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HomeMy Public PortalAbout10-8089 RFQ for Auditing Services Sponsored by: City Manager Resolution No. 10-8089 A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA TO AUTHORIZE THE ISSUANCE OF A REQUEST FOR PROPOSALS (RFP) FOR AUDITING SERVICES FOR THE FISCAL YEAR 2009-2010, WITH OPTION TO RENEW FOR A ONE-YEAR TERM; PROVIDING FOR RECITALS; PROVIDING FOR AN EFFECTIVE DATE WHEREAS, the professional agreement with the City's current auditors of record will expire on September 30, 2009; and WHEREAS, the City Commission of the City of Opa-locka desires the issuance of Request for Proposals (RFP) for auditing services; and WHEREAS, the issuance of the RFP for auditing services will be for the Fiscal Year 2009—2010, with an option for the City to renew for a one-year(1) term: NOW, THEREFORE, BE IT DULY RESOLVED BY THE CITY COMMISSION OF THE CITY OF OPA-LOCKA, FLORIDA: Section 1. The recitals to the preamble herein are incorporated by reference. Section 2. The City Commission of the City of Opa-locka, hereby authorizes and directs the City Manager to issue a Request for Proposals (RFP), for auditing services for fiscal year 2009 - 2010, with the option for the City to renew for a one (1) year. The selection shall be made by the City Commission. Section 3. This resolution shall take effect immediately upon adoption. Resolution 10-8089 PASSED AND ADOPTED THIS 23 day of lune,2010. Alt r' L. AELLEY MA OR Attest to: Deborah S. I y City Clerk Approved as to form and legal sufficiency: 11 IL i osep . Geller ( City torney I Moved by: HOLMES Seconded by: JOHNSON Commission Vote: 5-0 Commissioner Holmes: YES Commissioner Johnson: YES Commissioner Tydus: YES Vice-Mayor Taylor: YES Mayor Kelley: YES 1491599 vl ,.a ocrq 6EDZA iffia ti M art*o*at.o Memorandum TO: Mayor Joseph Kelley Vice-Mayor Myra L. Taylor Commissioner Dorothy Johnson Commissioner Timothy Holmes Commissioner ' Rose Tydus FROM: chítfanager DATE: June 8,2010 RE: Approval to Issue RFP for Auditing Services Request: STAFF IS REQUESTING THAT THE CITY COMMISSION OF THE CITY OF OPA-LOCKA AUTHORIZES THE ISSUANCE OF RFP FOR AUDITING SERVICES FOR THE FISCAL YEAR 2010-2011 WITH OPTION TO RENEW FOR A ONE-YEAR TERM. Description: The professional agreement with the City's current auditors on record will expire on September 30, 2010. Financial Impact: $75,000 which is provided for in the annual budget. Implementation Timeline: Immediately Legislative History: None. Recommendation(s): Staff recommends approval. Analysis: N/A. Attachments: RFP PREPARED BY: Finance Department City of Opa-locka Qri,r1-0Cgr � O O t.1: - v �o�A r) rr. ('\ ir 1-1" AllirAgh ,.._._ g.i. 0 Sip: lie OqyA O pRA't� RFP No. 10- REQUEST FOR PROPOSAL FOR FINANCIAL AUDITING SERVICES CITY OF OPA LOCKA 780 FISHERMAN STREET OPA LOCKA, FLORIDA 33054 ioP �o�k CITY OF OPA-LOCKA p� O, Advertisement for Request for Proposals ,.�oq v i02i pO RPSE RFP NO: 10- FINANCIAL AUDITING SERVICES Proposals for FINANCIAL AUDITING SERVICES will be received by the City of Opa- Locka at the Office of the City Clerk, 780 Fisherman Street, 4th Floor, Opa-Locka, Florida 33054, MONDAY, , 2010 by 1:00PM. Any proposals received after the designated closing time will be returned unopened. The purpose of this Request for Qualification is to seek assistance of a qualified professional firm to provide FINANCIAL AUDITING SERVICES to the City of Opa- Locka. An original and six (6) copies plus 1 copy of the proposal on CD's in PDF format of the proposal shall be submitted in sealed envelopes/packages addressed to Deborah S. Irby, City Clerk, City of Opa-Locka, Florida, and marked FINANCIAL AUDITING SERVICES. Proposers desiring information for use in preparing proposals may obtain a set of such documents from the Clerk's Office, 780 Fisherman Street, 4th Floor, Opa- Locka, Florida 33054, Telephone (305) 953-2800 or copies of the RFP NO: 10- requirements may also be obtained by visiting the City's website at www.opalockafl.gov, (click "RFQ/PROPOSALS" located on the right hand side of the screen and follow the instructions). The City reserves the right to accept or reject any and all proposals and to waive any technicalities or irregularities therein. The City further reserves the right to award the contract to that proposer whose proposal best complies with the RFP NO: 10- requirements. Proposers may not withdraw their proposal for a period of ninety (90) days from the date set for the opening thereof. Deborah S. Irby City Clerk Dated: Published: The City of Opa-locka, Florida, a political subdivision of the State of Florida, is soliciting proposals from qualified firms of Independent Certified Public Accountants to audit the financial statements of the City for the fiscal year ending September 30, 2010 with the City's option to renew for a one-year term beyond the initial term at the discretion of the Auditor Selection Committee and City Commission. PROPOSAL SUBMISSION Proposals to be Submitted to: CITY OF OPA-LOCKA, FLORIDA Office of the City Clerk 780 Fisherman Street, 4th Floor Opa-Locka, Florida 33054 Proposals Must be Submitted By: 1:00 P.M., FRIDAY , 2010 CITY OF OPA-LOCKA MIAMI-DADE COUNTY, FLORIDA I. GENERAL INFORMATION Purpose The City of Opa-locka, Florida, a political subdivision of the State of Florida, is soliciting proposals from qualified firms of Independent Certified Public Accountants to audit the financial statements of the City for the fiscal years ending September 30, 2010 with the City's option to renew for a one-year (1) term beyond the initial term at the discretion of the Auditor Selection Committee and City Commission. A. The Auditor Selection Committee of the City of Opa-locka, Florida, as defined by Florida Statute 218.391, is comprised of all of the City Commissioners, with the City Manager and Finance Director being available to offer technical assistance, if needed. B. Responses to this Request for Proposals (RFP) must be received no later than , 2010 at 1:00 pm at the following address: CITY OF OPA-LOCKA, FLORIDA Office of the City Clerk 780 Fisherman Street, 4th Floor Opa-Locka, Florida 33054 Page 11 Proposals should be in the form of ten signed copies sealed in one package and clearly marked "Proposal for Financial Auditing Services." Proposals received after this deadline will be returned to the submitting firm unopened. Expenses incurred in submitting this proposal will not be reimbursed by the City of Opa-Locka and these costs should not be included in the fees charged by the contracted firm. C. Questions regarding clarification and addenda for this RFP should be addressed to: Rose McKay, Purchasing Director City of Opa-locka, Florida 780 Fisherman Street, 4th Floor Opa-locka, Florida 33054 Phone: (305) 953-2868 Fax: (305) 953-2900 Questions regarding financial information should be addressed to: Dr. Ezekiel 0. Orji City of Opa-locka, Florida 780 Fisherman Street, 4th Floor Opa-locka, Florida 33054 Phone: (305) 953--2852 Fax: (305) 953-2914 (a) Proposal time line (proposed): Friday, , 2010 - Request for Proposals is advertised and mailed upon request. Friday, , 2010 at 10:00 a.m. - Pre-bid conference at: 780 Fisherman Street 2nd floor Opa-locka, Florida 33054 Friday, August 29, 2010 - Proposals are received Wednesday, , 2010 - The Committee will conduct interviews and consistent with Section 218.391(3)(e), Florida Statutes the Auditor Selection Committee will rank and recommend, in order of preference, no fewer than three firms deemed to be the most highly qualified to perform the required services given the factors to be considered by law and the committee. If fewer than three firms respond to the request for proposal, the committee shall recommend such firms as it deems to be the most highly qualified. Wednesday, , 2010 — The City Commission shall select the highest ranked firm and approve commencement of contract negotiation. Contract approval shall be negotiated within 60 days. (b) The term of the audit engagement is anticipated to be one (1) fiscal year with a one (1) year renewal clause, subject to negotiation of terms with the contracted firm and the concurrence of the City of Opa-locka City Commission and availability of annual appropriation. (c) If subcontracting or joint proposals are to be done; that fact, and the name of the proposed subcontracting firms, must be clearly identified in the proposal. No additional subcontracting will be permitted after the awarding of a contract without express prior written consent of the City of Opa-locka, Florida City Commission. (d) The City's previous contract for audit services was awarded to: Harvey, Covington & Thomas, LLC Roderick Harvey, CPA 3816 Hollywood Boulevard, Suite 203 Hollywood, FL 33021 (e) The City will furnish, upon request, the following documents for fiscal year ended September 30, 2009 as a courtesy in preparing proposals: 1. Comprehensive Annual Financial Report. 2. Management letter responses. 3. Proposers, their agents and associates shall not contact or solicit any City Commissioner, City employee (other than those specified in the Request for Proposals) during any phase of this Request for Proposal. Failure to comply with this provision may result in disqualification of the Proposer, at the option of the City. Only those individuals listed as contact persons in the specifications shall be contacted. 4. All conditions and requirements set forth in this RFP shall become conditions of the contract between City of Opa-locka, Florida and the selected firm unless otherwise stated in the contract. Page 13 II. DESCRIPTION OF THE GOVERNMENT A. The City of Opa-locka, Florida is a political subdivision of the State of Florida. It is located in Miami-Dade County, Florida. B. The City of Opa-locka, Florida has a population of approximately 16,000 people and covers an area of 4.5 square miles. It is governed by an elected five member City Commission-manager form of government. C. The accounting records of the City are maintained by the Finance Department and include the general fund, special revenue funds, debt service funds, capital project funds. Total budgeted expenditures for the City for fiscal year 2009/2010 are approximately $36 million. D. The Comprehensive Annual Financial Report (CAFR) of the City of Opa-locka, Florida has received the GFOA certificate of Achievement for Excellence in Financial Reporting for Fiscal year ended September 30, 2008. E. Budgets are electronically integrated with the financial records of the City. F. The City is progressive in its attitude toward new accounting standards. Early implementation is practiced when recommended. The auditor should be able to provide guidance and assist in the implementation of current changes in governmental accounting standards. G. The organizational chart of the City can be provided upon request. H. The City participates in the defined benefit plan of the State of Florida Retirement System. III. NATURE OF SERVICES REQUIRED A. Scope of Work The auditor should express an opinion as to the fair presentation of the City's basic financial statements in conformity with generally accepted accounting principles. An opinion on the fair presentation of the governmental activities, the business-type activities, each major fund, and the aggregate remaining fund information should also be expressed based upon the auditing procedures applied. The audit should be conducted in accordance with generally accepted auditing standards as set forth by the American Institute of Certified Public Accountants; the standards set forth by the Government Accounting Standards Board; Financial Accounting Standards Board; the U.S. General Accounting Office's Government Auditing Standards, Section 218.39 Florida Statutes; the Florida Department of Banking and Finance; the U.S. Office of Management and Budget (OMB) Circular A-133; the Page 14 Rules of the Auditor General; the Single Audit Act of 1984 as revised; the Florida Single Audit Act; Chapter 270-1, Rules of the Executive Office of the Governor, Florida Administrative Code and any other applicable standards as set forth by generally accepted governmental auditing standards or Florida State Statutes. The City of Opa-locka, Florida utilizes an Auditor Selection Committee for recommendation to the City Commission. B. Reports to be Issued Reports on the fair presentation of the financial statements of the City of Opa-locka to the City, as a whole in conformity with generally accepted accounting principles. A report on compliance on internal control over financial reporting based on an audit of financial statements performed in accordance with Government Auditing Standards. All applicable reports of State and Federal financial assistance in association with the Single Audit Act of 1984 and the Florida Single Audit Act. Management letters for the City Commission. The Auditor prepares camera ready financial statements, note disclosures and all components of the CAFR and audit reports; arranges for the printing of the CAFR. The audited financial statements are owned by the City. The auditor shall not require approval to use or charge for the reproduction of the City's audited financial statements in offering statements, on the City's web site, or in any other presentation format. The Local Government Annual Financial Report distributed by the Department of Financial Services along with the Data Collection Form distributed by the U.S. Department of Commerce are completed by the City. C. Communications with the City Commission During Presentations Auditors shall assure themselves that the City Commission is informed of each of the following: 1. The auditor's responsibility under generally accepted auditing standards. 2. Audit adjustments. 3. Difficulties encountered in performing the audit. D. Additional Professional Services The City reserves the right to add to or amend any of the services listed and described in this RFP. Additional services may include, but not be limited to, supplementary compliance auditing over and above that conducted in accordance with the scope of Page 15 services stipulated herein and shall be specifically identified and stipulated by the City of Opa-locka City Commission. IV. TIME REQUIREMENTS A detailed audit plan should be submitted to the City of Opa-locka, Florida Finance Department subsequent to the awarding of the contract for audit services and at the beginning of interim audit procedures. Meeting will be scheduled with appropriate city staff and the chosen auditor to discuss prior audit issues and the interim and final work to be performed. These meetings will also be used to establish overall liaison for the audit and to make arrangements for work space and other needs of the auditor. There will be weekly progress conferences with the Finance Director and key personnel, audit manager and managing partner. Conference may take place by phone if it cannot be scheduled in person. The purpose of these meetings will be to summarize the results of the preliminary review and to identify the key internal controls or other matters to be tested. There will be an exit conference with the Auditor Committee, City Commission, Finance Director and key Finance Department personnel. The purpose of this meeting will be to summarize the results of the field work and to review significant findings. Presentation of the CAFR to the City Commission during a regularly scheduled Commission meeting. V. ASSISTANCE PROVIDED BY CITY STAFF A. Closing of the City's books will be performed by the City. B. The City will provide a summary trial balance of the City's general ledger accounts. C. The City will prepare work schedules and related materials as requested by the auditor. D. The City will provide documentation in support of the financial records as requested by the auditor. E. The City will prepare other financial data, including, but not limited to, basic financial statements, management discussion and analysis, transmittal letter, schedules, and statistical data that shall constitute the "Comprehensive Annual Financial Report", as well as other reports and/or verifications required by the State, if any. Page 16 F. Printing of the CAFR report will be completely funded by the Auditor. G. The City will provide a reasonable work space for the auditor within the City's Finance Department, when needed and at scheduled times. VI. PROPOSAL REQUIREMENTS All proposals submitted in accordance with section I. above should be arranged in a manner such as follows: A. Title Page Information should include the subject of the RFP, the firm's name, the name of a contact person along with an address and phone number, and the date of the proposal. B. Table of Contents C. Transmittal Letter A signed letter of transmittal briefly stating the proposer's understanding of the work to be done, a statement of why the firm believes itself to be the best qualified to perform the engagement, and a statement that the proposal is a firm and irrevocable offer to provide the services. The letter should also include a declaration of the ability and willingness to commit and maintain staffing, both number and level, to successfully conclude the audit examination in the time frames specified in this request for proposals. D. Detailed Proposal 1. Technical Proposal The purpose of the technical proposal is to demonstrate the qualifications, competence and capacity of the firms seeking to undertake an independent audit of the City of Opa- locka, Florida in conformity with the requirements of the request for proposals. As such, the substance of proposals will carry more weight than their form or manner of presentation. The technical proposal should demonstrate the qualifications of the firm and of the particular staff to be assigned to this engagement. It should also specify an audit approach that will meet the request for proposals requirements. The technical proposal should address all the points outlined in the request for proposals (excluding any cost information which will be addressed during contract negotiations). The proposal should be prepared simply and economically, providing a straightforward, concise description of the proposer's capabilities to satisfy the requirements of the request for proposals. While additional data may be included, the Page 17 items listed in 2-10 below are the primary criteria against which the proposals will be evaluated. 2. Independence Provide an affirmative statement that it is independent of the City of Opa-locka government and its component units as defined by generally accepted auditing standards and the U.S. General Accounting Office's "Government Auditing Standards." As required by Florida law and City Charter, state that your company/firm has no personal interest, direct or indirect, in the fiscal affairs of the City government or any of its officers. List and describe the firm's or proposed subcontractor's professional relationships involving the City of Opa-locka, Florida for the past five (5) years, together with a statement explaining why such relationships do not constitute a conflict of interest relative to performing the proposed audit. 3. License to Practice in Florida An affirmative statement should be included indicating that the firm and all assigned key professional staff are properly licensed to practice in Florida. 4. Firm Qualifications and Experience State the size of the firm, the size of the firm's governmental audit staff, the location of the office from which the work on this engagement is to be performed, the number and nature of the professional staff to be employed in this engagement on a full-time basis and the number and nature of the staff to be so employed on a part-time basis. List other sites which may provide specialized services and the range of service which may be obtained from each site. If the proposer is a joint venture or consortium, the qualifications of each firm comprising the joint venture or consortium should be separately identified and the firm that is to serve as the principal auditor should be noted, if applicable. Adequate professional continuing training for the last two years should be stated. Submit a copy of the report on its most recent external quality control review, with a statement whether that quality control review included a review of specific government engagements. Provide information on the results of any federal or state desk reviews or field reviews of its audits during the past three (3) years. In addition, the firm shall provide information on the circumstances and status of any disciplinary action taken or pending against the firm during the last three (3) years with state regulatory bodies or professional organizations. A statement of the arrangements the accounting firm has made regarding a liaison with or access to government agencies, (e.g., State comptroller's Office, Attorney General's Office and Auditor General's Office in Tallahassee and other agencies as may be Page 8 required) for the purpose of obtaining prompt responses to inquiries arising from technical or procedural questions developed during or as a result of the audit examination. 5. Partner, Supervisory and Staff Qualifications Identify the principal supervisory and management staff, including engagement partners, managers, other supervisors and specialists, who would be assigned to the engagement and indicate whether each such person is licensed to practice as a certified public accountant in Florida. The firm also should provide information on the government auditing experience of each person. Provide as much information as possible regarding the number, qualifications, experience and training, including relevant continuing professional education, of the specific staff to be assigned to this engagement. The firm also should indicate how the quality of staff over the term of the agreement will be assured. Engagement partners, managers, other supervisory staff and specialists may be changed if those personnel leave the firm, are promoted or are assigned to another office. These personnel may also be changed for other reasons with the express prior written permission of the City of Opa-locka. However, in either case, the City of Opa- locka retains the right to approve or reject replacements. Consultants and firm specialists mentioned in response to this request for proposals can only be changed with the express prior written permission of the City of Opa-locka, Florida, which retains the right to approve or reject replacements. Other audit personnel may be changed at the discretion of the proposer provided that replacements have substantially the same or better qualifications or experience. 6. Prior Engagements with the City of Opa-locka, Florida List separately all engagements within the last five years, ranked on the basis of total staff hours, for the City of Opa-locka, Florida by type of engagement (i.e., audit, management advisory services, other). For each engagement, the firm should indicate the scope of work, date, engagement partners, the location of the firm's office from which the engagement was performed, and the name and telephone number of the principal client contact. 7. Similar Engagements with Other Government Entities For the firm's office that will be assigned responsibility for the audit, list the most significant engagements (maximum of 5) performed in the last five years that are similar to the engagement described in this request for proposals. These engagements should be ranked on the basis of total staff hours. Indicate the scope of work, date, engagement partners, total hours, and the name and telephone number of the principal client contact. Page 19 8. Specific Audit Approach Set forth a work plan, including an explanation of the audit methodology to be followed, to perform the services required in Section III of this request for proposals. In developing the work plan, reference should be made to such sources of information as the City of Opa-locka, Florida budget and related materials, organizational charts, manuals and programs, and financial and other management information systems. Provide the following information on the audit approach: (a) Proposed segmentation of the engagement (b) Level of staff and number of hours to be assigned to each proposed segment of the engagement. (c) Sample sizes and the extent to which statistical sampling is to be used in the engagement. (d) Extent of use of EDP software in the engagement. (e) Type and extent of analytical procedures to be used in the engagement. (f). Approach to be taken in determining laws and regulations that will be subject to audit test work (g) Approach to be taken to gain and document an understanding of City of Opa- locka's internal control structure. (h) Approach to be taken in drawing audit samples for purposes of tests of compliance (i) Approach to be taken in reviewing and auditing EDP systems 9. Identification of Anticipated Potential Audit Problems Identify and describe any anticipated potential audit problems, the firm's approach to resolving these problems and any special assistance that will be requested from City of Opa-locka, Florida. 10. Report Format Include sample formats for required reports. 11. Appendix A Include signed copies of"Proposer Warranties" Appendix A 12. Form A -PROPOSER QUALIFICATIONS Page 110 13. Form B - CERTIFICATION REGARDING DEBARMENT, SUSPENSION PROPOSED DEBARMENT AND OTHER MATTERS OF RESPONSIBILITY 14. Form C - DRUG-FREE WORKPLACE CERTIFICATION FORM VII. PROCEDURES FOR EVALUATION A. All proposals will be reviewed by the Auditor Selection Committee. B. Criteria for evaluation will be as follows: ❑ Quality of professional personnel to be assigned to the engagement and the quality of the firm's management support personnel to be available for technical consultation. ❑ Past experience and performance on comparable government engagements. ❑ The firm's qualifications, size and location of assigned office. • Recent, current and projected workloads of the firm. ❑ Adequacy of Audit Approach, including proposed staffing plan for various segments of the engagement, internal control assessment, analytical procedures and sampling techniques. Results of the most recent peer reviews of the audit firms. C. The Committee may, at its discretion, request that more than three firms make oral presentation. D. The Committee will rank at least three firms and provide to the City Commission. E. The committee will review, approve a ranking and approve to begin negotiations with the highest ranked firm. F. If negotiations are not completed with the highest ranked firm, negotiations will begin with the second ranked firm. Negotiations can then move to the third ranked firm or be reopened with another of the ranked firms provided that only one firm is being negotiated with at a time. G. During the evaluation process, the Auditor Selection Committee and the City reserve the right to request additional information or clarifications from proposers,or to allow corrections or omissions. Page 111 APPENDIX A PROPOSER WARRANTIES The Undersigned person warrants that: 1. She/he is an officer of the organization. 2. She/he is authorized to offer a proposal in full compliance with all requirements and conditions as set forth in the RFP and has no conflicts in the performance of his/her duties. 3. She/he has fully read and understands the RFP and has full knowledge of the scope, nature, quantity and quality of the work to be performed, and the requirements and conditions under which the work is to be performed. 4. She/he warrants that the organization is willing and able to obtain an errors and omissions insurance policy, listing the City of Opa-locka as an additional insured party to proposer and providing a prudent amount of coverage for the willful or negligent acts, or omissions of any officers, employees or agents thereof. Minimum limits of coverage limits for the life of the policy shall be at a minimum of $500,000 per occurrence with deductible or self-insured retention (SIR) indicated. PROPOSER: BY: (Signature) (Print Name & Title) (Name of Company) (City, State, Zip) (Telephone) NOTARY: (9' n RFP NO: PROPOSER QUALIFICATIONS The Proposer, as a result of this proposal, MUST hold a County and/or Municipal Contractor's Occupational License in the area of their fixed business location. The following information MUST be completed and submitted with the proposal to be considered: 1. Legal Name and Address: Name: Address: City, State, Zip:- Phone/Fax: 2. Check One: Corporation () Partnership () Individual () 3. If Corporation, state: Date of Incorporation: State in which Incorporated: 4. If an out-of-state Corporation, currently authorized to do business in Florida, give date of such authorization: 5. Name and Title of Principal Officers Date Elected: 6. The length of time in business: years 7. The length of time(continuous) in business as a service organization in Florida: years 8. Provide a list of at least five commercial or government references that the bidder has supplied service/commodities meeting the requirements of the City of Opa-Locka specification, during the last twenty-four months. 9. A copy of County and/or Municipal Occupational License(s) Note: Information requested herein and submitted by the proposers will be analyzed by the City of Opa- locka and will be a factor considered in awarding any resulting contract. The purpose is to insure that the Contractors, in the sole opinion of the City of Opa-Locka, can sufficiently and efficiently perform all the required services in a timely and satisfactory manner as will be required by the subject contract. If there are any terms and/or conditions that are in conflict, the most stringent requirement shall apply. CITY OF OPA-LOCKA UCh' -TIFICATION REGARDING DEBARMENT, SUSPENSION D DEBARMENT AND OTHER MATTERS OFRESPONSIBILITY 1. The Proposer certifies, to the best of its knowledge and belief, that the Proposer and/or any of its Principals: A. Are not presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency. B. Have not, within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and C. Are not presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in paragraph 1-B of this provision. 2. The Proposer has not, within a three-year period preceding this offer, had one or more contracts terminated for default by any City, State or Federal agency. A. "Principals," for the purposes of this certification, means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment, and similar positions). This Certification Concerns a Matter Within the Jurisdiction of an Agency of the United States and the Making of a False, Fictitious, or Fraudulent Certification May Render the Maker Subject to Prosecution Under Section 1001, Title 18, United States Code. B. The Proposer shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Proposer learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. C. A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Proposer's responsibility. Failure of the Proposer to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Proposer non-responsive. D. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of a Proposer is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. E. The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Proposer knowingly rendered an erroneous certification, in addition to other remedies available to the Government, the Contracting Officer may terminate the contract resulting from this solicitation for default. AS THE PERSON AUTHORIZED TO SIGN THE STATEMENT, I CERTIFY THAT THIS FIRM COMPLIES FULLY WITH THE ABOVE REQUIREMENTS. Signature Printed Name CITY OF OPA-LOCKA DRUG-FREE WORKPLACE CERTIFICATION FORM \fl,l4'L is Whenever two (2) or more bids/proposals, which are equal with respect to price, quality, and service, are received by the CITY OF OPA-LOCKA for the procurement of commodities or contractual services, a bid/proposal received from a business that certifies that it has implemented a drug-free workplace program shall be given preference in the award process. 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 controlled substances is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2. Inform employees about the dangers of drug abuse in the workplace, the business's 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 number(1). 4. In the statement specified in number (1), notify the employees that as a condition for working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction on or plea of guilty or no contest to any violation of Chapter 893, Florida Statutes or of any controlled substance law of the United States or any singular 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 Section 287.087, Florida Statutes. This Certification is submitted by the (Name) of (Title/Position) (Company) who does hereby certify that said Company has implemented a drug-free workplace program, which meets the requirements of Section 287.087, Florida Statutes, which are identified in numbers (1) through (6) above. Date Signature