HomeMy Public PortalAbout13-8732 Amendment to the Agreement with Harvey Covington and Thomas for Auditing Services Sponsored by: City Manager
RESOLUTION NO. 13-8732
A RESOLUTION OF THE CITY COMMISSION OF THE
CITY OF OPA LOCKA, FLORIDA, AUTHORIZING THE
CITY MANAGER TO ENTER INTO AND EXECUTE AN
AMENDMENT TO THE AGREEMENT WITH HARVEY,
COVINGTON, AND THOMAS FOR AUDITING SERVICES,
AND TO REMAIN AS THE CITY AUDITOR, PAYABLE
FROM ACCOUNT NO. 17-513320, A BUDGETED ITEM;
PROVIDING FOR INCORPORATION OF RECITALS; AND
PROVIDING FOR AN EFFECTIVE DATE.
WHEREAS, Harvey, Covington, and Thomas are the current City auditors of record;
and
WHEREAS, the prior agreement with the City's current auditors of record expired on
September 30, 2011; and
WHEREAS, the City exercised a one-year renewal option which expired on September
30, 2012; and
WHEREAS, the prior agreement provides that additional work may be provided through
amendments to the agreement; and
WHEREAS, the City staff recommends approval for the City Manager to enter into and
execute an amendment to the agreement with Harvey, Covington, and Thomas to provide for
auditing services and to remain as the City auditor through the current fiscal year, no later than
September 30, 2014.
NOW, THEREFORE, BE IT DULY RESOLVED BY THE CITY COMMISSION
OF THE CITY OF OPA LOCKA, FLORIDA:
Section 1. The recitals to the preamble are hereby incorporated by reference.
Section 2. The City Commission of the City of Opa-locka, authorizes and approves
the City manager to enter into and execute an amendment to the prior agreement with Harvey,
Resolution No. 13-8732
Covington, and Thomas to provide for auditing services and to remain as the City auditor
through the current fiscal year, no later than September 30, 2014, payable from Account Number
17-513320, a budgeted item.
Section 3. This resolution shall take effect immediately upon adoption.
PASSED AND ADOPTED this 31st day of December, 2013.
/
/
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i�
/MYRA T'A LOR
MAYOR
ttest to:
0..42AA A i
J i.nna Flores
Ity Clerk
Approved as o form and legal sufficiency:
I
/ '1'1 , Al ♦ A'
Jo/p S. •11er
e ° EENSP'•ON MARDER PA
city Attorney
Moved by: Commissioner Santiago
Seconded by: Commissioner Johnson
Commission Vote: 5-0
Commissioner Holmes: YES
Commissioner Johnson: YES
Commissioner Santiago: YES
Vice-Mayor Kelley: YES
Mayor Taylor: YES
opPLOCk, RECEIVED
04
CITY CLERK
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• JAL /; 2013 DEC 30 i°i 8: 48
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City of Opa-Locka
Agenda Cover Memo
Commission Meeting Item Type: Resolution Ordinance Other
Date: 12/31/2013
(EnterX in box) X
Fiscal Impact: Ordinance Reading: 1st Reading 2nd Reading
(Enter X in box) Yes No (Enter X in box)
X Public Hearing: Yes No Yes No
(EnterX in box)
Funding Source: (Enter Fund&Dept) Advertising Requirement: Yes No
(Enter Acct No.) N/A (Enter X in box)
ITEM BUDGETED: 17-513320
YES X
NO
Contract/P.O.Required: Yes No RFP/RFQ/Bid#:
(Enter X in box) X N/A
Strategic Plan Related Yes No Strategic Plan Priority Area: Strategic Plan Obj./Strategy: (list the
(Enter X in box) X specific objective/strategy this item will address)
Enhance Organizational p
Bus.&Economic Dev p N/A
Public Safety p
Quality of Education
Qual.of Life&City Image p
Communcation p
Sponsor Name City Manager Department: Finance
Short Title:
A Resolution of the City of Opa-locka, Florida authorizing the City Manager to enter into and execute an
agreement with Harvey,Covington,and Thomas for auditing services.
Staff Summary:
Retain Harvey, Covington, and Thomas LLC for the City Auditors.
Proposed Action:
Staff recommends approval.
Attachment:
1) Engagement Letter
2)Audit Service Agreement,
3) RFP#10-2207300
4) Resolution# 10-8089, Resolution#10-8135, and Resolution#10-8167.
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Memorandum
TO: Mayor Myra L. Taylor
Vice Mayor Joseph L.Kelley ,.,1' i
Commissioner Timothy Holmfs
Commissioner Dorothy Johnso / \ 1
Commissioner Luis B. Santiago\ ' 1 l yI
:i. arI
g 7,7L
FROM: Kelvin 1.,. Baker, Sr.,City Man a.r
DATE: December 11,2013
RE: Audit Services Agreement
Request: A Resolution of the City of Opa-locka, Florida authorizing the City Manager to
enter into and execute an agreement with Harvey, Covington, and Thomas for
auditing services.This is a budgeted item.
Description: The professional agreement with the City's current auditors on record expired on
September 30, 2011. However, the City exercised the one-year renewal option
which expired September 30,2012.
Account Number: 17-513320
Financial Impact: This is a budgeted item.
Implementation Time Line: Immediately.
Legislative History: RFP#10-2207300
Resolution# 10-8089, Resolution#10-8135,and Resolution#10-8167.
Analysis: N/A
Recommendation(s): Staff recommends approval.
Attachments: RFP#10-2207300
Resolution# 10-8089, Resolution #10-8135,and Resolution#10-8167.
Prepared by: Susan Gooding Liburd, Finance Director
End of Memorandum
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Memorandum
TO: Mayor Joseph Kelley
Vice-Mayor Myra L.Taylor
Commissioner Dorothy Johnson
Commissioner 1 Timothy Holmes
Commissioner/ Rose Tydus
.
FROM: clerliitcerafierron, 1 y. anger
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
Sponsored by: Mayor Kelley
Resolution No.10-8135
A RESOLUTION OF THE CITY COMIVIISSION OF THE
CITY OF OPA-LOCKA TO SELECT HARVEY,COVINGTON
& THOMAS. LLC,AS THE CITY'S OFFICIAL AUDITING
FIRM FOR THE UPCOMING FISCAL YEAR 2010-2011;
PROVIDING FOR RECITALS; PROVIDING FOR AN
EFFECTIVE DATE.
WHEREAS, it is necessary to have an independent auditor to review the City's financial
records;and
WHEREAS, the City Commission of the City of Opa-locka desires to select an auditing
firm for the fiscal year 2010 through 2011;and
WHEREAS, the City Commission of the City of Opa-locka has conducted interviews with
the applicants in order to select an auditing firm:
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.
&sffloql. The City Commission of the City of Opa-locka, Florida selects Harvey,
Covington&Thomas.LLP as the City's official auditing firm for upcoming fiscal year 2010-2011,
and authorizes and directs the City Manager to negotiate a contract with said firm,subject to final
approval of said contract by the City Commission.
Section 3 This resolution shall take effect immediately upon adoptio>}:
PASSED AND ADOPTED THIS 22"day of September,2010.
Resolution No.10-8135
mi
MA'*R
Attest to:
S.
City Clerk
Approved as to form and legal sufficiency
•
J.,�. • ler
Ci, A ■mey
Moved by TAYLOR
Seconded by JOHNSON
Commission Vote: 4-0
Commissioner Holmes: YES
Commissioner Johnson: YES
Commissioner Tydus: NOT PRESENT
Vice-Mayor Taylor: YES
Mayor Kelley: YES
CITY OF OPA-LOCKA
CERTIFICATION OF PROPOSALS RECEIVED
REQUEST FOR PROPOSALS(RFP)NO.104207300
Financial Auditing Services
I,Deborah S.Irby,City Clerk of the City of Opa-locka,Florida,do hereby certify that
according to the provisions of Sec.2-320.1 of the City's Code of Ordinances,sealed proposals
were opened at the Office of the City Clerk, 780 Fisherman Street, 4th floor, Opa-locka,
Florida,at 3:00 p.m.this 22ND day of,july,2010.
PROPOSAL(S)RECEIVED
Name of Company
1. Harvey,Covington,&Thomas,LLC. Fiscal Year 2010$63.000.00
Roderick Harvey,CPA,CVA Optional Year 1$64.000.00
3816 Hollywood,Ste.203 FL 33021 Optional Year 2$65.500.00
Hollywood,FL 33021
Tele:(954)966-4435
Fax: (954)962-7747
Email:rharvey @hctcpas.com
2. Sharpton,Brunson&Company,P.A. Year 2010$68.500.00
Anthony Brunson Year 2011 $72.000.00
One Southeast Third Avenue,Ste.2100 Year 2012$75.500.00
Miami,FL 33131
Tele: (305)374-1574
Fax: (305)372-8161
Email: AB @sbccpa.com
I further certify that sealed proposals submitted were properly opened In my presence and also the
following:
-i • .mu< 1 • ..r.
Cot ,
Sponsored by:City Manager
RESOLUTION 0.1.0-8167
A RESOLUTION OF THE CITY COMMIISSION OF THE
CITY OF OPA-LOCKA, FLORIDA, APPROVING AN
AGREEMENT TO ENGAGE HARVEY, COVINGTON &
THOMAS, OF SOUTH FLORIDA, LLC., AS AUDITORS
FOR THE CITY OF OPA-LOCKA AND AUTHORIZING
THE CITY MANAGER TO EXECUTE THE ATTACHED
AGREEMENT; PROVIDING FOR INCORPORATION OF
RECITALS;PROVIDING FOR AN EFFECTIVE DATE.
�•!: '-- • -, . : _ •+, I .ssion of the City of Opa-locka, Florida, approved
Resolution 10-8135 on September 22, 2010, -letting Harvey, Covington &Thomas, of
South Florida,LLC;and
WHEREAS, Harvey, Covington & Thomas, LLC will provide their services as
Auditors;and
WHEREAS, as per the agreement, the City of Opa-locka shall pay the Auditors
as compensation for their services, an aggregate professional staff fee not to exceed
$63,775.00;and
WHEREAS, the proposed agreement with Harvey, Covington &Thomas, LLC,
is attached hereto:
NOW, THEREFORE, BE IT DULY RESOLVED BY THE CITY
COMMISSION OF THE CITY OF OPA LOCKA,FLORIDA:
Section 1. The recitals to the preamble are hereby incorporated by reference.
Section 2. The City Commission of the City of Opa-locka authorizes the City
Manager to execute an agreement with Harvey, Covington&Thomas,LLC,and the City
1
of Opa-locka for professional services as Auditors, in substantially the form attached
hereto.
Sgciion 3. This resolution shall take effect immediately upon adoption.
PASSED AND ADOPTED THIS 81h DAY OF peeember,2010.
(4 /
M YLOR
MAYOR
Attest
6/ ■,111/-
Deborah.Irby
City Clerk
Approved as to form and legal sufficiency:
kit , 1411
Jas' S ' lter
y A ,tney
Moved by: HOLMES
Seconded by: TYDUS
Commission Vote: 5-0
Commissioner Holmes: YES
Commissioner Miller: YES
Commissioner Tydus: YES
Vice-Mayor Johnson: YES
Mayor Taylor YES
2
104' P „,+
Audit ices Agreeaent 0/1"----))
THIS AGREEMENT is entered into this 23 C`" day of December 2010 between CQ ,,
the City of Opa-Locka ("CITY") and Harvey, Covington & Thomas of South v
Florida, L.L.C., Certified Public Accountants, hereinafter referred to as the
"AUDITORS").
WHEREAS, the CITY seeks to retain the services of AUDITORS as independent
AUDITORS;and
WHEREAS,the CITY is charged with the responsibility of controlling the disbursement
and collecting public funds;and
WHEREAS, the CITY put forth a Request for Proposals (RFP) #08-012 for financial
audit services;and
WHEREAS, on September ,a, 2010 the City Commission of the CITY ranked
AUDITORS as the top candidate to provide financial audit services to the CITY;and
WHEREAS,AUDITORS perform auditing services including other municipalities and
AUDITORS have been found by the Audit Committee to be capable of providing the
audit services that are sought at a reasonable cost;and
WHEREAS, the AUDITORS desire to be associated with the CITY for the primary
purpose of auditing books,accounting records,and financial documentation.for the CITY
for the fiscal year 2010 through 2011,a one-year initial Jam with an option to renew,_
consistent with tbe_Qttached. ,EJ. The City shall notify-the.AUDITORS in writing if said
Ccontract shall be renewed or terminated by June 30,2011;and
WHEREAS, additional work may be provided through amendments to this Agreement
with terms and conditions acceptable to the CITY and AUDITORS and approved as to
form and legal sufficiency by the City Attorney.
NOW THEREFORE,in consideration of the premises and the mutual covenants herein
CITY dnd AUDITORS mutually agree as follows:
(1. This Agreement shall be effective as of execution and shall terminate no later or sooner
than September 30, 2012 (the "Term"), unless the City exercises its option or as
otherwise provided herein.
2. The CITY retains AUDITORS as independent AUDITORS to perform Audit Services
(hereinafter"Services").
3. The CITY shall pay the Auditors, as compensation for the services required, an aggregate
professional staff fees not to exceed$63,775.00 for the year ending September 30,2010 as
follows: 25%upon signing of engagement letter and receipt by the CITY of the pre-audit
letter; 65% during audit fieldwork, 5% upon presentation of the draft Comprehensive
Annual Financial Report (CAFR) and the Compliance Reports; and remaining 5% upon
delivery of final bound CAFR and Compliance Reports.
Page 1
•
•
Requests for additional services requested by CITY shall not require further written
agreement up to$30,000, Services exceeding$30,000 shall be authorized pursuant to an
Amendment to this Agreement or a letter of engagement which shall be signed by all parties
and include a negotiated cost breakdown,which shall be reflected as an attachment/exhibit
to the Amendment,as applicable.
4. AUDITORS agree to conduct an evaluation of internal controls,including accounting
systems and specific control procedures and assess the extent to which the controls can be
relied upon to ensure accurate information and compliance with the applicable laws and
regulations.
5. AUDITORS agree to perform the requested services consistent with the objectives set
forth in the RFP#10-2207300 for Financial Auditing Services and further agrees that the
exhibit is incorporated and otherwise considered a part of this Agreement. Additionally,
the following basic services shalt be provided as a part of the Financial Statement audit:
An audit and report on the CITY'S Comprehensive Annual Financial Report,including data
collection form and the following funds and account groups of the CITY:
General Fund
Special Revenue Funds
Enterprise Fund
Debt Service Funds
Capital Projects Funds
Trust and Agency Funds
b. Prepare and issue reports relating to applicable compliance with covenants,laws and
regulations,efficiency and economy of operations,internal control structure,operating
and management procedures and effectiveness in achieving program results pursuant to
OMB Circular A-133,and the Rules of the Auditor General. AUDITORS shall review
said reports in draft form with appropriate CITY staff.
c. Accumulate records containing data that should be reflected in the CITY's books
and records.The City will not expect AUDITORS to maintain copies of such records in
their possession.
•
d. THE COMPLETION TIME FOR ALL AUDITS SHALL BB one hundred twenty
(120) DAYS •AFTER NOTIFICATION BY THE FINANCE DIRECTOR OF THE
AVAILABILITY OF THE CITY'S FINAL TRIAL BALANCES. The one hundred
twenty(120)day period may be extended by the CITY,provided no additional work is
required as set forth herein.Such audits will be Federal and State Single Audits and shall
be done conformity with the auditing standards set forth in the publication,Government
Auditing Standards issued by the Comptroller General of the United States;the Single
Audit Act Amendments of 1996; and the provisions of QMB Circular A-133 and
Chapter 10.550, Rules of the Auditor General;and requirements of Federal And State
agreements and statutory requirements,as each may be applicable.The Finance Director
will coordinate and aid the activities of the AUDITOS in order to facilitate the audit.
Should the AUDITORS meet with any difficulties in the conduct of their audit which can
Page 2
not be resolved by the Finance Director or his staff,the AUDITORS shall provide him
with a written report of the problem,the CITY will compensate the AUDITORS for the
additional work through an additional fee to be determined by the parties.
e. AUDITORS shall not be reimbursed for any travel,per diem or related expenses.
f. For a period of five (5)years after completion of any work provided herein, the
AUDITORS shall make its work papers, records and other evidence and documents
Mating to such available to its successors and the CITY including its designee. The
CITY and its representative shall be entitled,at any time during such five(5)year period,
to inspect such documents and to reproduce same, at its expense, for which provision
will be made at the time needed for reproduction arises.
•
6. CITY is responsible for (1) the preparation of the CITY's financial statements, (2)
establishing and maintaining effective internal control over financial reporting and
safeguarding assets, (3)properly recording transactions in the records,(4)identifying and
ensuring that the CITY complies with the laws and regulations applicable to its activities,
(5)making all financial records and related information available to the AUDITORS and
(6)for adjusting the financial statements to correct misstatements.
It shall also be the responsibility of the CITY to prepare trial balances and financial
schedules for each fund, account group and fund group, type all cash and/or other
•
confirmations the AUDITORS request and to locate any invoices selected by the Auditors
for testing,and schedule of all federal awards and state projects.
Further,CITY shall provide adequate work space for the AUDITORS which shall be near
the accounting records.
7. AUDITORS agree to furnish to the CITY with written progress reports at such times and
with such frequency as the CITY may reasonably request in writing.
S. AUDITORS agree to use best efforts, attention, knowledge and skill in carrying out
Services.
9. AUDITORS acknowledge the importance of completing the Services as set forth in this
Agreement and further agree that time is of the essence in all matters relating to fulfilling
the obligations of this Agreement.
10. The CITY shall not have any obligation hereunder to provide the AUDITORS or its
dependents with medical,health,pension or any other employee benefits.
11. AUDITORS acknowledge and agree that it shall be solely and exclusively its obligation
and responsibility to report to the appropriate governmental agencies and other authorities
all compensation received by AUDITORS hereunder and to report and pay all taxes or
impositions thereon. AUDITORS shall indemnify and hold harmless the CITY for and
against any and all claims,damages, losses or obligations asserted or imposed against the
Page 3
CITY by AUDITORS, any governmental agency or any other person in connection with
the payment or recovery of such sums.
12. The CITY expressly reserves the right,at any time or for any reason whatsoever,to retain
any other AUDITORS to perform Services that are similar or identical to the Services
being performed by AUDITORS if AUDITORS fail to comply with this Agreement.
13. AUDITORS acknowledge that,in the course of performing the Services,it may originate,
develop, receive or otherwise become aware of knowledge and confidential information
concerning the CITY and such knowledge and information,whether oral or written which
is developed or acquired by,or communicated or delivered to.AUDITORS or of which
AUDITORS may otherwise.become aware are and shall be and remain the confidential
information of the CITY("Confidential Information").The AUDITORS shall not use or
disclose any information concerning a recipient of services under this Agreement for any
purpose not in conformity with state statute and applicable federal regulations.
AUDITORS further acknowledge that,in the course of performing the Services, it may
have access to certain other information that relates,directly or indirectly,to the CITY or
its agents, statistical, business or technical research, development, trade secrets,
processes, formulae, specifications, programs, software packages, technical know-how,
methods and procedures of operation, business or confidential plans ("Proprietary
Information").This paragraph shall not apply to appropriately secured public records as
defined,by Chapter 119,Florida Statutes.
14. AUDITORS agree to hold such Confidential Information and Proprietary Information in
strict confidence; not to disclose such Confidential Information of the City and
Proprietary Information of the City with others or use the same in.any way,commercially
or otherwise,except in performance of the Services at anytime without the prior written
consent; to take all actions reasonably necessary to protect the confidentiality of the
information and, at termination of this Agreement,to return all Confidential information
and Proprietary Information to the CITY whether written,printed,machine readable or in
any other form whatsoever.
15. All Services provided by AUDITORS are deemed Services done for hire. The CITY
shall be deemed to be the absolute and unqualified owner of and AUDITORS hereby
assigns to the CITY all rights, title and interests in and to any and all work product
furnished to the CITY including, but not limited to, any developments, additions, or
enhancements to the CITY's Proprietary Information provided by AUDITORS while
engaged by the CITY.
16. AUDITORS' use of the CITY's seal in any Manner, expressly or implied, which might
tend to convey the impression that AUDITORS services indicate an endorsement by the
CITY of AUDITORS services, without the prior written consent of the CITY is
prohibitive.
17. It is understood and agreed that the AUDITORS relationship with the CITY is not to
exercise supervision of the AUDITORS in the performance of the Services nor shall the
CITY require the AUDITORS compliance with detailed orders or instructions, it being
intended that AUDITORS shall serve as independent AUDITORS to the CITY with the
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time,manner and place of performance of the obligations required by this Agreement,in
the sole discretion and judgment as independent AUDITORS.
18. With exception of this Audit Services Agreement,AUDITORS acknowledges and agree
that it does not have the authority to bind or attempt to bind the CITY by contract or
otherwise,or represent to third parties that AUDITORS has any right to so bind the CITY
whatsoever.
•
19. AUDITORS shall not commence work under this contract until it has obtained all insurance
required under this paragraph and such insurance has been approved by the City Manager.
Certificates of insurance, reflecting evidence of the required insurance,shall be filed with
the CITY Manager's Office prior to the commencement of the work. These Certificates
shall contain a provision that coverages afforded under these policies will not be canceled
until at least thirty days(30)prior written notice has been given to the CITY. Policies shall
.be issued by companies authorized to do business under the laws of the State of Florida.
Insurance shall be in force until all work required to be performed under the terms of the
Contract is satisfactorily completed as evidenced in writing by the CITY. In the event the
insurance certificate provided indicates that the insurance shall terminate and lapse during
the period of this contract, unnecessary,the AUDITORS shall fimrnish,at least thirty(30)
days prior to the expiration of the date of such insurance,a renewed certificate of insurance
as proof that equal and like coverage for the balance of the period of the contract and
extension thereunder is in effect. The AUDITORS shall not continue to work pursuant to
this contract unless all required insurance remains in full form and effect.
20. Workers Compensation insurance shall be maintained during the life of this contract to
comply with statutory limits for all employees consistent with the RFP.
The AUDITOR shall hold the CITY, its agents, and employees, harmless on account of
claims for damages to persons, property or premises arising out of the operations to
complete this Agreement and name the CITY as an additional insured under their policy.
The CITY reserves the right to require any other insurance coverage it deems necessary
depending upon the exposures.
21. The AUDITORS agree to release the CITY from and against certain liability and
responsibility in connection with the services performed under this Agreement. The
AUDITORS agrees to arbitration with the CITY, its trustees, elected and appointed
officers,agents,servants and employees,from and against any and all claims,demands,or
causes of action of whatsoever kind or nature, and the resulting losses, costs, expenses,
reasonable attorneys'fees, liabilities,damages,orders,judgments,or decrees,sustained by
the CITY or any third party arising out of, or by reason of, or resulting from the
AUDITORS's negligent acts,errors,or omissions.
The parties recognize that 'various provisions of this Agreement, including but not
necessarily limited to this Section,provide for indemnification by the AUDITORS and that
Section 725.06,Florida Statutes,requires a specific consideration be given therefore. The
parties therefore agree that the sum of Ten Dollars and 00/100•($10.00),receipt of which is
Page 5
CITY of Opa-Locka("CITY") Harvey, Covington &
Thomas, L.L.C. of South
Florida,CPA
f`• . • IrV1
Clarence Patterson uditors
•
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Dated
r Dated %
Jo .•.'il•'or,City Attorney
As . Legal Form and Sufficiency
l�/. j c;511/0
Date
Tax ID Number or Social Security
Number
ATTEST TO:
•
Fi
16�nn8 Flores
Assistant City Clerk
Date
Page 8
October 19,2012
Ezekiel Orji,Director of Finance
City of Opa Locka
760 Fisherman Street,4th Floor
Opa Locka, Florida 33319
We are pleased to confirm our understanding of the services we are to provide the City of Opa Locka, Florida (the
City)for the year ended September 30, 2012. We will audit the financial statements of the governmental activities,
the business-type activities, each major fund, and the aggregate remaining fund information, which collectively
comprise the basic financial statements of the City as of and for the year ended September 30, 2012.
Accounting standards generally accepted in the United States of America provide for certain required
supplementary information (RSI), such as management's discussion and analysis (MD&A), to supplement the
City's basic financial statements. Such information, although not a part of the basic financial statements, is
required by the Governmental Accounting Standards Board who considers it to be an essential part of financial
reporting for placing the basic financial statements in an appropriate operational, economic, or historical context.
As part of our engagement, we will apply certain limited procedures to the City's RSI in accordance with auditing
standards generally accepted in the United States of America. These limited procedures will consist of inquiries of
management regarding the methods of preparing the information and comparing the information for consistency
with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained
during our audit of the basic financial statements. We will not express an opinion or provide any assurance on the
information because the limited procedures do not provide us with sufficient evidence to express an opinion or
provide any assurance. The following RSI is required by generally accepted accounting principles and will be
subjected to certain limited procedures, but will not be audited:
1) Management's Discussion and Analysis.
2) Budgetary Comparison Schedules
We have also been engaged to report on supplementary information other than RSI that accompanies the City's
financial statements.We will subject the following supplementary information to the auditing procedures applied in
our audit of the financial statements and certain additional procedures, including comparing and reconciling such
information directly to the underlying accounting and other records used to prepare the financial statements or to
the financial statements themselves, and other additional procedures in accordance with auditing standards
generally accepted in the United States of America and will provide an opinion on it in relation to the financial
statements as a whole:
1) Schedule of expenditures of federal awards and state projects
2) Combining Statements.
The following other information accompanying the financial statements will not be subjected to the auditing
procedures applied in our audit of the financial statements, and our auditor's report will not provide an opinion or
any assurance on that other information.
1) Introductory Section
2) Statistical Section
3816 Hollywood Blvd,Suite 203
Hollywood, Florida 33021
(954)966 4435(Office) (954 962 7747(Fax) www.hct.cpa.com
Engagement Letter—City of Opa Locka,Florida
Page 2
Audit Objective
The objective of our audit is the expression of opinions as to whether your basic financial statements are fairly
presented, in all material respects, in conformity with generally accepted accounting principles and to report on
the fairness of the supplementary information referred to in the second paragraph when considered in relation to
the financial statements as a whole. The objective also includes reporting on---
• Internal control related to the financial statements and compliance with laws, regulations, and the
provisions of contracts or grant agreements, noncompliance with which could have a material effect on
the financial statements in accordance with Government Auditing Standards.
• Internal control related to major programs and an opinion (or disclaimer of opinion) on compliance with
laws, regulations, and the provisions of contracts or grant agreements that could have a direct and
material effect on each major program in accordance with the Single Audit Act Amendments of 1996 and
OMB Circular A-133,Audits of States, Local Governments, and Non-Profit Organizations.
The reports on internal control and compliance will each include a statement that the report is intended solely for
the information and use of management, the body or individuals charged with governance, others within the entity
specific legislative or regulatory bodies, federal awarding agencies, and if applicable, pass-through entities and is
not intended to be and should not be used by anyone other than these specified parties.
Our audit will be conducted in accordance with auditing standards generally accepted in the United States of
America; the standards for financial audits contained in Government Auditing Standards, issued by the
Comptroller General of the United States; the Single Audit Act Amendments of 1996; and the provisions of OMB
Circular A-133, and will include tests of accounting records, a determination of major program(s) in accordance
with OMB Circular A-133, and other procedures we consider necessary to enable us to express such opinions
and to render the required reports. If our opinions on the financial statements or the Single Audit compliance
opinions are other than unqualified, we will discuss the reasons with you in advance. If, for any reason, we are
unable to complete the audit or are unable to form or have not formed opinions, we may decline to express
opinions or to issue a report as a result of this engagement.
Management Responsibilities
Management is responsible for the basic financial statements and all accompanying information as well as all
representations contained therein. Management is also responsible for identifying government award programs
and understanding and complying with the compliance requirements, and for preparation of the schedule of
expenditures of federal awards in accordance with the requirements of OMB Circular A-133. As part of the audit,
we will assist with the preparation of your financial statements, schedule of expenditures of federal awards and
related notes. You are responsible for making all management decisions and performing all management
functions related to the financial statements, schedule of expenditures of federal awards, and related notes and
accepting full responsibility for such decisions. You will be required to acknowledge in the management
representation letter our assistance with preparation of the financial statements and schedule of expenditures of
federal awards and that you have received and approved the financial statements, schedule of expenditures of
federal awards, and related notes prior to their issuance and have accepted responsibility for them. Further, you
are required to designate and individual with suitable skill, knowledge, or experience to oversee any non-audit
services we provide and for evaluating the adequacy and results of those services and accepting responsibility for
them.
Management is responsible for establishing and maintaining effective internal controls, including internal controls
over compliance, and for evaluating and monitoring ongoing activities, to help ensure that appropriate goals and
objectives are met and that there is reasonable assurance that government programs are administered in
compliance with compliance requirements. You are responsible for the selection and application of accounting
principles; and for the fair presentation in the financial statements of the respective financial position of the
governmental activities, the business-type activities, each major fund, and the aggregate remaining fund
information of the City and the respective changes in financial position and, where applicable, cash flows in
conformity with the U.S generally accepted accounting principles; and for compliance with applicable laws and
regulations and the provisions of contracts and grant agreements
3816 Hollywood Blvd,Suite 203
Hollywood, Florida 33021
(954)966 4435(Office) (954 962 7747(Fax) www.hct-cpa.com
Engagement Letter–City of Opa Locke,Florida
Page 3
Management is also responsible for making all financial records and related information available to us and for
ensuring that management and financial information is reliable and properly recorded. Your responsibilities also
include identifying significant vendor relationships in which the vendor has responsibility for program compliance
and for the accuracy and completeness of that information. Your responsibilities include adjusting the financial
statements to correct material misstatements and confirming to us in the representation letter that the effects of
any uncorrected misstatements aggregated by us during the current engagement and pertaining to the latest
period presented are immaterial, both individually and in the aggregate, to the financial statements taken as a
whole.
You are responsible for the design and implementation of programs and controls to prevent and detect fraud, and
for informing us about all known or suspected fraud or illegal acts affecting the government involving (1)
management, (2)employees who have significant roles in internal control, and(3)others where the fraud or illegal
acts could have a material effect on the financial statements. Your responsibilities include informing us of your
knowledge of any allegations of fraud or suspected fraud affecting the government received in communications
from employees, former employees, regulators, or others. In addition, you are responsible for identifying and
ensuring that the entity complies with applicable laws, regulations, contracts, agreements, and grants.
Additionally, as required by OMB Circular A-133, it is managements responsibility to follow up and take corrective
action on reported audit findings and to prepare a summary schedule of prior audit findings and a corrective
action plan. You are responsible for the preparation of the supplementary information in conformity with U.S.
generally accepted accounting principles. You agree to include our report on the supplementary information in
any document that contains and indicates that we have reported on the supplementary information. You also
agree to make the audited financial statements readily available to users of the supplementary no later than the
date the supplementary information is issued with our report thereon.
Management is responsible for establishing and maintaining a process for tracking the status of audit findings and
recommendations. Management is also responsible for identifying for us provisions financial audits, attestation
engagements, performance audits, or other studies related to the objectives discussed in the Audit Objectives
section of this letter. This responsibility includes relaying to us corrective actions taken to address significant
findings and recommendations resulting from those audits, attestations engagements, performance audits, or
studies. You are also responsible for providing management's views on our current findings, conclusions, and
recommendations, as well as your planned corrective actions, for the report, and for the timing and format for
providing that information.
Audit Procedures—General
An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial
statements; therefore, our audit will involve judgment about the number of transactions to be examined and the
areas to be tested. We will plan and perform the audit to obtain reasonable rather than absolute assurance about
whether the financial statements are free of material misstatement, whether from (1) errors, (2) fraudulent
financial reporting, (3) misappropriation of assets, or(4) violations of laws or governmental regulations that are
attributable to the entity or to acts by management or employees acting on behalf of the entity. Because the
determination of abuse is subjective, Governmental Auditing Standards do not expect auditors to provide
reasonable assurance of detecting abuse.
Because an audit is designed to provide reasonable, but not absolute assurance and because we will not perform
a detailed examination of all transactions, there is a risk that material misstatements or noncompliance may exist
and not be detected by us. In addition, an audit is not designed to detect immaterial misstatements or violations
of laws or governmental regulations that do not have a direct and material effect on the financial statements or
major programs. However, we will inform you of any materials errors and any fraudulent financial reporting or
misappropriation of assets that come to our attention. We will also inform you of any violations of laws or
governmental regulations that come our attention, unless clearly inconsequential, and of any material abuse that
comes to our attention. We will include such matters in the reports required for a Single Audit. Our responsibility
as auditors is limited to the period covered by our audit and does not extend to any later periods for which we are
not engaged as auditors.
Our procedures will include tests of documentary evidence supporting the transactions recorded in the accounts,
and may include tests of the physical existence of inventories,and direct confirmation of receivables and certain
Engagement Letter-City of Opa Locka, Florida
Page 4
other assets and liabilities by correspondence with selected individuals, funding sources, creditors, and financial
institutions. We will request written representations from your attorneys as part of the engagement, and they may
bill you for responding to this inquiry. At the conclusion of our audit, we will require certain written representations
from you about the financial statements and related matters.
Audit Procedures—Internal Control
Our audit will include obtaining an understanding of the entity and its environment, including internal control,
sufficient to assess the risks of material misstatement of the financial statements and to design the nature, timing,
and extent of further audit procedures. Test of controls may be performed to test the effectiveness of certain
controls that we consider relevant to preventing and detecting errors and fraud that are material to the financial
statements and to preventing and detecting misstatements resulting from illegal acts and other noncompliance
matters that have a direct and material effect on the financial statements. Our tests, if performed, will be less in
scope than would be necessary to render an opinion on internal control and, accordingly, no opinion will be
expressed in our report on internal control issued pursuant to Government Auditing Standards.
As required by OMB Circular A-133, we will perform tests of controls over compliance to evaluate the
effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material
noncompliance with compliance requirements applicable to each major federal award program. However, our
tests will be less in scope than would be necessary to render an opinion on those controls and, accordingly, no
opinion will be expressed in our report on internal control issued pursuant to OMB Circular A-133.
An audit is not designed to provide assurance on internal control or to identify significant deficiencies. However,
during the audit,we will communicate to management and those charged with governance internal control related
matters that are required to be communicated under AICPA professional standards, Governmental Auditing
Standards, and OMB Circular A-133.
Audit Procedures—Compliance
As part of obtaining reasonable assurance about whether the financial statements are free of material
misstatement, we will perform tests of the City's compliance with the provisions of applicable laws, regulations,
contracts, and agreements, including grant agreements. However, the objective of those procedures will not be to
provide an opinion on overall compliance and we will not express such an opinion in our report on compliance
issued pursuant to Governmental Auditing Standards.
OMB Circular A-133 requires that we also plan and perform the audit to obtain reasonable assurance about
whether the auditee has complied with applicable laws and regulations and the provisions of contracts and
agreements applicable to major programs. Our procedures will consist of tests of transactions and other
applicable procedures described in the OMB Circular A-133 Compliance Supplement for the types of compliance
requirements that could have a direct and material effect on each of the City's major programs. The purpose of
these products will be to express an opinion of the City's compliance with requirements applicable to each of its
major programs in our report on compliance issued pursuant to OMB Circular A-133.
Engagement Administration, Fees,and Other
We may from time to time, and depending on the circumstances, use third-party service providers in serving your
account. We may share confidential information about you with these service providers, but remain committed to
maintaining the confidentiality and security of your information. Accordingly, we maintain internal policies,
procedures, and safeguards to protect the confidentiality of your personal information. In addition, we will secure
confidentiality agreements with all service providers to maintain the confidentiality of your information and we will
take reasonable precautions to determine that they have appropriate procedures in place to prevent the
unauthorized release of your confidential information to others. In the event that we are unable to secure an
appropriate confidentiality agreement, you will be asked to provide your consent prior to the sharing of your
confidential information with the third-party service provider. Furthermore, we will remain responsible for the work
provided by any such third-party service providers.
We understand that your employees will prepare all cash, accounts receivable, or other confirmations we request
and will locate any documents selected by us for testing.
3816 Hollywood Blvd,Suite 203
Hollywood, Florida 33021
(954)966 4435(Office) (954 962 7747(Fax) www.hct-cpa.com
Engagement Letter—City of Opa Locka,Florida
Page 5
At the conclusion of the engagement, we will complete the appropriate sections of the Data Collection Form that
summarizes our audit findings. It is management's responsibility to submit the reporting package (including
financial statements, schedule of expenditures of federal awards, summary schedule of prior audit findings,
auditors' reports, and corrective action plan) along with the Data Collection Form to the federal audit
clearinghouse. We will coordinate with you the electronic submission and certification. If applicable, we will
provide copies of our report for you to include with the reporting package you will submit to pass through entities.
The Data Collection Form and the reporting package must be submitted within the earlier of 30 days after receipt
of the auditors' reports or nine months after the end of the audit period, unless a longer period is agreed to in
advance by the cognizant or oversight agency for audits.
The audit documentation for this engagement is the property of HCT and constitutes confidential information.
However, pursuant to authority given by law or regulation, we may be requested to make certain audit
documentation available to a federal agency providing direct or indirect funding, or the U.S Government
Accountability Office for purpose of a quality review of the audit,to resolve audit findings, or to carry out oversight
responsibilities. We will notify you of any such request. If requested, access to such audit documentation will be
provided under the supervision of HCT personnel. Furthermore, upon request,we may provide copies of selected
audit documentation to the after-mentioned parties. These parties may intend, or decide, to distribute the copies
or information contained therein to others, including the governmental agencies.
The audit documentation for this engagement will be retained for a minimum of five years after the report release.
If we are aware that a federal award agency, pass through entity, or auditee is contesting an audit finding, we will
contact the party(ies)contesting the audit finding for guidance prior to destroying the audit designation.
Roderick Harvey is the engagement partner and is responsible for supervising the engagement and signing the
reports or authorizing another individual to sign them. Our fees for this service will be at our standard hourly rate
plus out-of-pocket cost (such as report reproduction, word processing, postage, travel, copies, telephone, etc.)
except that we agree that our gross fee, including expenses, will not exceed$64,775. Our,standard hourly rates
vary according to the degree of responsibility involved and the experience level of the personnel assigned to your
audit. Our invoices for these fees will be rendered each month as work progresses and are payable on
presentation. In accordance with our firm policies, work may be suspended if your account becomes 30 days or
more overdue and may not be resumed until your account is paid in full. If we elect to terminate our services for
non-payment, our engagement will be deemed to have been completed upon written notification of termination,
even if we have not completed our report(s). You will be obligated to compensate us for the time expended and
to reimburse us for all out-of-pocket costs through the date of termination. The above fee is based on anticipated
cooperation from your personnel and the assumption that unexpected circumstances will not be encountered
during the audit. If significant additional time is necessary, we will discuss it with you and arrive at a new fee
estimate before we incur the additional costs.
Employee Retention. Any such employee hired within two years after end of this engagement (issuance of
reports and tax returns) will be subject to a placement fee payable to HCT in the amount equal to the greater of
$75,000 or 100%of the offered annual salary of that recruited employee.
Audit Completion. Twenty five bound (25) copies of each audit report, management letter, and other applicable
reports will be supplied.
We appreciate the opportunity to be of service to the City and believe this letter accurately summarizes the
significant terms of our engagement. If you have any questions, please let us know. If you agree with the terms of
our engagement as described in this letter, please sign the enclosed copy and return it to us.
Very truly yours,
Harvey, Covington and Thomas of South Florida, LLC
Engagement Letter—City of Opa Locka,Florida
Page 6
RESPONSE:
This lette7re I js rth the understanding of the City of Opa-locka, Florida.
13y:
Title: 4Cif S;VFW I)►redOr-
Date: Ol DO
3816 Hollywood Blvd,Suite 203
Hollywood, Florida 33021
(954)966 4435(Office) (954 962 7747(Fax) www.hct-cpa.com
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 une 2010.
la&
L. KELLEY
MA •R
Attest to:
C
Deborah S. y
City Clerk
Approved as to form and legal sufficiency:
tanI I. .1 it
i I
osep f .Geller
City torney
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
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ADDENDUM
RFP NO: 10-2207300
FINANCIAL AUDITING SERVICES
RE: Bid Opening Time Change
From: 1 :00 pm
To: 3:00 PM
City of Opa-locka
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RFP No. 10-2207300
REQUEST FOR PROPOSAL
FOR FINANCIAL AUDITING SERVICES
CITY OF OPA LOCKA 780 FISHERMAN STREET OPA LOCKA,FLORIDA 33054
'p-LOpk` CITY OF OPA-LOCKA
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Advertisement for Request for Proposals
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RFP NO: 10-2207300
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, Thursday, July 22, 2010 at 1:00PM. Any proposals received after the
designated closing time will be returned unopened.
The purpose of this Request for Proposals 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-
2207300 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: 10-2207300
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 annually for two consecutive one year terms beyond the initial
term at the discretion of the Audit 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., THURSDAY, JULY 22, 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 year ending September 30, 2010 with the
City's option to renew annually for two consecutive one year terms beyond the initial
term at the discretion of the Audit Selection Committee and City Commission.
A. The Audit 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 (REP) must be received no later
than THURSDAY, JULY 22. 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 I 1
Proposals should be in the form of six (6) 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:
SUNDAY, JULY 4, 2010 - Request for Proposals is advertised and mailed
upon request.
THURSDAY, JULY 8 , 2010 at 10:00 a.m—
Attendance is recommended but not required
Pre-bid conference at:
780 Fisherman Street 2nd floor
Opa-locka, Florida 33054
THURSDAY, JULY 22, 2010 BY 1:00 PM- Proposals are received
(b) The term of the audit engagement is anticipated to be one (1) fiscal year
with option to renew annually for two consecutive one year terms , 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.
Page 12
(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.
To facilitate processing, please clearly mark the outside of the proposal package as
follows: RFP NO. 10— 2207300. This package shall also include the Proposer's return
address.
Proposers may withdraw their proposals by notifying the City in writing at any time prior
to the deadline for proposal submittal. After the deadline, the proposal will constitute an
irrevocable offer, for a period of 90 days. Once opened, proposals become a record of
the CITY and will not be returned to the Proposer.
The City cautions proposers to assure actual delivery of mailed or hand-delivered
proposals directly to the City Clerk's Office at 780 Fisherman Street, 4th Floor, Opa-
Locka, Florida 33054 prior to the deadline set for receiving proposals. Telephone
confirmation of timely receipt of the proposal may be made by calling (305) 953-2800
before proposal closing time. Any proposal received after the established deadline will
not be considered and will be returned unopened to the Proposer(s).
Page 13
1-1. Number of Copies: Proposers shall submit an original and six (6) copies plus
1 copy of the proposal on CD's in PDF format of the proposal in a sealed, opaque
package marked as noted above. The Proposer will be responsible for timely delivery,
whether by personal delivery, US Mail or any other delivery medium.
1-2. Development Costs: Neither the City nor its representatives shall be liable for
any expenses incurred in connection with preparation of a response to this Request for
Qualifications. Proposers should prepare their proposals simply and economically,
providing a straightforward and concise description of the Proposer's ability to meet the
requirements of the REP.
1-3. Inquiries: Interested Proposers may contact the' City's Purchasing Officer
regarding questions about the proposal by telephone at (305) 953-2868 x1307 or by
facsimile at (305) 953-2900. The City Clerk will receive written requests for clarification
concerning the meaning or interpretations of the RFP, until eight (8) days prior to the
submittal date. City personnel are authorized only to direct the attention of prospective
Proposers to various portions of the RFP NO.10-2207300 so that they may read and
interpret such for themselves. No employee of the City is authorized to interpret any
portion of this RFP NO. 10-2207300 or give information as to the requirements of the
REP NO.10- 2207300 in addition to what is contained in the written RFPNO.10-
2207300 document.
1-4. Addendum: The City may record its response to inquiries and any supplemental
instructions in the form of written addenda. The CITY may mail written addenda up to
seven (7) calendar days before the date fixed for receiving the proposals. Proposers
shall contact the City to ascertain whether any addenda have been issued. Failure to
do so could result in an unresponsive proposal. Any oral explanation given before the
RFP NO.10-2207300 opening will not be binding.
All Proposers are expected to carefully examine the proposal documents. Any
ambiguities or inconsistencies should be brought to the attention of the City's
Purchasing Agent through written communication prior to the opening of the proposals.
1-5. Contract Awards: The City anticipates entering into an Agreement with the
Proposer who submits the proposal judged by the City to be most advantageous.
The Proposer understands that this RFP NO.10-2207300 does not constitute an offer or
an Agreement with the Proposer. An offer or Agreement shall not be deemed to exist
and is not binding until proposals are reviewed, accepted by appointed staff, the best
proposal has been identified, approved by the appropriate level of authority within the
City and executed by all parties.
The City reserves the right to reject all proposals, to abandon the project and/or to solicit
and re-advertise for other proposals.
Page 14
1-6. Contractual Agreement: This RFP NO.10-2207300 shall be included and
incorporated in the final award. The order of contractual precedence will be the
Contract or Agreement document, original Terms and Conditions, and Proposer
response. Any and all legal action necessary to enforce the award will be held in
Miami-Dade County and the contractual obligations will be interpreted according to the
laws of Florida. Any additional contract or agreement requested for consideration
by the Proposer must be attached and enclosed as part of the proposal.
1-7. Selection Process: The proposals will be evaluated and assigned points. The
firm with the highest number of points will be ranked first; however, nothing herein will
prevent the City from assigning work to any firm deemed responsive and responsible.
The City reserves the right to further negotiate any proposal, with the highest rated
Proposer. If an agreement cannot be reached with the highest rated Proposer, the City
reserves the right to negotiate and recommend award to the next highest Proposer or
subsequent Proposers until an agreement is reached.
1-8. Public Records: Upon award recommendation or ten (10) days after opening,
whichever occurs first, proposals become "public records" and shall be subject to public
disclosure consistent with Chapter 119 Florida Statutes. Proposers must invoke the
exemptions to disclosure provided by law in the response to the RFP, and must identify
the data or other materials to be protected, and must state the reasons why such
exclusion from public disclosure is necessary. Document files may be examined, during
normal working hours.
1-9. News Releases: The Proposer shall obtain the prior approval of the City
Manager's Office of all news releases or other publicity pertaining to this RFP NO.10-
2207300 or the service, study or project to which it relates.
1-10. Insurance: The awarded Proposer(s) shall maintain insurance coverage
reflecting at least the minimum amounts and conditions specified herein. In the event
the Proposer is a governmental entity or a self-insured organization, different insurance
requirements may apply. Misrepresentation of any material fact, whether intentional or
not, regarding the Proposers' insurance coverage, policies or capabilities may be
grounds for rejection of the proposal and rescission of any ensuing Agreement.
1.Evidence of General Liability coverage with limits not less than $1,000,000
per Occurrence/ $2,000,000 Aggregate (Including Policy Number and
Policy Period);
2.Evidence of Auto Liability coverage with limits not less than $1,000,000 per
Occurrence/$1,000,000 Aggregate (Including Policy Number and Policy
Period);
3.Evidence of Workers' Compensation coverage with statutory limits and
Employer's Liability coverage with limits not less than $100,000 (Including
Page 15
Policy Number and Policy Period);
4.The City listed as an additional insured (this may be specifically limited to the
specific job(s) the contractor will be performing);
5. Minimum 30-day written notice of cancellation.
1-11. Public Entity Crimes: Award will not be made to any person or affiliate
identified on the Department of Management Services' "Convicted Vendor List". This
list is defined as consisting of persons and affiliates who are disqualified from public
contracting and purchasing process because they have been found guilty of a public
entity crime. No public entity shall award any contract to, or transact any business in
excess of the threshold amount provided in Section 287.017 Florida Statutes for
Category Two (currently$25,000)with any person or affiliated on the"Convicted Vendor
List" for a period of thirty-six (36) months from the date that person or affiliate was
placed on the "Convicted Vendor List" unless that person or affiliate has been removed
from the list. By signing and submitting the RFP NO 10-2207300 proposal forms,
Proposer attests that they have not been placed on the"Convicted Vendor List".
1-12. Code Of Ethics: If any Proposer violates or is a party to a violation of the code
of ethics of the City of Opa-Locka or the State of Florida with respect to this proposal,
such Proposer may be disqualified from performing the work described in this proposal
or from furnishing the goods or services for which the proposal is submitted and shall be
further disqualified from submitting any future proposals for work, goods or services for
the City of Opa-Locka.
1-13. Drug-Free Workplace: Preference shall be given to businesses with Drug-Free
Work Place (DFW) programs. Whenever two or more proposals which are equal with
respect to price, quality, and service are received by the City for the procurement of
commodities or contractual services, a proposal received from a business that
completes the attached DFW form certifying that it is a DFW shall be given preference
in the award process.
1-14. Termination for Convenience: A contract may be terminated in whole or in part
by the City at any time and for any reason in accordance with this clause whenever the
City shall determine that such termination is in the best interest of the City. Any such
termination shall be effected by the delivery to the contractor at least five (5) working
days before the effective date of a Notice of Termination specifying the extent to which
performance shall be terminated and the date upon which termination becomes
effective. An equitable adjustment in the contract price shall be made (if applicable) for
the completed service, but no amount shall be allowed for anticipated profit on
unperformed services.
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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
Page I7
and Finance; the U.S. Office of Management and Budget (OMB) Circular A-133; the
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 Audit 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 I8
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 Audit 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
Page J 9
Financial Report", as well as other reports and/or verifications required by the
State, if any.
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.
Page 1 10
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
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
Page 111
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
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.
Page 1 12
7. Similar Engagements with Other Government Entitles
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.
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.
Page 1 13
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
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 Audit 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. (max 25 points)
Firms fees and expenses during the audit engagement (max 20 points)
O Past experience and performance on comparable government
engagements. (max 20 points)
The firm's qualifications, size and location of assigned office. (max 15
points)
Recent, current and projected workloads of the firm. (max 10 points)
O Adequacy of Audit Approach, including proposed staffing plan for various
segments of the engagement, internal control assessment, analytical
procedures and sampling techniques. (max 5 points )
❑ Results of the most recent peer reviews of the audit firms. (max 5 points)
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.
Page 114
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 Audit Selection Committee and the City
reserve the right to request additional information or clarifications from
proposers,or to allow corrections or omissions.
VIII. ADDITIONAL CONSIDERATIONS
A. Cost of Service Requirements for Selected Auditor
City of Opa-locka, Florida is requesting that fees be in submitted proposals, however,
fees will not be the only basis in making a decision.
1. Total All-inclusive Maximum Price
The negotiated cost of services will contain all pricing information relative to performing
the audit engagement as described in this request for proposals. The total all-inclusive
maximum price is to contain all direct and indirect costs including all out-of-pocket
expenses. These prices should be determined on an annual basis for the term of the
contract. The City of Opa-locka, Florida will not be responsible for expenses incurred in
preparing and submitting the technical proposal. Such costs shall not be included.
2. Rates by Partner, Specialist, Supervisory and Staff Level Times Hours Anticipated for
each.
The selected firm will be required to provide to the Finance Director a schedule detailing
the names and levels of personnel assigned to this engagement, anticipated hours,
standard and quoted rates, and total cost by person as well as total personnel cost that
supports the total all-inclusive maximum price.
3. Out-of-pocket Expenses Included in the Total All-inclusive Maximum Price
and Reimbursement Rates.
All estimated out-of-pocket expenses for firm personnel (e.g., travel, lodging, and
subsistence) to be reimbursed should be detailed. All expense reimbursements will be
charged against the total all-inclusive maximum price submitted by the firm.
4. Rates for Additional Professional Services
If it should become necessary for City of Opa-locka, Florida to request the auditor to
render any additional services to either supplement the services requested in the
request for proposals or to perform additional work as a result of the specific
Page 115
recommendations included in any report issued on this engagement, then such
additional work shall be performed only if set forth in an addendum to the contract
between City of Opa-locka, Florida and the firm. Any such additional work agreed to
between City of Opa-locka, Florida and the firm shall be performed at the same rates
set forth in the schedule of fees and expenses included in the negotiated contract.
5. Manner of Payment
Progress payments will be made on the basis of hours of work completed during the
course of the engagement. Billings must be presented in detailed format including
hours anticipated, hours worked, rates, etc. Interim billings shall cover a period of not
less than a calendar month. Ten percent (10%) will be withheld from each billing
pending delivery of the firm's final reports.
Page 116
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:
o�.-�or•e
io o,
RFP NO: 10-2207300
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
`c CERTIFICATION REGARDING DEBARMENT,SUSPENSION
PROPOSED DEBARMENT AND OTHER MATTERS OFRESPONSIBILITY
1. The 'reposer 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
c' `s DRUG-FREE WORKPLACE CERTIFICATION FORM
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