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8 1 P a g e- AUDITING SERVICES - REQUEST FOR PROPOSAL <br />1. A general summary of the audit engagement plan including nature of interim /year- testing <br />procedures and the extent of support which will be required from City Staff (i.e. pulling invoices, <br />checks, schedule preparation, etc.) Due to the City's limited staff, the City will not be able to <br />provide copying services. <br />2. A discussion of your firm's qualifications and relevant experience including recent experience in <br />compliance auditing under the Single Audit Act. <br />3. A discussion of educational background and relevant experience of the Partner, Supervisor(s) <br />and Staff which will be assigned to this engagement. <br />4. Identify junior -level staff who would be assigned to this engagement. How stable is the team of <br />individuals in relationship to being assigned to this engagement on an annual basis? Please <br />indicate their experience. State how the quality of the junior -level staff will be assured over the <br />term of the agreement. <br />5. A summary of recent audit engagements of other similarly sized governmental agencies, <br />including individuals from five recent engagements whom we may contact for reference. <br />6. A preliminary schedule including tentative dates for completion of interim and year -end field <br />work, preparation of financial statements, footnotes, opinion letters and the management letter. <br />7. The proposer should identify and describe any anticipated potential audit problems, the firm's <br />approach to resolving these problems, and any special assistance that will be required from the <br />City. <br />8. The audit firm shall provide information on the results of any federal or state desk reviews or <br />field reviews of its audits during the past three (3) years. In addition, the audit firm shall provide <br />information on the circumstances and status of any disciplinary action taken or pending against <br />the firm during past three (3) years with state regulatory bodies or professional organizations. <br />9. A proposed budget including estimated hours for each member of the engagement team, <br />hourly billing rates, out -of- pocket expenses and a total proposed cost for each of the four <br />years. The budget must include an all- inclusive maximum price (including out -of- pocket <br />expenses) for all services outlined in section I. of this Request for Proposal. The budget should <br />be broken down by the City of Santa Ana funds, the Redevelopment Agency funds, the <br />Housing Authority funds, and all other major and non -major grant funds by each fiscal year. A <br />breakdown of the audit fee by individual reporting requirement will also be required. <br />10. A listing of billing rates, by staffing level, which would apply to any supplemental services which <br />may be requested by the City during the term of this contract. <br />C. Criteria for Selection <br />Selection of the auditor shall be based upon the following criteria: <br />1. Technical qualifications and experience of key members of the engagement team and the <br />firm. (15% of the rating) <br />2. Experience with similarly sized governmental agencies in providing the types of services <br />outlined in this Request for Proposal. (15% of the rating) <br />3. Capability of handling all aspects of the engagement as defined as well as providing <br />ongoing support and technical assistance throughout the year. (10% of the rating) <br />