. 1 1.012ening of Request for Proposals RFP will be opened and evaluated after the final date and time set for receipt. The City may request proposing firm(s) considered for award to make an oral presentation to a selection committee or to submit additional data. 12. Rejection of Response Submittals The City reserves the right to reject any and all response submittals to this RFP. It also reserves the right to waive any minor irregularities in connection with any and all response submittals to this RFP. 13.Acceptance of Response Submittal Within ninety (90) days after the final submission date for Request for Proposal, the City will act upon them. The successful firm will be requested to enter into negotiations to produce a contract for City of South Miami Performance Based Audits. The City reserves the right to terminate negotiations in the event it deems progress towards a contract to be insufficient. 14.Ap�plicable Law All applicable laws and regulations of the State of Florida and ordinances and regulations of the City of South Miami will apply to any resulting agreement and venue for any action arising out of any agreement and such right shall remain solely with the City. IS. Qualification of Proposing Firm Response submittals to this RFP will be considered from firms normally engaged in providing the services requested. The proposing firm must demonstrate adequate experience, organization, offices, equipment and personnel to ensure prompt and efficient service to the City of South Miami. The City reserves the right, before © thomasfpepe -OM8O I I TABLE of CONTENTS Page 9 recommending any award, to inspect the offices and organization or to take any other action necessary to determine ability to perform in accordance with the specifications, terms and conditions. The City of South Miami will determine whether the evidence of ability to perform is satisfactory and reserves the right to reject all response submittals to this RFP where evidence submitted, or investigation and evaluation, indicates inability of a firm to perform. 16. Designated Contact The awarded firm shall appoint a person to act as a primary contact with the City of South Miami. This person or back -up shall be readily available during normal work hours by phone, email, or in person, and shall be knowledgeable of the terms of the contract. 17. Deviations from Specifications The awarded firm shall clearly indicate, as applicable, all areas in which the services proposed do not fully comply with the requirements of this RFP. The decision as to whether an item fully complies with the stated requirements rests solely with the City of South Miami. 18. Precedence of Conditions The proposing firm, by virtue of submitting a response, agrees that City's General Provisions, Terms and Conditions herein will take precedence over any terms and conditions submitted with the response, either appearing separately or included: 19. Response Withdrawal After response submittals for this RFP are opened, corrections or modifications to responses are not permitted, but the proposing firm may be permitted to withdraw an erroneous response prior to the proposal award by City Commission, if the following is established: 19.1 That the proposing firm acted in good faith in submitting the response; 19.2 That the error was not the result of gross negligence or willful inattention on the part of the firm; 19.3 That the error was discovered and communicated to the City within twenty -four (24) hours of opening the response submittals received, along with a request for permission to withdraw the response; or 19.4 The firm submits documentation and an explanation of how the response_ submittal error was made. Q thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page 10 20. Public Entity Crimes A person or affiliate who was placed on the Convicted Vendors List following a conviction fora public entity crime may not submit a response on a contract to provide any services to a public entity, may not submit RFP on leases of real property to a public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, for a period of 36 months from the date of being placed on the Convicted Vendors List, 21. Contingent Fees Prohibited The proposing firm must warrant that it has not employed or retained a company or person, other than a bona fide employee, contractor or subcontractor, working in its employ, to solicit or secure a contract with the City, and that it has not paid or agreed to pay any person, company, corporation, individual or firm other than a bona fide employee, contractor or sub - consultant, working in its employ, any fee, commission, percentage, gift or other consideration contingent upon or resulting from the award or making of a contract with the City. 22. Auditable Records The proposing firm shall maintain auditable records concerning the procurement adequate to account for all receipts and expenditures, and to document compliance with the specifications. These records shall be kept in accordance with generally accepted accounting principles, and the City reserves the right to determine record - keeping method in the event of non - conformity. These records shall be maintained for five (5) years after final payment has been made and shall be readily available to City personnel with reasonable notice, and to other persons in accordance with the Florida Public Disclosure Statutes. 23. Unauthorized Aliens The employment of unauthorized aliens by any firm is considered a violation of Federal Law. If the contractor knowingly employs unauthorized aliens, such violation shall be cause for unilateral cancellation of any contract resulting from this RFP. This applies to any sub - contractors used by the firm as well. 24. Waiver Failure of the City to take any action with respect to any breach of any term, covenant, provision or condition contained in the agreement, or any instance of default there under by the awarded firm should not be deemed to be a waiver of any default or breach by the City. O thomasfpepe- 09-08 -1 I TABLE OF CONTENTS Page 25. Attorney's Fees Should it become necessary for the City to bring any action against the awarded firm to enforce any of the covenants, provisions, terms or conditions of the agreement, the awarded firm will pay all costs attendant thereto, including reasonable attorney's fees for the City. END OF SECTION © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 12 SUBMISSION REQUIREMENTS I'"ir .Ii� It is imperative that the information submitted is precise, clear, and complete. All submittals must be presented in an original unbound response and ten (10) additional copies an 8 1 /2" x I I ", tabbed for the following format (submittals not conforming to this format may be disqualified from further consideration), and (1) digital Flash Drive or CD copy to the Office of the City Clerk, South Miami City Hall, 6130 Sunset Drive, South Miami, Florida 33143. Request for Proposals (RFP) must be received by the City Clerk, either by mail or hand delivery, no later than 10 A.M. on the due date for this RFP and should include the requirements listed below. Submittals submitted without meeting ALL the requirements may be considered non - responsive. Format Sections and subsections should correspond in sequence with those identified below. All additional information that the Consultant believes is unique to a section and does not fit the established outline may be included at the end of each section under a subheading "Additional Information." The following information shall be provided in the order detalled: failure to provide any one part of this section without appropriate explanation may result in disqualification of Response. a. Title Page - List the RFP subject, the name of the firm, address, telephone number, email address, contact person and date. b. Table of contents - Include a clear identification of the material included in the submittal by page number. c. Letter of Interest -- Limit two (2) pages. Make a positive commitment to perform the required work within a specified timeline, acknowledgement of receipt of addenda. Give the name(s) of the person(s) who will be authorized to make representation for the firm, their title, phone number and email address. d. Qualifications and Experience I. Provide a brief discussion of the firm's understanding and approach to the work described herein. 2. A resume of the principal contact or contacts of the firm, and resumes of the individuals who will attend meetings and have primary responsibility for work performed for the City as it pertains to this contract. 3. A disclosure of the following: (a) any relationships between the firm and any Commission member, his /her spouse, or family: (b) any relationship between the OQ thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page 13 firm and any business or entity owned by a Commission member or their family or in which a Commission member or their family has or had an interest; (c) any other information concerning any relationships between the firm and any Commission member which the Applicant deems might be relevant to the Commission's consideration; and (e) a "conflict list" if same is maintained by the firm. e. Proposer's Certification and Non- Collus {ve Affidavit f. All Responses received will be considered public records. The City will consider all Responses using such criteria as the Commission may adopt at its sole discretion. The firm selected will be required to enter into a formal agreement with the City, prior to the execution of which the City shall reserve all rights, including the right to change its selection. g. Sworn Statement Under Section 287.133(3)(A), Florida Statutes, On Public Entity Crimes, O thomasfpepe -OM& I I END OF SECTION TABLE OF CONTENTS Performance This checklist indicates the forms and documents required to be submitted for this Request for Proposal (RFP) to be presented by the deadline set for within the RFP. Fulfillment of all proposal requirements listed is mandatory for consideration of proposals. The proposal shall include the following items: Bidder Qualification Statement Non - Collusion Affidavit Public Entity Crimes and Conflicts of Interest Drug Free Workplace Acknowledgement of Conformance with OSHA Standards List of Proposed Subcontractors and Principal Suppliers Indemnification and Insurance Documents Enter your proposed cost for the yearly Audit and a total over the five (5) year term Year Year I: Department Under Central Services & Parks and Recreation • Cost Year Z: Finance & Building and Zoning Year 3: Police & Planning and Zoning Year 4: Human Resources & Public Works Year S: Management Information Services & Code Enforcement Grand Total. Submit this checklist along with your proposal indicating the completion and submission of each required forms and/or documents. © thomasfpepe- 09 -08 -1 i TABLE OF CONTENTS Page IS BIDDER QUALIFICATION STATEMENT The BIDDER's response to this questionnaire shall be utilized as part of the CITY'S overall Bid Evaluation and Contractor selection. I . Number of similar projects completed, a) In the past 5 years On Schedule b) In the past 10 years On Schedule 2. List the last three (3) completed similar projects. a) b) Project Name: Owner Name: Owner Address: Owner Telephone: Original Contract Completion Time (Days): Original Contract Completion Date: Actual Final Contract Completion Date: Original Contract Price: Actual Final Contract Price: . Project Name: Owner Name: © thomas €pepe- 09 -08 -1 I TABLE OF CONTENTS Page 16 . Owner Address: Owner Telephone: Original Contract Completion Time (Days): Original Contract Completion Date: Actual Final Contract Completion Date: Original Contract Price: Actual Final Contract Price: c) Project Name: Owner Name: Owner Address: Owner Telephone: Original Contract Completion Time (Days): Original Contract Completion Date: Actual Final Contract Completion Date: Original Contract Price: Actual Final Contract Price: Q thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 17 3. Current workload Project Name Owner Name Telephone Number Contract Price © thomasfpepe -09 -08 -1 I TABLE of CONTENTS Page 18 GOVERNMENT ._.:... ..l.n.1l ...... Performance Based List other Government Agencies or Quasi - government Agencies for which you have done business within the past five (5) years. Name of Agency: Address: Telephone No.: Contact Person: Type of Project: Name of Agency: Address: Telephone No.: Contact Person: Type of Project: Name of Agency: Address: Telephone No.: Contact Person: Type of Project: FAILURE TO COMPLETE SIGN & RETURN THIS FORM MAY DISQUALIFY YOUR RESPONSE © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 19 NON - COLLUSION AFFIDAVIT rmance STATE OF FLORIDA ) COUNTY OF MIAMI -DADE ) being first duly sworn, deposes and states that: (1) He /She /They islare the (Owner, Partner, Officer, Representative or Agent) of the PROPOSER that has submitted the attached BID; (2) He /She /They is /are fully informed with respect to the preparation and contents of the attached BID and of all pertinent circumstances concerning such BID; (3) Such BID is genuine and is not a collusive or sham BID; (4) Neither the said PROPOSER nor any of its officers, partners, owners, agents, representatives, employees or parties in interest, including this affiant, have in any way colluded, conspired, connived or agreed, directly or indirectly, with any other PROPOSER, firm, or person to submit a collusive or sham BID in connection with the Work for which the attached BID has been submitted; or to refrain from PROPOSING in connection with such Work; or have in any manner, directly or indirectly, sought by agreement or collusion, or communication, or conference with any PROPOSER, firm, or person to fix any overhead, profit, or cost elements of the BID or of any other PROPOSER, or to fix any overhead, profit, or cost elements of the BID Price or the BID Price of any other PROPOSER, or to secure through any collusion, conspiracy, connivance, or unlawful agreement any advantage against (Recipient), or any person interested in the proposed Work; (5) The price or prices quoted in the attached BID are fair and proper and are not tainted by any collusion, conspiracy, connivance, or unlawful agreement on the part of the PROPOSER or any other of its agents, representatives, owners, employees or parties of interest, including this affiant. Signed, sealed & delivered in the presence of: By: Signature .Subscribed and sworn to before me this Print Name and Title day of Notary Public (Signature) My Commission Expires: ,20 FAILURE TO COMPLETE SIGN. & RETURN FORM MAY DISQUALIFY YOUR RESPONSE © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 20 PUBLIC ENTITY CRIMES AND CONFLICTS OF INTEREST Pursuant to the provisions of Paragraph (2) (a) of Section 287.133, Florida State Statutes - "A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a Bid on a Contract to provide any goods or services to a public entity, may not submit a Bid on a Contract with a public entity for the construction of repair of a public building or public work, may not submit bids on leases or real property to a public entity, may not be awarded to perform Work as a Contractor, supplier, Subcontractor, or Consultant under a Contract with any public entity, and; may not transact business with any public entity in excess of the threshold amount Category Two of Section 287.017, Florida Statutes, for thirty six (36) months from the date of being placed on the convicted vendor list". The award of any contract hereunder is subject to the provisions of Chapter 112, Florida State Statutes. BIDDERS must disclose with their Bids, the name of any officer, director, partner, associate or agent who is also an officer or employee of the City of South Miami or its agencies. SWORN STATEMENT PURSUANT TO SECTION 287.133 (3) (a), FLORIDA STATUTES, ON PUBLIC ENTITY CRIMES THIS FORM MUST BE SIGNED AND SWORN TO IN THE PRESENCE OF A NOTARY PUBLIC OR OTHER OFFICIAL AUTHORIZED TO ADMINISTER OATHS. 1. This sworn statement is submitted to [print name of the public entity] by [print individual's name and title] for [print name of entity submitting sworn statement] whose business address is [print full mailing address] and (if applicable) its Federal , Employer Identification Number (FEIN) is (If the entity has no FEIN, include the Social Security Number of the individual signing this sworn statement: .) 2. 1 understand that a "public entity crime" as defined in Paragraph 287.133 (1)(g), Florida Statutes, means a violation of any state or federal law by a person with respect to and directly related to the transaction of business with any public entity or with an agency or political subdivision of any other state or of the United States, including, but not limited to, any bid or contract for goods or services to be provided to any public entity or an agency or political subdivision of any other state or of the United States and involving antitrust, fraud, theft, bribery, collusion, racketeering, conspiracy, or material misrepresentation. 3. 1 understand that "convicted" or "conviction" as defined in Paragraph 287.133 (1) (b), Florida Statutes, means a finding of guilt or a conviction of a public entity crime, with or without an adjudication of guilt, in any federal or state trial court of record relating to charges brought by indictment or information after July I, 1989, as a result of a jury verdict, non -jury trial, or entry of a plea of guilty or nolo contenders. 4. 1 understand that an "affiliate" as defined in Paragraph 287.133 (1) (a), Florida Statutes, means: (a) A predecessor or successor of a person convicted of a public entity crime; or © thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page 21 (b) An entity under the control of any natural person who is active in the management of the entity and who has been convicted of a public entity crime. The term "affiliate" includes those officers, directors, executives, partners, shareholders, employees, members, and agents who are active in the management of an affiliate. The ownership by one person of shares constituting a controlling interest in any person, or a pooling of equipment or income among persons when not for fair market value under an arm's length agreement, shall be a prima facie case that one person controls another person. A person who knowingly enters into a joint venture with a person who has been convicted of a public entity crime in Florida during the preceding 36 months shall be considered an affiliate. S. I understand that a "person" as defined in Paragraph 287.133 (1) (e), Florida Statutes, means any natural person or entity organized under the laws of any state or of the United States with the legal power to enter into a binding contract and which bids or applies to bid on contracts for the provision of goods or services let by a public entity, or which otherwise transacts or applies to transact business with a public entity. The term "person" includes those officers, directors, executives, partners, shareholders, employees, members, and agents who are active in management of an entity. 6. Based on information and belief, the statement which I have marked below is true in relation to the entity submitting this sworn statement. [Indicate which statement applies.] Neither the entity submitting this sworn statement, nor any of its officers, directors, executives, partners, shareholders, employees, members, or agents who are active in the management of the entity, nor any affiliate of the entity has been charged with and convicted of a public entity crime subsequent to July I, 19894 The entity submitting this sworn statement, or one or more of its officers, directors, executives, .partners, shareholders, employees, members, or agents who are active in the management of the entity, or an affiliate of the entity has been charged with and convicted of a public entity crime subsequent to July I, 19896 The entity submitting this sworn statement, or one or more of its officers, directors, executives, partners, shareholders, employees, members, or agents who are active in the management of the entity, or an affiliate of the entity has been charged with and convicted of a public entity crime subsequent of July 1, 1989. However, there has been a subsequent proceeding before a Hearing Officer of the State of Florida, Division of Administrative Hearings and the Final Order entered by the Hearing Officer determined that it was not in the public interest to place the entity submitting this sworn statement on the convicted vendor list. [attach a copy of the final order] I UNDERSTAND THAT THE SUBMISSION OF THIS FORM TO THE CONTRACTING OFFICER FOR THE PUBLIC ENTITY INDENTIFIED IN PARAGRAPH I (ONE) ABOVE IS FOR THAT PUBLIC ENTITY ONLY, AND THAT THIS FORM IS VALID THROUGH DECEMBER 31 OF THE CALENDAR YEAR IN WHICH IT IS FILED. I ALSO UNDERSTAND THAT I AM REQUIRED TO INFORM THE PUBLIC ENTITY PRIOR TO ENTERING INTO A CONTRACT IN EXCESS OF THE THRESHOLD AMOUNT PROVIDED IN SECTION 287.017, FLORIDA, STATUTES, FOR CATEGORY TWO OF ANY CHANGE IN THE INFORMATION CONTAINED IN THIS FORM. Signed, sealed & delivered in the presence of: By: Signature Print Name and Title © thomasfpepe- 09 -08 -I I TABLE OF CONTENTS Page 22 Subscribed and sworn to before me this day of , 20 Notary Public (Signature) My Commission Expires: FAILURE TO COMPLETE SIGN & RETURN THIS FORM MAY DISQUALIFY YOUR RESPONSE © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 23 DRUG FREE WORKPLACE Whenever two or more Bids which are equal with respect to price, quality and service are received by the State or by any political subdivisions for the procurement of commodities or contractual services, a Bid received from a business that certifies that it has implemented a drug -free workplace program shall be given preference in the award process. Established procedures for processing tie Bids shall be followed if none of the tied vendors have a drug -free workplace program. In order to have a drug -free workplace program, a business shall: 1) Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that shall be taken against employees for violations of such prohibition. 2) Inform employees about the dangers of drug abuse in the workplace, the business' policy of maintaining a drug -free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3) Give each employee engaged in providing the commodities or contractual services that are under Bid a copy of the statement specified in Subsection (1). 4) In the statement specified in Subsection (1), notify the employees, that, as a condition of working of the commodities or contractual services that are under Bid, he employee shall abide by the terms of the statement and shall notify the employee of any conviction of, or plea of guilty or polo contendere to, any violation of Chapter 893 or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after such conviction. 5) Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program, if such is available in the employee's community, by any employee who is so convicted. 6) Make a good faith effort to continue to maintain a drug -free workplace through implementation of this section. As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. BIDDER'S Signature: Print Name: Date: FAILURE TO COMPLETE SIGN & RETURN THIS FORM MAY DISQUALIFY YOUR RESPONSE © thomasfpepe- 09 -08 -1 1 TABLE OF CONTENTS I Page 24 ACKNOWLEDGEMENT OF CONFORMANCE WITH OSHA STANDARDS TO THE CITY OF SOUTH MIAMI We, as Contractors for the Performance compliance with all the requirements of State and local safety and health regulati Miami against any and all liability, claims, of (subcontractor's names): to comply with such act or regulation. CONTRACTOR BY: Title Performance Based (Name of Contractor), hereby acknowledge and agree that Based Audits, as specified have the sole responsibility for the Federal Occupational Safety and Health Act of 1970, and all ins, and agree to indemnify and hold harmless the City of South damages, losses and expenses they may incur due to the failure Witness FAILURE TO COMPLETE, SIGN, & RETURN THIS FORM MAY DISQUALIFY YOUR RESPONSE © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 25 EPAYABLES QUESTIONS ANSWER FORM FREQUENTLY ASKED QUESTIONS FROM VENDORS Q: Is this a requirement? Will it affect our Vendor - Client relationship if we decline? A: This is the preferred method of payment and part of an effort to reduce checks and eliminate paper waste and inefficiencies. This will also decrease the time it takes to complete payment and is more convenient than handling a check. Q: Are there any fees associated with this method of payment? A: Payments will be processed as credit card transactions, so your standard merchant fees will apply. There are not any direct fees imposed by the client or issuing bank. Q: Are you, the Client, willing to absorb the fees? A: It is not our intention to absorb fees associated with your Merchant Service Provider. Q: Is it safe to keep the card number on file? A: The new payment process invoice has been approved with the exact amount du e confirmation that the card card on file completely safe. keeps that card account with a credit limit of $0 until an for payment. Once it is approved, the card will be funded and you will receive a remittance, which is an electronic is ready to be charged. This technology makes keeping a Q: Our company policy does not allow us to keep a credit card number on file. A: Would your company allow you to maintain only the first 12 numbers on the card? For security reasons, the remittance advice, which authorizes payment, only identifies the last 4 digits of the card; upon receipt of the remittance you would have the complete card information in order to process the transaction. Q: Will the net terms change? How soon will we get paid? A: Your terms will remain the same, however, you do gain the float; funds are typically deposited within 48 hours after processing the transaction. Q: How does this affect our invoicing? What about credits and short -pays? A: Your invoicing, current procedures and client contacts will remain the same. Q: What is your billing address? A: I can give you this information now if you'd like but keep in mind that we'll also include it on all remittances so you have it readily available each time you take your payment. 0 thomasfpepe- 09 -08- I I TABLE OF CONTENTS Page 26 Q: What about past - due /outstanding invoices? A: 1 can assist you with those however this process will pertain to all future payments only. Q: Our company requires a signed Card Authorization Form for every credit card transaction. A: Please send me the form and I can fill it out. Q: Will I receive payment for all of our company locations? A: Receipt of payment will remain the same. If you currently receive one check for multiple locations, you will maintain one card number on file and the remittance will identify the appropriate location by invoice number, date and amount. If a separate check is sent to each remit -to address, a unique card number will be assigned for each location. Q: We have several people who process payments, so I don't want to give you just one person's email. A: The payment advice can be sent to more than one person if you want to give me additional email addresses. Also, some vendors establish a general email alias that will forward the remittance to several people in your organization. Q: Can you send the remittance via email and fax? A: The remittance can be sent to multiple email addresses or faxed to one number; not both. Q: I would like something in writing. Can you send me the information to share with my supervisor? A: Absolutely. I will forward a blank confirmation that includes a sample remittance and contact information. Or would you like me to speak directly to your supervisor? Q: What are the benefits to us of accepting payment via credit card? A: • Expedited receipt of cash • No collection costs associated with lost or misplaced checks • More efficient handling of exception items • Control benefit; avoid giving out bank information for ACH payments • No check processing costs • Remittance data transmitted with payment for more efficient back -end reconciliation • Invoice detail provided electronically END OF SECTION thomasfpepe -09 -0$- I I TABLE OF CONTENTS Page 27 J EXHIBIT #1 PERFORMANCE BASED AUDIT AGREEMENT © thomasfpepe- 09 -08- I I TABLE OF CONTENTS page 28 THIS AGREEMENT is made between hVAQ) 4 uuc , a Florida corporation, ( "Company ") and the City of South Miami, a Florida municipal corporation, ( "City "), on /I°lar(.iti / 9 this day of, 2011, WHEREAS, City desires to contract with a third party to complete performance based audits for the City. WHEREAS, Pursuant to Section 4 (F) of the City Charter, (as amended in 2000), the City of South Miami and certain divisions will conduct a performance based audit of each City department. These audits are called for in the Charter, specifically, Section 4, (F), which requires that "The City Commission shall require a performance -based audit for each department at least once every five years." NOW, THEREFORE, in consideration of the mutual promises and agreements hereinafter set forth, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows: Performance of the departments /divisions per audits. The schedule is "Department Performance and benchmarks either to Other factors that should Audits: The audit shall be performed as follows: Two year over a five -year period, for a total of 10 individual department referenced as #4 "Department Schedule." The audits will focus on it and is defined as to include workload measures, outputs, outcomes, professional standards, neighboring communities, or historical trends. be considered: • Responsibility of the department. Adherence to department budget line items. • Community's needs. • Departments goals. • Communication between and within departments. • Establishing a level of productivity and performance. • Assessing productivity and performance. « job training. • Work environment. • Technological impedirnents It will be the awarded vendor's option to determine the most effective method and /or strategy to collect the information necessary to complete the performance audit, including but not limited to; interviews with senior departmental staff, analyze any relevant City documents to determine if performance indicators were deployed and to assess if there was an established organizational capacity for their use, resident survey's to establish baseline data on citizen satisfaction and, to identify critical issues for future performance measurement development. Oc thomasfpepe- 09 -08 -1 I TABLE QF CONTENTS Page 10 a 2. Deliverables: The audits will confirm if there is a strategic road map in place that ties performance measures to goals and vision. Possible strengths and weaknesses, by department. will be identified in municipal service delivery and, a benchmark or roadmap will be provided for individual departments to increase performance measures as well as staff and resident satisfaction. In addition, the audit will reveal if departments utilize explicit measures of performance or benchmarks, either internal or external, to track or quantify delivery of services. At the completion of a single department audit, the awarded vendor will provide an assessment of the department and include corrective actions that can be reasonably deployed to effectively measure performance internally and to the residents they serve to the City Manager. Department Follow -up Process: The awarded vendor will be responsible to provide a brief evaluation within the following 12 month period to determine if the department/division previously audited has addressed the findings, achieved improvements or not met expectations or recommendations provided in the original department/division assessment. 3. Performance Measurement Award, 1CMA: It is departments /divisions that completed the performance audit from the International City /County Management Associatio Program in Performance Measurement recognizes jurisdictions performance measurement. ICMA recognizes achievement in criteria for each. The categories are: • Achievement • Distinction 0 Excellence the goal of the City, for process, to achieve recognition n, (ICMA). ICMA's Certificate that excelled in local government three categories, utilizing specific The awarded vendor must assist each department/division with the ICMA certificate application process and will provide supporting documentation as required by ICMA for each category. At the end of the 5 -year agreement, it is the objective of the City for all departments to achieve the "Excellence" certificate. Refer to Exhibit #2, "ICMA Criteria: 2011 Certificates in Performance Management" 4. Department Schedule: Over a five -year period, the City departments audited will be as follows: Year I : "Central Services" and "Parks and Recreation" Year 2: "Finance" and "Building and Zoning" Year 3: "Police" and "Planning and Zoning" Year 4: "Human Resources" and "Public Works" Year 5: "Management Information Services" and "Code Enforcement' The awarded vendor is expected to complete each yearly audit within a one -year period, between October I,t and September 30,11, from the execution date of this agreement. Completion is defined as when the awarded vendor submits a "Findings and Recommendations Report" to the City Q thomasfpepe- 09 -0$- I I TABLE OF CONTENTS Page Manager. The awarded vendor must submit one unbound original, one electronic copy (flash drive or CD) and ten (10) copies. The mail and delivery address is: Mrs. Maria Menendez, City Clerk City of South Miami 6130 Sunset Drive South Miami, FL 33143 S. TERM: The term of this contract is five (5) years and shall commence on the first calendar day of the month succeeding the notice of award, and contingent upon the completion and submittal of all required bid documents. The contract shall expire on the last day of the five (5) year period. 6. PERSONNEL: All Company personnel fulfilling the terms of this Agreement, shall be employed solely by the Company and be employees of the Company. Company agrees to pay the following for Company employees: Wages Income tax withholdings Social security withholdings State unemployment insurance Federal unemployment insurance Workmen's compensation insurance Company shall train personnel. Personnel not performing up to die standards of the City will be replaced by the Company immediately. INSURANCE /LIABILITY: The Company shall maintain and keep in full force and effect the coverage as set forth in the City's standard insurance requirements, a copy of which is attached as "Genera! Conditions #10." TAXES: Company shall be responsible for all payments of federal, state, and /or local taxes related to the Operations, inclusive of sales tax if applicable. INDEPENDENT CONTRACTOR: Company is an independent corporate entity under this Agreement and nothing herein shall be construed to create a partnership, joint venture, or agency relationship between the parties. DUTIES AND RESPONSIBILITIES: Company agrees to provide its services during the term of this Agreement in accordance with all applicable laws, regulations, and health and safety standards. LICENSES AND CERTIFICATIONS: Company shall secure all necessary business and professional licenses at its sole expense prior to executing the Agreement. O thomasfpepe- 09 -08 -1 1 TABLE OF CONTENTS Page M-f CANCELLATION: The City shall have the right to cancel this Agreement with or without cause upon sixty (60) days written notice to Company. Upon termination, the Company shall be entitled to a refund of any monies paid for any period of time subsequent to date of termination. ENTIRE AGREEMENT, MODIFICATION, and BINDING EFFECT: This Agreement constitutes the entire agreement of the parties and supersedes any prior- agreements, understandings, representation or negotiation, written or oral. This Agreement may not be modified or amended except in writing, signed by both parties hereto. This Agreement shall be binding upon and inure to the benefit of the City and Company and to their- respective heirs, successors and assigns. SEVERABILITY: If any term or provision of this Agreement or the application thereof to any person or circumstance shall, to any extent, be invalid or unenforceable, the remainder of this Agreement, or the application of such term or provision to persons or circumstances other than those to which it is held invalid or unenforceable, shall not be affected thereby and each term and provision of this Agreement shall be valid and enforceable to the fullest extent permitted by law. NON - WAIVER: City and Company agree that no failure to exercise and no delay in exercising any right, power or privilege under this Agreement on the part of either party shall operate as a waiver of any right, power, or privilege under this Agreement. No waiver of this Agreement, in whole or part, including the provisions of this paragraph, may be implied by any act or omission and will only be valid and enforceable if in writing and duly executed by each of the parties to this agreement. Any waiver of any term, condition or provision of this Agreement will not constitute a waiver of any other term, condition or provision hereof, nor will a waiver of any breach of any term, condition or provision constitute a waiver of any subsequent or succeeding breach. NO DISCRIMINATION: No action shall be taken by the Company which would discriminate against any person on the basis of race, creed, color, national origin, religion, sex, familial status or disability, INDEMNIFICATION: Company hereby covenants and agrees to indemnify and hold harmless provisions set forth in "General Conditions #10." GOVERNING LAWS: This Agreement and the performance of services hereunder will be governed by the laws of the State of Florida, with exclusive venue for the resolution of any dispute being a court of competent jurisdiction in Miami -Dade County, Florida. ATTORNEYS' FEES AND COSTS: In the event of any litigation between the parties arising out of or relating in any way to this Agreement or a breach thereof, each party shall bear its own costs and legal fees. AUDIT: Upon request and during regular business hours, the Company shall allow the City or its consultant to audit, inspect, and examine the facility for safety and contractual compliance. In an effort to confirm such information, the City may communicate directly with service providers and providers of pool maintenance goods. Additionally, the Company shall keep complete and accurate books and records of accounts and business operations in accordance with generally accepted accounting principles for a period of three (3) years following termination of this Agreement. © thomasfpepe- 09 -08- I I TABLE QF QQMTENTS Page 13A/ ASSIGNMENT: Company shall not assign or transfer its rights under this Agreement without the express written consent of the City. In turn and upon its approval, the City will not unreasonably withhold and /or delay said consent. EFFECTIVE DATE: This Agreement shall not become effective and binding until it has been executed by both parties hereto and the effective date shall be the date of its execution by the last party so executing it. THIRD PARTY BENEFICIARY: It is specifically understood and agreed that no other person or entity shall be a third party beneficiary hereunder, and that none of provisions of this Agreement shall be for the benefit of or be enforceable by anyone other than the parties hereto, and that only the parties hereto shall have any rights hereunder. FURTHER ASSURANCES: The parties hereto agree to execute any and all other and further documents as might be reasonably necessary in order to ratify, confirm, and effectuate the intent and purposes of the Agreement. TIME OF ESSENCE: Time is of the essence of this Agreement. CONSTRUCTION: This Agreement shall not be construed more strongly against either party hereto, regardless of who was more responsible for its preparation. FORCE MAJEURE: Neither party hereto shall be in default of its failure to perform its obligations under this Agreement if caused by acts of God, civil commotion, strikes, labor disputes, or governmental demands or requirements that could not be reasonably anticipated and the effects avoided or mitigated. Each party shall notify the other of any such occurrence. NOTICES: Whenever notice shall be required or permitted herein, it shall be delivered by hand delivery, e-mail, facsimile transmission or certified mail, with return receipt requested and shall be deemed delivered on the date shown on the delivery date on the return receipt or the date shown as the date same was refused, as follows: To the City of South Miami: To the Aavaiwt, r.Lc City Manager, Hector Mirabile, PhD 6130 Sunset Dr. South Miami, FL 33143 Fax: E -mail: With copies by U.S. mail to: City Attorney, Thomas Pepe, Esquire 6130 Sunset Dr. South Miami, FL 33193 6huvan Satyakelu _ Operations Manager Uc thomasfpepe- 09 -08 -1 1 TABLE or CQNTENTs Page Address Fax: 954 -206 -0997 E -mail: bhuvan @advaion.com With copies by U.S. mail to: Company Attorney: M. Keith Lipscomb Lipscomb, Eisenberg & Baker P.L One Biscayne Tower, 2 Biscayne Blvd, # 3800 Miami, FL 33131 IN WITNESS WHEREOF, the parties have signed this Agreement this I day of March of 2012. COMPANY NAME, a Florida corporation .f Si,gnaEdre of Witness Garth Stewart Name AUTHENTICATIO Milria Mene City Clerk Read and A Legality City to For Bhuvan Satyaketu , as its Operations Manager CITY OF SOUTH MIAMI Signature: z *C)-e q Dr. Hector Mirabile @ thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS City Manager gErm if, I Will 11 ar, ICMA CRITERIA: 2011 CERTIFICATES IN PERFORMANCE MANAGEMENT © thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 35 EXHIBIT 2 ICMA CRITERIA Performance ICMA Center for Performance Measurement Criteria: 2011 Certificates in Performance Measurement Category Distinction Data Collection 4 services areas over 2 6 services areas for 3 Identification and years years tracking of key outcome measures beyond inputs, outputs, and workload indicators Verification Participation in efforts to verify, correct, or further explain any data that may be in question (e.g., through ICMA.'s data verification process, internal auditing, amnesty programs) Coordination Designation of primary staff person to oversee PM efforts Training /Support At least one Consideration of the Meets criteria for informational or particular needs of the certificate of training session during new employees in achievement and the past year for other performance distinction. jurisdiction staff measurement training dealing with efforts, performance measurement issues, or coordination of staffs attendance at alternate training sessions Public Reporting Incorporation of Incorporation Use of graphs, jurisdiction into public reporting color- coding, performance data in of: 1) sufficient data dashboards, etc., to documents to judge highlight or local media. NEW past performance 2) performance Sharing of comparison values above /below performance data from other expectations or online or in public jurisdictions, groups varying significantly mailings. Targets or or private from past or goals for key measures, industry; and 3) comparable data, narrative text to explain the meaning or significance of the data. Accountability /Process Adoption of policies for holding staff Improvement accountable to report performance data and work toward continuous improvement Discussion /feedback Participation on at least two occasions in e- Oc thomasfpepe- 09 -08 -1 I TABLE OF CONTENTS Page 36 © thomasfpepe- 09 -08 -I I TABLE of CONTENTS Page 37 mail /phone communications with CPM staff and /or online discussions about performance measurement issues and /or CPM template revisions. Feedback may also take the form of internal process im rovement efforts. Networking Sharing of performance measurement experiences /lessons - learned with other communities Planning Consideration of Planning performance data in measuring progress toward strategic plan goals (for the overall organization, departments, or individuals), making management decisions, or considering financial issues. Leadership Internal emphasis on performance measurement that makes it pervasive in the organizational culture, and external leadership in networking, presentations, and data sharing. Surveying Conduct and reporting of customer satisfaction surveys, both of internal customers (employees) and the general public. © thomasfpepe- 09 -08 -I I TABLE of CONTENTS Page 37 MIAMI DAILY BUSINESS REVIEW Published Daffy except Saturday, Sunday and Legal Nntfdays Miami, Mfamt-Dade County, Florida STATE OF FLORIDA COUNTY OF MIAMi -DADS: Before the undersigned authority personally appeared V. PEREZ, who on oath says that he or she Is the LEGAL CLERK, Legal Notices of the Miami Daily Business Review Wa Miami Review, a daily (except Saturday, Sunday and Legal Holidays) newspaper, published at Miami in Mlaml -Dade County, Florida; that the attached copy of advertisement, being a Legal Advertisement of Notice in the matter of CITY OF SOUTH MIAMi - PERFORMANCE BASED AUDITS SEALED PROPOSALS.- JANUARY 6, 2012 In the XXXX Court, was published in said newspaper In the Issues of 11/21/2011 Afflant further says that the said Miami Daily Business Review Is a newspaper published at Miami In said Miami -Dade County, Florida and that the said newspaper has heretofore been continuously published In said Miaml -Dade county, Florida, each day (except Saturday, Sunday and Legal Holidays) and has been entered as second class mail matter at the post office in Miami in said Mlami -Dade County, Florida, for a period of one year next preceding the first publication of the attached copy of advertisement; and afifant further says that he or she has neither paid nor promised any person, firm or corporation any discount, rebate, commission or refund for the purpose of securing this advertisement for publication in the said newspaper. .1 Swam to and bed before tie this of NOVEMBER I , A.D. V. PEREZ personally known to me I; �% r� t• ^ t i r t iG7v AMIT s r ti Pre -Bid Conference Sign -In Sheet Date: December 14, 2011 RFP Title: Performance Based Audit ]EtFP No.: Please Print Clearly N/A X:\Purchasing \Request for Proposals & Qualification (RFPs) \Performance Based Audits \Pre Bid Meeting\Performance Based Audit Pre -Bid Meeting Sign -1n Sheet 12.14.11.doc Name/Title Company Name/.E�mafl Address Telephone No. Advaion, LLC 1 Eddie Aixala/Mgr 345/600 -9492 eaixala advaion.com 'l if." {J '/ t "l j' ✓ F. �Z/ % � t:. /Y.�% /! / �/ Y /{ 3 / i JS +) �N ✓ i z / Cr% tSI, f 15�n J 3 \ �/ !$ \ G\ I . r / wJ� ._ / 5 C" ✓ J 4 r < S.fJ :: KS „Associates)I11.Vi G N ,D'ann �% 3 }'Y- t ( 5! ✓! N � � I C f \ r 55. '� G. `l f //t <iY ' "" i ( / $ Y <:. ). a9 < 5 uY ! 1^, Y ! � / <\ r ?....5!..r.J % . .. .. .: ...... ..... ..:.... ..._. ..._ s 5 r Ca /L / 5 r ♦ f/ / . S C / i w'^' -z \ � ti 4 > r s £ f � ✓/ / - ! 7 O �%Y r ) l'n) T�/.� 5 /: /iJ 1 f\>1✓!< l/ Y > < \ \1i V.: < [✓/ T < \Z /)5 J if a \ / /)( t Y 1N Y !`Jl•J F) (J /.. F1 sv ,. ,\ l _1 1/ ).. / a ( \Y f 5'- f /. } /. � : /n.... ,.. � J .<:..i � R: .v. ,. a : ., a. . -. 6 v. ..... ...• , . ,//!.. ..P .! ..... .a . .,. ...r _ .N:.L., nn�, �..: ..:} .. 9 > / > j). J 5 l / / Y ) r .! i� L2 I . /` � /� 'tom ) > < /: �."✓ </ X:\Purchasing \Request for Proposals & Qualification (RFPs) \Performance Based Audits \Pre Bid Meeting\Performance Based Audit Pre -Bid Meeting Sign -1n Sheet 12.14.11.doc c MW �. J(o 1. TRANSMITTAL LETTER ........................................................................................ ..............................1 2. PROPOSAL SUBMITTAL FORM & BIDDER QUALIFICATION STATEMENT .......................2 3. FIRM QUALIFICATIONS AND EXPERIENCE .................................................. ............................... 5 4, STATEMENT OF INDEPENDENCE ..................................................................... ............................... 5. LIST OF PROPOSED SUBCONTRACTORS AND PRINCIPAL SUPPLIERS . ..............................7 6. PERFORMANCE BASED AUDIT METHODOLOGY ........................................ ............................... 7 74 QUALIFICATIONS OF STAFF :..:.:.......:...........:..::........:.........:......:..:.............:..... .:..........,................12 8. CURRENT WORKLOAD ........................................................................................ .............................14 APPENDIX A —NON COLLUSION AFFIDAVIT .................................................................. .............................15 . ...... ................:........I - - - -- -- ... ._... ... - -.. APPENDIX B — PUBLIC ENTITY CRIMES AND CONFLICTS OF INTEREST .............. .............................17 APPENDIXC —DRUG FREE WORKPLACE ........................................................................ .............................21 APPENDIX D — ACKNOWLEDGEMENT OF CONFORMANCE WITH OSHA STANDARDS ..................23 APPENDIX E— GOVERNMENT REFERENCES ................................................................... .............................25 APPENDIX F— INDEMNIFICATION AND INSURANCE DOCUMENTS ................. ............................... 27 The recipient of this document agrees that the Information contained herein is Confidential information and is to be considered confidential and proprietary to Advaion, LLC and Recipient shall hold the same in confidence, shall not use the Confidential information other than for the purposes of its business with Advaion, LLC, and shall disclose it only to its officers, directors, or employees with a specific need to know. Recipient will not disclose, publish or otherwise reveal any of the Confidential Information received from Advaion, LLC to any other party whatsoever except with the specific prior written authorization of Advaion, LLC. A.CCp1XN7kNG> C OMP. ILKANCI. CJiNYI.r�SANAG�4IENT.itD'V750RS January 19, 2012 South Miami City Hall 6130 Sunset Drive South Miami, Florida 33143 ATTN: CITY CLERK OFFICE Dear Sir/ Madam Advaion is pleased to submit this response to the Request for Proposal in relation to the Performance Based Audits for the City of South Miami (the "City "). Advaion is a premier provider of accounting, compliance and management advisory solutions. We focus on developing teams to deliver practical, cost - effective solutions across a wide range of industries. Advaion was founded in 2003, is a certified M_ inorily Business Enterprise, and maintains primary offices in Florida and New York. As outlined in our proposal herein, we have performed based audits based on standards established by various frameworks including but not limited to Baldrige, TL 9000, ISO 9000 for both private and public entities. These engagements have resulted in significant efficiency improvements as well as tangible cost savings to our clients. Our tearn's multi- disciplinary experience allow us to bring best practices and benchmarking that are tailored to your organization rather than generic benchmarks. In connection with our performance based audits, we have successfully assisted entities implement the usage of key performance indicators (KPI's) that are "built into" regular processes so as to not cause additional burden on employees. We have assembled a team whose skills and experience align with the requirements for the City. Our teams are comprised of experienced personnel that have financial and auditing expertise, prior quality systems and performance management responsibility, excellent communication skills and strong analytical and software skills. Our teams also bring a fresh perspective with the right knowledge and experience to serve and have been involved in performance based audits for over 15 years. We are committed to generating value and benefits for the City that outweigh the costs of our services and welcome the opportunity to answer any questions regarding our services and experience. This proposal is a firm and irrevocable offer for a ninety (90) day time period. Thank you for your consideration. Sincerely, Advait sop M0 4 Managing Director Authorized to represent and bind the firm 1961 NW 150'h Ave, Suite 204 1 Pembroke Pines, FL 330281 Tel 954 889 34071 e -Fax 954 206 09971 www.advaion.coin 1 2. Proposal Submittal Form & Bidder Qualification Statement PROPOSAL SUBMITTAL ,. Year 2: Finance & Building and Zoning 28,500 Year 3: Police & Planning and Zoning .. Year 4: _. -..... 29.500 Year 5: Management Information Services & Code Enforcement 283500 Performance Grand Total: Based Audits This checklist indicates the forms and documents required to be submitted for this Request for Proposal (RFP) to be presented by the deadline set for within the RFP. Fulfillment of all proposal requirements listed is mandatory for consideration of proposals. The proposal shall include the following items: Bidder Qualification Statement 2 y Non- Collusion Affidavit V Public Entity Crimes and Conflicts of Interest Drug Free Workplace y Acknowledgement of Conformance with OSHA Standards v List of Proposed Subcontractors and Principal Suppliers v Indemnification and Insurance Documents Enter your proposed cost for the yearly Audit and a total over the five (5) year term IF'? 17 .21 23 7 27 Year Year Ise Department Central Services & Parks and Recreation • 28.500 Year 2: Finance & Building and Zoning 28,500 Year 3: Police & Planning and Zoning 29,000 Year 4: Human Resources & Public Works 29.500 Year 5: Management Information Services & Code Enforcement 283500 Grand Total: 144,000 Submit this checklist along with your proposal indicating the completion and submission of each required forms and/or documents. 'r_A 411 R MITI '111 11111111111111 BIDDER QUALIFICATION STATEMENT The BIDDER's response to this questionnaire shall be utilized as part of the CITY'S overall Bid Evaluation and Contractor selection. 1. Number of similar projects completed, a) In the past 5 years Four On Schedule Four b) In the past 10 years Four On Schedule Four 2. List the last three (3) completed similar projects. a) Project Name: Jackson Health System Owner Name: Stephen Weimer Owner Address: 500 NW 12th Ave, Miami, FL 33136 Owner Telephone: 305 585 2952 Original Contract Completion 365 days (1 year) Time (Days): Original Contract Completion March 2012 Date: Actual Final Contract Ongoing Completion Date: Original Contract Price: n/a Actual Final Contract Price: n/a b) Project Name: Sunrise Community, Inc. Owner Name: Leslie Leech 7 2. Proposal Submittal Form & Bidder {qualification Statement (continued) Owner Address: Owner Telephone: Original Contract Completion Time (Days): Original Contract Completion Date: Actual Final Contract Completion Date Original Contract Price: Actual Final Contract Price: c) Project Name: Owner Name: Owner Add ress Owner Telephone: Original Contract Completion Time (Days): Original Contract Completion Date: Actual Final Contract Completion Date: Original Contract Price: Actual Final Contract Price: 9040 Sunset Dr, Miami, FL 33173 305 273 3011 120 days September 30, 2008 September 30, 2008 n/a n/a Muvico Theaters, Inc. Mike Whalen 3101 N. Federal Highway, Ft_ Lauderdale, FL 33306 954 564 6550 45 days August 2008 August 2008 n/a 0 Advaion is an innovative consulting firm that was founded by former Big 4 personnel with national and international expertise across a wide range of industries. In today's economic environment, governmental agencies are continuously faced with a multitude of complex challenges, including risk management, internal controls and public scrutiny. As the need to balance budgets, create transparency in financial reporting and manage compliance requirements intensifies, governmental agencies are faced with balancing their resources between compliance and operational initiatives to keep pace. All of our solutions are designed to help seize new opportunities, enhance growth and profitability while mitigating business risks. Three elements distinguish us from our competition— Passion for Quality, Extensive Knowledge Base and Dynamic People. These elements are the foundation for the delivery of our accounting, compliance, and management advisory solutions. Passion for Quality We are committed to delivering the highest quality and focusing on consistently delivering solutions that exceed expectations. The delivery of uncompromising quality and world class solutions is embedded within the DNA of our organization and is one of our critical goals as professional service providers. Our professionals love what they do and are passionate about what they deliver. Our passion for quality is not just lip service and is evidenced by our high client retention rate. Extensive Experience and IGnowledge We will provide the City with a knowledgeable team that will serve your needs and exceed your expectations. Our team consists of resources with extensive industry and advisory experience and a proven track record of delivering quality and timely service. They will collaborate with the City's personnel to ensure that reviews are performed seamlessly and with minimal interruption to daily operations. We will also provide the optimal level of focus and priority and offer prompt attention to any critical issues that may arise. Dynamic People Our motto is "Great People Lead to Great Results." That's why we have talented professionals with exceptional skills who are also committed to delivering uncompromising service. When you have teams of experts with prior internal audit and public accounting experience, operations management responsibility, excellent communication. skills as well as strong analytical and software proficiency, you will reach a positive outcome. Continuous Communication Continuous communication is an important element in the success of the project and our partnership with the City. We firmly believe in a "no surprises" approach and are committed to providing frequent, timely, and meaningful project reporting. Sustainable and ,Efficient Practices Our methodologies and programs have a proven track record of sustainability from year to year, and result in increased efficiencies in future years. 5 3. Firm Qualifications and Experience (continued) Governmental Services Advaion's governmental experts will partner with you to efficiently deliver strategic, financial, operational and compliance solutions through Internal Audit, Enterprise Risk Management, Information Technology and OMB Circular A -123 /SAS 112 services that are cost effective and focused on your specific challenges. .Internal Audit Advaion's approach to delivering solutions is focused on assisting organizations tackle the broader spectrum of risk by thoroughly analyzing and evaluating significant risks, and providing management with recommended solutions to mitigate such risks. We understand there is no "perfect" environment, thus, our consultants tailor our audit approach and solutions to your organization. Our recommended solutions are always organized by ease of implementation and priority level while ensuring that appropriate effectiveness is achieved. This client - centric approach allows organizations to ascertain they are getting the "best bang for the buck" when they implement new procedures and controls. Our methodology is collaborative, flexible and adaptable to meet all situations and business relationships, whether it is providing- services with respect to internal controls regulatory compliance, quality and performance management systems, industry or geography specific compliance regimes, major programs and initiatives, internal audit services, or working alongside a controls self - assessment system. While we employ the use of technology, we are hired for the expertise and business acumen that our consultants deliver time and time again. Our methodologies are designed to be efficient, effective and in accordance with the frameworks established by ICMA, COSO, COBIT, the IIA and the AICPA. OMB Circular A -123 & SAS 112 Our proprietary methodology uses a thorough understanding of the risks, authoritative guidance, trends and regulatory issues affecting your internal control over the financial reporting environment. This methodology serves as the cornerstone for our OMB Circular A -123 implementations/ SAS 112 readiness evaluations. This solutions - oriented approach moves the focus of the OMB Circular A -123 and SAS 112 process from the financial statements and places it where it needs to be — on your organizations objectives and strategies, the significant risks that impact them and the key processes that manage those risks. Information Technology Services We have team members with experience in several technology environments and industries. Our teams also possess IT designations (e.g., CISA) and have experience with the following: • Technology and security risk services • Risk management, including ERM and corporate governance • Process risk and control analysis • Finance and performance management, including process improvement • Evaluating IT general controls and application level controls 0 In conclusion and as you will read in more detail in the following sections, Advaion has the right qualifications, people and experience to meet all of your expectations. We look forward to building a win -win partnership with the City of South .Miami' 4. Statement of independence Advaion, LLC is independent of the City of South Miami and has no relationships that will cause a conflict of interest or impair our independence. We do not anticipate using any subcontractor or principal suppliers. 6. Performance Based Audit Methodology Advaion's proprietary performance based audit methodology for governmental entities involves the gathering of information and data, interviewing responsible personnel and benchmarking the data collected to performance standards. Our methodology is consistent with the performance management framework as established by the International City /County Management Association ( "ICMA "). The following illustration is a representation of a performance management framework. luidatifig, f al plem alltftlg; Cif1C1..Stistaliii. ig RerfOnnano, �lai�agei�ie��t Performance Management Framework Better Results for the Public 7 6. Performance based Audit Methodology (continued) We expect the majority of the performance based audit to be completed at the City's offices in South Miami and our South Florida office in Pembroke Pines. Our performance based audit methodology involves a number of different phases as follows: Even though these steps constitute the performance based audit methodology, it must be stated that a performance audit must also always be based on such things as individual insight, experience, imagination and creativity, in other word processes or events that cannot be `mechanically followed or applied'. The following represents an example of the detailed activities to be performed during each phase of our performance based methodology. .Phase I - Planning. Data collection starts in the planning phase, which will include interviews with different stakeholders. We also typically use several methods to assist during the planning process, such as SWOT analysis and problem analysis. We will also identify key stakeholders during the stage and gain a general understanding of the City's goals and departmental goals both internally and externally to the constituents of the City. A few examples of general audit questions are as follows: • Do the means chosen represent economical use of public funds? • Are the services provided of good quality and client - oriented? • Why are the services not delivered on time? • Are programs implemented efficiently? • Are the goals and objectives of the government program met? • What is tl -ie reason for the poor impact of the government program? E:? 6. Performance Based Audit Methodology (continued) Study Design The next step is to decide what kind of information is needed to answer the questors. We typically use a combination of various studies to determine the information needed. Some of the studies we use include. Goal attainment studies or out come based studies The basic premise of goal - attainment studies are to understand whether programs are achieving their overall goals. These studies assess the extent to which a program achieves its outcome- oriented - and client - oriented - goals or objectives. They focus on outputs and outcomes (including side effects and unintended effects) in order, to judge program effectiveness, but may also put emphasis on quality issues and client perspectives. Common questions include: How were the program goals established? What is the status of the program's progress? Will the goals be achieved within the times specified? Process -based studies The basic premise of process -based studies are geared to permit full understanding of how a government program works and how does it produce results. Typical questions to be addressed are. What are the steps and procedures in. the working process? Are the resources managed and utilized economically and efficiently? What is the general process that clients go through with the program? What are the common complaints? What do clients and staff considers being the strengths and the weakness of the program? On what basis are the services needed? These kinds of studies are common, and they are especially useful if programs are long- standing and have changed over the years, and if signs of shortcomings are reported. The process -based approach involves many kinds of investigations (such as time management -, resource - utilization- stakeholder - studies etc.). .Benchmarking studies Basic question: Are things being done in accordance with best practices? Benchmarking is .a process for comparing an organization's (a program's) methods, processes, procedures, products, and services against those of organizations (programs) that consistently distinguish themselves in the same categories. Benchmarking will be used to: • stimulate an objective review of processes, practices, and systems; • develop criteria and identify potentially better ways of operating; and • lend more credibility to audit recommendations. 0 6. Performance (Based Audit Methodology {continued) Phase III - Data Collection Our data collection will be gathered primarily by reviewing physical evidence and documents, conducting interviews, or by other means as we deem necessary. It will often be necessary to collect both quantitative and qualitative data. Where available we will use secondary data (material produced by others) such as statistics from other comparable cities, we will also utilize information prepared by the City that we consider relevant and reliable. We will gather both quantitative and qualitative information. Our process for information gathering will include but not be limited to the following methods: Review of documents /files for each department Files contain a wide range of types of evidence, such as the decisions of officials, the 'case records' of program beneficiaries, and the records of government programs. We will establish the nature, location, and availability of files during the planning phase so as to ensure an efficient audit. Surveys or questionnaires If necessary, we will utilize surveys to gather detailed and specific information from a group of people and questionnaires to collect facts that are not available but for which we determine are important as a reference to substantiate a viewpoint. Interviews A great deal of our work will be based on interviews, we will use a variety of interviews from fact-finding conversations and discussions, through unstructured interviews, to structured interviews that follow a list of closed questions. To obtain the broadest possible view of reality, we will interview people with different positions, perspectives and insights. We will also appropriately validate the details and statements obtained in an interview before they are used. The results of the interviews will be compiled and documented in a way that facilitates analysis and quality assurance, for example by separate grouping of the factual material; the problems, causes, consequences, and possible recommendations. Focus groups If necessary, we will use focus groups to discuss specific topics and issues and gather qualitative data - information that can provide insights into the values and opinions of those individuals in the process or activity being audited. This allows us to obtain information on the implementation and _impacts of government programs based on the perspectives of the beneficiaries and other stakeholders. 10 15 1,1111 M 6111111111111''M= Phase IV~ Evaluation and Reporting After performing the procedures enumerated in Phases 1, Il and 111, we will review the data collected and identify relationships, consistent improvement themes and any other issues. Upon completion of each departmental audit we will prepare a draft report of our findings within and hold discussions with City management to discuss. The report will highlight the following: • Strengths and weaknesses of each department including but not limited to the following: o Responsibility of department o Community needs o DepartmenVs goals o Communication between departments o Performance and productivity levels within each department • Performance measures being utilized and /or not utilized and correlation to overall goals of department and City and improvements/ enhancements to performance measures • Corrective actions to improve performance both internally and externally to the City's constituents As part of our report, we will offer suggestions to enhance internal controls and the effectiveness of operations, procedures and /or compliance requirements. We will also identify any errors or irregularities noted during our review. The draft report will be delivered within 30 days of completion of each department's audit. The final report will be issued within 20 days of the City's acceptance of the draft report. All reports will be reviewed with management prior to issuance. We will be available to meet with the appropriate City officials to discuss the reports and address any questions or concerns. We will also perform a follow up review of the corrective actions issued for each department to ensure the appropriate recommendations have been adopted. 11 7. Qualifications of the Staff Great People lead to Great Results' People are the driving force behind any firm and the right team makes all the difference. We realize the quality of Advaion's services will correlate directly to the skill, experience, and dedication of your engagement team. members. We are committed to staffing your engagement team with the appropriate team members. All personnel assigned to this engagement on a full- time basis. We do not anticipate any personnel being assigned to this engagement are employed on a part -time basis. This engagement will be staffed from our South Florida office. We do not anticipate turnover of the management and supervisor staff over the terns of the engagement. The following team members represent key personnel for this engagement and their respective roles: Pavan Satyaketu, FCCA, CPA Managing Director - Client Service Director Pavan Satyaketu will be the Client Services Director for this engagement and will ensure the City gets the best resources Advaion has to offer for this project. He will also ensure the City is completely satisfied with Advaion's work and will seek input from the stakeholders at the City on Advaion s performance on a continuous basis. Pavan is a Managing Director at Advaion with over seventeen years of experience both nationally and internationally. He has private and public sector entities with numerous business advisory services including, but not limited to, quality management systems, forensic services, business process re- engineering, Sarbanes Oxley Section 404 (SOX 404) implementation, compliance and internal audit. Prior to Advaion, Pavan was a Senior Manager at KPMG's New York and South Florida offices where he provided audit and advisory services to government agencies as well as publicly and privately held clients. In addition, Pavan was a "fraud in the audit" expert within the audit practice of KPMG. Ken Bussey Consulting Director Ken is a Consulting Director with Advaion and has over thirty years' experience, with varying roles and responsibilities. At Advaion he is focused on delivering Business Optimization and Quality Management solutions. Throughout his career, Ken has held positions ranging from Development Engineer to Chief Operations Officer and has assisted companies with proposal management, industrial design, network engineering and quality management programs to name a few. He has also been recruited on several occasions to start new divisions, °turn around" several under - performing divisions and improve overall performance of existing operations. Additionally, he has enabled and managed the quality management certification process from inception to certification while concurrently improving business processes and benchmarking to best practices. Prior to Advaion, Ken was employed at various Fortune 500 companies including IBM, Siemens and Fujitsu. Ken is a member of the American Society of Quality Control and the Association of Proposal Management Professionals. Ken also holds a First Class FCC License. 13 !� Mariela Reyes Senior Consultant Mariela provides business advisozy services to Advaion's clients, including but not limited to internal audit, performance audits and compliance audits for both private and public sector entities. She has over 5 years' experience, which includes, performing numerous risk assessments, developing audit programs and external and internal audit testing. Prior to joining Advaion, Mariela was a Senior Consultant at Deloitte, LLP within the Enterprise and Risk Services group where she specialized in internal audit, enterprise risk management and special projects. Mariela started her career in Buenos Aires, Argentina. She has a Masters and Bachelors in Accounting from Florida International University and is also fluent in both English and Spanish. Sandy Mata, CISA Senior IT Consultant Sandy has over five years' experience in assurance, internal audit, and information systems audit. She has performed evaluations for both financial, operational and information technology controls as a part of performing internal audit consulting services. She has evaluated business processes and control activities for general computer controls (GCC), recommended enhancements to GCC environments and tested and evaluated the adequacy of application controls. She has also evaluated IT functional efficiencies as a part of IT operating effectiveness evaluations. Prior to joining Advaion, Sandy worked at Grant Thornton as a Senior Business Advisor, where she designed and tested the implementation of systematic business process controls and performed various external audits of financial and GCC controls. She also has experience and knowledge in auditing various ERP systems. She is a Certified Information Systems Auditor, a member of, The Institute of Internal Auditors (IIA), the Information Systems Audit and Control Association (ISACA), and the Association of Latino Professionals in Finance Accounting (ALPFA). She is also fluent in both English and Spanish. 14 8, Current Workload Project Name National Patent Development Corporation Owner Name Ira Sobotko Telephone 914 940 Number 0968 Optima Networks Mike Mossel 909 597 6006 Jackson Health System Stephen Weimer 305 585 1111 Contrax Furnishings Bill Latham 352 373 7516 Fox Pan American Sports Robert Cardenas 954 755 7252 15 16 NOWCOLLUSiON AFFIDAVIT STATE OF FLORIDA ) COUNTY OF M1AMkDADS ) Bhuvan Satyaketu being first duly sworn, deposes and states that: (1) HelShelThey islare the Representative (owner, Partner, Officer, Representative or Agent) of Advaicin, LLC the PROPOSER that has submitted the attached BID; (2) He/She/They istare fully Informed with respect to the preparation and contents of the attached BID and of all pertinent circumstances concerning such BID; (3) Such BID is genuine and is not a collusive or sham BID; (4) Neither the said PROPOSER nor any of its officers, partners, owners, agents, representatives, employees or parties in Interest, including this affiant, have in any way colluded, conspired, connived or agreed, directly or indirectly, with any other PROPOSER, firm, or person to submit a collusive or sham BID in connection with the Work for which the attached BID has been submitted; or to refrain from PROPOSING in, connection with such Work, or have in any manner, directly or indirectly, sought by agreement or collusion, or communication, or conference with any PROPOSER, firm, or person to fix any overhead, profit, or cost elements of the BID or of any other PROPOSER, or to fix any overhead, profit, or cost elements of the BID Price or the BID Price of any other PROPOSER. or iii secure through any collusion; conspiracy, connivance; or`unlawful agreement any advantage against (Recipient), or any person interested In the proposed Work; (S) The price or prices quoted in the attached BID are fair and proper and are not tainted by any collusion, conspiracy, connivance, or unlawful agreement on the part of the PROPOSER or any other of its agents, representatives, owners, employees or parties of Interest, Including this affiant. Signed, sealed & delivered in the presence of: By: — i -- - Subscribed and sworn to before me this '�A��o Nol:ry c0i.. Stal. c f Ftonra Sha,ot> >>nday Sr�"l'%l PX1e1 Gl o OC -CA % 05 rn�aPc K day of j� ... c.._ , 20 1 Zr My Commission Expires: U:A It ::s6-01 *�. 17 wl Iff Thlsswarri'statemeht is submitted to 3. 19 20 Subscribed and sworn to before me this 5+ (Oo, day Of N%=L C ,, t,. Oj $ 20 �4t ''rorno� Noted P�Zllc slrtt: Ft7k,+la Smton P-nday yly Cumnn. $ion 00167635 @x0fresUSi t2Ut2 M My Commission r ,0_ k l(OjLqKOj iler_` -i LAMLi M121 2A LC 3 zu 9 t will I i * 1110 4 it ► ;Oi. _ 21 22 Eree`v '5�!'V3CQ'S 'tliaE: ar�':::under 5� fforc co cca ttn" to maintain la drugafree workplace through inipiementation -o 23 24 ACKNOWLEDGEMENT OF CONFORMANCE WITH OSHA STANDARDS TO THE CI'T'Y OF SOUTH MIAMI We Advaion, LLC as Contractors for the Performance compliance with all the requirements of State and local safety and health regulati Miami against any and all liability, claims, of (subcontractor's names ): 2 to comply with such act or regulation. ", (Name of Contractor ), hereby acknowledge and agree that Based Audits, as specified have the sole responsibility for the Federal Occupational Safety and Health Act of 1970, and all ans, and agree to indemnify and hold harmless the City of South damages, losses and expenses they may incur due to the failure CONTRACTOR Advaion, LLC BY: Witness N1 I 64�ejvj s-tt� moo.¢ ; Bhuvan Satyaketu Name Operations Manager Title ZAIJUN ►_ �N_ _. _► ►�. ►► r __w_i1f.__li_._ --A -_fin 1� r i. w__�1 __ 25 26 GOVERNMENT REFERENCES List other Government Agencies or Quasi - government Agencies for which you have done business within the past five (5) years. Name of Agency: Jackson Health System Address: 1500 NW 12th Ave, Miami FL 33136 Telephone No.: 305 585 2952 Contact Person: Stephen Weimer Type of Project: Various Internal Audit Name of Agency: Sunrise Community, Inc. Address: 9040 Sunset Dr, Miami FL 33173 Telephone No.. ....... 305.273 ... 301.1 ._ ................ Contact Person: Leslie Leech Type of Project: Process Improvement Name of Agency: Address: Telephone No.: Contact Person: Type of Project. FAILURE TO COMPLETE SIGN & RETURN THIS FORM MAY DISQUALIFY YOUR RESPONSE 27 'r: If rrmwrTTVI JANUARY 050 2012 Fire Policy Status B Ph. (954 )8893407 ADVAION LLC SFFL Policy: 98- BE- V626 -6 B Yr issd: 2009 1961 NW 150TH AVE STE 204 Xref: PEMBROKE PNES FL 33028 -2876 Location: 1961 NW 150TH AVE STE 204 PEMBROKE PNES FL 33028 Type: BUSINESS-OFFICE Coverage information B- BUSN PROP 11300 C -LOSS INC ACT LOSS L -BUSN LIAB 2000000 GEN AGGREGT 4000000 PCO AGGREGT 4000000 iii- MED /PERSN 5000 Prev risk: 11,000 Term: CONT Premium: 990,£5 Amount due: SFPP Date due: SFPP Bill to: SFPP Prev prem: 828 SFPP acct:1052- 4488 -19 Renew date: NOV 0512 Written date: NOV -17 -09 Deductibles applied:1000 ALL PER OTHER DED MAY APPLY Messages. Source: E Year built: 2005 Zone: 20 Sub zone: 01 Bldng Grade: 04 : :Amt -10 Pct: -2.000 Move -in: 0 Constr: MA NON -COMB Entry: DEC -29 -09 FMP seg: 06 YRBUS $ 26 /ENCSHPCTR-10% CHR C 20.Q% Premium Tax surcharges FLGUARANTY 2.26 CITIZEN05EM 9.40 Q5 FIGA EN 3.01 CITXZN05R 4.24 07 FICA 14.58 FHCF ASMT 12.22 FL TFS .94 FL EMPAS 4.00 29 .f AfAi ELI; 1.71 r.< °s Fire Policy Status PROPERTY LOCATIONS LOG CMPX ,ADDRESS STCLS $LD AMT CONTENTS PREMIUM EXPOSURE 001 1961 NW 150TH AVE STE 204 PEMBROKE PNES 800 11300 474 1640 JANUARY 05, 2012 LIABILITY LIMIT FL 33028 2000000 PREMIUM 30 Miscellaneous Professional Liability Policy Declarations • • �} • 11 a 1111124944 A6144 W41 1 c • r} ! • TERMS THAT APPEAR IN BOLD FACE TYPE HAVE SPECIAL MEANING. PLEASE REFER TO SECTION 111 DEFINITIONS. :f Principal • •f •sue 1961 t 1 Suite /,• Pembroke Pinest FL 3W28 Rom 3. Limit • 1 1: / 1 / 1 1• / 1 of 1.1ability (Including Claims lu: 111 1'11 Each 1't t 1.1'1 Aggregate $510WOOD Disdplinary Proc"nq Claim Expenses Aggregate Limit (in addition to the Each Claim • Aggregate Limb set • 1 • • _ 17 A77 L i :•r.. nn •4K •Y 1'/ : C • 1 M 1 • : .: •:• • .: 1.1 Item 7. .'li. 1 •.: < 1.:1 : 1 • � M:71 1 1 Professional rL See MPL Amendatory • • D: 1 • of Protieselortal Services IF /Y L. :• 39 A• Notice of Claim or Wrongful Act • BOX 5119 Scranton, 185050649 First Nolices 5,640,5W General Correspondence • :: :x First Notices Item • Optimal U: • r Reporting Period* ••.If. 100,00% . r Additional Period* months Item 10. Mmements &=Zied upon Policy effective date* PFal 8874 (02fO6) o ACE Advantage Miscellaneous Professional Uablifty Policy • f Signatures • • t (0 208) m Manoement •, r r: Endorsement PF49236 (12fO5) Insured Definition Amended�Leased, Part Time, Seasonal Employees PF49249 (120) f4suse of Confidentlal Information Exclusion PFw1 WN (02M) w Additional Insured (Automatic Pursuant to Contract) PFwl •'' (03 /06) Amendatory Endorsement Florida 1 Amendatory t• Definition I Professional Serv•:.: Amended PFw23294b (07108) m Network Security or Privacy Uablifty Exclusion (02/10) w MPL Enhancement Endorsement 1 (10/06) Producer r ••:c 1 . Practices . Policies AlloSX45 0 146) � Questions About Your Insumoe? IL P 0010104 w U.S. Treasury Departments! Office of Foreign Assets Control ("OFAC*) Advisory Notice to . the Company. DATE: 07f09/2011 14YWIJ PFA8873 (11/06) ® IE Page 2 of 2 31 A lV 2 O O d LL mJTf N...N �iq c: G1 N� ctry cw E D —$..O i. �i L'.• p.-� siin Eo �{V •EmbomoH�o,� N €o in '�Namb$m� CnV �C Nq UC�c nY °� N CO tu 'm hpfi SE m c A EO. >^- c mr 6 G.� m`r�uLOC N d Pm$D ]E�`ymz o.,d8 N P xZSSw UOZ N � y�NV 'Q A Q > N O .��• �G NN day ca wrogc E Cc cc �ATlO =yNbnV O � N N,G mom. >pD p} W n N i'�s u o' m 'u1 _ .y%nO.Sc�XC�d'6 n . A COZimm SW C m AX .VO N 0cGN 4u a } m >oym d o N�C A��O C CN TN d m 4 W Q O2 m4p;�O.Vm u�. 4. SW,Wi2Sw N� N u} O � O aQ U = . Xm n a ZCty O p roG �oS c oL Am !Cm 9 S d cc � °=JC w ~ W v ��'m m ' v >g �y� A vv,• W 7 m 1c N>p a 0. c.mc c m O Q CCV.m U0. s 'C fL C),C �LAOnA.NmoC VI U