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(9) CITY OF SANTA ANA <br />e. A description of the Proposer's experience in providing similar services to those <br />requested in this RFP, specifically the firm's most significant audit engagements in <br />the last three (3) years including individuals whom we may contact for reference. <br />This must include a discussion of the Proposer's qualifications and relevant <br />experience including recent experience in compliance auditing under the Single <br />Audit Act. <br />f. A list of the local office's most significant engagements in the last five (5) years, <br />indicating whether they are public or private sector, and including scope of work, <br />date, supervising actuaries, and name and telephone number of the client contact. <br />g. Data requirements from the City. <br />h. A statement that the firm is independent of the City and that it is unaware of potential <br />conflicts of interest. <br />i. An affirmative statement verifying the firm and all assigned key professional staff are <br />properly licensed to practice in California. <br />j. A copy of a report on its most recent external quality control review (peer review), <br />with a statement whether that quality control review included a review of specific <br />government engagements (required by Government Audit Standards). <br />k. Information on the results of any Federal or State desk reviews or field reviews of its <br />audits during the past three (3) years. In addition, the Proposer shall provide <br />information on the circumstances and status of any disciplinary action taken or <br />pending against the firm during the past three (3) years with State regulatory bodies <br />or professional organizations. <br />I. A description of limits on liability, if any. <br />m. A warrant that the firm maintains a prudent amount of errors and omissions <br />insurance that covers negligent acts and is applicable to the work requested in this <br />RFP. <br />n. An acknowledgement by signature that the signer is authorized to contractually bind <br />the firm. <br />o. Any pending legal actions and litigations against the firm. Legal actions against the <br />firm in the previous five years shall be included. <br />4. Work Plan <br />a. A description of the proposed work plan including nature of interim and final fieldwork <br />testing procedures, explanation of the audit methodology to be followed to perform <br />the services required of this RFP. This may include, but not be limited to discussion <br />of: <br />• Selection of sample size; <br />• Type and extent of analytical procedures to be used; <br />• Approach to gain understanding of the City's internal control structure; <br />• Approach to determining laws/regulations subject to audit test work; <br />• Approach to identifying any anticipated audit problems and the firm's <br />approach to resolving these problems; <br />• Approach to communicating audit findings to City staff; and <br />• Ability to perform work remotely under a special circumstance. <br />RFP No. 21-024 Professional Auditing Services Page 11 of 34 <br />