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PSA with RSM US LLP
>')Gi,f- moo, �� 3 v.0 I PROFESSIONAL SERVICES AGREEMENT BETWEEN THE CITY OF MIAMI BEACH AND RSM US LLP FOR CITYWIDE FRAUD RISK ASESSMENT, PURSUANT TO RFQ 2017-290-WG This Professional Services Agreement ("Agreement") is entered into this j day of November, 2018, between the CITY OF MIAMI BEACH, FLORIDA, a municipal corporation organized and existing under the laws of the State of Florida, having its principal offices at 1700 Convention Center Drive, Miami Beach, Florida, 33139 ("City"), and RSM US LLP, whose address is One South Wacker Drive, Suite 800 Chicago, IL 60606 ("Consultant"). SECTION 1 DEFINITIONS Agreement: This Agreement between the City and Consultant, including any exhibits and amendments thereto. City Manager: The chief administrative officer of the City. City Manager's Designee: The City staff member who is designated by the City Manager to administer this Agreement on behalf of the City. Consultant: For the purposes of this Agreement, Consultant shall be deemed to be an independent contractor, and not an agent or employee of the City. Services: - All services, work and actions by the Consultant performed or undertaken pursuant to the Agreement. Fee: Amount paid to the Consultant as compensation for Services. Proposal Documents: Proposal Documents shall mean City of Miami Beach RFQ No. 2017-290- WG for Citywide Fraud Risk Assessment, together with all amendments thereto, issued by the City in contemplation of this Agreement, RFQ and the Consultant's proposal in response thereto ("Proposal"), all of which are hereby incorporated and made a part hereof; provided, however, that in the event of an express conflict between the Proposal Documents and this Agreement, the following order of precedent shall prevail: this Agreement; the RFQ and the Proposal. Risk Manager: The Risk Manager of the City, with offices at 1700 Convention Center Drive, Third Floor, Miami Beach, Florida 33139; telephone number (305) 673-7000, Ext. 6515; and fax number(305) 673-7023. 1 SECTION 2 SCOPE OF SERVICES 2.1 In consideration of the Fee to be paid to Consultant by the City, Consultant shall provide the work and services described in the Proposal attached as Exhibit"A" hereto (the"Services"). Although Consultant may be provided with a schedule of the available hours to provide its services, the City shall not control nor have the right to control the hours of the services performed by the Consultant; where the services are performed (although the City will provide Consultant with the appropriate location to perform the services); when the services are performed, including how many days a week the services are performed; how the services are performed, or any other aspect of the actual manner and means of accomplishing the services provided. Notwithstanding the foregoing, all services provided by the Consultant shall be performed in accordance with the specifications set forth in Exhibit "A". If there are any questions regarding the services to be performed, Consultant should contact the following person: Mark Coolidge, Interim Internal Auditor Office of Internal Audit 1700 Convention Center Drive Miami Beach, FL 33139 (305) 673-7000 Ext 6149 2.2 Consultant's Services and any deliverables incident thereto, shall be completed in accordance with the timeline and/or schedule in the applicable Consultant Service Order. Consultant Service Orders must include a detailed list of tasks, sub-tasks, and deliverables (Collectively the Scope) that are consistent with the work and services described Exhibit "A" of this Agreement. 2.3 Consultant shall only commence any Services, or portions thereof, upon issuance of a Consultant Service Order executed by the City Manager or corresponding Department's Director pursuant to the requirements in section 4.2 of this Agreement. Please refer to Consultant Service Order form attached as Exhibit B. SECTION 3 TERM The term of this Agreement ("Term") shall commence upon execution of this Agreement by all parties hereto, and shall have an initial term of one (1) year, with two (2) additional one-year renewal options, to be exercised at the City Manager's sole option and discretion, by providing Consultant with written notice of such request no less than thirty (30) days prior to the expiration of the term. Consultant shall provide its agreement to extend the Agreement within ten (10) business days of its receipt of the City Manager's written notice. Notwithstanding the Term provided herein, Consultant shall adhere to any specific timelines, schedules, dates, and/or performance milestones for completion and delivery of the Services, as same is/are set forth in the timeline and/or schedule referenced in Exhibit A hereto. 2 SECTION 4 FEE 4.1 In consideration of the Services to be provided, Consultant shall be compensated through individual Consultant Service Order(s) issued for a particular Project, at a blended hourly rate of $155.00. Notwithstanding the preceding, the total fee paid to Consultant pursuant to this Agreement shall be subject to funds availability approved through the City's budgeting process. 4.2 At the time of negotiation of each Consultant Service Order, City and Consultant will determine the tasks, sub-tasks, and deliverables applicable to the Project based on the list of Services associated with each Consultant Service Order. Consultant shall not commence any Services or Additional Services unless approved in writing in advance by the City Manager or the corresponding Department's Director. 4.3 The corresponding Department Director shall have the delegated authority to execute Consultant Service Orders up to an amount not-to-exceed $50,000.00. Any Consultant Service Orders in excess of $50,000.00 must be executed by the City Manager. Any Consultant Service Order not executed in accordance herewith shall be null and void. 4.4 Reimbursable Expenses are an allowance set aside by the City and shall include actual expenditures made by the Consultant in the interest of the Project, provided such expenses are authorized in advance by the City in a Consultant Service Order. The Reimbursable Expenses allowance, as specified herein, belongs to, and shall be controlled by the City (i.e., unused portions will be retained by the City and shall not be paid to Consultant). Only approved travel-related expenses authorized by a Consultant Service Order will be reimbursed to the Consultant, in an amount not-to-exceed the agreed-upon amount reflected on the corresponding Consultant Service Order, and in accordance with City-wide Procedure OD. 20.01 (Travel on City Business), as may be updated by the City from time to time ("Reimbursable Expenses"). Notwithstanding the above, any Reimbursable Expenses must be authorized, in advance, in writing, by the City Manager or corresponding Department's Director. Invoices or vouchers for Reimbursable Expenses shall be submitted to the corresponding Department's Director (along with any supporting receipts and other back-up material required to support the amount invoiced, and as requested by the corresponding Department's Director). Consultant shall certify as to each such invoice and/or voucher that the amounts and items claimed as reimbursable are "true and correct and in accordance with the Agreement." Only actual amounts incurred and paid (requiring proof of payment) by the Consultant shall be invoiced, without any markups and/or additions. 3 The completion of the Citywide Fraud Risk Assessment for all City departments is estimated by RSM to be as follows: Phase 1: Planning & Scopinq Phase 1: Information Gathering $22,082 Phase 2: Facilitative Sessions & Interviews Phase 2: Analysis & Evaluation $50,348 Phase 3: Vetting with the City Phase 3: Communication with Management Phase 3: Reporting $15,900 TOTAL $ 88,330 4.5 INVOICING Upon receipt of an acceptable and approved invoice, payment(s) shall be made within forty-five (45) days for that portion (or those portions) of the Services satisfactorily rendered (and referenced in the particular invoice). Invoices shall include a detailed description of the Services (or portions thereof) provided, and shall be submitted to the City at the following address: Internal Audit Department City of Miami Beach 1700 Convention Center Drive, 3rd Floor Miami Beach, FL 33139 SECTION 5 TERMINATION 5.1 TERMINATION FOR CAUSE If the Consultant shall fail to fulfill in a timely manner, or otherwise violates, any of the covenants, agreements, or stipulations material to this Agreement, the City, through its City Manager, shall thereupon have the right to terminate this Agreement for cause. Prior to exercising its option to terminate for cause, the City shall notify the Consultant in writing of its violation of the particular term(s) of this Agreement, which notice shall include specific details regarding such breach, and shall grant Consultant ten (10) days to cure such default, or another time period mutually agreed to by the parties based on the nature and complexity of the non- conformance. Consultant's obligation will be to correct any nonconformance with this warranty. In the event Consultant cannot correct the nonconformance within the agreed upon time period, Consultant shall refund to the City the amount paid to Consultant for the nonconforming portion of the Services or deliverables If such default remains uncured after ten (10) days, the City may terminate this Agreement without further notice to Consultant. Upon termination, the City shall be fully discharged from any and all liabilities, duties, and terms arising out of, or by virtue of, this Agreement. 4 Consultant may terminate this Agreement upon reasonable written notice to the City where continued performance would be contrary to applicable law, rule or regulation. Notwithstanding the above, the City reserves its right to seek any remedy available to it at law or in equity. The City, at its sole option and discretion, shall be entitled to bring any and all legal/equitable actions that it deems to be in its best interest in order to enforce the City's right and remedies against Consultant. The prevailing party in any such action shall be entitled to recover all of its reasonable attorneys' fees and costs from the non-prevailing party. 5.2 TERMINATION FOR CONVENIENCE OF THE CITY THE CITY MAY ALSO, THROUGH ITS CITY MANAGER, AND FOR ITS CONVENIENCE AND WITHOUT CAUSE, TERMINATE THE AGREEMENT AT ANY TIME DURING THE TERM BY GIVING WRITTEN NOTICE TO CONSULTANT OF SUCH TERMINATION; WHICH SHALL BECOME EFFECTIVE WITHIN THIRTY (30) DAYS FOLLOWING RECEIPT BY THE CONSULTANT OF SUCH NOTICE. IF THE AGREEMENT IS TERMINATED FOR CONVENIENCE BY THE CITY, CONSULTANT SHALL BE PAID FOR ANY SERVICES SATISFACTORILY PERFORMED UP TO THE DATE OF TERMINATION; FOLLOWING WHICH THE CITY SHALL BE DISCHARGED FROM ANY AND ALL LIABILITIES, DUTIES, AND TERMS ARISING OUT OF, OR BY VIRTUE OF, THIS AGREEMENT. 5.3 TERMINATION FOR INSOLVENCY The City also reserves the right to terminate the Agreement in the event the Consultant is placed either in voluntary or involuntary bankruptcy or makes an assignment for the benefit of creditors. In such event, the right and obligations for the parties shall be the same as provided for in Section 5.2. SECTION 6 INDEMNIFICATION AND INSURANCE REQUIREMENTS 6.1 INDEMNIFICATION Consultant agrees to indemnify and hold harmless the City of Miami Beach and its officers, employees, agents, and contractors, from and against any and all third party actions (whether at law or in equity), claims, liabilities, losses, and expenses, including, but not limited to, reasonable attorneys' fees and costs, for personal, economic or bodily injury, wrongful death, loss of or damage to property, which may arise or be alleged to have arisen from the negligent acts, errors, omissions or other wrongful conduct of the Consultant, its officers, employees, agents, contractors, or any other person or entity acting under Consultant's control or supervision, in connection with, related to, or as a result of the Consultant's performance of the Services pursuant to this Agreement. To that extent, the Consultant shall pay all such sums arising from third party claims and losses and shall pay all such costs and judgments which may issue from any lawsuit arising from such third party claims and losses, and shall pay all costs and reasonable attorneys' fees expended by the City in the defense of such third party claims and losses, including appeals. The Consultant expressly understands and agrees that any insurance protection required by this Agreement or otherwise provided by the Consultant shall 5 in no way limit the Consultant's responsibility to indemnify, keep and save harmless the City or its officers, employees, agents and instrumentalities as herein provided. The parties agree that one percent (1%) of the total compensation to Consultant for performance of the Services under this Agreement is the specific consideration from the City to the Consultant for the Consultant's indemnity agreement. The provisions of this Section 6.1 and of this indemnification shall survive termination or expiration of this Agreement. 6.2 INSURANCE REQUIREMENTS The Consultant shall maintain and carry in full force during the Term, the following insurance: 1. Commercial General Liability, in the amount of $1,000,000 per occurrence and $2,000,000 in the aggregate: 2. Professional Liability, in the amount of$1,000,000 per claim; and 3. Workers Compensation & Employers Liability, as required pursuant to Florida Statutes. The insurance must be furnished by insurance companies authorized to do business in the State of Florida. All insurance policies must be issued by companies rated no less than "B+" as to management and not less than "Class VI" as to strength by the latest edition of Best's Insurance Guide, published by A.M. Best Company, Oldwick, New Jersey, or its equivalent. Consultant agrees that it will provide written notice to the City at least thirty (30) days prior to termination, cancellation or non-renewal of the policies required under this Agreement where such termination, cancellation or non-renewal does not result in equal or greater coverage. Consultant shall include the City as an additional insured under its Commercial General Liability policy via a blanket endorsement and shall include a waiver of subrogation In favor of the City via a blanket endorsement under its Commercial General Liability policy. Standard industry ACORD certificates of insurance must be submitted to the City's Risk Manager for approval (prior to any work and/or services commencing) and will be kept on file in the Office of the Risk Manager. The Consultant is also solely responsible for obtaining and submitting all insurance certificates for any sub-consultants. Compliance with the foregoing requirements shall not relieve the Consultant of the liabilities and obligations under this Section or under any other portion of this Agreement. The Consultant shall not commence any work and or services pursuant to this Agreement until all insurance required under this Section has been obtained and such insurance has been approved by the City's Risk Manager. 6 SECTION 7 LITIGATION JURISDICTIONNENUE/JURY TRIAL WAIVER This Agreement shall be construed in accordance with the laws of the State of Florida. This Agreement shall be enforceable in Miami-Dade County, Florida, and if legal action is necessary by either party with respect to the enforcement of any or all of the terms or conditions herein, exclusive venue for the enforcement of same shall lie in Miami-Dade County, Florida. By entering into this Agreement, Consultant and the City expressly waive any rights either party may have to a trial by jury of any civil litigation related to or arising out of this Agreement. SECTION 8 LIMITATION OF LIABILITY The City desires to enter into this Agreement only if in so doing the City can place a limit on the City's liability for any cause of action, for money damages due to an alleged breach by the City of this Agreement, so that its liability for any such breach never exceeds the sum of the compensation/fee to be paid to the Consultant pursuant to this Agreement, less any amounts actually paid by the City as of the date of the alleged breach. Consultant hereby expresses its willingness to enter into this Agreement with Consultant's recovery from the City for any damages from any action for breach of contract to be limited to a maximum amount of the compensation/fee to be paid to the Consultant pursuant to this Agreement, less any amounts actually paid by the City as of the date of the alleged breach. The Consultant desires to enter into this Agreement only if in so doing the Consultant can place a limit on its liability for any claim or action arising in connection with this Agreement, excluding any insurance proceeds under the policies and insurance coverage provided pursuant to Section 6.2. The Consultant hereby expresses its willingness to enter this Agreement with the City's recovery from Consultant, for any claim or damages from any action to be limited to a maximum amount of the compensation/fee to be paid or payable to the Consultant pursuant to the Agreement, excluding any insurance policy limits in the amounts as provided in Section 6.2. Accordingly, and notwithstanding any other term or condition of this Agreement, the City and Consultant each hereby agrees that it shall not be liable to the other for damages except as provided herein. Nothing contained in this section or elsewhere in this Agreement is in any way intended to be a waiver of the limitation placed upon the City's liability, as set forth in Section 768.28, Florida Statutes. 7 SECTION 9 DUTY OF CARE/COMPLIANCE WITH APPLICABLE LAWS/PATENT RIGHTS; COPYRIGHT AND CONFIDENTIAL FINDINGS 9.1 DUTY OF CARE With respect to the performance of the work and/or service contemplated herein, Consultant shall exercise that degree of skill, care, efficiency and diligence normally exercised by reasonable persons and/or recognized professionals with respect to the performance of comparable work and/or services. 9.2 COMPLIANCE WITH APPLICABLE LAWS In its performance of the work and/or services, Consultant shall comply with all applicable laws, ordinances, and regulations of the City, Miami-Dade County, the State of Florida, and the federal government, as applicable. 9.3 PATENT RIGHTS; COPYRIGHT; CONFIDENTIAL FINDINGS Any work product, as defined below, arising out of this Agreement, as well as all information specifications, processes, data and findings, are intended to be the property of the City and shall not otherwise be made public and/or disseminated by Consultant, without the prior written consent of the City Manager, excepting any information, records etc. which are required to be disclosed pursuant to Court Order and/or Florida Public Records Law. The term "work product" shall mean all those custom-developed reports, documents, articles, devices, and/or work produced in whole or in part under this Agreement by Consultant specifically for the City pursuant to Exhibit A. For avoidance of doubt, work product does not include Consultant's administrative communications, records, files, methodologies, processes and working papers relating to the Services which remain the sole and exclusive property of Consultant. Subject to the terms and conditions here, all work product is intended to be the sole and exclusive property of the City, and shall not be subject to any application for copyright or patent by or on behalf of the Consultant or its employees or sub-consultants, without the prior written consent of the City Manager. Notwithstanding any other provisions set forth herein, Consultant reserves all rights in and to all proprietary works of authorship created, developed or purchased by Consultant or any third party under contract to Consultant that have not been created specifically for the City and/or have general applicability to Consultant's business, whether they were created prior to or during the term of this Agreement, including without limitation, methodologies, templates and documentation, as well as copyrights, trademarks, service marks, ideas, concepts, know-how, techniques, knowledge or data, and any derivatives thereof (collectively, "Consultant Information"). To the extent that Consultant incorporates any Consultant Information into the work product, upon final payment for the Services and work product under this Agreement, Consultant hereby grants to the City a nonexclusive, nontransferable license to use such Consultant Information solely for internal purposes and solely in connection with the City's use of the work product in the normal course of business. 8 SECTION 10 GENERAL PROVISIONS 10.1 AUDIT AND INSPECTIONS Upon reasonable written notice to Consultant, and at any time during normal business hours (i.e. 9AM — 5PM, Monday through Fridays, excluding nationally recognized holidays), on an annual basis the City Manager may, in his/her reasonable discretion and judgment as he/she may deem necessary, request that Consultant make available to the City Manager, and/or such representatives as the City Manager may deem to act on the City's behalf, to audit, examine, and/or inspect, any and all other documents and/or records relating to Consultant's services provided to the City under this Agreement, including, without limitation, billing and expense records. Consultant shall maintain any and all such records for seven (7) years following the termination or expiration of this Agreement. 10.2 [INTENTIONALLY DELETETD] 10.3 ASSIGNMENT, TRANSFER OR SUBCONSULTING Consultant shall not subcontract, assign, or transfer all or any portion of any work and/or service under this Agreement without the prior written consent of the City Manager, which consent, if given at all, shall be in the Manager's sole judgment and discretion. Neither this Agreement, nor any term or provision hereof, or right hereunder, shall be assignable unless as approved pursuant to this Section, and any attempt to make such assignment (unless approved) shall be void. 10.4 PUBLIC ENTITY CRIMES Prior to commencement of the Services, the Consultant shall file a State of Florida Form PUR 7068, Sworn Statement under Section 287.133(3)(a) Florida Statute on Public Entity Crimes with the City's Procurement Division. 10.5 NON-DISCRIMINATION In connection with the performance of the Services, the Consultant shall not exclude from participation in, deny the benefits of, or subject to discrimination anyone on the grounds of race, color, national origin, sex, age, disability, religion, income or family status. Additionally, Consultant shall comply fully with the City of Miami Beach Human Rights Ordinance, codified in Chapter 62 of the City Code, as may be amended from time to time, prohibiting discrimination in employment, housing, public accommodations, and public services on account of actual or perceived race, color, national origin, religion, sex, intersexuality, gender identity, sexual orientation, marital and familial status, age, disability, ancestry, height, weight, domestic partner status, labor organization membership, familial situation, or political affiliation. 9 10.6 CONFLICT OF INTEREST Consultant herein agrees to adhere to and be governed by all applicable Miami-Dade County Conflict of Interest Ordinances and Ethics provisions, as set forth in the Miami-Dade County Code, as may be amended from time to time; and by the City of Miami Beach Charter and Code, as may be amended from time to time; both of which are incorporated by reference as if fully set forth herein. Consultant covenants that it presently has no interest and shall not knowingly acquire any interest, directly or indirectly, which conflicts in any manner or degree with the performance of the Services. Consultant further covenants that in the performance of this Agreement, Consultant shall not knowingly employ and assign to work under this Agreement any person having any such interest. No member of or delegate to the Congress of the United States shall be admitted to any share or part of this Agreement or to any benefits arising therefrom. 10.7 CONSULTANT'S COMPLIANCE WITH FLORIDA PUBLIC RECORDS LAW (A) Consultant shall comply with Florida Public Records law under Chapter 119, Florida Statutes, as may be amended from time to time. (B) The term "public records" shall have the meaning set forth in Section 119.011(12), which means all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of the physical form, characteristics, or means of transmission, made or received pursuant to law or ordinance or in connection with the transaction of official business of the City. (C) Pursuant to Section 119.0701 of the Florida Statutes, if the Consultant meets the definition of"Contractor" as defined in Section 119.0701(1)(a), the Consultant shall: (1) Keep and maintain public records required by the City to perform the service; (2) Upon request from the City's custodian of public records, provide the City with a copy of the requested records or allow the records to be inspected or copied within a reasonable time at a cost that does not exceed the cost provided in Chapter 119, Florida Statutes or as otherwise provided by law; (3) Ensure that public records that are exempt or confidential and exempt from public records disclosure requirements are not disclosed, except as authorized by law, for the duration of the contract term and following completion of the Agreement if the Consultant does not transfer the records to the City; (4) Upon completion of the Agreement, transfer, at no cost to the City, all public records in possession of the Consultant or keep and maintain public records required by the City to perform the service. If the Consultant transfers all public records to the City upon completion of the Agreement, the Consultant shall destroy any duplicate public records that are exempt or confidential and exempt from public records disclosure requirements. If the Consultant keeps and maintains public records upon completion of the Agreement, the Consultant shall meet all applicable requirements for retaining public records. All records stored electronically must be provided to the City, upon request from the City's custodian of public records, in a format that is compatible with the information technology systems of the City. (D) REQUEST FOR RECORDS; NONCOMPLIANCE. 10 (1) A request to inspect or copy public records relating to the City's contract for services must be made directly to the City. If the City does not possess the requested records, the City shall immediately notify the Consultant of the request, and the Consultant must provide the records to the City or allow the records to be inspected or copied within a reasonable time. (2) Consultant's failure to comply with the City's request for records shall constitute a breach of this Agreement, and the City, at its sole discretion, may: (1) unilaterally terminate the Agreement; (2) avail itself of the remedies set forth under the Agreement; and/or(3) avail itself of any available remedies at law or in equity. (3) A Consultant who fails to provide the public records to the City within a reasonable time may be subject to penalties under s. 119.10. (E) CIVIL ACTION. (1) If a civil action is filed against a Consultant to compel production of public records relating to the City's contract for services, the court shall assess and award against the Consultant the reasonable costs of enforcement, including reasonable attorney fees, if: a. The court determines that the Consultant unlawfully refused to comply with the public records request within a reasonable time; and b. At least 8 business days before filing the action, the plaintiff provided written notice of the public records request, including a statement that the Consultant has not complied with the request, to the City and to the Consultant. (2) A notice complies with subparagraph (1)(b) if it is sent to the City's custodian of public records and to the Consultant at the Consultant's address listed on its contract with the City or to the Consultant's registered agent. Such notices must be sent by common carrier delivery service or by registered, Global Express Guaranteed, or certified mail, with postage or shipping paid by the sender and with evidence of delivery, which may be in an electronic format. (3) A Consultant who complies with a public records request within 8 business days after the notice is sent is not liable for the reasonable costs of enforcement. (F) IF THE CONSULTANT HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUTES, TO THE CONSULTANT'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS AGREEMENT, CONTACT THE CUSTODIAN OF PUBLIC RECORDS AT: CITY OF MIAMI BEACH ATTENTION: RAFAEL E. GRANADO, CITY CLERK 1700 CONVENTION CENTER DRIVE MIAMI BEACH, FLORIDA 33139 E-MAIL: RAFAELGRANADOan.MIAMIBEACHFL.GOV PHONE: 305-673-7411 11 SECTION 11 NOTICES All notices and communications in writing required or permitted hereunder, shall be delivered personally to the representatives of the Consultant and the City listed below or may be mailed by U.S. Certified Mail, return receipt requested, postage prepaid, or by a nationally recognized overnight delivery service. Until changed by notice, in writing, all such notices and communications shall be addressed as follows: TO CONSULTANT: Donnovan Maginley, Partner RSM US LLP One South Wacker Drive, Suite 800 Chicago, IL 60606 With a copy to: Office of the General Counsel RSM US LLP 200 South Wacker Drive, Suite 3900 Chicago, IL 60606 TO CITY: Mark Coolidge, Interim Internal Auditor Office of Internal Audit 1700 Convention Center Drive Miami Beach, Fl 33139 Notice may also be provided to any other address designated by the party to receive notice if such alternate address is provided via U.S. certified mail, return receipt requested, hand delivered, or by overnight delivery. In the event an alternate notice address is properly provided, notice shall be sent to such alternate address in addition to any other address which notice would otherwise be sent, unless other delivery instruction as specifically provided for by the party entitled to notice. Notice shall be deemed given on the date of an acknowledged receipt, or, in all other cases, on the date of receipt or refusal. SECTION 12 MISCELLANEOUS PROVISIONS 12.1 CHANGES AND ADDITIONS This Agreement cannot be modified or amended without the express written consent of the parties. No modification, amendment, or alteration of the terms or conditions contained herein shall be effective unless contained in a written document executed with the same formality and of equal dignity herewith. 12 12.2 SEVERABILITY If any term or provision of this Agreement is held invalid or unenforceable, the remainder of this Agreement shall not be affected and every other term and provision of this Agreement shall be valid and be enforced to the fullest extent permitted by law. 12.3 ENTIRETY OF AGREEMENT The City and Consultant agree that this is the entire Agreement between the parties regarding the subject matter of the Services included at Exhibit A. This Agreement supersedes all prior negotiations, correspondence, conversations, agreements or understandings applicable to the matters contained herein, and there are no commitments, agreements or understandings concerning the subject matter of this Agreement that are not contained in this document. Title and paragraph headings are for convenient reference and are not intended to confer any rights or obligations upon the parties to this Agreement. [REMAINDER OF THIS PAGE LEFT INTENTIONALLY BLANK] 13 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their appropriate officials, as of the date first entered above. FOR CITY: CITY OF MIAMI BEACH, FLORIDA ATTEST: By -—; Cit lerk !� ' ' Anogor La./or Date: NOV 2 8 2011 <4,-) AJ FOR CONSULTANT: RSM US LLP ATTEST: /let Print Name and Title Print Name and Title Date: L4 I A/ I i APPROVED AS TO FORM &LANGUAGE &FOR EXECUTION film\ — ib\ic\t City Attorney Rftp Date 14 EXHIBIT A SCOPE OF SERVICES Perform City-wide fraud risk assessment which should include: • Identifying inherent fraud risks affecting the city operations • Assessing the likelihood and impact of inherent fraud risks • Determining fraud risk tolerance • Examining the suitability of existing fraud controls and prioritizes residual fraud risks • Documenting the City's fraud risk profile. This assessment is to cover all areas of the city operations with the focus on fraud risks. Risk areas identified will be used by the Office of Internal Audit to determine the necessity and planning of future audits. Deliverables would include a report summarizing the above points and providing the City with those areas where the City is most vulnerable to fraud and what activities put it at the greatest risk. The approach and methodology for execution of the key elements identified above for this City-wide fraud risk assessment will be in accordance to our response submitted on December 22 2017 for Request for Qualifications 2017-290-WG. 15 EXHIBIT B PROFESSIONAL SERVICES AGREEMENT BETWEEN THE CITY OF MIAMI BEACH AND RSM US LLP CONSULTANT SERVICE ORDER FORM Service Order No. for Consulting Services. TO: PROJECT NAME: DATE: SCOPE OF SERVICES: Per attached proposal dated , to be considered part of this Agreement. Estimated calendar days to complete this work: Days Change Order_to Service Order Amount: (ALL CHANGE ORDERS MUST BE APPROVED IN WRITING $ BY THE CITY PRIOR TO THE WORK.) Total From Previous Change Orders to Service Orders: $ Fee for this Service Order is Lump Sum/Not to Exceed amount $ of: Total Agreement to Date: $ City's Project Administrator Date Department Director Date RSM US LLP. Date City Manager Date 16 ATTACHMENT A RESOLUTION COMMISSION ITEMS AND COMMISSION MEMORANDUM RESOLUTION NO. 201840263 A RESOLUTION OF THE MAYOR AND CITY COMMISSION OF THE CITY OF MIAMI BEACH, FLORIDA, ACCEPTING THE RECOMMENDATION OF THE CITY MANAGER, PURSUANT TO REQUEST FOR QUALIFICATIONS NO. 2017.290-WG, FOR CITY WIDE FRAUD RISK ASSESSMENT; AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH RSM US LLP, AS THE TOP RANKED PROPOSER; FURTHER, IF THE ADMINISTRATION IS NOT SUCCESSFUL IN NEGOTIATING AN AGREEMENT WITH RSM US LIP, AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH PLANTE AND MORAN, PLLC, AS THE SECOND RANKED PROPOSER; FURTHER, IF THE ADMINISTRATION IS NOT SUCESSFUL IN NEGOTIATING AN AGREEMENT WITH PLANTE AND MORAN, PLLC; AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH BAKER TILLY VIRCHOW KRAUSE, LLP, AS THE THIRD RANKED PROPOSER; AND FURTHER AUTHORIZING THE MAYOR AND CITY CLERK TO EXECUTE AN AGREEMENT UPON CONCLUSION OF SUCCESSFUL NEGOTIATIONS BY THE ADMINISTRATION. WHEREAS, on July 26, 2017, the Mayor and City Commission authorized the Issuance of Request for Qualifications (RFQ)2017-290-WO for City Wide Fraud Risk Assessment; and WHEREAS, on July 27, 2017, RFQ No. 2017-290-WG for City Wide Fraud Risk Assessment(the RFQ)was issued; and WHEREAS, on December 22, 2017,the City received proposals from the following nine (9) firms: Baker Tilly Virchow Krause, LLP, Berkeley Research Group, LLC, Carr, Riggs and Ingram, LLC, Exiger LLC, Marsh Minick, P.C., Maroum LLP, Plante and Moran, PLLC, RSM US LLP and Sierra Forensic Group; and WHEREAS, Exiger LLC, asked to be withdrawn from further consideration; and WHEREAS, the Evaluation Committee appointed by the City Manager pursuant to LTC# 056-2018 convened on March 9, 2018,to consider the responsive proposals received;and WHEREAS, the Committee was provided an overview of the project, information relative to the City's Cone of Silence Ordinance and the Government Sunshine Law, general information • on the scope of services and a copy of each proposal; and WHEREAS, the Committee was instructed to score and rank each proposal pursuant to the evaluation criteria established in the RFQ; and WHEREAS, the evaluation process resulted in the ranking of proposers as follows: RSM US LLP, as the top ranked proposer; Plante and Moran,PLLC, as the second ranked proposer; Baker Tilly Virchow Krause, LLP, as the third ranked proposer,Berkeley Research Group, LLC, as the forth ranked proposer; Marcum LIP, as the sixth ranked proposer; Sierra Forensic Group, as the seventh ranked proposer, and Marsh Minick P.C., as the eighth ranked proposer, and WHEREAS, after reviewing all of the submissions and the Evaluation Committee's rankings, the City Manager exercised his due diligence and is recommending that the Administration be authorized to enter Into negotiations with RSM US LLP, as the top ranked proposer and if unsuccessful in negotiating an agreement with RSM US LLP; authorizing the Administration to enter into negotiations with Plante and Moran, PLLC, as the second ranked proposer; and if unsuccessful in negotiating an agreement with Plante and Moran, PLLC; authorizing the Administration to enter into negotiations with Baker Tilly Virchow Krause, LLP, as the third ranked proposer; and further authorizing the Mayor and City Clerk to execute an agreement upon conclusion of successful negotiations. NOW, THEREFORE, BE IT DULY RESOLVED BY THE MAYOR AND CITY COMMISSION OF THE CITY OF MIAMI BEACH, FLORIDA, that the Mayor and City Commission hereby accept the recommendation of the City Manager, pursuant to Request for Qualifications No. 2017-290-WG, for City Wide Fraud Risk Assessment authorize the Administration to enter into negotiations with RSM US LLP, as the top ranked proposer;further, If the Administration Is not successful in negotiating an agreement with RSM US LLP; authorize the Administration to enter into negotiations with Plante and Moran, PLLC, as the second ranked proposer; further, if the Administration is not successful in negotiating an agreement with Plante and Moran, PLLC; authorize the Administration to enter into negotiations with Baker Tilly Virchow Krause, LLP, as the third ranked proposer; and further authorize the Mayor and City Clerk to execute an agreement upon conclusion of successful negotiations by the Administration. A PASSED AND ADOPTED this 1/ day of Hirt I 2018. ATTEST: JEST: E. G rt, if FAEL E. GRANA O,CITY CLERK DAN G BER, MAYOR T.WOENDA\1018\01 Janua-MARF02017-163-WG Untlerwritlng Salcea1RF02017-133-WG-RESO v2 11 1717.doc BEA AS TO _\v`% %%%%%%%%%% W •• 1Cr. FORRDEftECUTION `� :,. 1� k "2_ t.1 3 -Zd—Iv " \INCORP (RATED: • t0 �- i� '••.• \- ;OJ= GNAltaneY 0x4 ' Resolutions- C7 Q MIAMI BEACH COMMISSION MEMORANDUM TO: Honorable Mayor and Members of the City Commission FROM: Jimmy L. Morales, City Manager DATE: April 11, 2018 SUBJECT:A RESOLUTION OF THE MAYOR AND CITY COMMISSION OF THE CITY OF • MIAMI BEACH, FLORIDA, ACCEPTING THE RECOMMENDATION OF THE CITY MANAGER, PURSUANT TO REQUEST FOR QUALIFICATIONS NO.2017-290-WG, FOR CITY WIDE FRAUD RISK ASSESSMENT; AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH RSM US LLP,AS THE TOP RANKED PROPOSER; FURTHER, IF THE ADMINISTRATION IS NOT SUCCESSFUL IN NEGOTIATING AN AGREEMENT WITH RSM US LLP, AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH PLANTE AND MORAN, PLLC, AS THE SECOND RANKED PROPOSER; FURTHER, IF THE ADMINISTRATION IS NOT SUCCESSFUL IN NEGOTIATING AN AGREEMENT WITH PLANTE AND MORAN, PLLC; AUTHORIZING THE ADMINISTRATION TO ENTER INTO NEGOTIATIONS WITH BAKER TILLY VIRCHOW KRAUSE, LLP, AS THE THIRD RANKED PROPOSER; AND FURTHER AUTHORIZING THE MAYOR AND CITY CLERK TO EXECUTE AN AGREEMENT UPON CONCLUSION OF SUCCESSFUL NEGOTIATIONS BY THE ADMINISTRATION. RECOMMENDATION Adopt the Resolution. ANALYSIS The City's recent fraud concerning the missing $3.6 million from inproper ACH disbursements triggered a separate audit and fraud assessment of the City's Treasury and ACH disbursements by an outside firm, BDO Consulting. During their review they identified potential vulnerabilities In other departments and functions of the City. The consulting firm reconme/ded that in order to fully understand, identify, assess and evaluate the City's overall fraud risk, that the City should have a city-wide fraud risk assessment performed and mitigating internal controls, procedures; and policies should be documented and implemented. As a result of the report presented to the Audit Connittee meeting on May 22, 2017, the Committee requested the City seek an external auditor(consultant)to performs City wide risk assessment. The Audit Committee assisted with the scope preparation and was to participate in the selection process. The selected consulting firm shall perform City wide fraud risk assessment which should include: • Identifying inherent fraud risks affecting the city operations • Assessing the likelihood and irrpact of inherent fraud risks • Determining fraud risk tolerance 645 • Examining the suitability of wasting fraud controls and prioritizes residual fraud risks • Documenting the city's fraud risk profile. This assessment was to cover all areas of the City operations with the focus on fraud risks. High risk areas identified will be used by the internal audit to target the future planning of audits. Additionally, the deliverables would include a report summarizing the above points and providing the City with those areas where the City is most vulnerable to fraud and what activities put it at the greatest risk. To seek proposals for the desired services, the Administration prepared Request for Qualifications 2017-290-WG for City Wide Fraud Risk Assessment. RFQ PROCESS On July 26, 2017, the Mayor and City Commission authorized the issuance of Request for Qualifications (RFQ) 2017-290-WG for City Wide Fraud Risk Assessment. RFQ responses were due and received on July 27, 2017. The Procurement Department issued solicitation notices to 1640 firms utilizing publicpurchase.com. 116 prospective proposers accessed the advertised solicitation. The City received proposals from the following nine (9) firs: Baker Tilly Virchow Krause, LLP, Berkeley Research Group, LLC, Carr, Riggs and Ingram, LLC, Exiger LLC, Marsh Minick, P.C., Marcum LLP, Plante and Moran, PLLC, RSM US LLP and Sierra Forensic Group. Subsequent to the receipt of proposals, Ebger LLC, requested its proposal be withdrawn from consideration. The Evaluation Committee appointed by the City Manager pursuant to LTC#056-2018 convened on March 9, 2018, to consider the responsive proposals received. The Committee comprised of Mark Coolidge, Interim Internal Auditor, Office of Internal Audit, City of Miami Beach, Marc Gidney, CPA, Audit Conmittee, Bryan Rosenfeld, CPA, Audit Committee, Ronald Starkman, Chair, Audit Committee, Deede Weithom, CPA, Audit Committee and John Woodruff, Director, Finance Department, City of Miami Beach. The Committee was provided an overview of the project, information relative to the City's Cone of Silence Ordinance and the Government Sunshine Law. The Corrmittee was also provided with general information on the scope of services and a copy of each proposal. The Committee was instructed to score and rank each proposal pursuant to the evaluation criteria established in the RFQ. The evaluation process resulted in the ranking of proposers as Indicated in Attachment A, in the following order: 1st RSM US LLP 2nd Plant and More, PLLC 3rd Baker Tilly Virchow Krause, LLP 4th Berkeley Research Group, LLC 5th Marcum LLP 6th Carr, Riggs and Ingram, LLC 7th Sierra Forensic Group 8th Marsh Minick P.C. A brief description of the three top-ranked proposals, as provided in each firm's proposal submittal, follows. RSM U$ RSM Is a large audit, tax and consulting firm which combines local presence and national strength that assures that the City will receive constructive advice from experienced professionals, prompt responses to Its needs and questions, and access to a wide array of subject matter everts. Their public sector practice is the largest industry group of their Southeast region, serving hundreds of erfities, including counties,cities and authorities,and their component units. 646 As previous external auditors for the City, they have become very familiar with our organization and culture. This knowledge will enable them to provide meaningful insights while assessing City. Plante and Moran Plante Moran, is one of the largest certified public accounting and management consulting firms in the nation. With a history spanning more than 92 years, their firm provides clients with financial, human capital, operations improvement, strategic planning, technology selection and implementation, cybersecudty and risk management services. Plante Moran has significant experience providing strategic consulting services to rrunidpal governments in the State of Florida. Through these experiences they have gained strong understanding as to how municipal operations function and, as a result, a strong understanding of the underlying business processes that will be critical in assessing associated risks. Baker Tilly Mrchow Krause Baker Tilly offers the resources of a nationally recognized, full-service accounting and advisory firm They offer the City a team of highly experienced fraud, risk and government agency professionals with the level of technical capability and subject matter epertise required to help the City successfully guard against fraud risk and improve existing controls. Between all practice areas, they employ more than 490 qualified professionals who stand ready to assist the City, of which over 50 are certified fraud examiners (CFEs). Over 100 of those professionals specialize in government agency fraud risk assessments, with the remainder serving clients across diverse other industry verticals. With fraud risk assessments and government agencies being their largest areas of focus. CONCLUSION After reviewing all of the submissions and the Evaluation Committee's rankings and commentary, I concur with the Evaluation Committee and find RSM US LLP to be the best qualified firm for the project. RSM US LLP presented strong data analytic and fraud assessment capabilities, and addressed the importance of fraud awareness and avoidance training for City staff and proposed a team that has first-hand knowledge of the City. Therefore, I recommend that the Mayor and City Comrission approve the Resolution authorizing the Administration to enter into negotiations with RSM US LLP, as the top ranked proposer, and if unsuccessful in negotiating an agreement with RSM US LLP; authorizing the Administration to enter into negotiations with Plante and Moran, PLLC, as the second ranked proposer; and if unsuccessful in negotiating an agreement with Plante and Moran, PLLC; authorizing the Administration to enter into negotiations with Baker Tilly Virchow Krause, LLP, as the third ranked proposer; and further authorizing the Mayor and City Clerk to execute an agreement upon conclusion of successful negotiations. KEYINTENDFD OUTCOMFS SUPPORTED Strengthen Internal Controls To Achieve More Accountability FINANCIAL INFORMATION Grant funding will not be utilized as part of this project. 647 Legislative Tracking Internal Audit/Procurement ATTACHMFNTS• Description ❑ Attachment ❑ Resoludon 1 648 6uNuea co a t0 to m Cl r- JI0:P r 0 1- NMNaa-- mm af- ¢a BUIHUtu co co co co m N to c 2o p o O O O p O .c9 0 p 0 0 0 R O O 0 0 OO O O o O N O 0 m N W n C ° co co 6uejuea a N co U m n) a- n o $• 00000282 0 0 •- h Uj t(j o In O O 0 o mmnm to mon B u ni u e y a N n to m M r co c • o o S $ 000. 0 x z comm N vo) mg � Bupluey 1- a m a mN Nn C e mw oogo 000 c o o $ 0 0 0 ms 0$ m• mnmmcri 0 Buplued — na na � a kac 00000ggo � 9 BUpUea a n m co m N 0 0 Q 0 0 0 0 0 0 0 0 0$" O tog Cn 8g 01 0 U - U J J Q cr. oU �7 (a 3v � � Ua U 0. g m U• J 2 LL -2mg as U TK m a - a m N c' > $J � ? O ~ LL U m t 0 LL prp B t 't c g u m `m mm m mmy ,- mmUM2de: W ATTACHMENT B INVITATION TO BID (RFQ) AND ADDENDUMS MIAMIBEACH City of Miami Beach,1756 Meridian Avenue,314 Floor, Miaml Beach,Florida 33139,www.miamlbeachfl.gov PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO. 8 RFQ 2017-290-WG City Wide Fraud Risk Assessment December 14,2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS REQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, December 22, 2017, at the following location, City of Miami Beach • Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at Rafael Gra nado WmlamibeachfI.gov. Procurement Contact: Telephone: Email William Garviso 305-673-7000, ext. 6650 i WilliamGarviso@miamibeachfl.gov Proposers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. a renis !P ,c rement Director 1 MIAMI BEACH City of Miami Beech,1755 Meridlen Avenue,311 Floor, Miami Beech,Florida 33139,www.mlamibeechfl.9ov PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO. 7 RFQ 2017-290-WG City Wide Fraud Risk Assessment December 1, 2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS RFQ DUE DATE AND TIME. The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, December 15, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. II. RESPONSES TO QUESTIONS RECEIVED Q1) Has the City performed a fraud risk assessment in the past? Al) No. The City has an internal audit function which performs a basic risk assessment for audit plan purposes; however, it Is not focused on fraud. 02) Will we have access to the risks already identified in the areas of fraud? A2) The City will provide access to the report prepared by BDO United States (BDO),the auditing firm. Refer to Exhibit A attached. See link below: htto:l/docmamt.mlamibeachfl.gov/WebLink/DocView.aspx?Id=156831&searchid=9feedac5- 5b89.4c7a-9ad7-b257256d2076&dbid=0 03) Is the City needing to comply with any federal or state regulations that regulate financial responsibilities of the City? Is this part of scope of work being requested by way of this RFQ? ie. physical assets cyber environment, and /or regulatory, policies and procedures. A3) Yes. The City's intent is to comply with all applicable regulations and request proposing firms cover those areas. • 1 Q4) Will we have access to policies and procedure for each department and City wide? A4) Yes. There are currently 50 Citywide procedures that apply to all City departments already created. The topics range from the "misuse of public employment-bribery, unlawful compensation-reward and official misconduct" to "long distance calls" to "sponsorships, donations and advertising procedures." More specific procedures pertaining to one department are created and maintained by the corresponding department with the level of detail varying by each. These procedures are voluminous and will be provided as necessary for assessment. 05) Please identify the departments within the City operations that you envision will be included within the scope of the Fraud Risk Assessment? A5) City Departments are as follows: Building Capital Improvements Projects City Attorney City Clerk City Manager Code Compliance Emergency Management Environment and Sustainability Finance Fire Fleet Management Housing and Community Human Resources Information Technology Internal Audit Marketing and Communications Mayor and Commission Office of Budget and Performance Improvement Organizational Development Parking Parks and Recreation Planning Police Procurement Property Management Public Works Tourism, Culture and Economic Development Transportation Q6) Can you provide an organizational chart for each of the Departments being assessed for fraud? A6) Organizational charts showing each department's overall reporting structure are maintained (City Manager direct reports, report to an Assistant City Manager, etc.). In addition, more detailed organizational charts showing the reporting structure within the department have also been created. All these organizational charts can be found on the City's intranet at http://web.miamibeachfl.govlcitvmanagerlscroll.aspx?id=41766 Q7) How long does the selected firm have to conduct the assessment. A7) Contingent upon execution of a final agreement; generally, the City expects the assessment to begin within 30 days and to be completed within 120 calendar days. 2 Q8) What is the City's budget for this project? AS) The City's estimated budget for this project is $150,000.00. Other funds, if needed, may be made available in the future. Q9) Are joint ventures allowed? A9) Joint ventures are not allowed. The Prime proposer may utilize sub-contractors and sub- consultants as necessary. Q10) Do you expect this Fraud Risk Assessment to be shared with any outside parties? A10) The results of the assessment will presented to the City Manager and the City's Audit Committee. Results will also be considered a public record and may be made available if requested. O11) Will the successful assessment provider be excluded from competing on future projects resulting from the outcome of this assessment? le. Proposals for recommendations on how to mitigate fraud risks. All) No. 012) Will BDO be allowed to compete on this RFQ? Al2) Yes. Q13) Is there any training being conducted to the City user departments for fraud risk? A13) No training is presently being conducted for fraud risk. However, all City staff are required to take an Ethics Regulatory training session once during their employment and Ethics training every two years. In addition, the Miami Dade Commission on Ethics and Public Trust had select City staff attend an intensive ethics and awareness program in 2013. These employees were individually interviewed and the same department's employees were interviewed again in 2016. Results showed a 25%increase in employee's confidence in the integrity of the City, a 16% increase in co-workers morale, a two-fold Increase in the percentage of employees who believe that the City has adequate protections for whistleblowers and higher marks for supervisors with respect to job performance and personal ethics. Q14) Is there an Ethics or Fraud Risk hotline for use by City staff? A14) Yes. City Staff are made aware and have access to the Ethics Commission, Inspector General and FBI's hotlines which is listed on the City's intranet. The 24 hour Ethics Commission hotline is 786-314-9560. The Miami-Dade County Office of the Inspector General's "Report Fraud" phone number Is 305-579-2593. Tips will be investigated, or turned over to other appropriate authorities for investigation. In addition, anonymous tips can be reported to the FBI hotline at 305-944-9101. 015) Has an Evaluation Committee been named? A15) The City Manager has not yet recommended the persons to serve as part of the Evaluation Committee for this project. 016) Have the root causes and internal control issues stemming from the recent fraud events (SunTrust Bank fraud, former CFO vacation/ sick time manipulation, etc.) been identified and resolved at this point? A16) Yes. The City has implemented all the recommendations made by BDO, SunTrust and Crowe Horwath or has instituted compensating controls. Q17) Do you have an established fraud risk universe in place? A17) No. 3 Q18) Does the City currently have an internal audit department? A18) Yes. 019) What ERP system does the City use? A19) Tyler Technologies Munis for the financial system and EnerGov for licensing and permitting. Q20) Are the results of the Fraud Risk Assessment intended to be used for a specific legal matter? A20) No. 021) Do you expect this Fraud Risk Assessment to be shared with any outside parties? A21) Please refer to response to Question#10 above. Q22) We use data analysis and data mining software to pick samples to evaluate internal controls. Do you have someone available with knowledge of your IT data tables/fields that can provide us historical data in flat He format for all databases? A22) Yes. The City's Information Technology(IT) Department has personnel to assist. 023) We will need to hold a Risk Analysis Workshop with City Officials and Department Heads to risk rank areas within your organization.Will these individuals be willing to attend an 8-hour session? A23) Yes. Q24) We will need to perform process walkthrough interviews with process owners within the key departments (i.e., Finance, IT, Human Resources, Police, Safety, etc.). Will department heads and managers be available for walkthroughs? A24) Yes. 025) Please provide a list of key financial software applications for the City. • A25) Please refer to response to Question#19 above. Q26) RFQ, p. 19, Statement of Qualifications #8: Plante Moran provides benefits for all "spouses' regardless of whether or not the employee's spouse is the same gender as the employee, but PM does not provide benefits to non-spouses. Is this deemed sufficient to your question? A26) Please refer to the link below for additional information on the City's Equal Benefits for Domestic Partners requirement: httos://library.municode.com/fl/miami beach/codes/code of ordlnances?nodeld=SPAGEO R CH2AD ARTVIPR DIV3COPR 52-373RECOPREQBEDOPA Q27) Is there any fraud risk management program in place at any department in the city at this time? If so, can you provide details? A27) There is no fraud risk assessment program in place presently. Q28) Has the City defined what fraud means to it? And are there specific expectations from the Risk assessment? Is there currently a fraud deterrence policy? A28) No. 029) Did the City conduct an enterprise risk or IT risk assessment in the last 1-3 years? If so, can we have a copy? A29) The City has not conducted an enterprise risk or IT risk assessment during the past three years. However, Crowe Horwath (the City's external auditors) does perform various penetration testing, annually to test the City's access controls. Employees are also required to take an annual Security Awareness Fundamentals training concerning IT risks and controls. 4 Q30) Did the City establish risk and control matrices? Have any key controls been identified? Can we have a copy? A30) None have knowingly been established. Q31) Have you conducted a vendor risk assessment? Would this be needed/required as part of the scope of this project? A31) No formal vendor risk assessment has been conducted. However, select Procurement Department employees have been tasked with entering all vendors as well as periodically reviewing listed vendor information. A vendor risk assessment should be included in the project's scope. Q32) Did the City develop any flow charts or narrative on any key process areas? If so, can we obtain a copy? Can you provide an organization chart for the City and all its Departments? Can we also get job descriptions? A32) Please refer to response to Question #6 above. Also refer to Exhibit A, entitled CMB Business Processes attached. Q33) Can you provide the most current policies and procedures manual? Also did the City develop a code of conduct? If so, did you receive confirmation that everyone has signed off? A33) See response to Question#19 above. The City revised their Personnel Rules in 2014 whereby Florida Statutes Chapter 112.313 (Standards of Conduct for Public Officers, employees of agencies and local government attorneys) was Incorporated. This was supplemented with the City's Gift Policy implemented In 2012, Ethics policy is now reinforced even more with the 2017 Bribery procedure. Each City employee is required to sign this document upon being hired. Q34) Can you provide information on the ethics hotline? Can we see historical data from the hotline? Is there a triage program in place to handle tips? A34) Please see response to Question 414 above. The firm with the City's assistance would have to contact the County and State Attorney's Office for this information. Q35) Has the risk appetite been defined? Have you identified the specific departments that require more scrutiny than others? A35) The City's risk appetite has not yet been defined and all departments are listed in response to Question#5 above. Q36) Who will we present our initial assessment to? And, will they provide feedback? Any details on expected follow ups required or needed? A36) The initial assessment will be presented to the Internal Audit Department and the Audit Committee. 037) As part of the Risk Assessment, do you also require or want us to provide recommendations for Improvement? A37) Yes. Q38) What are the expectations, if any, to check progress? Is this expected yearly, quarterly? • • A38) See response to Question #7 above. Subsequent fraud risk assessments may be ' performed at the request of the City Administration. Q39) Do you have or have you conducted any fraud or risk training? Is this done periodically? Is there any training conducted or planned on business practices and ethics? A39) All City staff are required to take an Ethics Regulatory training session once during their employment and Ethics training every two years. • • • 5 Q40) Who or which Department will sign off on the Engagement?Would it be the Internal Audit group or the General Counsel? A40) Please refer to Section 0200, Paragraph 19, entitled Determination of Award(pg 6). 041) Did you conduct any Employee surveys, and specifically since the occurrence of fraud in 2016? If so, can we be provided details? A41) Survey was done by the Miami-Dade Commission on Ethic and Public Trust in 2016 and compared to an earlier 2013 survey)see LTC 187-2017"Miami-Dade County Commission on Ethic and public Trust Survey Result"-link (http://d ocm qmt.m i am ibeachfl.gov/webl i n k/DocVi ew.as p x?i d=154566&s earchi d=d3f61236- 79a5-47fb-99be-e0bde81e57fe&dbid=0) 042) Are any system access and controls documented?Can we have a copy? A42) Please see response to Question#30 above. Q43) Can we get a chart of accounts and trail balances for the last 3 years? A43) The Finance Department will provide to the selected firm once awarded. Q44) Will we be working independently or will there be someone assigned or working with us. How is the knowledge transfer proposed to be effected? A44) Internal Audit will be the liaison with City departments/divisions to facilitate gathering needed information. Q45) Is there currently a fraud risk management steering committee? A45) No. Q46) Is there internal communication that the City and its employees know that this risk assessment is transpiring? Will the employees be encouraged to assist us? A46) No internal communication notifying the City and Its employees that a risk assessment may take place has occurred. The information is projected to be communicated with employees prior to the start of work, 047) Were there any prior investigations that were conducted in past that we could access or review them. Can we be provided with the BOO report? A47) See response to Question#16 above. Q48) Do all City departments operate under the same a) policies and procedures, b) financial, billing and accounting system and software, and c)control matrices? A48) See response to Question #4 above. Q49) Can you provide clarification on Section 46 (page 10) where it suggests that we can claim exceptions as part of the proposal, however, the "Proposer Certification" form being requested (on page 22) requires us to agree to "complete and unconditional acceptance of the terms and conditions of this document". Please advise A49) The City, at its sole and absolute discretion, may accept or reject any or all exceptions and alternatives. In cases In which exceptions and alternatives are rejected, the City shall require the Proposer to comply with the particular term and/or condition of the RFQ to which Proposer took exception to (as said term and/or condition was originally set forth on the RFQ). 050) What is the expected Period of Performance(start and end dates)for this assessment? A50) See response to Question#7 above. Q51) Please provide the list of departments for which a fraud risk assessment is to be conducted. A51) See response to Question#5 above. 6 Q52) What is the expected start and end dates of the engagement? A52) See response to Question#7 above. Q53) How is the city's information (policies and procedures) stored, for example is it stored electronically, hard copy, etc.? A53) The Citywide procedures are stored on the City's intranet where they may be accessed by all employees. Meanwhile, the department specific procedures are maintained by each department both electronically and manually. Q54) Section 0200 para. 10: Are the lobbyist laws mentioned at paragraph 8 the only lobbyist laws applicable to this RFQ? A54) Please refer to the following website for any applicable city of Miami Beach Lobbying requirements. • https://library.municode.com/fl/miami beach/codeslcode of ordinances Q55) Appendix A, Section 5: Please define'controlling financial interest' as it relates to this solicitation. A55) Proposers are expected to be or become familiar with, the City's Campaign Finance Reform laws,as codified in Sections 2-487 through 2-490 of the City Code. Proposers shall be solely responsible for ensuring that all applicable provisions of the City's Campaign Finance Reform laws are compiled with, and shall be subject to any and all sanctions, as prescribed therein, including disqualification of their Proposals, in the event of such non- compliance. 056) Appendix C: Besides the minimum eligibility requirements listed at Cl, does the city require the engagement team to hold any specific licenses, for example Certified Public Accountants (CPAs), Certified Fraud Examiners(CFEs), etc.? A56) No. Q57) Is there in place any Cyber Security or other similar IT protocols to deter financial crimes against the City? A57) Yes. ' Q58) Have you identified any intrusions during the past 1-3 years? A58) No. Q59) Would you have IT also work with us to identify and deter fraud, potentially from both internal and/or external sources? A59) Yes. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at RafaelG ranad o(a7m is m i beachfl.qov. Procurement Contact: Telephone: Email: . William Garviso 305-673-7000, ext. 6650 WilliamGarviso@miamibeachfl.gov Proposers� are reminded to acknowledge receipt of this addendum as part of your RFQ submission. .ode el iik....A, A x D is k P ocu ant Director I 7 EXHIBIT A CMB BUSINESS PROCESSES 8 • • CITY OF MIAMI BEACH tv\IAMI BEACH ,....„,„,,t,„.„104:_.... .iiri Business Processes •`4. ' ' t . Y . i j. A , I 1 lici:-11::-- -7-7'.; ... � . .fir-� ..►' 011 . 47 Vi. E M A. imillImpo Ing Performance Through s PEOPLE& IDEAS Process Diagrams Included in this AP Document Set — . AP101 Vendor Invoicing Process AP102 Vendors&Exp.Reports Check Run Process = _ tins.1•46 AP103 Vendor Payment Process-Wires 'Ll." .4 V\IBEACH AP104 Employee Expenses Report Process AP105 Code,Book&Pay P-Cards Process AP106 Perform Escheat(Stale Checks)Process LEGEND Process Diagrams 17 7 _____ 1 Start/End Data Decision Document Process Sub Process Document Flows El . -1.--. )( .- .w., .,,.. • E Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces _.J. i iiii Internal Interface External Interface Con/rdennol Accourr$Poyoble 1 (AP101)Process Vendor Invoices Process(>36K) Start:Vendor Invoice Received End:Enters Payment Process ( start } Y Enter kwoic. Is 5 Within Tolerance? Yes No G E E Are Goods t+ Within Ye G Tolerance? N O No . ___+__ ill" Amend the PO Invoice t-Contact Vendor or ` N. Department (PC112) A V Enters u Payment Cto C ( Confirm Match? Yes Process End ) Si102 or AP103) E 3 -T 3 O ,. -�t 0 o " -= "" AP Invoice Inquires/Reports ci Vendor Invoice Packing Slip Scanned Documents N ^ E• V N a7 I 3 0 z oil MONIS ai! y N w • v •LL \� J r> C EDEN Excel 2 (AP102)Vendor&Employee Expense Report Check or ACH Runs Process Start:Create Check or ACH Run End:Post Payments Posted un R Check or Create Check Run Invoices Ye ePayRon o Pa `tY '_ Verified? Check Run No V reale a-m Post otifications_ End ) Save Check Run Create Positive 1 vendor&` Investigate and Report to Spooled Pay File(A/P ernplyee A v Edit Directory Supervisor) C to to C LL .es Positive P. Investigate and N. File Reconcile to Yes} Upload Positive ,_11. Post t� Edit as Necessary Pay File to Bank checks? in D 0 D .....4 0 • a0, �/ Email Notifications Payment Run E 0 Check Run Query Checks Printed Positive Pay File ACH File Inquiry/Report 0 0 N N a) ty3 NN 3 \i 4 4 z °a MUNIS Bank Bank 021 0 ? V '''S.'1,./ l no cu ,t 4 4 ..... CU O J n C V Eden Bank Bank Excel Confidential Accounts Payable 3 (AP103)Vendor Payment Process-Wires Start:Department Enters Invoices to be Paid End:Wire Sent to Bank ( Start ) PDF Wire Into Edit Invoice Info in Uploaded to Munis A/P Posts Wire tui "� Monis to add Wire ._10, Uploaded to . Payment into Munis C Number n Invoice Trasaction C 00,„ ii , mine In Y Treasury Enters ingto beP et ire Info into flank' \ End J n s Via Wire Website f 4 LL ASIL C ' E °' Email E Wire 2"d Approval Wire Submittal Wire a o Wire Run Query Inquiry/Report 0 NN ill E cu tl' , 4 4 4 ,,,, T d ,. 3 c MUNIS Bank Bank Bank Bank v Z 06 0 E n u > .o N N u C m — tD 0) J ;onlidentlul Accounts Payable 4 (AP104)Employee Expense Reports Process Start:Employee Submits a Planned Expense Report End:Employee Receives Reimbursement €711° �N. None unis Check r•es Reques C for Available •K Include Personal Yes Approval EBudget ehicle Use' co O. ru N• Yes No Planned to Final 9 unis Check Talc Lip) )n Expense Report ) For Availabile •(Zero out city paid Budget ,•,:•cardie sl 91 AP Pays City u Aa Pass Paid"Prepaid" Yes EnPense t•,d \i Expenses .. End ) CReport ii . (APxQ_:._. CU N 30 .40_ ,,, 0 . H .___. ._,, u LL ....„, El :_,:_::, O Planned Expense Prepaid Expenses Final Expense AP Payments Expense u, Report Report Inyulry/r<epurc VI E a' z :: o7S ai Cii in - Munis N N G)a E w m °Joil •'t til J N C Eden 5 (AP105)Code,Book,and Pay Pcards Process(#Cards 440) Start:P-Card Purchase End:Post Payment Input Account tL g Into ® P-Card yes• Depatmental C"Works" 0 Purchases Approvals "Works" (SunTrust) N O N u ra Manual Approve and Adjustments 4N. Verify? Yer1111 Post End Adt 0 LL Receipts Scanning/Uploading Dummy Checks Pcard E Receipts Inquiry/Report 0 ozi to v SunTrust Munis 3 v z >=° SunTrust Eden C CO Do N Confidential Accounts Payable 6 (AP106)Escheat/Stale Check Process Start:Run Report of Outstanding Checks End:Pay Vendor or State Once a ear F�nanC Go to Pay N Y East Chance Efforts Venda Runs Reuort of - "" to Find Payee Found? Yes—)101End Process j, Checks>X Days O (AP102) ro a • •t= No O Void Check in System Creates System.Reason is Payable to State Escheat al LL Yearly Stale Check Report Open Checks Inquiry/Report ro N• � E u6J 4,2 N w Munis 3 — v 4E' E U el o Eden Excel • 4— >.• ar T C u — to Go a) J 7 All.11•► • MM IMOMMIMMIM Process Diagrams Included in this BL Document Set —..- - -... BL101 Building Permits Issuance Process MIAMIBEACH BL102 Certificate of Use/Change of Use Permitting Process BL103 Elevator/Boiler Annual Licenses&Violations Process BL104 Records Management/Records Requests/Property Records Search Process-Lien Search/Clear Title BL106 Building Recertification Process BL107 Building Complaint Investigations Process BL108 Building Inspections Process BL109 Building Plan Review Process LEGEND Process Diagrams = .117 0. , Start/End Data Decision Document Process Sub Process Document Flows D . ,:,.. OA 0 -L, MI Documents- Documents- Email Multiple Documents Reports/Queries • Internal External Systems/Interfaces [2] 6.11 . Internal Interface External Interface Con/idennot Ouldina 1 (BL101)Building Permits Process ("'1200/month) Start:Submit Application End:Issue Certificate Description:Building Department is responsible for administering the various provisions of the Florida Building Code.including accepting permit applications,reviewing and approving construction plans in accordance with the provisions of the Florida Building Code,inspecting construction to ensure compliance with the approved plans,and issuing violations for those nroiecls where construction was done without or not in comnliance with the annroved permits fin ®1 End system p( „ip} Niculates111 oy Fees(refers Yes / N• Yes to table) Pay Full System Check Pass • icens• That Phase nspections heck fo Plan Fee(e- Type eck Contract. pay option 1. Permits Revoked v• (81108-need NON Corrections Property N N. &no other additional Matched to icense&Insurance. mandatory) *lawn •rodu Make sure they are T Master active -eti current. T ves Yes Yes Full Plan Review C_ Pay (81109-Building, Aproved Yes Review 1� Planning,Public j Fee I Works,Fire) CO System Calculates Fees(refers to table) No System PayPhase �I Simplified Calculates Inspections t_i_...44 �l Phase(Review Permit 81108 �� Revoked II &Approvals) Fees en totable) Fee (81108) to table) • o ` ►®i i A O LL O Construction Docs Invoice Invoice Phase Permit Invoice Rejection Email or Mail Full Permit Certificate Certificate &Permit Applications Notice Query/Report poo La La E t '.� ;n N `t O '..,...ul N• d 3 c EnerGov Munis al z pO N • N tol O • Gl �I J N Y 'ontident� PefmihSPlus Eden 2 (81102)Certificate of Use/Change of Use Permitting Process Start:Applicant Applies for C of U End:CU Issued Description:Business owners within the City of Miami Beach must obtain a Certificate of Use prior to operating a business Applicants must begin by submitting an application..A Certificate of Occupancy must be issued by the Building Department prior to obtaining a Certificate of Use.If a modification(construction)has been made to the structure/space the applicant must obtain all required inspections to include a passing final building and fire inspections prior to the approval and issuance of a Certificate of Use The Building Denanment nerforms insnections for restaurants bars hotels and retails uses at time of Certificate of Use arch Certificate o Occupancy/ N urre noYe MAM i b L , C Florida IDR N. Approval(I No,,,'® C in Compliant?(match Necessary. E. LDR's with CU in '1.10 system) R5 looku• Compliance/ (check for any Enter Dunning Yes Ye Payment of Past N Liens or CMB el:9.A f j1�A110 ' ceivable'- rue Fes or Fine - - IN. Yes Schedule Fire Inspection -I I _0 On-Line Fire - Yes N Inspection Fire p r P Confirmed Inspection L. Yes On-Line •pprove• v 'pplicant needs t• u. emediate issue lune Violation N• C re ..Applicant Appltei Tx -:-rbhcate of Use(0: Cl. 01 E 3 i 10 )(A 10 10 )j o LL Applicant Application Board Approval Findings Email or Mail Invoice Certificate C of U 0 Of Use Query/Report 'n as E w cu I' v linked,No Dual Entries r^ E EnerGov Munis Tut U CO d O u, elf w Cr 1Z—Multiple Dual Entries )t ll" co cll —' r^ c Permits Plus Eden Con/identiol auddnp 3 (BL103)Elevator/Boiler Annual Licenses Renewal&Violations Process("2,000 elevators&30 boilers) Start:•New Requests&Annual Renewals End:Issue License Description:The Building Departments responsible for enforcing the Florida State Statutes relative to elevators and boilers in the City of Miami Beach.This includes the enforcement of all permits for new constniction,alteration,modernization and repairs issued to registered elevator companies:regulation of any variances from nile requirements for hardship: Enforcement to maintain annual Certificates of Operation:the Regulation of existing elevators for annual inspections,compliance for safe operation and verification of existence of Is ere a cur•nt ._. license on file? Is there a (system needs to yes current test(1, Yes .;�csm R ,le 0.. notify Building 304S) Jul. - wh-•these e •ire) 00 N• C Payments ® Violation Issued ercond :•; �� O i1M� Received Prior m is required,owner conduct"' N•' a, -•October 1" System workflow Update notifies Building �• Elevator in Renewal iTrIl when Payments service List Yes are made N. i A v • Bills are due by October 1'. C • Need to be able to group accounts with multiple elevators Posted in 1O ro • Need to automate all notices Munis ii • Run regular report for test&inspection expirations • Unlike new elevator inspections(part of the building permit)these tests and inspections are done by the building owner by a licensed inspector C . o o " Existing Elevator Violation Invoice License Elevator/Boiler Query/Report Query/Report v E iv cuu -• N N N EnerGov Munis W N N V w a) a N J n •-• Permits Plus a (BL104)Records Management&Property Search Process("'6—7k requests/year) Start:Request Received End:Satisfy Request _0.--4 Self Service H <1111)le. ^N ///��� ///���Researched m yes Research j IMP" CO dti CheckReacand Ill Tag for Notify Notify Retention E c U ; rTh ci 11 - Fa oPublic Records Payment Receipt Results Email or Mail Records CI.' LL Query Query Report � u v EnerGov 3 c a, o� CN C � a) al U vs Permits Plus RMS LazorFische u ro ro — az (BL106)Building Recertification Process Start:Reports Building Aging End:Issue New Certification Description:Dade County issues a report to CMB of all 40 year old buildings for State mandated re-certifications.The owner must submit a report that has been prepared by a Professional Engineer and/or Registered Architect licensed in the State of Florida,to the Building Department,certifying that the building is structurally and electrically safe for the specified use and occupancy.Upon submittal of the report the Engineering Department will schedule an electrical and structural inspection.The CMB Building Department Inspectors will perform an inspection to verify the general safety conditions of the building.If the inspector finds any code or life safety deficiencies in the building,the repairs must be corrected prior to a new inspection being _ Yes Letter and Invoice with BR S Sent to Building Owner 3 Report Check for System _', YesIss ,Ind Months in Advance of •prow ♦ Previous �� Calculates _.._...)L7.4-----1111. `"�'`i I Dea�I1 �,�., . end Report or Ma�• Payments Fees tification ----- OA ,_. Repairs(Building nspection-81108 N• a <30 Days 7 m • ibing Co.- Unsafe Structures Violation Issued >30 Days�111) Board Review 12 N (1"Lien) lien) • yes Lien Process (RM110) rn 6 Month lectrical; CMB No/Y- No Compliance? N Demolish End) Extension? Structural Report• (3'a Lien) n res Q (k11) Reports from iaml Data N , County(ao year)and, '-'1±1i--"." Internal Database iev pO Iyears>40 year V L w Q O V t-�t 7 Olin I W Building Cert. Letter and Elect./Strutt. Violation Payment Certification Buildings Report Invoice Report Report cid or H V £ r0 Z N ate-• V) c County EnerGov el N m a£ mi 'C J to c ,PermitsPlus , (BL107)Building Complaint Investigation Process Start:Receive a Building Complaint End:Compliance Description:Based on a public complaint or an internal referral the Building Department will investigate and issue Violation or a Stop Work Order including a determination regarding the number of days that the owner of the property will be given to comply.Violations are issued for unsafe strictures,lack of a current permit or the owners or non-compliance to a previous permit or violation.If the owner has not complied within the allotted time given,the city will proceed to secure the property and all charges incurred by the City will be assessed to the property owner estigati Not CM N. Internal/ Valid arn Building xterna Unsafe Complaints Structure remo. Boards(2Board Demo? .wee Code Lien( girder" omplian itation Hold On Yes Permit No City End-Spedal 1 c Valid N ester(CC10y v if t 5 Secure Budding - Yes CO Y Repaired • 30.60-90 Assign Compliance Date Release Hold Yes C& Compliance , Action? Y s Compliant with FL Building Code N. � 0 _o — o " Complaint Violation/ Payment Board Order Demo Invoice Payment Lien Complaint Citation Report o2S ,,^ 0, el Or lz Z N 02 V) C EnerGov o?S N C'C V C ro w 00 ' W Of el J P—C Confidenriol BuildInq 7 (B1108)Building Inspections Process Start:Receive a Request for a Building Permit End:Inspections Approved The CMB Building Department will conduct inspections and issue permits(i.e.Building,Electrical,Mechanical,Plumbing,Demolition,Fire,Generators and Elevators)to insure that construction and development is done in compliance with Florida Building Code and all other applicable City or County Codes.If they fail the inspection the Building Department will issue a violation(81107)and expect comoliance within a certain timeframe. ■t � M ! AMI No B F r Schedule Inspections for j building,electrical, Conduct CO .} mechanical,plumbing, >r Payment Inspections demolition,fire& generators,ROW,etc... c to 81101 )— "c5. a u, o 7Th. —D h ., 0/0" 1..... �._ Inspection Schedule Violation Board Order Invoice Payment Permit Inspection Reports E u :: ra N W v EnerGov Munis 5 to sri z ob rN C o Manual/Eden DO to Confidenvol Building 8 (B1109)Building Plan Review Process Start: End: The CMB Building Department conducts plan reviews to insure that plans submitted for permit are compliant with the Florida Building Code and all other applicable city codes. Certified Plan Expedited Reviewers 2nd Submittal- 2` Review done by 4141111010. Plan Review NO.-10 review the plan Approved No*must contain all departments who did No-KEndjHRRFip ) submission corrections not approve initially Yes I I I Yes OD t calculate •J ii...÷(zio '13 Fees 3 m4 Y V FindingsFindings Submitted Findings Payment Submitted to to Applicant Submitted to applicant applicant C en a CAIIII ‘ 1110 all — 11111 t. w —"ts o o LL Plans Invoice Corrections Permit Corrections Corrections Permit Inspection Reports vw v, Y aai Munis EnerGov z 0 N Vl N CI, Ln M • c Manual/Eden as — 0.0 • oK J 9 Cn.IfA niv�f v.JAi,O Process Diagrams Included in this CCO Document Set -��� CCO101 Special Master Review&Resolution MA/01M AC.H LEGEND Process Diagrams Start/End Data Decision Document Process Sub Process Document Flows Ei )41 „A. Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces 611Internal Interface External Interface (CCO101)Special Master's Business Process Start:Receive Appeals&Violations Not in Compliance End:Compliance Description:Special Master(City Clerks Office)reviews(conducts hearings)all non-compliant violations and Board Appeals issuing an Order.If the violation's brought into compliance the case is closed.If not the violation enters the Lien process and the properties encumbered. I Y Y 1..,..0 8'oCreatet.7) .—lr SpecialSchedule Hearings g y,!a Master Case «. u V W G en o2S OJ icii E d a it G Start C C) E -0 NoOW la I v i a _ N v No CO C O CO w CO Compliance? / Compliance? c n1 V a ..fes En Yes a a a) N -u7 io.V. )1.*".. 11.„..7., A_ o . E Appeals&Violations Violation/ Hearing Hearing Officer Special Master Order Order Lien Special o Citation Notification Notification Notification Distribution Master o Query/Report E u it a, In C ZEnerGov Munis Dade County Lien System ces 0N 2 >'t N N u c Permits Plus Eden Dade County Lien System co — to co J Process Diagrams Included in this CE Document Set NN�MMIft MOP MiNelNIMINIM CE101 Code ComplianceNiolations Process CE102 Pending Permits Process LEGEND Process Diagrams CID E7 O 71 Start/End Data Decision Document Process Sub Process Document Flows El . ii., IV 0 I Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces 4...., 4 i Internal Interface External Interface Confidential Code Enforcement I (CE101)Code Compliance/Violations Process Start:Patrol Inspections&Filed Complaints End:Compliance Description:After receiving a complaint from the public or another department within CMB Code Enforcement investigates/inspects the claim and issues a citation,a violation, provides a courtesy notice or refers the complaint.The violation's resolved with compliance and/or the payment of a fine.If not resolved the violation can be referred to finance for collection,the PD for a follow-up or Special Master for resolution. •ewew Active Complaints No Fine-K End ® Citation Assign Zones (No Fine) Patrol Enters Inspections Violation Payment No 10 Dunning (Fine) Process Vali• (RM 1l0) CP C Courtesy C Inspection J Refer to rp Notice Ye Compliance N Poilice a Dept. E Not Valid Referral V V a, ( End) Yes O N. .rogress CC101 Underlying dataneeded eventually,GIS Inspection y g seteveny Compliance Yer..<_End) optimization of routes KOI—Key Operating indicators— (compliance define audit report special No ) Citation )► Master (CC01011 7"-L,7"-L,C ��\. 10 MI E 3 D t• � Citation,Violation, — o Complaint Citation Compliance Report Courtesy,Referral Notices Report • N Etv v ,y3 2 ,,, ,, >. to • c cu Z EnerGov W N aiV N [2:11 D 4) i_ E-13 tn 4J e^'� Permits Plus Eden 2 (CE102)Code Compliance/Pending Permits Process Start:Pending Permits Review End:Revise/Issue Permit Description:Code Enforcement receives a list of pending garbage permits from Public Works-Sanitation,conducts an inspection and either approves the permit or declines the request.SG-is for Garbage service applications&SR-is for Sanitation roll-off applications. a) V Construction Dumpster• ".' --J! Garbage(SG) —� Assign Zone p Inspection Declin V 0 7si±rmfts-PW &Roll-offs • (SP) v O End Approve 0 O 'E 3 0 rTh O ) "H' £ Pending Permits Permit Pending Permits Report Query/Report 0 021 N Q .0., ro EnerGov 3 a z aZf v v • Oi Eden Permits Plus C rtl — 00 cu Confidential Code Enforcement 3 Process Diagrams Included in this Fire Document Set „aim. F101 Fire-Annual Inspections Process(Existing) MIAMI BEACH F102 Fire-Inspections Process(New,including Special Permits/Projects) F103 Violations/Complaints&Compliance Process F104 New Plans(Planning)Review Process LEGEND Process Diagrams 0 ,L77 Start/End Data Decision Document Process Sub Process Document Flows mato. • Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces ' O Internal Interface External Interface (F101)Annual Fire Inspection Process Start:Receive&Assign List of Inspections End:Inspection/Compliance Description:Annual Life Safety System Inspection Process—includes items like Single Station Smoke Detectors,Self-Closing Hardware and Latch Inspections, Exit Door Locks Inspections, Annual Emergency Generator Inspection,Emergency Lights Inspection,Backflow Assembly Inspection,Annual Smoke Control-Evacuation System(Certification Report Requirements)Special Extinguishing System Annual Cooking Eauioment Extinguishing Systems Security Bar Emergency Egress Fire Sprinkler Inspection-Stand Pipe System Inspection Fire Alarm Insnectionc .;System generate. Follow•up MD of all businesses Meeting/ '.'fcu/BTR's)in CMB RH! No } Inspection by Fire LL Yes Res Schedule No Inspectonfsl I YI I 11 1 Y 1 BEACH .mplian • • pliance(with. . (within a specified period of pecified peri. • time) 7 .f time U va o• LL Annual Inspection Inspection Permit Lien Inspection Queries/Reports Notice Initial Findings Findings(2nd/Final) Query/Reports £ v «: m n EnerGov Dade County Lien System 3 c v oa z E .12 u Permits Plus Dade County Lien System • v V C N 09 N (F102)Fire Inspection Process(New Buildings,Changes in CU&Special Permits) Start:Receive List of Inspections from Building,TCED,etc..) End:Inspection/Compliance Description:This is part of the workflow associated with the request for another permit within the CMB.The Inspection Process includes items like Single Station Smoke Detectors,Self-Closing Hardware and Latch Inspections,Exit Door Locks Inspections,Annual Emergency Generator Inspection,Emergency Lights Inspection,Backflow Assembly Inspection,Annual Smoke Control-Evacuation System(Certification Report Requirements)Special Extinguishing System,Annual Cooking Equipment Extinguishing Systems Security Bar Emergency Egress Fire Sprinkler Inspection,Stand Pipe System Inspection Fire Alarm Inspections. Schedule SpeedPasses N Reject •-ibill InShesie Inspection of LL End m yes No vs Yes oii p p Originating Department u MIS M ! B A Notified that Fire Permit m �_ has been Rejected 7 p, al, • Apove/ q! Compliance. COmpBdnc!? Find:::ings yes N E �y Customer submits a request O Q-} for a Bldg.Permit,Special 3 Event Change of Use Permit V 3 O , ,.. tio :::. :,_rin.....____,,a . ..1, IC au Appeals Permit Inspection Compliance o° Application Violations& • Inspection Findings Permit Findings Query/Reports Notice ai u ' st m INN a, EnerGov z 06 ozi a a, N N orManual/PermitsPlus v c to di J (F1(11)Vinlatinnc/fnmplaintc R.rnmplianre Prnracc Start:Receive Complaints/Violations External&Internal End:Inspection/Issue Violation/Compliance Description:Upon receipt of a complaint or an alleged violation,whether electronically submitted through the ePortal,in writing,phone call,on scene or in person shall be submitted to the Fire Department (usually within 3 business days). The Fire Department enters the Complaint/Violation into the Tracking Log.The following information shall be obtained:A)Nature/Description of the complaint;B)Location of incident,date and time;C)Names of Individual logging the complaint;DO Contact phone number and address&E)Any witnesses and their name.Within 5 calendar days of notification of the complaint,a letter will be sent to the complainant from the Fire Chief,acknowledging receipt of the complaint.The Fire Chief shall assign the appropriate Division to conduct an investigation of the complaint.The investigation shall be completed with a recommendation for appropriate action.The Fire Chief will review the facts and recommendation(s),and make the final decision on follow up action(s).If there is a Electronicall acknowledge receipt • . . N • within five(5) en LLbusiness days -- Valid Nol<= _Ne MI MI BFAArH 01 V U E -} Hearings ano > O Yes ICC101) U co m Yes CM c No n e 0 0 • >. C t O O.'ro_ } Conduct • Compliance? O O Inspection a j 3 A ' ' o LL Complaint Uploaded Request Inspection Findings Violation Notification Complaint/Violation o Query/Reports Notice uer Re y p E v 22 ItT51 V1116 v E EnerGov 2 og • oti r, m E' ,%' -2-f U Manual/PermitsPlus (F104)New Plans(Planning)Review Process Start:Receive Plans Submitted to Planning for Consideration/Approval End:Review&Comments Submitted Description:This is part of the workflow associated with Planning Process,the Fire Department is part of the review process.The Fire Department is actively involved in reviewing, investigating and commenting on all new or revised plans submitted to the Planning Department.This is done prior and/or during Planning's review and approval process. LL (stara--,� MIAMI BEACH al C E u O 'a �n a 7 CE 19 +—t O Inspection Requests Notification Fires Comments Ii , • c EnerGov z h • m '� a, Manual/PermitsPlus ✓ c A — on 01 J Process Diagrams Included in this FA Document Set FA102 Amend CIP Budget FA104 Close Out a CIP 1�, ti AM1B EAC H FA106 Roll Budgets -Operating&Capital FA107 Create and Maintain Fixed Assets Process FA108 Depreciate Fixed Assets Process 6113 New Grant Applications Process FA111 Grant Monitoring.Reimbursement&Reporting Process FA112 Close Out Inactive Grants Process FA113 Sale&Deletion of Fixed Assets FA114 Setting up an Awarded Grant Process FA120 Capitalize Substantially Complete CIP LEGEND • Process Diagrams /17 • Start/End Data Decision Document Process Sub Process Document Flows , o Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces Internal Interface External Interface Confidentiof Fixed Assets and OP Capitol (FA102)Amend CIP Budget Sunt:Amendment Request Submitted End:Post Amendment to Budget 1 4 - Attach Supporting Adnaion or ( s )..4.AmenwmennRpd twit m---/ Documentation& Reduction of f Description •mall Budge +•• E • Cl? the 0. es t•\ fna ) r E. Allowable Prepares APprOvel Rou to ng Transfer? Commission -IP (internal& B.41. DOCOTMIS COmrmSSton) L re. ► f 1 P"Am¢ndment LL mance Revive to Budget t-s.raoe rem., bueR.t•com:n•mute, RipensIsutwlu[Nuwaanwu. 1 \ t0•fp.. 7 ,- E •rm.....—. o •aneau.•e.., •...I bode.tt 8 Amendment Status Reports Budget Reports d- > y of .t. z eB MUNIS E u .V. m Id Conrdennol Fixed Asseb end CIP Coprtol (moo Clot.out OP Start pose Info.Entered End:Approved _I Department Enters ( start / F.nai Payments/ ���► Retainage mto!Ip Finance Reviews Go to AP-pay Close into&Changes Vencor lAptdat —Pi Finance Reviews Yes* Status to'Closed— Converted to Fixed Asset' Nu Go to Create FA System Releases Budget ...ye from ClD process �� End ) FAEDI treats • nWwtus •Pnwta axc«mektt Upload Documents Project Project Status %Compl. Report Report E E ^. 0 3— MUNIS z ca v ill, Confdentlai Fixed Assets and OP Capitol 3 (FA106)Roll Budgets-Operating and Capital Start:Request Received to Roll Budget 5's End:Post to New Year When creating alblanket Operating PO's t ( Start ) r operating PO's populate"PO Iv a/ -111I Capital PO's` ex irationfield p Multi-Dept with 9/30/xx I Meeting to --►{ Grant PO's. Identify PO's (((( to Close min August,, 0 • Vss to E Communica tb' of year-e Expiring PO's oedule '!- Flagged as such 0 it No V E Commission ommissio co )Package Created Approval 0 ♦ _ioiMass Cancel u Yes Period Occurs \ c `� Opened J Rolled POs Open_ End ) LL in New Year D El E 0 - • f s tied to multi-year 711 funds will roll automatically o • U. 04_oepl,Finance,Procurement. PO Roll Re arts New Year Open o Roll Status Report PO Roll/Close �f�and Department P Notification of N Z a o c tMUNIS MUNIS Last Updated 10/07/15 Confidential Fixed Assets and OP Capitol (FA107)Create and Maintain Fixed Asset Process Stan.CGP Asset Placed into Service End'.Post to Peed Asset Account Adjust Expenditure ACF Invo unt in NP Adjust Related Irnolce ' -.."--P. Budget as Etld Maintenanso necasury W Yes no ®or H I Impart Data le Apply FA Budget Yes Update Info In the Ueale Fbrod Ansel New 4sut Program Feed Asters Capitalization Available(via Yps� —► �� Post took? No Delete LL Warring Rix Critena vatueryl Work file (in work sgel Edn az necessary o Trek awn x00 c -a aortnml Ma and t. _ l Tome are `'' • Mwn-I.wbM1 etdean nm+l eaaeMxwo tg .ssr • eO.sotroreu Fixed Asset • mmam�a,..mta,.wn.ted womn Inquiry/Report Asset Queries ia a- Z. MUNIS se gV I (FA108)Depreciate Fixed Asset Process Start:Run Depreciation Report End:Post Entries Si u c Post 110 Review and Edit 1:111As Necessary Depreciation ►( End ) Entry N c �C C t6 0- cu N 0 • Depreciation Run O • NBV of fixed assets LL • Purchases C • Sales CU • Dept Depreciation NBV FA • NBV a Report Inquiry/Reports [2] o2S u T Y v MUNIS z U, E u, rara VI c M — /10 06 J • Confidentiol fixed Assets and COP Capital 6 i (B113)New Grants Applications Process Start:Create a New Grant Opportunity I End:Set-Up Grant C Create anew grant Scan/upload to No Change status End d Start opportunity —; } MUMS Submit application -- Awarded To Lost DO A O Iv 1 cu CGo to FA 114 C Change Status • to Active c_ LL .. L 0 ..a, nn • aa) Grant Query/ E Grant Grant Scan/Upload Report o Opportunity Application o r o4 Document Requirements cN • Application YCU CIn � v c a) Munis Munis z . C'..' C • al Y l./ >• t . V) V N T •" i..) c a, — alMO°4 J 0924/15 Confidential OBPI 7 (FAM)Grant Monitoring,Reimbursement and Reporting Process Start,Agency Revert NotduaAon Received End-GSA Receipt ( Start E 0 • No mReview and res.— O AOerOval7 —1111111104. co • ( Start , 1 Notify OBEY or Receipt P. io i pa W.I.Reauremenn El 7 • 1Jii El Slew errcrt _ M al E Reimb.Request Cash Receipt x Workflow Req'd Form Report Grant c Notification Agency Submittal Inquiry/Reports Info.Query ad r":"--.E er & A � 3 �J 2 MUNIS oo d m iit N c Confidenbol Fixed Assets and CIP Copit01 7 (FA111)Close Out Inactive Grant Process Start:Receive Grant Expiration Notices End:Agency Acknowledgement/Approval —Workflow notificationyE � No - ► Foul Report Completed O Scope.Budget or Time Changes? • • Check Spend&Conditions Ye Close Out OBN Review o4 the Grant It— 11 — 11iiiii- - 1 No 4 C Outside Agency • • L __, G pp Appro.'? A V Finance Renew tt Yet ► Update Status&Grant 14 _fes Oata as Necessary Ns 3 I6 laill Ei ij •4awlMGruutvanenaaport ? • Agency Suomrttal Agency Agency Submittal Closeout Approve/RejectQuery/ReOort D Monthly Grant Exp.Report Final Report oa E ,12 o6iiC. .. .j C S MUNIS MUNIS >.CAIS gl 4 ast Cdnlenti fired Assets and CIP Capitol (FA113)Sale and Deletions of Fixed Assets Process Start:Audit Report/Auction End:Post Response to CStart )--Y Annual Inventory ar m a. w )1,1 • a Post Cash Select Asset for C if Proceeds ) ) Full or Partial Post Applicable Retirement (T103) NN • I0 0 , = • V LL O J Audit Report Auction Auction receipts, Disposed Asset Reconciliation Inventory Info, Report otf disposal form • Disposal Form yAuction Receipts& Inv.Info 6i11 N • Disposed Asset report MUNIS N 1= Y tD V Vt f0 tU C t0 cu Confidential axed Assets and CID Caalrs! 9 (FA114)Setting Up An Awarded Grant Process Start:Receive a Grant Assessment End:Monitor eceive Notify/Meet E. ® Grant Update to 4 with p ,.greemen, Awarded Department Yr- Record the Load Funds, Budget,Budget Notify Affected Moves to Upload/Scan Grant Code,Match, —! Areas of Monitoring 4( End ) Agreements) Conditions and T. Deadlines Project Account, Account Codes (FA111) Spend 0 Document Requirements' I ` f min' t21 • Grant agreement u \���###///1 C • Funds Budget Re rt cu Receive Grant Scan Set up Grant Awarded Grant Agreement Grant Form Report o Agreements N '( w w NOJ W ,_ zMUNIS czi E u tv Zi N CO in N ✓ C r0 — 00 sZf N J Con/Orono( fixed Assets and COP Capital 10 (FA120)Capitalize Substantially Complete or Placed In-Service CIP Start:Status Change Notification End:FA Conversion ner De. Workflow or CIP •.prova 0 Zr) No • 0 Change Status as Necessary Yes I'or Finane ters Info GER €ngeStat iF bstantia ; omplete` v Convert CIP Finance Review Finance Yes+ to l .! Approval? Fixed Asset ii (FA107) No o DLL d1 Project Status Change CIP Close-out Status Reports Notification Report ots Note:This happens E y before FA1O4.though xi w this doesn't always T happen 0. N • Projects by status y • Projects>X% MUNIS Z complete C V s-� U nl w 00y J a) N c �an/ide^!%al Fixed Asses and CIP Coosa! 12 • Process Diagrams Included in this GL Document Set IMP=41111 GL102 Reconcile Bank Account Process BEAC Non-Core Parking Revenue Process-(Garage/Meters) n`i BEAC H GL105 Non-Core Parking Revenue Process-(Online parking Transactions) GL106 Non-Core Parking Revenue Process-(Pay by Phone-Meters) GL107 Create Deposit-Cash Deposits GL108 Create Deposit-Memo Invoice GL109 Create Deposit-NR Invoice GL110 Refund Deposit GL111 Create GL Entry LEGEND Process Diagrams • Start/End Data Decision Document Process Sub Process Document Flows Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces `ail i Internal Interface External Interface Confidential General Ledger L (GL102)Reconcile Bank Accounts Process Start:Download Bank Data End:Reconciliation Finalized v -o I r_ C ® .vmload Ra t,<_ anually Match Reconciling Items Sort Data Data m rata Into Esce LL I it oo Reconciliation 1 C il N Complete Bank ErM l ns 13 Sort Data Reconciliation -�� Finalized C yl LL C al t' III ra-- Lib DDD El B ...C E Bank ReceiptReconciliation E Cash Cash Client Line Reconciliation oData Schedules Disbursement Report a Sr hcs ilcic vi E w e I' V w 3 ,,,, , „..i � a`, Bank Bank v c z Munis Munis V o u • x Lo Doaa)) 't J N al N Confidential General ledger 2 (GL104)Non-Core Parking Revenue(Garage/Meters) Process Start:Receive Deposits Log End:Post Receipts C -- GarageJMetetS tract H* Cash/CC Deposi — Log W y • Input/Import N Reconcile–Log to Reconciled Calculate Tax Dollar lE Receipting u �� �� yes End_ .1 C Sun Trust Revenues by Adjustments Approvals) C Locattion LL ''i i Ei B No 0 C E Deposits Log Receipts Receipts u Posting Report 0 0 co F tn > Munis Munis • v N C ii N z Sun Trust oZv • Log from garage y. to • Logs from meters E rrs • Bank activity report 110 N N v • Parking revenue system–will remain depending upon Munis functionality J In C Confidential General Ledger 3 (GL105)Non-Core Parking Revenue Process(Online Parking Transactions) Start:Download File End:JE Entry d/ • 411111 Entry into GL End ) o t 0 0- a O 0 �y N� Dl E Deposits Log Parking Revenue 0 Report Ede from Parking Permits Manage o4 y• (PPM) O 3 w Z N d PPM — Munis SunTrust CN C � Q C/ to CO In C C N — CIO G1 oo Con/,dentia! General Ledger 4 (GL1O6)Non-Core Parking Revenue(Pay By Phone—Meters)Process (125K transactions/month) Start:Download Daily Transactions End:Enter GL c a) E i Into Pt a fl Break Down File by ReceivableCO Calculate fax Dollar / 11E11wnload Da��; Payment Type ^j► �} Adjustments(3%, �� Enter GL —!1 Led O. Adjustment \ / 0 lansacuon cc vs.paypabwallet $0.15) CU o n O LL 0 Transactions Log Parking Revenue Rcport V • Daily Transaction Log CO (Park Mobile tT System) PMS Munis SunTrust CN N 22 ro rV N CU to C ro 00 cz Con/Idenro! General(edger S (GL107)Create Deposit—Cash Deposits Start:Collect Deposits End:Manage Deposits C Start bo Cash Receipt Entry Entry Creates Deposit is Managed --► Deposit Payable to ,—.-0.-110 In Deposit Module/ d Process Customer Subledger Start N 7 0 o " Payables Aged Deposits Cash Deposit Report Report Report ots Le' 3 I]zNa, O — Munis Lam+ N CO N N h' so C ro — 0 ani Confidential General Ledger �, (GL108)Create Deposit—Memo Invoice Start:Create Deposit Invoice End:Deposit Received Payment Go to 61107 Received? G/ t0 tv J No O` End /1 CC 6. tU 4 (A)Deposit ▪ vi "receivable"not �T E• o posted to GL-memo 0 Liv ry onl ent Memo Deposit Deposits Report 03 N in N CU Z N al Munis n, N▪ IV T N CU T C ro C 10 — 00 co G1 J Confidential General Ledger 7 (G1109)Create Deposit—A/R Invoice Start:Deposit End:Collect Deposit Create Invoice to Change Deposit Start Customer-A/R Payment Yes-1110 Status to —.--110 Go to G1107 .---1110` End ) —....v.- Deposit'Restricted" Received? y (A) "Unrestricted" 00 a Al J rtl cJ C No N LD 1_110Reverse A/R Deposit and Deposit liability tTh .._N (A)Actual deposit c.-,.., t C "liability"is booked .-, f but in"restricted" E 00 status until cash is o LL received.Cannot Deposits Customer Deposits C] refund until cash is Subledger ReportInvoice Report received. cz N 3 so co Izi. Z N N N C Munis N N d V N rtl U no ozs N J Conjdentiol Genroi Ledger 8 (GL110)Refund Deposit Start:Identify Deposits to be Returned End:Send Customer Deposit Reconcilliation OD eposit Subl''- Calculate Refund }tivity for S. J iimelrar`� Activity Related to ' Amount Due- is Amount Due Yew Book GL Entry to To {Repur __'�'-t J Deposit is Complete Complete,Partial, Zero? Remove Deposit(A) t None C IN O No� cO1 Go to Vendor ) 7 Invoicing End O V Process AP101 Co_ (A)Code as necessary to remove E3 deposit liability and • 0 create cash or Customer Explanation Deposits Refund • L+- department/code. Deposit Subledger Report and Check Report oZi CN G 0 Yro N eC-1 3 V Z Munis o2S E u, • v VI• r0 >.VI a, C (0 — 00 N J Confidential General Ledger 9 (GL111)Create GL Entry Start:Create GL Entry End:Post GL Entry Attach Source C Use Additional Documents a Accept and Release Start )-0. Create GL Entry —/ Detail Button for �} Necessary GL Entry E ` Text Explanation • v 0 Review GL Journal Entry Approve? yes ! Post —ill\ End J • � 10 i.� Reject with Explanation E 3 f. 0 o LL GL Journal Entry Report La E v ems+ V H w ? N N 3 z Munis ConJidentiol Gene•at Ledger 70 • Process Diagrams Included in this PL Document Set . AIM\ �� PL101 Development Application Process(Requiring Board Approval(s)) PL102 Development Application Process(Not Requiring Board Approval(s)) PL104 Business Tax Receipts Application Process PL108 Parking Impact Fee Process LEGEND Process Diagrams o O 7 . Start/End Data Decision Document Process Sub Process Document Flows Ell • ,, j,,....„ ,, •fl` WA kilo # ...._ B Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces (Iiii Internal Interface External Interface Confidential Puna ng I Start:Schedule Pre-Application Meeting End:Planning/Board Approves Plans Description:CMB's Planning Department receives a Developmental Application which requires Board Approval.This is an iterative process that results in the issuance of a Board Order and payment of any related fees. v E CED i u Inform Applicant Schedule Board Enter Information Board of any Schedule& Approvals(PLN, into Novis Agenda 1 Hearing(s)— Outstanding City ' Conduct Pre- DRB,BOA&HPB) Plan Reviews Liens application (From IRS Search) Meeting Public Notices Yes (Posting,Mail& Board(s) Publications) Approved(as Yes •resented _ °a Full Fees Calculated (Concurrency&Parking No Impact Fees) PL108 Board(s) ill I Approved(with conditions 'V Set-Up parking Impact Fee Account `r I' End (P1108) (811011 T o " Develop.Lien Notice 151 Plan Payment Revised Payment Board Development Application Plans Order Query/Report QS 0QJ w aa)i `till Cil Ci Qi U it 1n� Customer EnerGov LRS? Munis Novis? Board N ' N co co -• w tiJ 00 N> .ygenrf°I cNOVIS Agenda LRS P"nnin9 2 (P1102)Developmental Application Process(Not Requiring Board Approvals) Start:Schedule Pre-Application Meeting End:Planning/Board Approves Plans Description:Similar to PL101,the applicant submits their preliminary plans for review.In this case there's no Board review/approval necessary,the Planning Department will actually issue their findings. Provide a Fee 00 LRs Issues C _ First Review of Estimate End No.Y (Concurrency �) Plans &Parking to Impact' d rIRM110� Start A aJ Applications Plans Developmental Report oa E v w N w LRS? EnerGov 3 a) oa z E � Cl] VI coo LRS v u C �v — m ar J Confidential Ohnning 3 (P1104)Business Tax Receipts Application Process Start:BTR Application End:Issue BTR/Receipt Description:All businesses must have both a Business Tax Receipt(formerly called an occupational license)and a Certificate of Use(C.U.).They may not open a business without both a license (BTR)and certificate of use(CU).Client Fills Out Forms Electronically and uploads all applicable forms for consideration:Lease/Sale,Tax ID,Articles of Incorporation,State License(if needed) and the BTR Application Form. Collect Provide a Application "dummy"fee App6Wtion Ye auilding Yes Completed? ye Fee? quote before going live Planning No Fire RIu c N N. Parking m c Public Works IMP pp Code Compliance c c Risk m a Police Yes Amend if Confirm ®N o( riud Necessary Fees E▪ 3 4' ►D /E O LL BTR Required Forms Application Fee Receipt BTR& BTR 0o Applications Receipt Query/Report OS N N ,Application,Review,Invoicing.Payment&Issuance Responsibility: • E 1-'® 1. Planning as well as Fire approves during our disciplinary review-'New _ v+ CEI (currently Finance)Added to Building Permit Process V/ a EnerG0 MUf11S 2. Planning as well as Fire approves during our disciplinary review-`New 3 c (currently Finance)Added to Building Permit Process N Z 3. Planning-'New'(currently Finance)may also require Fire's approval 4. FinancelRovenue Management-"Existing Process.No Changes' 'Groupings of Current BTf's - ' ' Pre-Requisites litems to be checked off prior to issuing the final license): • o6 1. New Construction-CO/CU18TR ✓ Current CO '^ 2. Construction(changes)-CO/CU/BTR - Current CU • 'r' 3. No Construction-CU/BTR ✓ Payment of any County and'or City Bills/Liens(LRS) • 22. 4. Renewals-CUiBTR I Current State Licenses rro ? I Resort Taxes Process/Issue/Current>.,v • , Definitions: ✓CurrenhsRecent Fire Inspection u c Eden CO-Certificate of Occupancy ✓ Lease no l CU-Certificate of Use ✓Articles of Incorporation .- BTR-Business Tax Receipt(business license) ✓ sstrFederal Tax ID X (P1.108)Parking Impact Fee Process Start:Determine Applicability End:Compliance/Cash Receipt Description:With any planning applications there may be an impact on parking so it's important that they evaluate and assess any parking impact fees on a going forward basis. These will be reviewed yearly and CMB will create a City Bill. f'IT6>s Planner Notification Calculate Nevi that Parking ImpactLDeficiency parking Calculation I Impact feesop Fees ApplyI C dEstablish a Recurring Receipt Receivable(ii Applicable) A Fail Renewal -�'Joyln_..t= V O Pass O I•nfirm Requiremen o_ from Previous Year (Pass/Fail) s• is E O YW o Notification Invoice Payment Receipt Park.Impact Query/Report N � • w 3 EnerGov z po un es E es s u w 00CU N C Eden Vhf Can/ioentiol Planning S • Process Diagrams Included in this PC Document Set PC101 Bid and Award Contracts Process A PC102 Enter Contracts Process �f�1AiBEACH PC103 Manage Contracts Process PC104 Requisitions Process-Contract,Punch-Out&Catalog PC106 Requisitions Process-No Contracts PC108 Create and Maintain Vendor Records Process-Vendor Self-Service PC109 Change and Maintain Vendor Records Process-City Controlled PC111 PO Issuance Process PC112 PO Amendment Process PC113 Receiving Process LEGEND Process Diagrams LI7 Start/End Data Decision Document Process Sub Process Document Flows • • Documents- Documents- Email Multiple Documents Reports/Queries • Internal External Systems/Interfaces Internal Interface External Interface Confdrnsni Procurement 8/25/2016 (PC1O1)Bid and Award Contracts Process Start:System Notification End:Contract Awarded/Entered c v E start 111— Q IQ.v Other Need for 0 �i Contract Identified Ncril•gtisii Released to miss Enter IT RF% Global or Electronic Contract �PCl 0/ Approval ORImIS510 Contractor C Creation Restricted Bid Necessary? Ve •pprwed Ye` Selection Setup ;71 02 01 Poolfsl Evaluation <SSO Process N No V No 2 (End) City No d. Yes Manager nlern Recommen Contract Ye Negotiate Approval dation •egotiatio Contract •see No(ITBs 30 f o o Contract Bid Bid Notification Notice Receipt(electr.) Contract Contract Award Query/Report 0.3 E alal V N • `w Munis 3 ar z eAgenda ois 0 E ut Inputs/Outputs aa) N • Who was notified;opened the bid; U >.5.m- responded N N • Details of each bid >.a-. sa C r0 — G0 al Cenjdaatiot Procurement 8/25/2016 (PC102)Enter Contracts Process Start:Receive Contract End:Enter Details&Departmental Notification 11411 C v Inputs/Outputs Punch Out? Catalogue? Other? 112 • Prices in Excel and/or CMB format to auto populate item catalogue v • Contract Master Data Report a • Contract List Systems Enter URL Create Catalog ( start Items �y Select or Establish Vendor C , 0J End } m Q a) 0 11.71o LL Contract Contract&Master Contract Contract Data Query Notification QueryReport ill to - Munis o2S u m u 0 • OU N Q1 4-, dl J C 016 (PC103)Manage Existing Contracts Process Start:System Queries End:Update Expenditures • TTL i• Not to Exceed �� ,,�__...yyy Contract put on _____,.. Update Contract • Pmt.Method I Hold for Renewal No ♦ No CT TI1 ....._ E )1 Review Yes 7 \" Changesro I&Cs ' No ( End ) p • Expiration - d • Insurance • Bonds —if System Queries&2'• Wing Wage •eceiv• Auto Alerts • Equal Benefits Internal • Itrrnse< Review for Yes RenewalYe Authorizations Nod Update Contract Compliance (Mayor/ Terminations C..mis'•n) Inputs/Outputs Yes 'n • Terms/conditions of existing contracts Performance Reports Evaluations E • Track expenditures ,*. Non compliance t • Reports(expiration • Remedy N dates,violations) a (V • "Push"preferred CI • Report of vendors out of compliance N0 7.111 D El 7 qa) Contract Contract E Query/Alert Notification Contract Contract oUpdates Query/Report v li i•c Munis N — T U ro m«1 ca o) > N H C 12016 (PC104)Requisition Process-Contract,Punch-Out,Catalog Process Start:End User Search Erd:Item PO User Searches for Item to Buy Punch out Does Item Select Quantity/ Funds Yes Dept. N. Catalog Item,etc. Available? Approvals Exist? Yes qJ 4132 No to • Yes0- Contract Ti,r cu Submit Request to Procurement Yes or No Convert to PO Ye nencumber d BPO Inputs C Procurement Apply PC101 • System notifies user if funds are N E or PC106 process available • If of requests/$amount Output– p • Purchase order(elec./PDF/EDI) Cr. • Open P.O.report Oaten Rem,icitinn cense a, 0 E o D Procurement PO Requisition Request Query/Report oZ$ sn a) \� rnc Munis — of cu V u u tJ CO E be CU st CU qJ J NC — 0016 (PC106)Requests-No Contract Process , Start:Need Identified End:PO Issued PYes ' H — >$SOK �i PC101 Bidder SelectAward Ventlor/ I` :.., Communication Yes Is there an Nog >$2SK 5$SOK Released to Global +, or Restricted Poolls) aJ C -xisting contrac E: m ✓ Nr--�( End o 2 Convert to PO • 1 Yes 1C109I • Is the Vendor in Ye Funds Available? Yes Dept.Approvals the System ( Start Reports• Open,dosed,and pending requisitions c y 5 SSK .-•-•••4• Select Vendor • Requisitions by threshold E - .-:;ti>,.,4;5 • PO's to 'i Need Identified) O O >55K 5$25K Obtain Quotes r. j 1fl O LL o Requisition Quotes Receipts PO Requisition (Electronic) fltinry/Repnrt oo N � [1.--- z N v \I N C Munis > = m Ri 22 OA tel 0 N N Confrdendol C Procurement 8/25/7;116 (PC1O8)Create and Maintain Vendor Records-Vendor Self-Service Process Start:Vendor Updates End:Workflow Notification O CM8 Notification to Vendor Creates C Start Bidder Profile ' 'II, Complete Vendor No 01 Profile 7 T PC101,PC102, ( Start .--} PC104,PC105, JJJ ___ PC106 Procurement � y Reviews Data Approved. E Io '1 rEflow,Send 3 V •.Approval — f,i O —Yes otifications - a` A .--.--No V • New vendors • Vendor Yes U • Vendor changes(specific fields changed) • Procurement ro •Finance Finance Review Approved? C Dept. LL El , 0.. El E o LL Bidder Profile Notification Master Data Notification Vendor y Report W sn w 01 E tto °= d \Z co Munis of N V w V to E 9„ DO Or s- or N dl J N c a16 (PC109)Change/Maintain Vendor Records—City Controlled Process Start:Updates Received End:Workflow Notifications NO v E N 3 Procurement V Creates or Changes 'rocuremen Staft Approver Yes ::wn Vendor(types: Approved? Regular,Payables) Finance Creates or ' Changes Vendor / (Types:Direct Finance V ( Start )--*, Payments, Approver yes End,. CO Employee.Risk, Approved? Scholarship,Refund tL Visa,other) �No C a� N ut E O W_ L., " Vendor Record Notification Vendor Query/Report o2S E c m a, t/1 3 c Munis N z Ev, Y � N CO V C CO 0. -J Conjmennal Procurement d/25/2016 (PC111)Purchase Order Issuance Process Start:Receipt of PO w/Attachments End:Acknowledgement Notify Vendor and StM ally Approved POs i Originating Dept. Yes Illo( End ) �•<< Nith Attachments that POs Available a1 '" .�� (electronic?) • ar 7 1.PC104 and PC106 feed P0's.Select which attachments to include w/PO.Electronic notification.Generic No emails.PO It Prefix is calendar year?Real time vs. Daily Exception batch? Report ,--1110Corrective Action - -.41rResend • Report of approved POs • Exception report POs with Acknowledgement Exception Acknowledgement u Attachments Report PO Query/Report CI]N V .:112 f0 N T al • c Munis a 1 — z oil v a, co rn N CO N tj al T c to C CO — Ga CU J Confidential Procurement 8/25/2016 (PC112)PO Amendment Process Start:Search PO 1$ End:Issue Revised PO * No Punch out c______.).4.vc Dept. CatalogHeader Only? Yes—; Update / Approval? Itemized Contract stare No Contract or NO Yes Non-Itemized — 4r C N Contract NE tine Item _1 Change __EPI, ! 413 u O 0N 'NO Yes • •ocureme •rocurement C. EndN• Budget Check? Approval Ye Approves? A Needed? 0 Yes Yes C QJ • Receive amendment request E • Amended PO report,X vendor/contract No Dept. t • Requested POs Approvals? NI 0. 0.1 O N E 3 a ._.... 0 c3Revised Amendment i " PO Query PO Report ea 0 M 61 3 4/1 u z01a \� V, VI c Munis N U, q/ V V pp N °`S w J >• N /s t •••• 016 (PC113)Receiving Process Start: End: Start Goods or Services Receive GR Within Post Received —� Qty/Amount/96 Tolerance? Yes—/ GR Receipt «- End >/ A c a E a 7 V No E' y • Finance Contact Vendor for ro Change a al C E0.1 o LL Goods Receipts Reports 060.1 N V E V 0 N 22 c Munis Munis w z v C uo u r0 E a00i 0) a) C 716 Process Diagrams Included in this PW Document Set PW111 Right of Way(ROW)Permits Process-Applications = PW112 Right of Way(ROW)Permits Process—InspectionsMS• 1016 PW113 Garbage(SG)and Roll-Off(SR)Permits Process r1/11,E iv\i BEACH LEGEND Process Diagrams oaoImmmTreprr Start/End Data Decision Document Process Sub Process Document Flows 4 [11 . ;- -r., rain 0.—.. _..........._ E Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces Internal Interface External Interface Con),d,nr,a, PUNK Works 1 (PW111)Right of Way(ROW) Permit Process-Applications Start:Initial Application Received End:Application Approved Description:Applicant requests a Permit for use of the public ROW.This includes,driveway construction,dumpsters,generators,cranes,parking,etc...The request is inspected by the PW Department and the permit is either approved or rejected. Initial Mark up By 'ermR Package N �—�II7 Review PN, Plans Approved • 4011 vi P W 112 -v ti 3 V Ye. Z 7 c e•ueam 0- Invoice for Payment Process/ Conduct Pre- Application/ Received Issue Permit Construction Permit Fees a Initial Application u Start Receivedwith Q inoft7ralfi• G IMnT,Plan Q N , O LI� LL '4> _ — � E Application Plans Insurance Invoice Payment Permit ROW o Report 0 oti Q ti> ..„to.2 Customer EnerGov Munis 3 c to z CN U cvu 4- vi d O >. Y A PermitsPlus ao o ru ConlidFltiol PobYc Works 7 (PW112)Right of Way(ROW) Permit Process-Inspections Start:Inspection Scheduled End:Approved Description:Applicant requests a Permit for use of the public ROW.The request is received by the Public Works Department and it enters the inspection process and is either accepted or rejected. Inspection Date nspection Uploaded to Approvals/ Reje Inspectors Log •ejectio Y _ O Approve V_ t. Ct. Fee Calculation End inspections Start ' .. Yes Applicant Ntr Compliance Q LL Inspection Entry Notification Inspection Payment Permit Issuance ROW Report Report o2S N E "rd N C.1]v vC — EnerGov z N EY N� U N fp V n coPermits Plus J 3 (PW113)Garbage(SG)and Roll-Off(SR)Permits Process Start:Initial Application Received End:Application Approved Description:Applicant requests a Permit for use of the public ROW for Garbage(SG)or Roll-Off(SR)permits.The request is received by the Public Works Department—Sanitation and Code Enforcement does the onsite inspection and approvals.In this process there's a transfer to PW 112,there may be the requirement for a ROW permits in addition to the Garbage/Roll-Off permit. c • 0 ermit Package N Plans Approve• No nd t6 N No Ye i Schedule and Conduct Pre-Construction Meeting V_ .73 7 Yes o- •o Permit d Initial CE Mark up 0 `C �} Review "Y By CE sj o CCIO2 c w ro tv V 0 LL Df-oD • /0 >0 •Eg Application Plans Insurance Invoice Payment Permit Permits Issued Report cv 0 0 cv (_ w Z Y �i �c Customer EnerGov Munis N ua v N � PermitsPlus u c to — mo6 v Confidential Pub:it Works 4 Process Diagrams Included in this RM Document Set =_- RM101 City Bills Invoicing Process RM102 City Bills Adjustment Process RM108 Resort Tax Payment Process RM110 Dunning and Lien Issuance Process RM111 BTR Renewal Process-No Changes in Business RM113 Sidewalk Café Permitting Process RM114 Garage Sale Permitting Process RM115 Non-profit Vendor Permitting Process-Lottery RM116 Artist Vendor Certification Process RM117 Street Performer&Artist Vendor Permitting Process-Lottery RM118 Artist Vendor Certification Process—Renewals RM119 Real Estate Signage Permits Process LEGEND Process Diagrams <.> Start/End Data Decision Document Process Sub Process Document Flows to I • Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces Internal Interface External InterfaceConfidential Revenue Management I (RM101)City Bill Invoicing Process Start:Auto Bills End:Invoice Issued Electronic mall/reat to Yes---)aDeliveryDelivery Yes-1( End ) Customer Electronically .norma'• A a, ca ra Co ii No Update Customer (--- Yo— Data Print Mall or Hand Invokes Deliver Invoice Auto Bills cu N Start to a Invoices are v Q created and posted by the Func.Area cu '11114%ka,j04.." F-T1 E 3 o ° Auto Bills Invoice Print Email/Text Electronic Paper Invoice O Query/Report Form Invoices Invoices Delivery Invoice Query/Report Confirmation ozS Sources of City Bills vt �� Departments create and collect E y City Leases yHousing Finance prints&delivers(go to electronic delivery) Asset Management sin Code Compliance • e Munls Parking Impact Fees a) Sanitation Z T&C o2S tu E to t, v J Y a) h C Conliaentiol Revenue Management 2 (RM102)City Bill Adjustments Process Start:Adjustments Received End:Posted Create mks to direct path. NOTES: Finance Involved for checks and balances Print Want ability to convert,in some instances,a.Memo into A/P _I]Create DR/CR Document Invoice Memo or Check (AP101) l 0 -Electronically MaII or Nand soo �, Finance Create Revised Issue Deliver \ CH C Approves Invoice Document or No Document or End-/ Payment Check A (AP101) HCreate Refund RequestYes Yes- v7 W Need to Adjust Create/Modify Submit E (Start )--IIP Identlfkd by --t} automated Request obtain Dep 1.Possible multiple approval levels(may include commission) tDepartment request I Workflow i PProvals 2.Reason for adjustment co 0. T a CI No N Ei o Sources of City gills 0ki City Leases Housing111 El D -N7 Adjustment Refund Adjustments a) Asset Management Adjustment 1 Revised Debit/ E Code Compliance Request Documentation Invoice OR Credit Query/Report u Parking Impact Fees Q o Form Memo 0 o e1 Ecoo •Nightly sweep to IRS tu Z rte+ a� � rn C Munis U ad 0U N 00• d W N .l to C Confidential Revenue Management 3 (RM108)Resort Tax Payment Process(1,000 annual;800-900 monthly) Start:RTS Download End:Reconcile/Payment yo Transmit Data to ri Adjust Posted I Adjust Postedc.rstornerlir SunTrust(phone to RTX Notifications Sent to GL . Include Penalties, IIKEnd - verification) (B necessary) I (N necessary) .,... . .. No c Create and SunT '! Yes Post m GL Ree concile • ro (Dally) (Dash) 14/1Y LL y. Record Claim of Lien and/or -•dsfled No Code Compliance No Business 1 •terventl• Closure (RM104) u c Code a U Compliance U o E Notification (cam O a. at N ID '®, uo Resort Tax Mthly Report RTX o RTX Download Unpaid Emailed Query/Report 0 Report ea E m I SunTrust Munis I!^ LA Y w Munis Munis z as 'n • Document Requirements y as • SunTrust/RTX reports(IndMdual,statement,summary, Bond Fund Type % .4--1 in management report monthly,dally collection report) issuance I Food, d,Bev,Al 2% to't • Exception Report-paid last year but not this year 2 Bed 1% C Convention Center-1%(new) I t 3 Bed 1% 6, to _ ao aJ ConRdrntial Revenue Monoaemrnt • 5 (RM110)Dunning&Lien Process Start:List of Past Due AR's End:Satisfied CM Ust of Past •• Dunning I ® Letter Auto • Id%OM I T103 Post Geenel rated Populated/ 0 Days? Ye Cash Receipt 4 created •ecelva•e Update LRS Flagged itoo, Periodic 1 .. Oi 'County Reminder C to Y Yes c u. Yes No :aim. 1 •aid with = on J. oa •ayme.. Update LRS 30 days? i(Curs ) Received on'.' .�.. C.' "Leered" 61.n Flag Cleared Account _, NoticesIntent toUan - Mailed/ Notice&Copy of lien Generated I_mpending Lien and Transmitted C . tr - Emailed (Certified Maill j to the Coun t 11 W E C tV lb o LL Past Due Dunning Email to Lien Customer Lien Claim County Cash Lien Dunning County Lien Custorr♦RL Report Letter Customer Intent Notice Filed Receipt Query/Report Email Satisfaction 4 a net.N19.Inleamtl 4.4 a•*la Ilse Mir h••_to a _•Xu Mf•W"C 0 3 dyw1E•Poceem N N ® •• Each department.aa subject mast experts.k r ponatl•end accountable for E V • Data Inputs/Outputs r000nncerg tram awdroprneb*tY ktdwi but not lknaed bK ••••• m • • Past due Invoices Faaow•p wM oWbndkg ronU I.s ld oorrepwn6g°°mrd ertereet yt • Parcel IDs ape e0,end 90 day.blowup Mew N W • •Receivables Report • Notice templates Murals erep.rpn d leen b Limn Latera, C prep• Monthly Lien Activity wiwt d Wowd.d Lon documents for Fiance Depermwrd fig; y • Active lien ReportsPrsprrnn Si SawYlalm d Lw a Release Si len documents for Finance Z • Oep.rbnme ling. Lien Expiration Report b order b.propel.Wise.by Rroe Opabnaa Greareirg(Melon a —"'moi-'--fr•_e 9...e.-30 alai^este w•/7•••—._"•+•--"Y MNduel daprenento The C.esarkg ONiron.1111•06111C•Si peonmt,should pave.min no N pitying customer a receipt r.hrmrcina N V The Item bang ala Datrarne•rarind id Dear*rood paid. y d y • b d Tlw Reno.Dep•ronue I roprwee kw aro recording and rump of City — to' lens LRS aaxe rose es rnoelwowner tom era d.pabsnb.The sip omen an imam contra Eden LRS oto..wow/antsnn.aorn.,Nor p .rna documents mpaaanants .erred by.tea pay bdependvi to 1M deckle work and mbdlorw prior b reaming•Wan. Confidential Revenue Management 6 (RM11O-AS IS)Dunning&Lien Process Start:list of Past Due AR's End:Satisfied •aid whhi1103 Post �( .... 30 Days? Yes Cash Receipt '\End a)E 4 t'_ o Yes— Ce O. 0) 0 .aid whhl , 3O days? N• Receivable Send Info to Update IRS —111. FlaggedUen c'' Perlodk 40 Finance 'County tlsOed7 Reminders Uen' Yes 0 Yes u C ro Final Payment Update IRS Renamed on Receivable LL %knee Flag Cleared • Data Inputs/Outpuq CED Past due • Parcel IDs invokes • Receivables Report. Notice • Monthly Uen Activity templates • Active Lien Reports • lien Expiration Report r h 0 12 —1 n it D V LL o Past Due Dunning Email to Lien Lien Claim Cash Dunning County Lien Inv.Report Letter Customer Intent Notice Filed Receipt Email Satisfaction N E0 vs t • d c Lien iii z ed Munis CustomerCustomer County LRS LRS Query/Report z A V Confidenft Revenue Management 7 (RM111)Business Tax Receipts(BTR)Renewal Process(No Changes 7,500/year) Start:Run Renewal List End:Issue BTR Description:All businesses must have both a Business Tax Receipt(formerly called an occupational license)and a Certificate of Use(CU.).They may not open a business without both a license(BTR)and certificate of use(CU).Client Fills Out Forms Electronically and uploads all applicable forms for consideration:Lease/Sale,Tax ID,Articles of Incorporation,State License(if needed)and the BTR Application Form. Normal File(BTR)New Start � Month) �,-- Run Renewal ilss l � enewal Application ��e RReportfOy \\�°est�yo► RNotice (RM 103) \ 'al' c m I Flagged I yes C Renewal LL Notice Any\ I Invoice Issue ' 1. IIII( Business No►(Includl LBS B I o :! ) y Dice LL c Renewal List Invoice BTR& Code BTR E Receipt Compliance Report oReport 0 06 N , E v (ii v J aEnerGov Munis z06 LRS 'e' Q, >• 't m• — LRS Eden v J Confidential Revenue Management 8 (RM113)Sidewalk Café Application Process("'200) Start:Application Received End:Issue Receipt Description:Restaurants must obtain a sidewalk café permit before providing sidewalk service to patrons.This pennit,which is reviewed by various City departments to ensure safety and design appropriateness,must be obtained prior to the placement of any tables or chairs on public property.Fees apply.Required Documents include a current BTR/Resort Tax Certificate,Insuranceand a Layout/Seating Plan. Start Conflfm equ,re Vey' ppliwn V Public BTR/CU mms `GQmplet , Works l No 1`Review 2'Review u Planning C m rm Noo C onrm Fire/Site Visit Cfi Li Fees - - --- Building,Plumbing,ADA i I _- I i, Risk Management w Refect . . Yes 'df 5. _ 'I'.. "I Code Compliance i .ecei• a+ i C oLL SI idewalk Cafe Required Receipt License&Sidewalk Café Applications Forms Receipt query/Report u v `0 o� t0, u EnerGov Z — LRS Munis ori N E n, V !� N f[ A In ii,. '�@`li o LRS Eden CIO a J Canfiaential Revenue Management 9 (RM114)Garage Sale Permits Process Start:Receive Application End:Issue Permit Description:The Miami Beach Code requires that a permit be obtained for a Garage Sale.Only one garage sale is permitted at a residential location in each 12-month period. Each garage sale permit is valid for two consecutive days.Permits are available at City Hall and application and payment must be made at least one business day prior to the snip ond• v Start rte^ • Single r ne No}tknkd m C • nero Yes End i.� S Tenant ':'a:' yment i , „a iR TemF ,-,? Pa , r Te .� c —p �p rm E 3tl/ un I1 ),-= • O I U 1y o Garage Sale HOA Letter Owner Letter Permit Permits Report i Application 141 oo ing a posse • y CD• U �, v EnerGov Munis eliminating the requirement • = v • I S . i1 Z VI m Eden T'C , N ro C fti 00 a) J 10 (RM115)Non-Profit Vendor Permits Process(five locations,quarterly process) Start:Application Received End:Permit Issued Description:The City of Miami Beach offers five(5)locations for non-profit vendors/distributors which are awarded by lottery for three(3)month periods.Document Requirements include SO1C's,Letter from non-profit,List of volunteers and the Application. Submit ` !-- Swrt)— application and ReoefvR !Eligibility reviewy Y a 'Radon fee End) a Yes a I p EntryElottery Award sts process 01 us q oI O Application Payment Permit Non-Profit Payments and Invoice Query/Report G1 -• o>ZS EnerGov Munis (11 v z of H GJ Eden > U ro — m a J Canfiaenrial Revenue Management 11 (RM116)New Artist Vendor Certificates(400+,58 Locations) Start:Application Received End:Issue Permit Description:The City of Miami Beach offers fifty-eight(58)locations for artist vendors.Document Requirements include the Application,Sales Tax#and applicable Receipts/Permits. Receive---i - - . ApplicatiandSaleon Fee Cath Issue Of ••Iv t• r Start}-}I res Receipt "'1!CeRiFlcate •ttery DK Permitting 1 r. e_l Received 1 Process ek CU V Yes u ! f Receive i C Cash Receipt ! Enter Certificate ra I Application -1110Award Sites- Process C Received I and Permit I Inttery LL $ �A I Cash Pay Fee, Receipt Obtain -*Issue Permit E, nd Received Receipt Yes ^ N N Y t 1 Accesses Q '�— Report Approvals? r o `End, L„4,-, O V Y CU u • c CU ro Code Complicate Compliance End U n Accesses Report ro O V D t� New Artist Payment CC Report Receipt, Lottery Receipt, Permit Applications 0 Application &Sales Cert. Certificate Application Certificate Query/Report v ✓ t9 V) I N . EnerGov Munis Z) P5 aV N T r N V o U1 m , J to Eden Confident., Revenue Management 12 (RM117)Street Performer Permits Process(16 Permits,A&B Slots) Start:Application Received End:issue Permit Description:The City of Miami Beach offers sixteen(16)locations for street performers which are awarded by lottery for three(3)month periods.Automate Application&Lottery Process with a Automate Workflow with Code Compliance. d1 Start Receive I Cash �})/ Id First Application--►! Receipt — Enter _y Award I• End Received Lottery sites C A iL Yes ar cT E rp Code Code t o 'n Compliance Compliance o9(End) N— E Accesses Report .. . 0 0 N \/� 0 --* V —� M E Application& CC Report Lottery Award Payment Permit Applications u Payment Application Notice &Receipt Report 0 af! OE E u to EnerGov Munis to W 3 c dr z oo E O N M tVI 10 Eden w co — be a J 13 (RM118)Artist Vendor Certification Process(renewals) Start:System Notification End:Certificate Issued Description:The City of Miami Beach offers fitly-eight(58)locations for artist vendors.Document Requirements include Previous Certificate Number,Receipt and Eligible Artist List. Automated System CS"rt)—►Notlikatbn to Artist Eligible? o►(End lb Vendoriw/ c exoirationsl c ii End Yes Cash Receipt r Select Time Period U h _o o " Expired Artist Payment Certificate Certifications Certificates Report Report 021 EnerGov Monis • u • w 3 E. al z E d -• u Eden art (t c m — m v Confidential RevenueMonopement 14 (RM119)Real Estate Signage Permits Process Start:Receive Application End:Issue Permit Description:There are two types of real estate sign permits:1)Single Family Residential&2) Multifamily, Commercial, Industrial, Vacant land. Applicants come to City Hall and pay the associated fee for the specific sign. Upon payment the requesting party will be issued a decal that is to be affixed to the sign. esldentla LRS Type i N Issues? • Permit Payment eo LL ommerda Yes Yes u n End Q o RM11o) LT. 'D '© Application Invoice Permit Permits Report 3 0 oa Looking at possibly LRS EnerGov Munis • u eliminating the requirement 3 c Z for this permit. 04N Oa al Eden N to tf1 cu N u0 W J Conlldentlol Revenue Management ss • Process Diagrams Included in this TCD Document Set .....m. a TCD101 Special Events Permitting Process(includes ceremony&sampling permits) TCD102 Film&Print Permitting Process R F A H TCD103 Light Pole Banner Permitting Process TCD104 Property Management Process(Contracts&Invoicing) LEGEND Process Diagrams Liii1/7 O Start/End Data Decision Document Process Sub Process Document Flows D • : 1_,. lNS 6,1514'. niftai 4. Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces „....,....„. d Internal Interface External Interface Confidential Tourism Cultural Development 1 (TCD101)Special Events Permitting Process(includes ceremony&sampling permits) Start:Application Received End:Issue Permit Description:ICED receives as application for a special event request to be held on public property.The request is reviewed and approved or rejected.If approved ICED issues a permit. TOED Private Notiflatbn& Property? Yes Ci BTR V Violations • U ns Nr Update Fees& End Invoke Yes End (RMUO) Yes U start a CO a) r Pt Approvals (Fire,PW,Bldg, No C etc) O C C LL Etet � % ~ 3 O r,- Application Invoice Forms Insurance& Permit Special Events &Plans Indemnification Report w 1/1 w d `fOt Z c EnerGov oa U f0 a ti c Dade County Confidenlll — Tourism Cultural Development 2 (TCD102)Film and Print Permitting Process Start:Register/Application Received End:Issue Permit Description:This process includes the receipt,review and approval or rejection of a File or Print Permit on public property in the CMB. ICED I Upload Upload _ Notification& — Completed —) Insurance& Approvals No m, End Ie'emnNkallon! -- Intervention Forms&Plans I Form I A I — p Yes F- i Update Fees& �} Collect Fees 1 Issue Permit — Invoice i (e.g.,VBAs) T Ta Notify Depts.As Ous Necessary �, tD parking,police, c Q fire) 3 LL C Register I – - — (a •U Start )--► Production AmADPIy New, end,or Add 0- Company and/or 0- Local Manager Locations Q LL EApplication Forms Insurance& Invoice Payment Permit Permitting Forms &Plans Indemnification Report 0 0 ea c>11.4 '' v z � v C f_ EnerGov Munis ozs • Application forms u us • Insurance&Indemnification Forms rti E o • Parking meter requisition form no N Y N • Other permits? V.. • Enter permit a to—C 3 (TCD103)Light Pole Banner Permitting Process Start:Application Received End:Issue Permit Description:This process includes the receipt of an application to attach a banner to a light pole.The applications reviewed and either approved or rejected. TCED I Upload ' 0. _} Notification Completed Insurance& Update Fees • • & I forms& M indemnificad &Invoice I Issue Permit Y; End j Int- ndon Plans I ----A- 0 w V H :TR Violation Past Due? Yes • Yes End) m Z N Q Dept Approvals? Co Fire,PW,Bldg,etc c o No 1 LL C Receipt of I • Application Forms Co `Start�--- Application • Insurance&Indemnification Forms Forms Available(1) L_____„------,, c.Q I E• 3 u• t° Application Invoice Forms Insurance& Payment Permit Permitting o Forms &Plans Indemnification Report al cu 3 N (J Z a)• t � �� to c EnerGov Munis • N t11 u com be at) 't a) N v —J N C .‘":>nrdennoi Tourism Cultural Development 4 (TCD104)Property Management Process(Contracts&Invoicing) Start:Enter a New Lease End:Close Out a Lease Description:This process includes reviewing new or re-negotiating existing CMB lease.The outcome is a new lease or the close-out of an existing lease. Negotiate a Receipt of the I Upload the (start)_..10New or : kgroun• pass signed kale Contract& Renegotiate an redit chec. l insurance Existing Lease i Binder End A A Fall. Enter Type o` H ( • Select or Lease,T&Cs, EndL.) Establish theMonitor for Insurance, 1 Lesseenon- Close out/ Escalations& Establish Term , compliance, Terminate Lease RequirementsRting i assess late fees 1--"— and return and calculate deposits 1 A _2tat_e_m_ents__,] Establish Inv Cyde,amcU u —1► escalatio c collect rep, c deposits LL —L --L, . r () I---• o " Credit Lease Deposit Contract& Payment Lease 0 Documents Insurance Binder Report Check Refund ozi E v �' v EnerGov Munis 3 c a) z QS N U �I N ni Us v Eden a ✓ c to — no a! J ..,.,.,. ...,.,..... 5 • Process Diagrams Included in this TM Document Set W N▪W 111 ,411•MI TM101 Record monthly,quarterly,and annual Investment activity TM103 Cash Receipting Process-Cashiers Office TM104 Service Debt Instruments&Payments Process TM105 Cash Receipting Process-Self Service TM106 Monthly Debt Entries LEGEND Process Diagrams Start/End Data Decision Document Process Sub Process Document Flows • A 10- Documents- Documents- Email Multiple Documents Reports/Queries Internal External Systems/Interfaces Internal Interface External Interface Confidential Treasury Management 9/21/2016 (TM101)Record Monthly,Quarterly,and Annual Investment Activity Process Start:Reports End:Reconcile GI.Accounts N dCiCash Not Yet Finance Y PurtMade Email to H C Start ase " Invested Approved stodlal Ban N Q C 1 � 1E's Purchases, 46..)Rep!xtmaant / SE.- l , l sales&Interest Tickets/ Received Yes \'�� 7 No— N y ' N /GI Account —Yes.. End. N _ __ N8concilianop% l it \/ y V C to nuke Mark to C LL Vo— E• 3 4/111 0 L.I's-' n 110-4°.4 a . 0 D ,_ O• LL Investment Proposal Trade Ticket Purchase Email Investment Report Reconcile Trade Tickets Investments VI • HappensMunis KepoR y being ng evaluated/Purchased W v ,E \ °7Bank Bank �f • ed z Munis Munis N us rud N t co V1 aI C co — (1C es I CanAdle Treasury Management S 316 (TM103)Cash Receipting(Cashier's Office)(35K-36K/year) Start:Customer Pays End:Customer Receipt v _ ,.Customer Receives Customer Shows U Receipt and/or End E � p Customer Tenders I--. 1 2 Start -1' to Pay for City ' Payment Method I Goods ` ) ,o ----_J Service JI U A • r N t0 Cashier. Selects the I System Determines Cashier Applies ✓ Cashier Pugs Up Number of Items system Calculates i Account Info --110Being Paid(within �� Amount Due Correct .._ett Bank Payment(s)(systemN the Portal) 1 7 Account generates GL entry) C to C LL N Daily cash receipt reports !� -by payment,type and cc type i j T. -by bank El Nj .. -by cashier I C • Daily revenue report/transactions E -byservice Account Info Payment Receipt Cash Receipt/ u o Revenue Trans- o0 Query/Report N c .„..U Nw t' a) Customer Customer Customer 3 5 a, Z Munis CN G N Na1 V ut na T'- N 41 C.,• C t0 — CO 0,5a J Confrdentlal Treasury.Management 9/21/2016 (TM104)Service Debt Instruments—Payments,etc. Process Start:Report Amounts Due End:Payment Run z-N .yment Run � Receive Trustee j ,Compare P& or Wire / Due AiP Create Vendor '', Ca Start _� Invoice for P&I Dto Treasury Invoice 'Transfer C\i \ End j co co - I Payment Records C v 1 (Rm101 LL F- A Reconcile Difference No C with Bank fd CO N -\ 3 Reports y 74. O • P&I Due W it Jt • A/P payments processed i j C cu E Trustee Invoice Reconcile Vendor Invoice Payment Payment o IN/Bank Run Query/Report Cl N N L:'.us w to N 3 c Bank .-------) z °d Munis Munis N E N yv V 'ace T It VI N T +-I U C ro — CID 05N J Confidential Treasury Management 9/11/1016 (TM105)Cash Receipting(Self Service) Start:Customer Pays Online End:Customer Receipt/Goods Customer Goes Customer Selects y Customer Registers/ Customer Pulls Up Number of Items E Start �--)h Online to Pay for '� Logs In Account Info rt Being Paid(within p '�� City Service ,. Portae a l 7 U T H System Determines System CalculatesCorrect gook Amount Due Account W ui C . .N C System Applies • Customer Tenders •stomer Recehrcf ii H nt Methodgeneratez GL entry) .`;(•rand G•••i•_: l 3 f . I\ _. _... •0 . 1 • wCash Receipt/ E Online Access Online Payment Receipt Revenue Trans. Query/Report 0 0 N 4 A g • V t IN Siag {1 > """NNNINN , Ii v, 1 \ in aii c Munis 1 Z' z Customer Customer Customer Channels/Payment Methods ut • Dairy cash receipt reports • Golf Course/Tennis:post to Eden/Deposit IVR:credit card,ACH N u -by payment,type and cc type • Cashiers Office:credit card,cash,check,money order Autopay(City Initiated):credit card,ACH M -by bank • Kiosk(Cust Svc/Bldg Dept):credit card Other City Facilities:credit card,cash,ACH VTi N -by channel • Online:credit card,ACH Finance Dept:ACH,wires • C • Daily revenue report/transactions • Lockbox:check M — -by service tvld o f Codential Treasury Management 9/21/2015 (TM106)Monthly Debt Entries Process Start:Recurring Template End:Post Entries MONTHLY MONTHLY Ncreate(Initial) •Populate template co Start ;;_ rie Recurring template with Monthly •Post Erring End Amounts � ) CO LL ••Create(initial)recurring template •Bond Oiscount/Premium Amount O - •Interest Accrual LL •Gain/Loss on Refinancing v Monthly Dept Recurring Debt Entry o Template Query/Report ciS E N N▪ v 3 •-• �. Munis Y v1 CO T`t N v U C C.) C CO — to 06 N J Conjdennol Treasury Management 9/71/7016 MIAMI BEACH City of Miami Beach, 1755 Meridian Avenue,3'"Floor, Miami Beach,Florida 33139,www.mlamlbeachfl.gov PROCUREMENT DEPARTMENTTel:305-673-7490. ADDENDUM NO. 6 RFQ 2017-290-WG City Wide Fraud Risk Assessment November 15,2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City, The RFQ is amended in the following particulars only. I. REVISIONS • • RFQ DUE DATE AND TIME. The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, December 8, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at RafaelGranado(g7m is m ibea chfl.qov. Procurement Contact: Telephone: Email: William Garviso 305-673-7000, ext.6650 WilliamGarviso@miamibeachfl.gov Proposers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. Sine - , A xDe ocur- -nl Director • • • •1 • MIAMI BEACH Clry of Mlaml Beach,1755 Meridian Avenue,3'°Floor, Mlaml Beach,Florida 33139,www.mlanlbeechll.gov PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO. 5 RFQ 2017-290-WG City Wide Fraud Risk Assessment October 26,2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS RFQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, November 17, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at Rafael Granada(o)m iam i beachfl.qov. Procurement Contact: Telephone: Email: William Garviso 305-673-7000, ext. 6650 WilliamGarviso@miamibeach0.gov Proposers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. Sincerely, Alex Denis Procurement Director • • 1 • MIAMI BEACH City of Miami Beach,1755 MerldIan Avenue,37 Floor, Wand Beach,Florida 33139,www.mlamibeachfl.gov PROCUREMENT DEPARTMENT Tel:305-673-7490, ADDENDUM NO.4 RFQ 2017-290-WG City Wide Fraud Risk Assessment October 12, 2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS RFQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, November 3, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at RafaelGranadoi miamibeachfl,gov. Procurement Contact: Telephone: Email: William Garviso 305-673-7000, ext. 6650 WilliamGarviso'a"�miamibeachfl.gov 1Psers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. inter Alex Denis Procurement Director • 1 MIAMIBEACH GUy of Miemi Beach,1755 Meridian Avenue,3'1 Floor, Miami Beach,Florida 33139,www.mlemlbeacbfl.9av PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO.3 RFQ 2017-290-WG City Wide Fraud Risk Assessment October 2, 2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS RFQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, October 20, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted In writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at RafaelGranadotTh m iam i beachfl.qov. Procurement Contact: Telephone: Email: William Garviso 305-673-7000, ext. 6650 WilliamGarviso@miamibeachfl.gov Proposers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. Si c rely pp Den cot , rocur ent Director l • 1 M- IAMIBEACH - - • City of Miami Beach, 1755 MeddIan Avenue,3111 Floor, Miami Beach,Florida 33139,www.mlamibeechfl.gov PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO. 2 RFQ 2017-290-WG City Wide Fraud Risk Assessment September 20, 2017 • This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended In the following particulars only. I. REVISIONS • RFQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on Friday, October 6, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at RafaelGranado( miamibeachfLoov. Procurement Contact: Telephone: Email: William Garviso 305-673-7000, ext. 6650 WilliamGarviso@miamibeachfl.gov P ers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. incefy I LV Aft lexs Procurement Director 1 M1AM] BEACH City of Miami Beach,1755 Meridian Avenue,3i°Floor, Miami Beech,Florida 33139,www.mlemlbeachB.9ov PROCUREMENT DEPARTMENT Tel:305-673-7490. ADDENDUM NO. 1 RFQ 2017.290-WG City Wide Fraud Risk Assessment September 1, 2017 This Addendum to the above-referenced RFQ is issued in response to questions from prospective proposers, or other clarifications and revisions issued by the City. The RFQ is amended in the following particulars only. I. REVISIONS • • RFQ DUE DATE AND TIME.The deadline for the receipt of proposals is extended until 3:00 P.M., on • Friday, September 22, 2017, at the following location. City of Miami Beach Procurement Department 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Late proposals will not be accepted. Proposers are cautioned to plan sufficient time to allow for traffic or other delays for which the Proposer is solely responsible. Any questions regarding this Addendum should be submitted in writing to the Procurement Management Department to the attention of the individual named below, with a copy to the City Clerk's Office at Rafael Granado(Wm iam i beachfl.gcv. Procurement Contact: Telephone: Email: William Garviso 1305-673-7000, ext.6650 WilliamGarviso@miamibeachfl.gov Proposers are reminded to acknowledge receipt of this addendum as part of your RFQ submission. Lr. 4, fo -ment Director 1 REQUEST FOR QUALIFICATIONS ( RFQ ) CITY WIDE FRAUD RISK ASSESSMENT 2017-290-WG RFQ ISSUANCE DATE: JULY 27, 2017 STATEMENTS OF QUALIFICATIONS DUE: SEPTEMBER 12, 2017 @ 3:00 PM ISSUED BY: William Garviso, Procurement Contracting Officer II PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3" Floor, Miami Beach, FL 33139 305.673.7000 x 6650 I WilliamGarviso©miamibeachfl.gov I www.miamibeachfl.gov MIAMI BEACH TABLE OF CONTENTS SOLICITATION SECTIONS: PAGE 0100 NOT UTILIZED N/A 0200 INSTRUCTIONS TO RESPONDENTS & GENERAL CONDITIONS 3 0300 SUBMITTAL INSTRUCTIONS & FORMAT 12 0400 EVALUATION PROCESS 14 APPENDICES: PAGE APPENDIX A RESPONSE CERTIFICATON, QUESTIONNAIRE AND AFFIDAVITS 16 APPENDIX B "NO BID" FORM 23 APPENDIX C MINIMUM REQUIREMENTS & SPECIFICATIONS 25 APPENDIX D INSURANCE REQUIREMENTS 27 • RFQ 2017-290-WG 2 ,V!IAV°MIBEACH SECTION 0200 INSTRUCTIONS TO RESPONDENTS&GENERAL CONDITIONS 1. GENERAL. This Request for Qualifications (RFQ) is issued by the City of Miami Beach, Florida(the "City"), as the means for prospective Proposer to submit their qualifications, proposed scopes of work and cost Statement of Qualifications (the "proposal") to the City for the City's consideration as an option in achieving the required scope of services and requirements as noted herein. All documents released in connection with this solicitation, including all appendixes and addenda, whether included herein or released under separate cover, comprise the solicitation, and are complementary to one another and together establish the complete terms, conditions and obligations of the Proposer and, subsequently, the successful proposer(s) (the "contractor[s]") if this RFQ results in an award. The City utilizes PublicPurchase (www.oublicpurchase.com) for automatic notification of competitive solicitation opportunities and document fulfillment, including the issuance of any addendum to this RFQ. Any prospective proposer who has received this RFQ by any means other than through PublicPurchase must register immediately with PublicPurchase to assure it receives any addendum issued to this RFQ. Failure to receive an addendum may result in disqualification of proposal submitted. 2. PURPOSE. The City of Miami Beach seeks statements of qualifications from qualified firms to provide fraud risk assessment services, analyzing its business processes for associated risks. The fraud risk assessment shall focus on the impact of fraud on the City's reputation, the exposure of the City to criminal and civil liability, and the result of a financial statement loss. The fraud risk assessment shall include clear methods of identifying and measuring fraud vulnerabilities. Some key elements to include in the fraud risk assessment are: • Identifying inherent fraud risks affecting the city operations • Assessing the likelihood and impact of inherent fraud risks • Determining fraud risk tolerance • Examining the suitability of existing fraud controls and prioritizes residual fraud risks • Documenting the city's fraud risk profile. This assessment is to cover all areas of the city operations with the focus on fraud risks. 3. SOLICITATION TIMETABLE.The tentative schedule for this solicitation is as follows: Solicitation Issued July 27, 2017 Pre-Submittal Meeting August 16, 2017 @ 10:00AM Deadline for Receipt of Questions September 2, 2017 @ 5:00PM Responses Due September 12, 2017 @ 3:00PM Evaluation Committee Review TBD Proposer Presentations TBD Tentative Commission Approval Authorizing Negotiations TBD Contract Negotiations Following Commission Approval RFQ 2017-290-WG 3 IAAA BEACH 4. PROCUREMENT CONTACT. Any questions or clarifications concerning this solicitation shall be submitted to the Procurement Contact noted below: Procurement Contact Telephone. Email: William Garviso, CPPB 305 673-7000#6650 WilliamGarviso• miamibeachfi..ov Additionally, the City Clerk is to be co.ied on all communications via e-mail at: RafaelGranado• miamibeachfL.ov; or via facsimile: 786-394-4188. The Bid title/number shall be referenced on all correspondence. All questions or requests for clarification must be received no later than ten(10)calendar days prior to the date proposals are due as scheduled in Section 0200-3. All responses to questions/clarifications will be sent to all prospective Proposers in the form of an addendum. 5. PRE-PROPOSAL MEETING OR SITE VISIT(S). Only if deemed necessary by the City, a pre-proposal meeting or site visit(s) may be scheduled. A Pre-PROPOSAL conference will be held as scheduled in Anticipated RFQ Timetable section above at the following address: City of Miami Beach Procurement Department Conference Room 1755 Meridian Avenue,3b Floor Miami Beach, Florida 33139 Attendance (in person or via telephone) is encouraged and recommended as a source of information, but is not mandatory. Proposers interested in participating in the Pre-Proposal Submission Meeting via telephone must follow these steps: (1) Dial the TELEPHONE NUMBER: 1-888-270-9936 (Toll-free North America) (2) Enter the MEETING NUMBER: 9415468 Proposers who are interested in participating via telephone should send an e-mail to the contact person fisted in this RFQ expressing their intent to participate via telephone. 6. PRE•PROPOSAL INTERPRETATIONS. Oral information or responses to questions received by prospective Proposers are not binding on the City and will be without legal effect, including any information received at pre- submittal meeting or site visit(s). The City by means of Addenda will issue interpretations or written addenda clarifications considered necessary by the City in response to questions. Only questions answered by written addenda will be binding and may supersede terms noted in this solicitation. Addendum will be released through PublicPurchase. Any prospective proposer who has received this RFQ by any means other than through PublicPurchace must register immediately with PublicPurchase to assure it receives any addendum issued to this RFQ. Failure to receive an addendum may result in disqualification of proposal. Written questions should be received no later than the date outlined in the Anticipated RFQ Timetable section. 7. CONE OF SILENCE. This RFQ is subject to, and all proposers are expected to be or become familiar with, the City's Cone of Silence Requirements, as codified in Section 2-486 of the City Code. Proposers shall be solely responsible for ensuring that all applicable provisions of the City's Cone of Silence are complied with, and shall be subject to any and all sanctions, as prescribed therein, including rendering their response voidable, in the event of such non-compliance. Communications regarding this solicitation are to be submitted in writing to the Procurement Contact named herein with a copy to the City Clerk at rafaelgranado@miamibeachfi.gov RFQ 2017-290-WG 4 1A A ! BEACH 8. SPECIAL NOTICES. You are hereby advised that this solicitation is subject to the following ordinances/resolutions, which may be found on the City Of Miami Beach website: htto://web,miamibeach8,qov/procurement/scroll,asnx?id=79113 . CONE OF SILENCE CITY CODE SECTION 2-486 PROTEST PROCEDURES CITY CODE SECTION 2-371 DEBARMENT PROCEEDINGS CITY CODE SECTIONS 2-397 THROUGH 2-485.3 LOBBYIST REGISTRATION AND DISCLOSURE OF FEES.. . CITY CODE SECTIONS 2-481 THROUGH 2-406 CAMPAIGN CONTRIBUTIONS BY VENDORS CITY CODE SECTION 2-487 CAMPAIGN CONTRIBUTIONS BY LOBBYISTS ON PROCUREMENT ISSUES CITY CODE SECTION 2-488 REQUIREMENT FOR CITY CONTRACTORS TO PROVIDE EQUAL BENEFITS FOR CITY CODE SECTION 2-373 DOMESTIC PARTNERS • PREFERENCE FOR FLORIDA SMALL BUSINESSES OWNED AND CONTROLLED BY CITY CODE SECTION 2-374 VETERANS AND TO STATE-CERTIFIED SERVICE-DISABLED VETERAN BUSINESS ENTERPRISES • FALSE CLAIMS ORDINANCE CITY CODE SECTION 70-300 • ACCEPTANCE OF GIFTS,FAVORS& CITY CODE SECTION 2-449 SERVICES 9. PUBLIC ENTITY CRIME. A person or affiliate who has been placed on the convicted vendor list following a conviction for public entity crimes may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to public entity, may not be awarded or perform work as a contractor, supplier, sub-contractor, or consultant under a contract with a public entity, and may not transact business with any public entity in excess of the threshold amount provided in Sec. 287.017, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list. 10. COMPLAINCE WITH THE CITY'S LOBBYIST LAWS. This RFQ is subject to, and all Proposers are expected to be or become familiar with, all City lobbyist laws. Proposers shall be solely responsible for ensuring that all City lobbyist laws are complied with, and shall be subject to any and all sanctions, as prescribed therein, including, without limitation, disqualification of their responses, in the event of such non-compliance. 11. DEBARMENT ORDINANCE: This RFQ is subject to, and all proposers are expected to be or become familiar with,the City's Debarment Ordinance as codified in Sections 2-397 through 2-406 of the City Code. 12. WITH THE CITY'S CAMPAIGN FINANCE REFORM LAWS. This RFQ is subject to, and all Proposers are expected to be or become familiar with, the City's Campaign Finance Reform laws, as codified in Sections 2-487 through 2-490 of the City Code. Proposers shall be solely responsible for ensuring that all applicable provisions of the City's Campaign Finance Reform laws are complied with, and shall be subject to any and all sanctions, as prescribed therein, including disqualification of their responses, in the event of such non-compliance. 13. CODE OF BUSINESS ETHICS. Pursuant to City Resolution No.2000-23879, the Proposer shall adopt a Code of Business Ethics ("Code") and submit that Code to the Procurement Department with its response or within five (5) days upon receipt of request, The Code shall, at a minimum, require the Proposer, to comply with all applicable governmental rules and regulations including, among others, the conflict of interest, lobbying and ethics provision of the City of Miami Beach and Miami Dade County. 14. AMERICAN WITH DISABILITIES ACT (ADA). Call 305-673-7490 to request material in accessible format; sign language interpreters (five(5)days in advance when possible), or information on access for persons with disabilities. For more information on ADA compliance, please call the Public Works Department, at 305-673-7000, Extension 2984. RFQ 2017-290-WG 5 t.A,IAMI BEACH 15. POSTPONEMENT OF DUE DATE FOR RECEIPT OF PROPOSALS. The City reserves the right to postpone the deadline for submittal of proposals and will make a reasonable effort to give at least three (3) calendar days written notice of any such postponement to all prospective Proposers through PublicPurchase, 16. PROTESTS. Proposers that are not selected may protest any recommendation for selection of award in accordance with eh proceedings established pursuant to the City's bid protest procedures, as codified in Sections 2- 370 and 2-371 of the City Code (the City's Bid Protest Ordinance). Protest not timely made pursuant to the requirements of the City's Bid Protest Ordinance shall be barred. 17. NOT USED. 18.VETERAN BUSINESS ENTERPRISES PREFERENCE. Pursuant to City Code Section 2-374, the City shall give a preference to a responsive and responsible Proposer which is a small business concern owned and controlled by a veteran(s) or which is a service-disabled veteran business enterprise, and which is within five percent (5%) of the lowest responsive, responsible proposer, by providing such proposer an opportunity of providing said goods or contractual services for the lowest responsive proposal amount (or in this RFQ, the highest proposal amount). Whenever, as a result of the foregoing preference, the adjusted prices of two (2) or more proposers which are a small business concern owned and controlled by a veteran(s) or a service-disabled veteran business enterprise constitute the lowest proposal pursuant to an RFQ or oral or written request for quotation, and such proposals are responsive, responsible and otherwise equal with respect to quality and service, then the award shall be made to the service-disabled veteran business enterprise. 19. DETERMINATION OF AWARD. The final ranking results of Step 1 & 2 outlined in Section 0400, Evaluation of Proposals, will be considered by the City Manager who may recommend to the City Commission the Proposer(s) s/he deems to be in the best interest of the City or may recommend rejection of all proposals. The City Manager's recommendation need not be consistent with the scoring results identified herein and takes into consideration Miami Beach City Code Section 2-369, including the following considerations: (1)The ability, capacity and skill of the Proposer to perform the contract. (2)Whether the Proposer can perform the contract within the time specified, without delay or interference. (3) The character, integrity, reputation,judgment, experience and efficiency of the Proposer. (4)The quality of performance of previous contracts. (5)The previous and existing compliance by the Proposer with laws and ordinances relating to the contract. The City Commission shall consider the City Manager's recommendation and may approve such recommendation. The City Commission may also, at its option, reject the City Manager's recommendation and select another Proposal or Proposals which it deems to be in the best interest of the City, or it may also reject all Proposals. 20. NEGOTIATIONS. Following selection, the City reserves the right to enter into further negotiations with the selected Proposer. Notwithstanding the preceding, the City is in no way obligated to enter into a contract with the selected Proposer in the event the parties are unable to negotiate a contract. It is also understood and acknowledged by Proposers that no property, contract or legal rights of any kind shall be created at any time until and unless an Agreement has been agreed to;approved by the City; and executed by the parties. RFQ 2017-290-WG 6 /JAM I BEACH 21. POSTPONEMENT/CANCELLATION/ACCEPTANCE/REJECTION. The City may, at its sole and absolute discretion, reject any and all, or parts of any and all, responses; re-advertise this RFQ; postpone or cancel, at any time, this RFQ process; or waive any irregularities in this RFQ, or in any responses received as a result of this RFQ. Reasonable efforts will be made to either award the proposer the contract or reject all proposals within one-hundred twenty(120)calendar days after proposal opening date.A proposer may withdraw its proposal after expiration of one hundred twenty (120) calendar days from the date of proposal opening by delivering written notice of withdrawal to the Department of Procurement Management prior to award of the contract by the City Commission. 22. PROPOSER'S RESPONSIBILITY. Before submitting a response, each Proposer shall be solely responsible for making any and all investigations, evaluations, and examinations, as it deems necessary, to ascertain all conditions and requirements affecting the full performance of the contract. Ignorance of such conditions and requirements, and/or failure to make such evaluations, investigations, and examinations, will not relieve the Proposer from any obligation to comply with every detail and with all provisions and requirements of the contract, and will not be accepted as a basis for any subsequent claim whatsoever for any monetary consideration on the part of the Proposer. 23. COSTS INCURRED BY PROPOSERS.All expenses involved with the preparation and submission of Proposals, or any work performed in connection therewith, shall be the sole responsibility (and shall be at the sole cost and expense)of the Proposer, and shall not be reimbursed by the City. 24. RELATIONSHIP TO THE CITY. It is the intent of the City, and Proposers hereby acknowledge and agree, that the successful Proposer is considered to be an independent contractor, and that neither the Proposer, nor the Proposers employees, agents, and/or contractors, shall, under any circumstances, be considered employees or agents of the City. 24. OCCUPATIONAL HEALTH AND SAFETY. In compliance with Chapter 442, Florida Statutes, any toxic substance listed in Section 38F-41.03 of the Florida Administrative Code delivered as a result of this proposal must be accompanied by a Material Safety Data Sheet(MSDS)which may be obtained from the manufacturer. 25. ENVIRONMENTAL REGULATIONS. The City reserves the right to consider a proposers history of citations and/or violations of environmental regulations in investigating a proposers responsibility, and further reserves the right to declare a proposer not responsible if the history of violations warrant such determination in the opinion of the City. Proposer shall submit with its proposal, a complete history of all citations and/or violations, notices and dispositions thereof. The non-submission of any such documentation shall be deemed to be an affirmation by the Proposer that there are no citations or violations. Proposer shall notify the City immediately of notice of any citation or violation which proposer may receive after the proposal opening date and during the time of performance of any contract awarded to it. 26. TAXES. The City of Miami Beach is exempt from all Federal Excise and State taxes. 27. MISTAKES. Proposers are expected to examine the terms, conditions, specifications, delivery schedules, proposed pricing, and all instructions pertaining to the goods and services relative to this RFQ. Failure to do so will be at the Proposer's risk and may result in the Proposal being non-responsive. 28. PAYMENT. Payment will be made by the City after the goods or services have been received, inspected, and found to comply with contract, specifications, free of damage or defect, and are properly invoiced. Invoices must be consistent with Purchase Order format. RFC) 2017-290-WG 7 M IAMI BEACH 29. COPYRIGHT, PATENTS & ROYALTIES. Proposer shall indemnify and save harmless the City of Miami Beach, Florida, and its officers, employees, contractors, and/or agents, from liability of any nature or kind, including cost and expenses for, or on account of, any copyrighted, patented, or unpatented invention, process, or article manufactured or used in the performance of the contract, including its use by the City of Miami Beach, Florida. If the Proposer uses any design, device or materials covered by letters, patent, or copyright, it is mutually understood and agreed, without exception, that the proposal prices shall include all royalties or cost arising from the use of such design, device,or materials in any way involved in the work. 30. DEFAULT. Failure or refusal of the selected Proposer to execute a contract following approval of such contract by the City Commission, or untimely withdrawal of a response before such award is made and approved, may result in a claim for damages by the City and may be grounds for removing the Proposer from the City's vendor list. 31. MANNER OF PERFORMANCE. Proposer agrees to perform its duties and obligations in a professional manner and in accordance with all applicable Local, State, County, and Federal laws, rules, regulations and codes. Lack of knowledge or ignorance by the Proposer with/of applicable laws will in no way be a cause for relief from responsibility. Proposer agrees that the services provided shall be provided by employees that are educated,trained, experienced, certified, and licensed in all areas encompassed within their designated duties. Proposer agrees to furnish to the City any and all documentation, certification, authorization, license, permit, or registration currently required by applicable laws, rules, and regulations. Proposer further certifies that it and its employees will keep all licenses, permits, registrations, authorizations, or certifications required by applicable laws or regulations in full force and effect during the term of this contract. Failure of Proposer to comply with this paragraph shall constitute a material breach of this contract. Where contractor is required to enter or go on to City of Miami Beach property to deliver materials or perform work or services as a result of any contract resulting from this solicitation, the contractor will assume the full duty, obligation and expense of obtaining all necessary licenses, permits, and insurance, and assure all work complies with all applicable laws. The contractor shall be liable for any damages or loss to the City occasioned by negligence of the Proposer, or its officers, employees, contractors, and/or agents,for failure to comply with applicable laws. 32. SPECIAL CONDITIONS. Any and all Special Conditions that may vary from these General Terms and Conditions shall have precedence. 33. NON-DISCRIMINATION. The Proposer certifies that it is in compliance with the non-discrimination clause, contained in Section 202, Executive Order 11246, as amended by Executive Order 11375, relative to equal employment opportunity for all persons without regard to race, color, religion, sex or national origin. In accordance with the City's Human Rights Ordinance, codified in Chapter 62 of the City Code, Proposer shall prohibit discrimination by reason of race, color, national origin, religion, sex, intersexuality, gender identity, sexual orientation, marital and familial status, and age or disability. 34. DEMONSTRATION OF COMPETENCY. The city may consider any evidence available regarding the financial, technical, and other qualifications and abilities of a Proposer, including past performance (experience) in making an award that is in the best interest of the City, including: A. Pre-award inspection of the Proposer's facility may be made prior to the award of contract. B. Proposals will only be considered from firms which are regularly engaged in the business of providing the goods and/or services as described in this solicitation. C. Proposers must be able to demonstrate a good record of performance for a reasonable period of time, and have sufficient financial capacity, equipment, and organization to ensure that they can satisfactorily perform the services if awarded a contract under the terms and conditions of this solicitation. RFQ 2017-290-WG 8 ,AA1A,M BEACH D. The terms "equipment and organization", as used herein shall, be construed to mean a fully equipped and well established company in line with the best business practices in the industry, and as determined by the City of Miami Beach. E. The City may consider any evidence available regarding the financial, technical, and other qualifications and abilities of a Proposer, including past performance (experience), in making an award that is in the best interest of the City. F. The City may require Proposer s to show proof that they have been designated as authorized representatives of a manufacturer or supplier, which is the actual source of supply. In these instances, the City may also require material information from the source of supply regarding the quality, packaging, and characteristics of the products to be supply to the City. 35. ASSIGNMENT. The successful Proposer shall not assign, transfer, convey, sublet or otherwise dispose of the contract, including any or all of its right, title or interest therein, or his/her or its power to execute such contract, to any person,company or corporation, without the prior written consent of the City. 36. LAWS, PERMITS AND REGULATIONS. The Proposer shall obtain and pay for all licenses, permits, and inspection fees required to complete the work and shall comply with all applicable laws. 37. OPTIONAL CONTRACT USAGE. When the successful Proposer(s) is in agreement, other units of government or non-profit agencies may participate in purchases pursuant to the award of this contract at the option of the unit of government or non-profit agency. 38. VOLUME OF WORK TO BE RECEIVED BY CONTRACTOR. It is the intent of the City to purchase the goods and services specifically listed in this solicitation from the contractor. However, the City reserves the right to purchase any goods or services awarded from state or other governmental contract, or on an as-needed basis through the City's spot market purchase provisions. 39. DISPUTES. In the event of a conflict between the documents, the order of priority of the documents shall be as follows: A. Any contract or agreement resulting from the award of this solicitation;then B. Addendum issued for this solicitation, with the latest Addendum taking precedence; then C. The solicitation; then D. The Proposer's proposal in response to the solicitation. 40. INDEMNIFICATION. The Proposer shall indemnify and hold harmless the City and its officers, employees, agents and instrumentalities from any and all liability, losses or damages, including attorney's fees and costs of defense, which the City or its officers, employees, agents or instrumentalities may incur as a result of claims, demands, suits, causes of actions or proceedings of any kind or nature arising out of, relating to or resulting from the performance of the agreement by the contractor or its employees, agents, servants, partners, principals or subcontractors. The contractor shall pay all claims and losses in connection therewith, and shall investigate and defend all claims, suits or actions of any kind or nature in the name of the City, where applicable, including appellate proceedings, and shall pay all costs, judgments, and attorney's fees which may be incurred thereon. The Proposer expressly understands and agrees that any insurance protection required by this Agreement or otherwise provided by the contractor shall in no way limit the responsibility to indemnify, keep and save harmless and defend the City or its officers, employees, agents and instrumentalities as herein provided. The above indemnification provisions shall survive the expiration or termination of this Agreement, RFQ 2017-290-WG 9 �PJAM! BEACH 41. CONTRACT EXTENSION. The City reserves the right to require the Contractor to extend contract past the stated termination date for a period of up to 120 days in the event that a subsequent contract has not yet been awarded. Additional extensions past the 120 days may occur as needed by the City and as mutually agreed upon by the City and the contractor. 42. FLORIDA PUBLIC RECORDS LAW. Proposers are hereby notified that all Bid including, without limitation, any and all information and documentation submitted therewith, are exempt from public records requirements under Section 119.07(1), Florida Statutes, and s. 24(a), Art. 1 of the State Constitution until such time as the City provides notice of an intended decision or until thirty (30) days after opening of the proposals, whichever is earlier. Additionally, Contractor agrees to be in full compliance with Florida Statute 119.0701 including, but not limited to, agreement to (a) Keep and maintain public records that ordinarily and necessarily would be required by the public agency in order to perform the services; (b) provide the public with access to public records on the same terms and conditions that the public agency would provide the records and at a cost that does not exceed the cost provided in this chapter or as otherwise provided by law; (c) Ensure that public records that are exempt or confidential and exempt from public records disclosure requirements are not disclosed except as authorized by law; (d) Meet all requirements for retaining public records and transfer, at no cost, to the public agency all public records in possession of the contractor upon termination of the contract and destroy any duplicate public records that are exempt or confidential and exempt from public records disclosure requirements. All records stored electronically must be provided to the public agency in a format that is compatible with the information technology systems of the public agency. 43. OBSERVANCE OF LAWS. Proposers are expected to be familiar with, and comply with, all Federal, State, County, and City laws, ordinances, codes, rules and regulations, and all orders and decrees of bodies or tribunals having jurisdiction or authority which, in any manner, may affect the scope of services and/or project contemplated by this RFQ (including, without limitation, the Americans with Disabilities Act, Title VII of the Civil Rights Act, the EEOC Uniform Guidelines, and all EEO regulations and guidelines). Ignorance of the law(s) on the part of the Proposer will in no way relieve it from responsibility for compliance. 44. CONFLICT OF INTEREST. All Proposers must disclose, in their Proposal, the name(s) of any officer, director, agent, or immediate family member(spouse, parent, sibling, and child)who is also an employee of the City of Miami Beach. Further, all Proposers must disclose the name of any City employee who owns, either directly or indirectly, an interest of ten (10%) percent or more in the Proposer entity or any of its affiliates. 45. MODIFICATION/WITHDRAWALS OF PROPOSALS. A Proposer may submit a modified Proposal to replace all or any portion of a previously submitted Proposal up until the Proposal due date and time. Modifications received after the Proposal due date and time will not be considered. Proposals shall be irrevocable until contract award unless withdrawn in writing prior to the Proposal due date, or after expiration of 120 calendar days from the opening of Proposals without a contract award. Letters of withdrawal received after the Proposal due date and before said expiration date, and letters of withdrawal received after contract award will not be considered. 46. EXCEPTIONS TO RFQ. Proposers must clearly indicate any exceptions they wish to take to any of the terms in this RFQ, and outline what, if any, alternative is being offered. All exceptions and alternatives shall be included and clearly delineated, in writing, in the Proposal. The City, at its sole and absolute discretion, may accept or reject any or all exceptions and alternatives. In cases in which exceptions and alternatives are rejected, the City shall require the Proposer to comply with the particular term and/or condition of the RFQ to which Proposer took exception to (as said term and/or condition was originally set forth on the RFQ). RFC) 2017-290-WG 10 I Art\AJ BEACH 47.ACCEPTANCE OF GIFTS, FAVORS, SERVICES. Proposers shall not offer any gratuities, favors, or anything of monetary value to any official, employee, or agent of the City, for the purpose of influencing consideration of this Proposal. Pursuant to Sec. 2-449 of the City Code, no officer or employee of the City shall accept any gift, favor or service that might reasonably tend improperly to influence him in the discharge of his official duties. 48. SUPPLEMENTAL INFORMATION. City reserves the right to request supplemental information from Proposers at any time during the RFQ solicitation process. 49. ADDITIONAL SERVICES. Although this solicitation and resultant contract identifies specific goods, services or facilities ("items'), it is hereby agreed and understood that the City, through the approval of the Department and Procurement Directors (for additional items up to $50,000) or the City Manager (for additional items greater than $50,000), may require additional items to be added to the Contract which are required to complete the work. When additional items are required to be added to the Contract, awarded vendor(s), as applicable to the item being requested, under this contract may be invited to submit price quote(s) for these additional requirements. If these quote(s) are determined to be fair and reasonable, then the additional work will be awarded to the current contract vendor(s) that offers the lowest acceptable pricing. The additional items shall be added to this contract by through a Purchase Order(or Change Order if Purchase Order already exists). In some cases, the City may deem it necessary to add additional items through a formal amendment to the Contract, to be approved by the City Manager. The City may determine to obtain price quotes for the additional items from other vendors in the event that fair and reasonable pricing is not obtained from the current contract vendors, or for other reasons at the City's discretion. Balance of Page Intentionally Left Blank RFQ 2017-290-WG MI AM I BEACH SECTION 0300 SUBMITTAL INSTRUCTIONS AND FORMAT 1. SEALED RESPONSES. One original Statement of Qualifications (preferably in 3-ring binder) must be submitted in an opaque, sealed envelope or container on or before the due date established for the receipt of proposals. Additionally, ten (10) bound copies and one (1) electronic format (CD or USB format) are to be submitted. The following information should be clearly marked on the face of the envelope or container in which the proposal is submitted: solicitation number, solicitation title, proposer name, proposer return address. Statement of Qualifications received electronically, either through email or facsimile, are not acceptable and will be rejected. 2. LATE BIDS. Statement of Qualifications are to be received on or before the due date established herein for the receipt of Bids. Any Bid received after the deadline established for receipt of Statement of Qualifications will be considered late and not be accepted or will be returned to proposer unopened. The City does not accept responsibility for any delays, natural or otherwise. 3. STATEMENTS OF QUALIFICATIONS FORMAT. In order to maintain comparability, facilitate the review process and assist the Evaluation Committee in review of Statement of Qualifications, it is strongly recommended that Statement of Qualifications be organized and tabbed in accordance with the sections and manner specified below. Hard copy submittal should be tabbed as enumerated below and contain a table of contents with page references. Electronic copies should also be tabbed and contain a table of contents with page references. Statement of Qualifications that do not include the required information will be deemed non-responsive and will not be considered. Cover Letter& Minimum Qualifications Requirements 1.1 Cover Letter and Table of Contents. The cover letter must indicate Proposer and Proposer Primary Contact for the purposes of this solicitation. 1.2 Response Certification, Questionnaire & Requirements Affidavit (Appendix A). Attach Appendix A fully completed and executed. 1.3 Minimum Qualifications Requirements. Submit verifiable information documenting compliance with the minimum qualifications requirements established in Appendix C, Minimum Requirements and Specifications. TAB 2 Experience&Qualifications 2.1 Qualifications of Proposing Firm. Submit detailed information regarding the firm's history and relevant experience and proven track record of providing the scope of services similar as identified in this solicitation, including experience in providing similar scope of services. Experience in Government agencies such as County, other local governmental organizations or public entities is preferred. For each project that the proposer submits as evidence of similar experience, the following is required: project description, agency name, agency contact, contact telephone&email, and year(s) and term of engagement. 2.2 Qualifications of Proposer Team. Provide an organizational chart of all personnel and consultants to be used for this project if awarded, the role that each team member will play in providing the services detailed herein and each team members' qualifications. A resume of each individual, including education, experience, and any other pertinent information, shall be included for each respondent team member to be assigned to this contract. 2.3 Financial Capacity. Each proposer shall arrange for Dun & Bradstreet to submit a Supplier Qualification Report (SQR)directly to the Procurement Contact named herein. No proposal will be considered without receipt, by the City, of the SQR directly from Dun & Bradstreet. The cost of the preparation of the SQR shall be the responsibility of the Proposer.The Proposer shall request the SQR report from D&B at: httos://suppl ierportal.dnb.com/webaoo/wcs/stores/seryIettSu oolierPortaWstoreld=11696 Proposals are responsible for the accuracy of the information contained in its SQR. It is highly recommended that each proposer review the information contained in its SQR for accuracy prior to submittal to the City and as early as possible RFQ 2017-290-WG 12 IV,IAMABEACH in the solicitation process. For assistance with any portion of the SQR submittal process, contact Dun & Bradstreet at 800-424-2495. Approach and Methodology Submit detailed information addressing the experience Proposer has in achieving each portion of the scope of services and technical requirements outlined in Appendix C, Minimum Requirements and Specifications. Responses should be in sufficient detail and include supporting documentation, as applicable, which will allow the Evaluation Committee to complete a full review of the Proposer's approach and methodology on similar engagements, including (but not limited to) Identifying inherent fraud risks; assessing the likelihood and impact of inherent fraud risks; determining fraud risk tolerance; examining the suitability of existing fraud controls; prioritizes residual fraud risks; and documenting fraud risk profile. Note: After proposal submittal, the City reserves the right to require additional information from Proposer (or proposer team members or sub-consultants) to determine: qualifications (including, but not limited to, litigation history, regulatory action, or additional references); and financial capability (including, but not limited to, annual reviewed/audited financial statements with the auditors notes for each of their last two complete fiscal years). RFQ 2017-290-WG 13 MIAM I BEACH SECTION 0400 STATEMENTS OF QUALIFICATIONS EVALUATION 1. Evaluation Committee. An Evaluation Committee, appointed by the City Manager, shall meet to evaluate each Statement of Qualifications in accordance with the requirements set forth in the solicitation. If further information is desired, Proposals may be requested to make additional written submissions of a clarifying nature or oral presentations to the Evaluation Committee. The evaluation of Statement of Qualifications will proceed in a two-step process as noted below. It is important to note that the Evaluation Committee will score the qualitative portions of the Statement of Qualifications only. The Evaluation Committee does not make an award recommendation to the City Manager. The results of Step 1 &Step 2 Evaluations will be forwarded to the City Manager who will utilize the results to make a recommendation to the City Commission. In the event that only one responsive proposal is received, the City Manager, after determination that the sole responsive proposal materially meets the requirements of the RFP, may, without an evaluation committee, recommend to the City Commission that the Administration enter into negotiations. The City, in its discretion, may utilize technical or other advisers to assist the evaluation committee in the evaluation of proposals. 2. Step 1 Evaluation. The first step will consist of the qualitative criteria listed below to be considered by the Evaluation Committee. The second step will consist of quantitative criteria established below to be added to the Evaluation Committee results by the Department of Procurement Management. An Evaluation Committee, appointed by the City Manager, shall meet to evaluate each Statement of Qualifications in accordance with the qualifications criteria established below for Step 1, Qualitative Criteria. In doing so, the Evaluation Committee may review and score all proposals received, with or without conducting interview sessions. Step 1-Qualitative Criteria Maximum Points Proposer Experience and Qualifications,including Financial Capability 55 Approach and Methodology 45 TOTAL AVAILABLE STEP 1 POINTS 100 3. Step 2 Evaluation. Following the results of Step 1 Evaluation of qualitative criteria, the Proposer may receive additional quantitative criteria points to be added by the Procurement Department to those points earned in Step 1, as follows. Step 2-Quantitative Criteria Maximum Points Veterans Preference 5 TOTAL AVAILABLE STEP 2 POINTS 5 RFQ 2017-290—WG 14 MJA/AI BEACH 4. Determination of Final Ranking. At the conclusion of the Evaluation Committee Step 1 scoring, Step 2 Points will be added to each evaluation committee member's scores by the Department of Procurement Management. Step 1 and 2 scores will be converted to rankings in accordance with the example below: Proposer Proposer Proposer A B C Ste• 1 Points 82 76 80 Committee Ste.2 Points 22 15 12 Member I Total 104 91 92 Rank 1 3 2 Ste. 1 Points 79 85 72 Committee Ste. 2 Points 22 15 12 Member 2 Total 101 100 84 Rank 1 2 3 Ste• 1 Points 80 74 66 Committee Ste.2 Points 22 15 12 Member 2 Total 102 89 78 Rank 1 2 3 Low Aggregate Score 3 7 8 Final Ranking' 1 2 3 * Final Ranking is presented to the City Manager for further due diligence and recommendation to the City Commission. Final Ranking does not constitute an award recommendation until such time as the City Manager has made his recommendation to the City Commission, which may be different than final ranking results. RFQ 2017-290-WG 15 APPENDIX A Response Certification , Questionnaire & Requirements Affidavit 2017-290-WG Citywide Fraud Risk Assessment PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 RR) 2017-290-WG 16 Solicitation No: Sollotation Title: 2017-290-WG Citywide Fraud Risk Assessment Procurement Contact Tel. Email. William Garviso, CPPB (305)673-7000#6650 WIIIiamGarviso@miamibeachftgov STATEMENTS OF QUALIFICATIONS CERTIFICATION, QUESTIONNAIRE&REQUIREMENTS AFFIDAVIT Purpose: The purpose of this Response Certification, Questionnaire and Requirements Affidavit Form is to inform prospective Proposals of certain solicitation and contractual requirements, and to collect necessary information from Proposals in order that certain portions of responsiveness, responsibility and other determining factors and compliance with requirements may be evaluated. This Statement of Qualifications Certification, Questionnaire and Requirements Affidavit Form is a REQUIRED FORM that must be submitted fully completed and executed. 1. General Proposer Information. FIRM NAME: NO.OF YEARS IN BUSINESS: NO.OF YEARS IN BUSINESS LOCALLY: NO.OF EMPLOYEES. OTHER NAME(S)PROPOSER HAS OPERATED UNDER IN THE LAST 10 YEARS. FIRM PRIMARY ADDRESS(HEADQUARTERS): CITY STATE. ZIP CODE. TELEPHONE NOr. TOLL FREE NO.. FAX NO.: ARM LOCAL ADDRESS: CITY' STATE: ZIP CODE. PRIMARY ACCOUNT REPRESENTATIVE FOR THIS ENGAGEMENT: ACCOUNT REP TELEPHONE NO.: ACCOUNT REP TOLL FREE NO.: ACCOUNT REP EMAIL'. FEDERAL TAX IDENTIFICATION NO The City reserves the right to seek additional information from proposer or other source(s),including but not limited to:any firm or principal information,applicable licensure, resumes of relevant individuals,client information,financial information,or any information the City deems necessary to evaluate the capacity of the proposer to perform in accordance with contract requirements. RFQ 2017-290—WG 17 Veteran Owned Business.Is Pro oser claimina veteran owned business status? YES NO SUBMITTAL REQUIREMENT: Proposers claiming veteran owned business status shall submit a documentation proving that firm is certified as a veteran-owned business or a service-disabled veteran owned business by the State of Florida or United Slates federal government,as required pursuant to ordinance 2011-3748. 2. Conflict Of Interest. All Proposers must disclose, in their Proposal, the name(s) of any officer, director, agent, or immediate family member(spouse, parent, sibling, and child)who is also an employee of the City of Miami Beach. Further, all Proposers must disclose the name of any City employee who owns,either directly or indirectly,an interest of ten (10%)percent or more in the Proposer entity or any of its affiliates. SUBMITTAL REQUIREMENT: Proposers must disclose the name(s)of any officer,director, agent, or immediate family member (spouse, parent,sibling,and child)who is also an employee of the City of Miami Beach. Proposers must also disclose the name of any City employee who owns. either directly or indirectly,an interest of ten(10%) percent or more in the Proposer entity or any of its affiliates 3. ...,.... -_ . • ,t, : : ; .;.. .. . ;;, . 'mior h cizo and^,t ?eaw{hewe•4•e'c cr^edinselsitaten. • 4. Suspension, Debarment or Contract Cancellation. Has Proposer ever been debarred, suspended or other legal violation, or had a contract cancelled due to non-performancertan public sector agency? YES NO SUBMITTAL REQUIREMENT: If answer to above is"YES," Proposer shall submit a statement detailing the reasons that led to action(s). 5. Vendor Campaign Contributions.Proposers are expected to be or become familiar with,the City's Campaign Finance Reform laws, as codified in Sections 2-487 through 2-490 of the City Code, Proposers shall be solely responsible for ensuring that all applicable provisions of the City's Campaign Finance Reform laws are complied with, and shall be subject to any and all sanctions,as prescribed therein,including disqualification of their Proposals,in the event of such non-compliance. SUBMITTAL REQUIREMENT: Submit the names of all individuals or entities (including your sub-consultants) with a controlling financial interest as defined in solicitation. For each individual or entity with a controlling financial interest indicate whether or not each individual or entity has contributed to the campaign either directly or indirectly, of a candidate who has been elected to the office of Mayor or City Commissioner for the City of Miami Beach. 6. Code of Business Ethics. Pursuant to City Resolution No.2000-23879,each person or entity that seeks to do business with the City shall adopt a Code of Business Ethics("Code")and submit that Code to the Department of Procurement Management with its proposal/response or within five(5)days upon receipt of request. The Code shall, at a minimum,require the Proposer,to comply with all applicable governmental rules and regulations including, among others, the conflict of interest, lobbying and ethics provision of the City of Miami Beach and Miami Dade County. SUBMITTAL REQUIREMENT: Proposer shall submit firm's Code of Business Ethics. In lieu of submitting Code of Business Ethics, Proposer may submit a statement indicating that it will adopt,as required in the ordinance, the City of Miami Beach Code of Ethics,available at www.miamibeachfi.aovlorocurementlscroll.asox?id=79113 RFQ 2017-290—WG 18 7. ' ' ._ ., . _.. ¢:.. - .. :: .• . ... ,.. ; . ... . - c"'""'TT1L Pr-/"9Pr-a'w;xini,M'tirwil rsb,ritta) c rogskad.By virtu°e'ev^^uting this affda""it document,Propo o'agree 8 Equal Benefits for Employees with Spouses and Employees with Domestic Partners.When awarding competitively solicited contracts valued at over 5100,000 whose contractors maintain 51 or mare full time employees on their payrolls during 20 or more calendar work weeks,the Equal Benefits for Domestic Partners Ordinance 2005-3494 requires certain contractors doing business with the City of Miami Beach,who are awarded a contract pursuant to competitive proposals,to provide'Equal Benefits''to their employees with domestic partners, as they provide to employees with spouses. The Ordinance applies to all employees of a Contractor who work within the City limits of the City of Miami Beach, Florida, and the Contractor's employees located in the United States, but outside of the City of Miami Beach limits, who are directly performing work on the contract within the City of Miami Beach. A. Does your company provide or offer access to any benefits to employees with spouses or to spouses of employees? YES NO B. Does your company provide or offer access to any benefits to employees with(same or opposite sex)domestic partners*or to domestic partners of employees? YES NO C. Please check all benefits that apply to your answers above and list in the"other section any additional benefits not already specified. Note: some benefits are provided to employees because they have a spouse or domestic partner, such as bereavement leave;other benefits are provided directly to the spouse or domestic partner,such as medical insurance. BENEFIT Firm Provides for Firm Provides for Firm does not Employees with Employees with Provide Benefit Spouses Domestic Partners Health . Sick Leave Family Medical Leave Bereavement Leave If Proposer cannot offer a benefit to domestic partners because of reasons outside your control, (e.g., there are no insurance providers in your area willing to offer domestic partner coverage)you may be eligible for Reasonable Measures compliance. To comply on this basis, you must agree to pay a cash equivalent and submit a completed Reasonable Measures Application (attached) with all necessary documentation. Your Reasonable Measures Application will be reviewed for consideration by the City Manager, or his designee. Approval is not guaranteed and the City Manager's decision is final. Further information on the Equal Benefits requirement is available at waw.miamibeachfi.00vlorocurement'scroll.asDx?id=79113 RFQ 2017-290-WG 19 9. Public Entity Crimes. Section 287.133(2)(a), Florida Statutes,as currently enacted or as amended from time to time,states that a person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a proposal, proposal,or reply on a contract to provide any goods or services to a public entity; may not submit a proposal, proposal,or reply on a contract with a public entity for the constmction or repair of a public building or public work;may not submit proposals, proposals,or replies on leases of real property to a public entity;may not be awarded or perform work as a contractor, supplier,subcontractor,or consultant under a contract with any public entity;and may not transact business with any public entity in excess of the threshold amount provided in s. 287.017 for CATEGORY TWO for a period of 36 months following the date of being placed on the convicted vendor list. SUBMITTAL REQUIREMENT:No additional submittal is required. By virtue of executing this affidavit document, Proposer agrees with the requirements of Section 287.133,Florida Statutes,and certifies it has not been placed on convicted vendor list. 10. Non-Discrimination.Pursuant to City Ordinance No.20163990,the City shall not enter into a contract with a business unless the business represents that it does not and will not engage in a boycott as defined in Section 2-375(a)of the City Code,including the blacklisting,divesting from,or otherwise refusing to deal with a person or entity when such action is based on race,color,national origin,religion,sex,intersexuality,gender identity,sexual orientation,marital or familial status,age or disability. SUBMITTAL REQUIREMENT:No additional submittal is required. By virtue of executing this affidavit document,Proposer agrees it is and shall remain in full compliance with Section 2-375 of the City of Miami Beach City Code. 11. Moratorium on Travel to and the Purchase of Goods or Services from North Carolina and Mississippi. Pursuant to Resolution 2016-29375, the City of Miami Beach, Florida. prohibits official City travel to the states of North Carolina and Mississippi,as well as the purchase of goods or services sourced in North Carolina and Mississippi. Proposer shall agree that no travel shall occur on behalf of the City to North Carolina or Mississippi,nor shall any product or services it provides to the City be sourced from these states. SUBMITTAL REQUIREMENT:No additional submittal is required.By virtue of executing this affidavit document,Proposer agrees it is and shall remain in full compliance with Resolution 2016-29375. 12. Fair Chance Requirement.Pursuant to Section 2-376 of the City Code,the City shall not enter into any contract resulting from a competitive solicitation, unless the proposer certifies in writing that the business has adopted and employs written policies, practices,and standards that are consistent with the City's Fair Chance Ordinance,set forth in Article V of Chapter 62 of the City Code ("Fair Chance Ordinance'), and which, among other things, (i) prohibits City contractors, as an employer, from inquiring about an applicant's criminal history until the applicant is given a conditional offer of employment; (ii) prohibits advertising of employment positions with a statement that an individual with a criminal record may not apply for the position, and (iii) prohibits placing a statement on an employment application that a person with a criminal record may not apply for the position. SUBMITTAL REQUIREMENT: No additional submittal is required at this time. By virtue of executing this affidavit, Proposer certifies that it has adopted policies, practices and standards consistent with the City's Fair Chance Ordinance. Proposer agrees to provide the City with supporting documentation evidencing its compliance upon request. Proposer further agrees that any breach of the representations made herein shall constitute a material breach of contract, and shall entitle the City to the immediate termination for cause of the agreement.in addition to any damages that may be available at law and in equity. 13. Acknowledgement of Addendum. After issuance of solicitation, the City may release one or more addendum to the solicitation which may provide additional information to Proposers or alter solicitation requirements. The City will strive to reach every Proposer having received solicitation through the City's e-procurement system, PublicPurchase.com. However, Proposers are solely responsible for assuring they have received any and all addendum issued pursuant to solicitation. This Acknowledgement of Addendum section certifies that the Proposer has received all addendum released by the City pursuant to this solicitation. Failure to obtain and acknowledge receipt of all addenda may result in proposal disqualification. Inifial to Confirm Initial to Confirm Initial lo Confirm Receipt Receipt Receipt Addendum 1 Addendum 6 Addendum 11 Addendum 2 Addendum 7 Addendum 12 Addendum 3 Addendum 8 Addendum 13 Addendum 4 Addendum 9 Addendum 14 Addendum 5 Addendum 10 Addendum 15 If additional confirmation of addendum is required,submit under separate cover. REG 2017-290-WG 20 DISCLOSURE AND DISCLAIMER SECTION The solicitation referenced herein is being furnished to the recipient by the City of Miami Beach (the'City')for the recipient's convenience. Any action taken by the City in response to Statement of Qualifications made pursuant to this solicitation. or in making any award, or in failing or refusing to make any award pursuant to such Statement of Qualifications,or in cancelling awards,or in withdrawing or cancelling this solicitation,either before or after issuance of an award,shall be without any liability or obligation on the part of the City. In its sole discretion,the City may withdraw the solicitation either before or after receiving Statement of Qualifications.may acceptor reject Statement of Qualifications, and may accept Statement of Qualifications which deviates from the solicitation,as it deems appropriate and in its best interest. In its sole discretion, the City may determine the qualifications and acceptability of any party or parties submitting Statement of Qualifications in response to this solicitation. Following submission of Statement of Qualifications, the applicant agrees to deliver such further details, information and assurances, including financial and disclosure data, relating to the Statement of Qualifications and the applicant including, without limitation, the applicant's affiliates.officers,directors,shareholders,partners and employees,as requested by the City in its discretion. The information contained herein is provided solely for the convenience of prospective Proposals, It is the responsibility of the recipient to assure itself that information contained herein is accurate and complete. The City does not provide any assurances as to the accuracy of any information in this solicitation. Any reliance on these contents,or on any permitted communications with City officials,shall be at the recipient's own risk. Proposals should rely exclusively on their own investigations,interpretations,and analyses.The solicitation is being provided by the City without any warranty or representation, express or implied, as to its content,its accuracy,or its completeness. No warranty or representation is made by the City or its agents that any Statement of Qualifications conforming to these requirements will be selected for consideration, negotiation, or approval. The City shall have no obligation or liability with respect to this solicitation,the selection and the award process,or whether any award will be made. Any recipient of this solicitation who responds hereto fully acknowledges all the provisions of this Disclosure and Disclaimer, is totally relying on this Disclosure and Disclaimer,and agrees to be bound by the terms hereof.Any Statement of Qualifications submitted to the City pursuant to this solicitation are submitted at the sole risk and responsibility of the party submitting such Statement of Qualifications. This solicitation is made subject to correction of errors,omissions.or withdrawal from the market without notice. Information is for guidance only,and does not constitute all or any part of an agreement. The City and all Proposals will be bound only as, if and when a Statement of Qualifications,as same may be modified, and the applicable definitive agreements pertaining thereto, are approved and executed by the parties, and then only pursuant to the terms of the definitive agreements executed among the parties.Any response to this solicitation may be accepted or rejected by the City for any reason,or for no reason,without any resultant liability to the City. The City is governed by the Government-in-the-Sunshine Law, and all Statement of Qualifications and supporting documents shall be subject to disclosure as required by such law. All Statement of Qualifications shall be submitted in sealed proposal form and shall remain confidential to the extent permitted by Florida Statutes, until the date and time selected for opening the responses. At that time, all documents received by the City shall become public records. Proposals are expected to make all disclosures and declarations as requested in this solidtation. By submission of a Statement of Qualifications, the Proposer acknowledges and agrees that the City has the right to make any inquiry or investigation it deems appropriate to substantiate or supplement information contained in the Statement of Qualifications, and authorizes the release to the City of any and all information sought in such inquiry or investigation. Each Proposer certifies that the information contained in the Statement of Qualifications is We,accurate and complete,to the best of its knowledge,information,and belief. Notwithstanding the foregoing or anything contained in the solicitation, all Proposals agree that in the event of a final unappealable judgment by a court of competent jurisdiction which imposes on the City any liability arising out of this solicitation,or any response thereto, or any action or inaction by the City with respect thereto, such liability shall be limited to $10,000.00 as agreed-upon and liquidated damages. The previous sentence, however, shall not be construed to circumvent any of the other provisions of this Disclosure and Disclaimer which imposes no liability on the City. In the event of any differences in language between this Disclosure and Disclaimer and the balance of the solicitation.it is understood that the provisions of this Disclosure and Disclaimer shall always govern.The solicitation and any disputes arising from the solicitation shall be governed by and construed in accordance with the laws of the State of Florida. RFQ 2017-290—WG 21 PROPOSER CERTIFICATION I hereby certify that: I, as an authorized agent of the Proposer , am submitting the following information as my firm's proposal; Proposer agrees to complete and unconditional acceptance of the terms and conditions of this document, inclusive of this solicitation, all attachments, exhibits and appendices and the contents of any Addenda released hereto, and the Disclosure and Disclaimer Statement proposer agrees to be bound to any and all specifications, terms and conditions contained in the solicitation, and any released Addenda and understand that the following are requirements of this solicitation and failure to comply will result in disqualification of proposal submitted; Proposer has not divulged, discussed, or compared the proposal with other Proposals and has not colluded with any other proposer or party to any other proposal: proposer acknowledges that all information contained herein is part of the public domain as defined by the State of Florida Sunshine and Public Records Laws; all responses, data and information contained in this proposal, inclusive of the Statement of Qualifications Certification, Questionnaire and Requirements Affidavit are true and accurate. Name of Proposer is Authorized Representative: Title of Proposer'a AuMonzed Representative Signature of Proposers Aumonzed Representative. Dare. State of ) On this day of ,20_,personally appeared before me who County of ) stated that (s)he is the of , a corporation, and that the instrument was signed in behalf of the said corporation by authority of its board of directors and acknowledged said instrument to be its voluntary act and deed. Before me: Notary Public for the State of My Commission Expires: RFQ 2017-290—WO 22 APPENDIX B " No Bid " Form 2017-290-WG Citywide Fraud Risk Assessment PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 Note: It is important for those vendors who have received notification of this solicitation but have decided not to respond, to complete and submit the attached "Statement of No Bid." The "Statement of No Bid" provides the City with information on how to improve the solicitation process. Failure to submit a "Statement of No Bid" may result in not being notified of future solicitations by the City. RFa 2017-290-WG 23 Statement of No Bid WE HAVE ELECTED NOT TO SUBMIT A STATEMENTS OF QUALIFICATIONS AT THIS TIME FOR REASON(S) CHECKED AND/OR INDICATED BELOW: _Workload does not allow us to proposal Insufficient time to respond Specifications unclear or too restrictive _ Unable to meet specifications _Unable to meet service requirements _Unable to meet insurance requirements Do not offer this product/service _OTHER. (Please specify) We do_do not_want to be retained on your mailing list for future proposals of this type product and/or service. Signature: Title: Legal Company Name: Note: Failure to respond, either by submitting a proposal or this completed form, may result in your company being removed from our vendors list. PLEASE RETURN TO: CITY OF MIAMI BEACH PROCUREMENT DEPARTMENT ATTN: William Garviso, CPPB STATEMENTS OF QUALIFICATIONS#2017-290-WG 1755 MERIDIAN AVENUE, a'd FLOOR MIAMI BEACH, FL 33139 RFQ 2017-290-WG 24 APPENDIX C Minimum Requirements & Specifications 2017-290-WG Citywide Fraud Risk Assessment PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 RFC) 2017-290-WG 25 Cl. Minimum Eligibility Requirements. The Minimum Eligibility Requirements for this solicitation are listed below. Proposer shall submit, with its proposal or upon request by the City, the required submittal(s) documenting compliance with each minimum requirement. Proposers that fail to include the required submittals with its proposal or fail to comply with minimum requirements shall be deemed non-responsive and shall not have its proposal considered. Consultant (defined as the Firm) shall have completed a minimum three (3) risk assessments for private entity, County, other governmental organizations or public entities within the last five(5) years. SUBMITTAL REQUIREMENT: For each reference submitted, the following information is required: 1) Firm Name, 2) Contact Individual Name & Title, 3) Address, 4) Telephone, 5) Contacts Email and 6) Narrative on Scope of Services Provided and date services were provided. C2. Statement of Work Required. Perform City-wide fraud risk assessment which should include: • Identifying inherent fraud risks affecting the city operations • Assessing the likelihood and impact of inherent fraud risks • Determining fraud risk tolerance • Examining the suitability of existing fraud controls and prioritizes residual fraud risks • Documenting the City's fraud risk profile. This assessment is to cover all areas of the city operations with the focus on fraud risks. High risk areas identified will be used by the Internal Audit Division to determine the necessity and planning of future audits. Deliverables would include a report summarizing the above points and providing the City with those areas where the City is most vulnerable to fraud and what activities put it at the greatest risk. This contract shall commence upon completion of a fully executed agreement, and shall be effective for one(1) year. The City, through its City Manager, will have the option to extend for two (2) additional one (1)year periods subject to the availability of funds for succeeding fiscal years. RFQ 2017-290-WG 26 APPENDIX D Insurance Requirements 2017-290-WG Citywide Fraud Risk Assessment PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 RFQ 2017-290-WG 27 MIAMI BEACH INSURANCE REQUIREMENTS This document sets forth the minimum levels of insurance that the contractor is required to maintain throughout the term of the contract and any renewal periods. The provider shall furnish to Department of Procurement, City of Miami Beach, 1755 Meridian Avenue.3rd Floor, Miami Beach, Florida 33139, Certificate(s)of Insurance which indicate that insurance coverage has been obtained which meets the requirements as outlined below: A. Workers Compensation Insurance for all employees of the vendor as required by Florida Statute 440. B. Commercial General Liability on a comprehensive basis in an amount not less than$1,000,000 combined single limit per occurrence for bodily injury and property damage. City of Miami Beach must be shown as an additional insured with respect to this coverage. . C. Automobile Liability Insurance covering all owned,non-owned and hired vehicles used in connection with the work, in an amount not less than $1,000,000 combined single limit per occurrence for bodily injury and property damage. D. Professional Liability Insurance in an amount not less than$1,000,000 with the deductible per claim, if any,not to exceed 10% of the limit of liability. A waiver of subrogation in favor of the City must be included for the policies required above.The insurance coverage required shall include those classifications, as listed in standard liability insurance manuals, which most nearly reflect the operations of the vendor. All insurance policies required above shall be issued by companies authorized to do business under the laws of the State of Florida,with the following qualifications: The company must be rated no less than"B+"as to management,and no less than"Class V"as to financial strength, by the latest edition of Bests Insurance Guide,published by A.M. Best Company,Oldwick, New Jersey, or its equivalent, subject to the approval of the City Risk Management Division. or The company must hold a valid Florida Certificate of Authority as shown in the latest"List of All Insurance Companies Authorized or Approved to Do Business in Florida'issued by the State of Florida Department of Insurance and are members of the Florida Guaranty Fund. Certificates will indicate no modification or change in insurance shall be made without thirty(30)days in advance notice to the certificate holder.CERTIFICATE HOLDER MUST READ: CITY OF MIAMI BEACH 1700 CONVENTION CENTER DRIVE 3rd FLOOR MIAMI BEACH, FL 33139 Compliance with the foregoing requirements shall not relieve the vendor of his liability and obligation under this section or under any other section of this agreement. The City of Miami Beach is self-insured.Any and all claim payments made from self-insurance are subject to the limits and provisions of Florida Statute 768.28,the Florida Constitution,and any other applicable Statutes. RFQ 2017-290-WG 28 ATTACHMENT C CONSULTANTS RESPONSE TO THE (RFQ) sunbiz.org - Florida Department of State Page 1 of 2 Fonda Deoarlmenmf State — DIVISION OF CORPORATIONS 1/ r I,0r.org ?roulette on LPN Next on List Return to I let piling MOON No Authority Info No Partner Info Name History Partnership Detail Limited Liability Partnership Name RSM US LLP Principal Address ONE SOUTH WACKER DRIVE SUITE 800 CHICAGO,IL 80606 Change Date:04/24/2013 Filing Information Document Number LLP950001055 FEI/EIN Number 420714325 File Date 02/06/1996 State IA Total Pages 146 Pages in Original Filing 54 Florida Partners 6 Total Partners 371 Status ACTIVE Effective Date NONE Expiration Date NONE Name History 0002 Mailing Address RSM US LLP 801 NICOLLET MALL SUITE 1100 MINNEAPOLIS,MN 554022526 Change Date:04/24/2013 Registered Agent CORPORATION SERVICE COMPANY 1201 HAYS STREET TALLAHASSEE.FL 32301 Document Images 11/29/1995—LLP View Image in PDF format 03/23/2018—LLP Business Report View image in PDF format 04/11/2017—LLP Business Recort View image in PDF format 04/15/2016—LLP Business Report View image in PDF formal 98/04/2015—Partnership Name Change View image in PDF format 03/23/2015—LLP Business Report View image in PDF format 04/01/2014—LLP Business R?Wn View image in PDF formal 04/24/2013—LLP Business Report View image in POE format 04/272012—I LP Business Report View image in PDF format 03/28/2012—Partnership Name Change View image in PDF format http://dos.sunbiz.org/scripts/gendet.exe?action=DETGENIFEI&web_dir 10/22/2018 sunbiz.org - Florida Department of State Page 2 of 2 05/08/2012— View image in PDF format 03/08/2011—LLP Business Report I View image in PDF format 03/30/2010--LLP Business Report View Image in PDF format 04/0912009—LLP Business Report View image in PDF format 03/25/2008—UNIFORM BUS REP View image in PDF format 03/30/2007—UNIFORM BUS REP View image In PDF format I 03/28/2006—UNIFORM BUS REP View image in PDF format 02/01/2005—UNIFORM BUS REP View image in PDF formal 03/03/2004—UNIFORM BUS REP View image in PDF format 03/05/2003—UNIFORM BUS REP View Image in PDF format 03/1412002—UNIFORM BUS REP View image in PDF format 03/09/2001—UNIFORM BUS REP View image in PDF format 04/20/2000—UNIFORM BUS REP View Image in PDF format 01/27/1999—LLP Renewal View image in PDF format 02/06/1998—LLP Renewal View image in PDF format 01/28/1997—LLP Renewal View image in PDF format previous nn Litt Next on l ist Return to List FlIint HHtonr No Authority Info No Partner Info Name HIStOry http://dos.sunbiz.org/scripts/gendet.exe?action=DETGENIFEI&web_dir—... 10/22/2018 RSM RSM US LLP October 6, 2017 Evaluation Committee City of Miami Beach, Florida 1755 Meridian Avenue 3'd Floor Miami Beach, FL 33139 Dear Evaluation Committee: RSM US LLP("RSM") is enthusiastic about providing our qualifications and the prospect of re- establishing our partnership with the City of Miami Beach, Florida(the City), in performing a city-wide fraud risk assessment, as outlined in the Request for Qualifications 2017-290-WO. We fully understand the services to be provided and are committed to exceed your expectations and adding value to the City. As our proposal will demonstrate, RSM provides a compelling case to be selected to serve the City and, moreover, has hand-picked a team that has proven themselves to be subject matter experts in providing services to the public sector, including the City, and is well qualified to work with you to help you accomplish your goals, on schedule and within budget. National firm resources/local firm service philosophy RSM is the 5th largest audit, tax, and consulting firm in the United States. The combination of local presence and national strength assures that you will receive constructive advice from experienced professionals, prompt responses to your needs and questions, and access to a wide array of subject matter experts. We routinely receive feedback from our public sector clients that RSM performs beyond their expectations. Examples of recent feedback include: We... "want to express our appreciation for the superior work of your team in performing RSM's assignments... Your knowledge, guidance, and insistence on high professional standards have been apparent in every conversation, meeting, conference related to this project. Thank you. Your team has provided effort commensurate with the significant reputational and financial risks involved. We have come to rely on your team's detailed, accurate work product"—Office of General Counsel, DC Water Authority,January 2017 At RSM,we have a client experience methodology we believe differentiates us from other firms. We highly encourage you to contact our references and let them tell you about their RSM experience. Experienced and qualified team Your experience is going to be largely based on the quality of the people you work with, which is why we take our staffing approach so seriously. RSM has a dynamic group of professionals dedicated to providing services you have requested to public sector entities. In fact, members of the proposed team spend 100%of their time serving public sector organizations like the City. In that way, our team can share best practices from client to client and readily improve efficiency and effectiveness. Internal audit projects often require professionals with credentials beyond Certified Public Accountants(CPA). Our team includes Certified Fraud Examiners(CFE), Certified Information Systems Auditors (CISA), Certified Information System Security Professionals (CISSP), and Certified Internal Auditors (CIA)that provide services in the public sector. Commitment in serving public sector RSM considers the public sector one of the primary industry sectors.This sector includes counties, cities, various authorities, municipalities, school systems, and other governmental entities, in addition to nonprofit organizations. Our national government industry practice includes a significant number of partners, principals, directors, managers, and associates who are dedicated to handling the complex needs of public sector entities. Through our services to more than 2,800 public sector clients nationally, including over 800 governments,we understand the challenges faced by the public sector and can get out in front of those issues for you. Our public sector practice is the largest industry group of our Southeast region, serving hundreds of entities, including counties, cities and authorities, and their component units. Our experience is demonstrated in what our clients say about us, not what we say about us.We encourage you to reach out to our external clients such as: the Cities of Homestead and Orlando, FL, Counties of Brevard and St Lucie, and the Counties of Arlington and Prince William, VA among many others which are all served by the proposed team. Of particular importance,we are extremely proud of the partnership and successful relationship we had with the City 2007-2014. We have a well thought out approach to conduct fraud risk assessments as we spending 100%of our time providing services to the public sector. We assess the risk that errors or fraud may cause a material misstatement of financial statements,regulatory non-compliance, loss of assets, operational break-downs, and, equally as important,diminished public trust. We have developed a fraud awareness training specifically for our public sector clients. We will provide this training to your leadership team at no charge to the City. 1 The power of being understood"' As the previous external auditors for the City,we became very familiar with your organization and culture. This knowledge will enable us to provide meaningful insights on opportunities available to the City. We would like to emphasize one final point: We want to reestablish our partnership with you. Our brand promise speaks directly to how we differentiate ourselves in the marketplace. The City's success is a key part of our success—we look"beyond the numbers"to identify insights that add value to your organization. We realize and appreciate the need for our public sector clients to obtain real value for their purchases of goods and services. Through our in-depth knowledge and understanding of the audit and business risks affecting public sector entities,we are able to execute a very effective and efficient risk-based audit approach.We believe that the team we have assembled is the right one for the City and that you will receive the highest quality service that provides you with the best value for your professional dollar. This proposal demonstrates our commitment to serving the City, as well as answering the questions in the RFQ. As you know, RSM is committed to delivering quality consulting services. If you have any questions about our proposal or items that require additional elaboration, please do not hesitate to contact me.We very much appreciate the opportunity and look forward to hearing from you. Sincerely, RSM US LLP AE3 I _\ Donnovan Maginley, Partn Clara Ewing, Director 305 569 7986 321 751 6239 ;11n f • i I • } • QUALIFICATIONS TO ' PERFORMA CITY- WIDE FRAUD RISK ASSESSEMNT CITY OF MIAMI BEACH, FLORIDA RFQ 2017-290-WG • Q ■ IL ail Oa ON ME ME nah It It II fl r E Lala • � t • ® - O ® { • O THE POWER OF BEING UNDERSTOOD RSM AUDIT I TAXI CONSULTING It TABLE OF CONTENTS } *>fe TABLE OF CONTENTS ; 1 1. Cover Letter and Minimum Qualifications 1 1.1 Cover Letter 1 1.2 Response Certification, Questionnaire & Requirements Affidavit 1 1.3 Minimum Qualifications Requirements 7 2. Experience and Qualifications 8 2.1 Qualifications of Proposing Firm 8 2.2 Qualifications of Proposer Team 15 2.3 Financial Capacity 19 3.Approach and Methodology 20 Appendices 24 Appendix A—Team Biographies 25 Appendix B—Clarifications and Exceptions 33 1. COVER LETTER AND MINIMUM QUALIFICATIONS 1.1 Cover Letter The cover letter must indicate Proposer and Proposer Primary Contact for the purposes of this solicitation. Cover letter is located directly behind the cover page to this proposal. 1.2 Response Certification, Questionnaire & Requirements Affidavit Attach Appendix A fully completed and executed. STATEMENTS OF QUALIFICATIONS CERTIFICATION,QUESTIONNAIRE& REQUIREMENTS AFFIDAVIT Purpose: The purpose of this Response Certification. Questionnaire and Requirement;Affidavit Form r to inform prospective Proposals of certain solicitation and contractual requirements,and to colect necessary information from Proposals in order that certai portions of responsiveness,responsibility and other determining factors and compliance with requirements may be evaluated. This Statement of Qualifications Certification, Questionnaire and Requirements Affidavit Form is a REQUIRED FORM that must be submitted fully completed and executed. 1. General Proposer Information_ FRY NAME: RSM US LLP SO.CF YE:RS IN S:.SINESS:90 years NO.OF YEWS IN!,.SINESS_OCALLY NO.OF E'JPLCY S: 3, 184 9.000+ OTHER NALIE(S)PRCPOSER HAS CPEVATED,.N0£R IN THE L,ST tO y=:RS: CGladrey LLP FRM PRFJARY ADDRESS(t-EADOUARTERS:: One Scutt Wacker Drive.Suite 800 CITY: Chicago STATE IL 21:CODE: t:080e TELEPHONE NC.: 312 334 34123 TOLL FREE NO.: 800 274 3975 FAX NO.: 312 834 3410 FIRM LOCAL ADDRESS. 801 Bnckell Avenue,Suite 1050 CITY: Miami STATE FL 2=CODE: 3311 PRIIJARY ACCCd.NT REPRESENTATIVE FOR T!,LS EN SASaIENT: Donnovan Maginwy ACCOUNT REP TELE?HCNE NC.: 305 442 8801 ACCOUNT REP TOL.FREE NO.: 800 gee 0428 ACCOUNT REP EMAIL: donnovan.maginleyirsmus.eom FEDERAL TAX IDENTIFICATION NO.: 42-0714325 The City reserves the right to seek additional information from proposer or other source(s),including but not limited to:any firm or principal information,applicable licensure,resumes of reevant individuals,client alforrnation,financial information.or any information the City deems necessary to evaluate the capacity of the proposer to perform in accordance with contract requirements. 1 • 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued 1. Veteran Owned Business.Is Profoser claiming a veteran owned business status? YES I X I NO SUBMITTAL REQUIREMENT:Proposers calming veteran owned business status shall submit a documentation proving that firm is certfed as a veteran-owned business ora seniioe-disab ed veteran owned business by the State cf Florida or United States federal government,as required pursuant to ordnance 2011-3748. Not applicable 2. Conflict Of Interest All Proposers must disclose,n their Proposal.the name(s)of any officer,director.agent or immediate family member(spouse,parent sibling,and child).who is also an empoyee of the City of Miami Beach.Further,all Proposers must disdcse the name of any City employee who owns.ether directly or ird:rectly,an interest of ten(10%)percent or more in the Proposer entity ce any of its affiliates. SUBMITTAL REQUIREMENT:Prcccsers muss disclose to name(s)of any officer,director,agent cr immediate family member (spouse parent sibling and chid)who is aso an employee of the City of Miami Beach.Proposers must also disclose the name of any City employee who owns,either d rery or indirectly an interest of ten(10%)percent or more in the Proposer entity or any of ts affiliates. Notacelicabe 3 . . - 11 . • \ • . •. - - - Suspension.Debarment or Cont<acI Cancellation.Has Proposer ever been debarred.suspended or other legal violation o•had a contract cance led due to non-performance by any public sector agency? YES NO SUBMITTAL REQUIREMENT:If answer to above is`YES'Proposer sha.I submit a statement detailing the reasons that led to actions:,. Not aoplicabe 5. Vendor Campaign Contributions.Proposers are expected to be ce become familiar wth,the City's Campaign Finance Reform 170.1, as codified in Sections 2487 through 2-493 of the City Code Proposers shall be so ely responsible for ensuring that all applicable provisions cf the City s Campaign France Reform laws are complied with,and shat be subject to any and all sanctions, as prescribed theren.inducing disqualiffaticn of their Proposals.in the event of such non-compliance. SUBMITTAL REQUIREMENT:Submit the names cf aE individuals or entities(including your sub-consultants)with a controlling financial interest as defined in so iafation.For each nduvidua€or entity with a controlling financial interest indicate whether or not each individual or entity has contributed to the cannpagn either Pretty cr ieuirectly,of a candidate who has been elected to the office cf Mayor cr City Commissioner for the City of Miami Beach. Not apoioaki e 6. Code cf Business Ethics.Pursuant to City Resolution No.2000-23879,each person or entity that seeks to do business with the City shall adopt a Code of Business Ethics CCade')and submit that Code to the Department cf Procurement Management with its proposaliresponse or with fire i 5;days upon recept of request.The Ccde shall,at a minimum require the Proposer,to comply with all applicable governmental ria es and regulations including,among others,the conflict of interest lobbying and ethics provision of the City of Miami Beach and Miami Dade County. SUBMITTAL REQUIREMENT:Proposer shad sir lemt firms Code of Business Ethics.'n'ieu of submitting Code of BusinessEthics. Proposer may submit a statement indicayhg that it will adept,as required in the ordinance the City of Miami Beach Code of Ethics, avaiable at www.mumideachfl.govhorocurementr'srroll.ascx?id=79113 RSM has read and familiarized itself with City Resolution No2000-23879.Code of Business Ethics(Code). We confirm that we comply with all apclicable governmental rules and regulations including,among others, the conflict of interest,lobbying and ethic provision of the City of Miami Beaute and Miami Dade County. • 2 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued Equal Benefits for Employees with Spouses and Employees with Domestic Partners.when awarding competitive y solicited contracts valued at over 5100 COO whose contractors rnaihtait 51 or more full time empcyees on their payrolls during 20 cr more calendar work weeks.the Equal Benefits for Domestic Partners Ordnance 2005-3494 requires certain contractors doing business with the City of Miami Beach,who are awarded a contract pursuant to competitive proposals,to provide'Equal Benefits'to her empcyees with domestic partners, as they provide to employees with spouses.The Ordnance applies to at employees of a Contractor who aro*within the City limits of the Ciy of Miami Beach,Florida:and the Contractor's em{o:oyees located the Lnited States-but outside of the City of Miami Beach limits,wfio are directly performing work on the contract within the City of Miami Beach. A. Does your company provide or offer access to any benefits to employees with spouses cr to spouses of employees? X. YES NO B. Does your company provide or offer access to any benefits to employees with(same or opposite sex;domestic partners'or to domestic partners of emplcyees? X YES ( NO C. P:ease check al benefits that apply to your answers above and ist in the'other section any additional benefits not already specified. Note: some benefits are provided to employees because they have a spouse or domestic partner, such as bereavement leave;other benefits are provided directly to the spouse or domestic partner,such as medical insurance. BENEFIT Frm Provides for Firm Provides for Firm does not Employees with Employees with Provide Benefit Spouses Domestic 1-ealt+ X X Sick Leave X X Famiy Medical Leave X X Bereavement Leave X X If Proposer cannot offer a benefit to domes tx:partners because of reasons outside your control, (e.g.,there are mc insurance providers in your area wiling to offer dcmestr partner coverage)you may be ebgible for Reasonable Measures compliance.To comply on this basis,you must agree to pay a cash equiva ent and submit a completed Reasonable Measures Application(attached) with all necessary documentation.Your Reasonable Measures Application wit be reviewed for consideration by the City Manager, or his designee.Approval is not guaranteed and the City Manager's decision is final.Further information on the Equal Benefits requirement is avaiable at www.in ameach9. ov ocurement'saoIl.asex?id=79113 3 1. COVER LETTER AND MINIMUM QUALIFICATIONS -CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit_continued 9. Public Entity Crimes.Section 287 133(2)(a).F'orida Statutes,as currently enacted or as amended from time to time.states that a person or afhute who has been paced on the convicted vendor list following a cores nation for a public entry crime may rot submit a proposal,proposal,or repy on a contract to provide any goods or services to a public entty may not submit a proposal proposal, or reply on a contract with a public entity for the construction or repair of a pubic budding or public work:may not submit propcsa's, proposals,or replies on leases of real property to a pubs:entity.may not be awarded or perform work as a contractor supplier. subcontractor,or consultant under a contract with any public entity;and may not transact business with any public entity in excess of the threshed amount provided in s.287 017 for CATEGORY rwo for a period of 36 months following the date cf being paced on the convicted vendor list. SUBMITTAL REQUIREMENT:No additional submical is requited.By s-rtue of executng this atrdavi document,Proposer agrees with the requirements of Section 207133,Florida Statutes,and certifies it has not been placed on convicted vendor list. 10. Non-Discrimination.Pursuant to City Ordnance No 2C 16.3990,the City shat not enter nto a contractive/1 a business unless the buseiess represents that it does net and will not engage it a boycott as defined it Section 2.375(a)of the City Cole rock.ding the biacihsting,divesting from or otherwise refusng:o deal with a person or entity when such action is based on race,color national origin,religion,sex,ntersexuality.gender identity sexual orientation,marital or familial status,age cr disability SUBMITTAL REQUIREMENT:No additional Submittal is required.By virtue ofexecut"ng this affidavit document Proposer agrees his and shall remain in NI compliance with Section 2-375 otthe Cry of Miami Beads City Code_ 11. Moratorium on Travel to and the Purchase of Goods or Services from NonhCarolina and Mississippi.Pursuant to Resduocn 2016-29375,the City of Miami Beach,Florida prchbds official City travel to he states of Noah Carolina and Mississippi.as well as the purchase of goods or services sourced in North Cantina and lhississppi.Proposer shall agree that no travel aha+ecow cn behalf of the Cly to North Carolina or Mississippi,nor shad any product or services it provides to the City be sourced from these states. SUBMITTAL REQUIREMENT:No addd:aortal submittal is required.By virtue of executng this affidavit document,Proposer agrees it is and shat remain in fur compla roe with Resolution 2016.29375. 12. Fair Chance Requirement.Pwsuant to Section 2-376 of he City Ccde.the City sea I not enter rite any Contract resist/1g from a competni. solicitation unless the proposer certifies in writing that:FR business has adopted and en-ploys written policies p raoirrs. and standards that are consistent wigs the City's Fair Chance Ordnance,set forth in Article V of Chapter 62 of the City Code(Fa r Chance Ordnance'), and which, among other things (i)prohibits City,contractor, as an employer, from inquiring about an applicants aunnal history until the app'r_ant is given a conditiana+offer of employment til prohbits adverto.sg of employment positions wet a statement that an iry,rigual wth a erisnal record may not appy for the position, and(iv)prohibits pacng a statement on an employment appication that a person with a enmisas record may not apply for the positron SUBMITTAL REQUIREMENT:No additional submittal is required at this tame.By virtue of executing this affidavit,Proposer certifies that t has adopted policies,practices and standards consistent with to City's Fair Chance Crdinance Proposer agrees to provide the City with supporting documentation evidencing its camp"once open request Proposer fw hher agrees that any breach of the representations male herein shall constitute a material breach of contract,and aha'entitle the Cry to the immedate termination for cause of the agreement,in addition to arsy damages that may be mailable at law and in equity 13. Acknowledgement of Addendum.Atter issuance of solicitation,the Cry may reease one or more addendum to the solicitation whish may provide additional informaton to°rccosers or alter solicitation requrements.The City wit_Strrre 10 reads every Proposer having recened Salicitaticn through die City's e-procuemerrt system, PubbcPsarchase.com. However, Proposers are solely responsible for assuring they have received any and all addendum issued pursuant to solicitation. This Aekn'w✓edgement of Addendum section certifies that the Proposer has received all addendum re'eased by the City pursuant to this sobcdakon.Favure to obtain and acknowledge recept of a I addenda may result n proposal disquaficotion. Iniut te Confrm Inid b Cr4nm Inial m Corirn •e Rev.pt 4r:rat Addendum I Addendum 6 Addendum 11 f� Addendum 2 Addendum 7 Addendum 12 Addendum 3 Addendum 8 Addendum 13 Addendum 4 Addendum 9 Addendum 14 Addendum 5 Addendum 10 Addendum 15 f additional oonfrntafiin of addendum is required submit under separate cover 4 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire & Requirements Affidavit—continued DISCLOSURE AND DISCLAIMER SECTION The solicitation referenced herein is being furnished to the recipient by the City of Miami Beach(the'"City1 for the recipient's convenience. Any action taken by the City in response to Statement of Qualifications made pursuant to this sada ation,or n making any award,or n thing or refusing to make any award pursuant to such Statement cf Qualifications or in canceling awards,or in withdrawing cr cancelling this solicitation either before cr after issuance of an award,shal be without any Ibbiity or obligation on the part of the City. 'n its sc a discretion,the City may withdraw the soicitation either before or after receiving Statement cf Quail-cations,hcations,may accept or reject Statement of Qualifications,and may accept Statement of Qualifications which deviates from the solicitation,as t deems appropriate and r its best interest In its sole discretion,the City may determine the quaifications and acceptabiity of any party or parties submitting Statement of Qualifications r response to thissclicitaticn_ Following submission of Statement ofQuaifications,the applicant agrees to aeliver such further retails,nfcrrnatian and assurances,inducing financial and disclosure data:relating to the Statement of Qua and the ape icant including without limitation,the applicants affiliates, officers,directors,shareholders,partners and employees,as requested by the City in its discretion. The information contained herein is provided solely for the convenience of prospective Proposals.it is the responsibility of the recxient tc assure itself that nformmaticn contained herein is acuate and complete.The City ices not provide any assurances as to the accuracy of any information in this solicitation. Any reliance on these contents,cr on any permitted communications with City officials.shall be at the recipient's own risk.Proposals shou:d rely exclusively on thea own nvestigations,iinterpretations and analyses.The solicitation is being provided by the City without any warranty or representation express or implied as to its content,its accuracy,cr its completeness.No warranty or representation is made by the City or its agents that any Statement of Cualificaxns conforming to these requirements will be seeded for consideration,negotiation,or approval. The City shall have no obligation or liability with respect to this solicitation,the selection and the award process or whether any award coil be made.Any recipient of this solicitation who responds hereto fisty acknowledges at the provisions of this Discosure and Dsclaimer_is totally relying or this Disclosure and Disclaimer,and agrees to be bound by the terms hereof.Any Statement of Qua&atians submitted to the City pursuant to this solicitation are sufbmitted at the sae risk and responsPdity of the party submitting such Statement of Qua ificalians. This solicitation is made subject to correction cf errors,omissions,or withdrawal from the market without notice. nformatice is for guidance only,and does riot constitute at or any part of an agreement The City and at Proposals will be bound on:y as.if aro when a Statement of Qualifications,as same may be modified.and the applicabe definitive agreements peitaning thereto.are approved and executed by the parties,and then only pursuant to the terns of the definitive agreements executed among the pa-ties.Any response to this sokitation may be accepted cr retorted by the Cty for any reason,or for no reason,without any resultant liabsty to the City. The City is governed by the Crovernment-in-err_-Sunshine Law,and al Statement of Quaficaiions and supporting documents sha'be subject to aisclosr re as required by such law.Al Statement of Qualifications shall be submitted in sealed propos form and shad remain confidertia to the extent permitted by Florida Statutes until the date and time seemed for opening the responses.At that time all document received by the City shall become pubic records. Proposals are expected to make al disclosures and declarations as requested in this solicitaton. By submission of a Statement of Qualifications;the Proposer adcncw?edges and agrees that the City has the right to make any inquiry or investigation it deems appropriate to substantiate cr supplement information contained n the Statement of Qualification,and authorizes the release to the City of any and all information sought in such inquiry ce investigation.Each Proposer certifies that the information contained in the Statement of Qualifications is true,accurate and complete.to the best of its knowledge,information:and belief. Notwithstanding the foregoing or anything contained in the soicitation,all Proposals agree that in the event cf a final unappealable judgment by a court of competent jurisdiction which irgpcses on the City any liabiity arising out of this solicitation,cr any response thereto,or any action or inaction by the City with respect thereto,such liability shall be limited to S10,000.00 as agreed-upon and liquidated damages_The previous sentence_however, shaft not be construed x circumvent any cf the other provisions cf this Disclosure and Disclaimer which imposes no liabity on theCity. In the event cf any differences in language between this Disclosure and Disclaimer and the balance cf the solicitation,it is understood that the provisions cf this Disclosure and Disclaimer shall always govern.The solicitation and any disputes arising from the solicitation shall be governed by and construed in accordance with the laws of the State of Florida. 5 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire & Requirements Affidavit—continued PROP0,.ER CERTIFICATION I hereby certify that i,as an authorized agent of the Proposer,am submitting the following information as my firm's proposal; Proposer agrees to complete and unconditional acceptance of the terms and conditions of this document, inclusive of this solicitation, all attachments, exhibits and appendices and the contents of any Addenda released hereto, and the Disclosure and Disclaimer Statement;proposer agrees to be bound to any and all specifications,terms and conditions contained in the solicitation. and any released Addenda and understand that the following are requirements of this solicitation and failure to oomph/will result in disqualification of proposal submitted;Proposer has not divulged,discussed, or compared the proposal with other Proposals and has nct colluded with any other proposer cr party to any ether proposal;proposer acknowledges that all information contained herein is part of the public domain as defined by the State of Florida Sunshine and Public Records Laws,all responses.data and information contained in this proposal.inclusive of the Statement of Qualifications Certification, Questionnaire and Requirements Affidavit are true and accurate. Nam:of P a c:e s AuIAs-z d Reprezenbtve Tiled Psop.,sr":Auta¢ed Repree--taI e: Conrovan Maglnley Fanner Sgnea.l,.fR : r'sAultwizedRepresentali.,t: ?sx Lk/ .41tY .. L October 5.2017: Stale of Florida ; On this 5 day of Ctober 2017 ,pe scn,ally appeared before me Oonncvvn Vaainlev who County of Broward } stated that(s)he is the partner of RSM US LLP .a corporation.and that tie instrument was signed in behalf of the said corporation by authority of its board of directors and acknowledged said instrument to be it,voluntary act and deed.Before me: Notary Public for the S e of Florid My Commission Expires: Juiv 24.2015 .1�MOI.NORGANKUZAVA • MY C( 1MtSSICN FF 21 0 3455 f� EXPIRES:July 24,2019 BowariPvbClWdmwnleIs L-_ 6 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.3 Minimum Qualifications Requirements Submit verifiable information documenting compliance with the minimum qualifications requirements established in Appendix C, Minimum Requirements and Specifications. This proposal will summarize our understanding of your needs and provide you with the information necessary to be fully aware of how our capabilities are uniquely positioned to provide the greatest value to the City. The proposal will also specify our approach and methodology to performing a city-wide fraud risk assessment for the City. Donnovan Maginley, Partner, and Clara Ewing, Director, will be the primary points of contact. Donnovan served as the overall lead partner for the City's audit engagement. In that role he was responsible for all aspects of the audit. That included understanding the City's key processes, the sufficiency of the design of internal controls and final reporting of recommendations to address and improve deficiency in internal controls. Donnovan will be available to the City during the full period of the engagement to address matters of concern and to ensure proper and timely execution of the project. Donnovan and Clara's contact information is as follows: 801 Brickell Avenue D: 305 569 7986 D: 321 751 6239 Suite 801 C: 954 394 0424 C: 321 698 8282 Miami, Florida, 33131 Donnovan.Maginley(cr�rsmus.com Clara.Ewingersmus.com Our Understanding of Your Needs We understand that you seek a city-wide fraud risk assessment, which will cover all areas of the operations with focus on fraud risks. Our proposal will demonstrate that RSM's experience in the public sector exceeds the City's minimum requirements outlined in this RFQ. We encourage you to reach out to the references provided. The fraud risk assessment will focus on the impact of fraud on the City's reputation, the exposure of the City to criminal and civil liability, and the result of a financial statement loss. The fraud risk assessment will include clear methods of identifying and measuring fraud vulnerabilities. Key elements to include in the fraud risk assessment are: • Identifying inherent fraud risks affecting City operations • Examining the suitability of existing fraud • Assessing the likelihood and impact of inherent fraud controls and prioritizes residual fraud risks risks • Documenting the City's fraud risk profile. • Determining fraud risk tolerance Our work will be to assist and advise you with this assessment; we will not, nor do you desire us to, perform any management functions, make management decisions, or otherwise perform in a capacity equivalent to that of an employee of the City. This contract will commence upon completion of a fully executed agreement, and will be effective for one(1) year. The City, through its City Manager, will have the option to extend for two (2)additional one(1) year periods subject to the availability of funds for succeeding fiscal years. 7 2. EXPERIENCE AND QUALIFICATIONS 2.1 Qualifications of Proposing Firm Submit detailed information regarding the firm's history and relevant experience and proven track record of providing the scope of services similar as identified in this solicitation, including experience in providing similar scope of services. Experience in government agencies such as county, other local governmental organizations or public entities is preferred. For each project that the proposer submits as evidence of similar experience, the following is required:project description, agency name, agency contact, contact telephone &email, and year(s) and term of engagement. p Founded 9 000 f 90 a ' 5t16 �® �argestU.S. professionals . � U.S.citiess�rlei ��� MEM accounting firm Firm history Our founder Ira B. McGladrey had a vision to build a great accounting firm with a solid foundation of client service. RSM traces its history to 1926 when the I.B. McGladrey Company was established through the purchase of a seven-person office in Cedar Rapids, Iowa, and a one-man practice in Davenport, Iowa. Over the years, McGladrey grew his firm both organically and by acquiring firms like his own—with down-to-earth attitudes and roots in the community. We continued this trend of joining forces with like-minded firms to become the fifth largest provider of assurance, tax and consulting services in the U.S. and the leading firm focused on the middle market. The principles on which Ira founded his firm are the foundation of RSM's past success and our future strategy. RSM US LLP (RSM) is a national professional services firm, supporting our clients through providing audit, tax, and consulting services. We have 8 offices in Florida located in the following cities: Fort Lauderdale, Jacksonville, Melbourne, Miami, Naples, Orlando, Tampa, and West Palm Beach, making us one of the largest providers of audit, accounting and consulting providers in the area. Size of public sector practice RSM's Public Sector practice has been designated by firm leadership as one of our top strategic industries. We are a leading national provider of services to the public sector, serving more than 2,800 public sector audits, including over 800 governments, more than 600 Single Audits (2nd nationally), and more than 1,000 Government Auditing Standards audits each year. As a result, we have a wealth of experience with contracts similar to the services that you have requested. We have established a dedicated government practice team that includes hundreds of professionals.We provide services to public sector entities across the country assisting improve their performance through a comprehensive understanding of their business models, internal processes, objectives and daily realities.We ask the right questions, read between the lines, listen actively and think holistically—and we build relationships based on experience and trust.We will bring these experts and professionals to the City based on the nature of the work and subject matter. 8 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm — continued RSM has 9,000 people within 90 offices nationwide.Within our public sector practice, we offer approximately 140 partners and principals, 150 directors, and nearly 500 additional professionals who are committed to serving state and local governments. Consulting professionals Audit and tax professionals All professionals Partner Director Other Partner Director Other Partner Director Other 17 33 77 121 116 400 138 149 477 Focus on fraud The RSM team presented to you provides sponsorship, training and continuing professional education to groups including the Florida Government Finance Officers Association, as well as many other public sector focused organizations. We have developed a fraud awareness training specifically for our public sector clients.We will provide this training annually at no charge to the City. Annual fraud awareness training is an important part of any fraud program. Annual fraud awareness training is an important part of any fraud program. The training is based on the fraud diamond framework identified by the Association of Certified Fraud Examiners. We make the audience aware of opportunities for fraud and how to minimize those opportunities with specific controls and effective segregation of duties.We utilize examples from other public sector entities, which include funds handling, purchasing, contract compliance, timekeeping, theft of property or inventory and purchase cards. It has been very well received and incorporated into the fraud policies at several clients. We would provide this training as part of our commitment to you. ✓Pressure eilep Inadequate or no: ✓ Segrega ion o rdutieew ✓Unrealistic deadlines ✓ Segregation of duties ✓Unrealistic performance goal4k110 O ✓ Management approval ✓Personal vices ✓ System controls • 41$* • tIN 44/4v Convinced self that fraudulent • ✓Necessary traits and ABILITIES behavior is worth the risk. �►� to be right person to pull it off ✓ Recognized this particularfraud opportunity and can turn it into reality. 9 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm— continued Within our firm, our Forensic Accounting and Litigation Services practice team is comprised of professionals dedicated to the delivery of forensic services. We are skillful at understanding the case and supporting our opinions with compelling analysis of the evidence. Our team has experience in providing forensic services in the context of a contract with a governmental agency. The team draws on extensive experience in the performance of forensic services in contract disputes and has current, hands-on experience in managing and performing forensic auditing. Furthermore, we understand the City's need to conduct itself as a prudent custodian of taxpayer funds and are comfortable with public agencies'contracting and compensation requirements. Range of activities performed by the firm RSM is a full-service audit, tax and consulting firm. This enables us to have the ability to draw from subject matter experts in all areas of our practice to support the project and any complex or emerging areas. In addition to tax and audit, RSM offers cost-effective risk, financial, and technology and management advisory services. We have significant experience providing audit and consulting services to state and local governments, and have established a dedicated government practice team. The RSM team provides governments with a full array of services ranging from cost-efficient, high quality audits to information systems and management consulting. We have assisted numerous public sector entities with internal audit services, including the startup and governance, charter creation and modification, audit committee structure and reporting process. We conduct risk assessments and from them propose audit plans. We work with audit committees, boards and in some co- sourced arrangements supplement fully functioning internal audit departments. Our audits conducted include cycle audits, entity-wide audits and individual function audits.We have completed internal audits for numerous functions including: cash/funds handling, timekeeping and payroll, property control, facilities construction, utilities, road and bridge, library services, animal control, maintenance, IT pen testing and user access, fire rescue, accounts payable, purchasing and purchasing card, permitting, fuel, and so many more Risk Advisory Financial Technology Audit Consulting Advisory Consulting Services Services • Internal Audit • Performance • IT Strategy • GAO • IT Audit Improvement • Management Consulting Performance • Governance, risk and • Finance Operations and • Disaster Recovery Audits compliance Controls • Business Intelligence • Federal Funds • Construction • Anti-Fraud Consulting • Enterprise Content Compliance Oversight and Cost • Project Management Management • IT Security Recovery • Litigation&Dispute • Application integration and • SOC 1 (SAS 70) • Contract Compliance • Budget& Modeling development • External Audit • Security and Privacy • Forensic accounting • Cloud Services • Tax Compliance Services • Network Infrastructure • Enterprise Risk • Security Architecture Management • Penetration Testing • Service organization control assurance • Business Continuity • Regulatory Planning compliance • Program Management • ERP Selection, Controls and IV&V 10 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm— continued Listing of representative local audit clients We provide audit and consulting services, including risk assessments, to many counties, cities, towns, boards of education and other public entities. Below is a sampling of government clients and internal audit clients we provide services to. Southeast Public Sector Clients Brevard County, FL(outsourced internal City of Jacksonville,FL airport Martin County,FL audit,including risk assessment) City of Baltimore,MD City of Longmont,CO McLean County, IL City of New Haven,CT City of Miami, FL Miami-Dade Clerk of Courts Chicago Public Schools,IL City of Moline,IL Miami-Dade County Aviation Department Craven County,NC City of New Haven,CT Miami-Dade County Solid Waste Department City of Charlotte,NC City of Norfolk,VA Miami-Dade County Water&Sewer Department Northern Virginia Community College,VA City of Norfolk Retirement System Miami-Dade County,FL District of Columbia Water City of North Miami,FL Moline School District,IL City of Homestead, FL(outsourced internal City of Orlando,FL Montgomery County Revenue audit,including risk assessment) City of Sacramento City of Pembroke Pines,FL Neuse Regional Water and Sewer Authority Arlington County,VA(co-sourced internal City of Rocky Mount,NC Palm Beach County,FL audit services,including risk assessment) Brevard County,FL(outsourced internal City of Springfield,IL Pitt County,NC audit,including risk-assessment) Broward County,FL City of Sunrise,FL Prince William County Schools,VA Cape Fear Public Utility Authority,NC City of Tulsa,OK Rappahannock Regional Solid Waste Authority. VA City of Boca Raton,FL City of Wilmington,NC Rock Island County,IL City of Boulder,CO Chicago Public Schools,IL School Board of Brevard County,FL (outsourced internal audit,including risk assessment) City of Columbia,MO Cleveland County,NC School Board of Broward County,FL City of Durham,NC Craven County,NC School Board of Indian River County,FL (outsourced internal audit,including risk assessment) City of Florida City,FL DC Water and Sewer Authority School Board of Lake County,FL(co- (outsourced internal audit,including risk sourced internal audit,including risk assessment) assessment) City of Fort Collins,CO ElectriCities of North Carolina,Inc. School Board of Miami-Dade County,FL City of Fort Lauderdale,FL Gwinnett County,GA School District of Kansas City,MO City of Frederick,MD Jacksonville Port Authority,FL School District of Palm Beach County,FL City of Greenville, NC Lee County,FL School Board of St Johns County, FL (outsourced internal audit,including risk assessment) City of Jacksonville,FL Lee County Electric Cooperative,FL St Lucie County,FL(outsourced internal audit,including risk assessment) 11 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References Brevard County, FL Reference: Description of Work: We have served as the lead audit firm for the outsourced internal audit Frank Abbate, County function for the Board of County Commissioners since 2001. We conduct Manager an annual risk assessment and build our annual audit plan to present to the 321.633.2001 Audit Committee.We manage the internal audit function and produce and frank.abbate(a.brevardcountv.us report an average of 6-8 audits annually to the Audit Committee. Types of Duration of Contract: audits have included: • 2001 to present • Risk Assessment and Audit Plan Development: We conduct an annual risk assessment and build our annual audit plan to present to the Audit Committee. • Compliance Audit: Example audits have included: Accounts Payable, Accounts Receivable,Asset Management, Financial Position Review, Human Resources, Purchasing Card, Purchasing, Criminal Justice Service, Economic Development, Land Development, Public Works, Animal Services,Ambulance Billing, and Tourism. • Operational/Performance Audit: We have performed financial condition reviews of various departments such as Utility Services, Parks and Recreation, Public Works, Stormwater Management and Housing and Human Services, with the objective of providing an independent analysis of the department's ability to maintain its Board directed service level within its current revenue structure. • Information Systems Audit: Example audits have included: IT Advisory, Internal Network Security Assessment, Web Application Penetration, Database Security Assessment, and IT General Controls. • investigative Audit: We have been called for numerous special reviews. • Construction Audit: Example audits have included: Facilities Construction. 12 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References — continued Prince William County,Virginia Reference: Description of Work: We have served as the County's outsourced internal audit function for the Board of Chris Martino, County Supervisors since 2012. The County employs over 4,000 people and the County Executive annual budget is over$1 billion. We designed and re-implemented the internal audit 703.792.6723 function which included development of an independent reporting structure. We cernartino(a�pwcgov.orq produce and report an average of 10 audits annually to the Audit Committee. Types Michelle Attreed, of audits have included: Director of Finance • Risk Assessment and Audit Plan Development: We conduct an annual risk 703.792.6752 assessment and build our annual audit plan to present to the Audit Committee. mattreed ..pwcgov.orq • Compliance Audit: Example audits have included: Contract Administration, Fleet Management, Benefit Plan: Length of Service Award Program, Asset Duration of Contract: Management, Purchasing, Records Retention, Timekeeping, Purchase Card, • 2012 to present Funds Handling, Real Estate Assessments, Treasury Management, and HR Out- Boarding. • Operational/Performance Audit: Example audits have included: Potomac Rappahannock Transportation Authority, Hiring Process, Social Services Homeless Division, Social Service Child Protective Services, Police, Overtime, Golf Operations, Fire and Rescue Operations, Watershed VSMP, Convention Visitors Bureau, Library Operations and Animal Shelter. • Information Systems Audit: Example audits have included: Business Continuity Planning, Internal Network Security Assessment,Web Application Penetration, Database Security Assessment, IT General Controls, Payment Card Industry Gap Review, and Change Management. • Investigative Audit: We have been called for numerous special reviews, and we assist in managing the fraud, waste and abuse hotline. Annually, we provide Fraud Awareness training workshops to all Senior Management. • Construction Audit: Example audits have included: Facilities Construction, Development Services. • Financial Audit: RSM was engaged 2006—2010 to perform the external financial audit of Prince William County,VA. The audit services included the following: o Comprehensive Annual Financial Report(GASB Standards) o OMB Circular A-133 Single Audit 13 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References — continued City of Homestead, Florida Reference: Description of Work: We have served as the outsourced internal audit function for the City since George Gretsas. City Manager 2012. We conduct an annual risk assessment and build our annual audit 305.224.4401 plan to present to City Council. We execute the internal audit function and ggretsas(a�cityofhomestead.co produce and report an average of 2-4 audits annually. Types of audits have m included: Carlos Perez, Finance • Risk Assessment and Audit Plan Development: We conduct an Department Director annual risk assessment and build our annual audit plan to present to 305.224.4553 City Council. cperezcityofhomestead.com • Compliance Audit: Example audits have included: Utility Billing, Development Services/Permitting, Human Resources, Timekeeping Duration of Contract: and Payroll, Cash Receipts, and Contract Management. • 2012 to present • Information Systems Audit: Example audits have included: IT Risk Assessment. • Construction Audit: Example audits have included: Facilities Construction. St. Lucie County, Florida Reference: Description of Work: We have served as the co-sourced internal audit function for the County Joseph (Joe) Smith, Clerk of since 2015. We conduct an annual risk assessment and build our annual the Court audit plan to present to the Audit Committee.We execute the internal audit 305.224.4401 function and produce and report an average of 2-4 audits annually. Types Joe(@.stlucieclerk.com of audits have included: Howard Tipton, County Administrator • Risk Assessment and Audit Plan Development: We conduct an 305.224.4401 annual risk assessment and build our annual audit plan to present to tiptonh(cr�stlucieco.orq the Audit Committee. • Compliance Audit: Example audits have included: Purchasing and Duration of Contract: Purchase Card. • 2015 to present • Information Systems Audit: Example audits have included: Internal and External Penetration Testing. 14 . EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team Provide an organizational chart of all personnel and consultants to be used for this project if awarded, the role that each team member will play in providing the services detailed herein and each team members'qualifications. A resume of each individual, including education, experience, and any other pertinent information, shall be included for each respondent team member to be assigned to this contract. We have earned an outstanding reputation for the integrity of our people and the consistently high level of professionalism with which our firm's practices are conducted. We are a leader in the development and advancement of risk advisory services. To attract and retain the finest professionals, we have established high recruiting standards, a comprehensive training program and a recognition system for outstanding professional achievement. We are in the people business. We set expectations of each individual and measure demonstrated performance through the firm's four success factors: client service excellence, business growth, people relationships and expertise. This approach is focused on ensuring that each person's development is based on the respect of that individual and their readiness, as well as willingness to go to the next level. Annually our RSM Public Sector Leadership Team gets together to discuss issues facing our public sector clients. The 2 to 3 days we are together includes discussions about trends, benchmarking, best practices and often includes our clients as part of the collaboration. One of the critical factors for any successful engagement is the working relationship and communication that clients have with their sourcing provider. This relationship must be built on trust and confidence. We understand the importance of an effective partnership, which is why the foundation of our services emphasizes personal attention and responsiveness to our clients' needs. We believe that our people are what set us apart from other companies. Our internal audit team brings the necessary experience, technical skills, industry knowledge, creativity and benchmarking capabilities to serve the City's needs. 15 Engagement team structure The following organization chart depicts the reporting relationships of our proposed team to serve the City: City of Miami Beach, SUBJECT MATTER Florida ADVISORY TEAM Jennifer Jill Reyes Donnovan Murtha Public sector Maginley, Partner Public Sector Technical Relationship Lead Resource • Ryan Moore Patrick Public Sector IT Lynch Clara Ewing Technical Public sector Project Director Resource Resource Team Lead Amanda Holbrook Project Manager Additional local internal audit and other risk advisory professionals engaged as needed. 16 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team—continued The following table presents the roles and qualifications of the team we have selected to serve you: Team member,engagement role Qualifications to serve the City CORE SERVICE TEAM Donnovan Maginley, Partner Donnovan is an assurance audit partner with over 22 years of experience Relationship Leader. Donnovan will oversee our and has devoted his entire career serving the public sector.Throughout his performance and delivery of services to the City. career, he has managed and supervised audits of very large and complex He will be your day-to-day single point-of-contact engagements. His extensive experience enables him to provide timely when it comes to ongoing engagement feedback and best practice recommendations relating to various management and ad hoc needs as they arise, accounting practices and internal control improvements. Local clients keeping you informed about our progress and include and have included City of Miami Beach, Miami-Date County,School promptly addressing your questions and Board of Miami-Dade, and City of Hollywood. concerns. Clara Ewing, Director Clara is a CIA with more than 16 years of experience, with 9 years spent Project Director and Team Lead. She will be fully serving clients in the public sector. She is 100%dedicated to serving responsible for ensuring expectations are clients in the public sector, specializing in the areas of internal audit. exceeded throughout the engagement and will including risk assessment, policies and procedures, process improvement. seek feedback on our services, team and performance. operational and compliance audits, and other areas of deliverables and address any issues, as needed. consulting. She is a speaker at various internal and external public sector conferences focusing on government specific topics. including Fraud. Clara's client base includes, but is not limited to, counties, cities, energy commissions, port authorities, water authorities universities, and school districts. Amanda Holbrook, Manager With over 9 years of experience,Amanda leads multiple engagements that Project Manager. Amanda will make the deliver co-source and outsource Internal Audit engagements as well as determination of specific project tasks, provide Enterprise Risk Management and Sarbanes-Oxley consulting services. periodic status reports and monitor all project Prior to RSM, Amanda provided Internal Audit and ERM services to public phases to promote timely completion. sector clients. Team member,engagement role Qualifications to serve the City SUBJECT MATTER ADVISORY TEAM Jennifer Murtha, Senior Director Jennifer has more than 20 years of experience, with 10 years spent fully Public Sector Lead and Quality Assurance. serving clients in the public sector in the areas of internal audit. process Jennifer will serve as a technical resource to the improvement and compliance.Jennifer is 100%dedicated to serving clients engagement team as needed. She will provide in the public sector, leading the project teams for, Prince William County recommendations, leading practices and industry and Brevard County, as well as multiple other counties, cities, school insights as needed throughout our engagement to districts and other municipalities. best address the specific risks and challenges of the City. Jill Reyes, Director Jill has more than 15 years of experience,with 10 years spent fully serving Public sector subject matter advisor. In addition to clients in the public sector in the areas of internal audit, process Jennifer, Jill will provide public sector industry improvement, compliance and assurance. She is a CPA. CIA and CFE. insights as needed throughout our engagement to Jill's client base includes, but is not limited to, counties. cities, energy best address the specific risks and challenges of commissions, port authorities, water authorities, universities. and school the City. districts. 17 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team—continued Team member,engagement role Qualifications to serve the City SUBJECT MATTER ADVISORY TEAM—continued Ryan Moore,Manager Ryan is a consulting professional with over 13 years of experience leading Public Sector Information Technology (IT) IT audits across a range of industries including the public sector. He has Technical Resource. Ryan will supplement the extensive experience knowledge in the areas of both internal and external team of any IT related fraud vulnerabilities audit methodologies. For over eight years prior to joining RSM, Ryan led IT throughout our engagement and provide audits control audits for two separate Fortune 500 companies spanning six recommendations and leading practices. continents. Patrick Lynch, Manager Patrick is a CFE and brings over 12 years of external and internal auditing Public Sector Resource. Patrick will support the experience providing financial and operational audit and consultation team in the performance of the fraud risk services to a variety of public and private sector entities.As a CFE, Patrick assessment activities. has received special training in fraud prevention and investigation. Additionally, he has participated in various fraud examinations across a variety of industries including public sector. Sample biographical profiles of our professionals are in Appendix A. 18 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.3 Financial Capacity As a limited liability partnership, RSM US LLP has no requirement to prepare financial statements for external release. We affirm, however, that RSM has the capacity—both in size and financial strength—to serve our clients, as illustrated by the following: • Founded in 1926, today RSM US is the fifth largest accounting, tax and consulting firm in the U.S., as ranked in Accounting Today's 2017 Top 100 Report. • RSM US has 9,000 professionals and associates in 90 cities nationwide. • For the most recent fiscal year ended April 30, 2017, RSM reported revenue of$1.98 billion, an increase of 7.2% in comparison to the prior year. The average of our last three fiscal years of revenue is$1.82 billion. • In addition to cash and short-term investments, RSM US maintains a revolving credit facility for operational and other borrowing needs. Outside of the revolving credit facility and current liabilities, the firm has no other debt. • The firm is also very well capitalized, with significant partner and principal investment by its 800 partners and principals.All partners and principals are individuals, and no one partner or principal has more than 1% of the total capital investment in the firm. • A bank reference is as follows: US Bank Linda J. Perlick, Private Banking Associate 800 Nicollet Mall, Minneapolis MN 55402 Phone: (612) 303-3191 Email: Linda.Perlick@usbank.com • As of May 01, 2017, RSM US LLP was assigned a low risk commercial credit score. An independent D&B comprehensive credit report for RSM US LLP (DUNS#07-348-2424)can be ordered via the D&B website. • RSM US is a member of RSM International, the sixth largest network of independent assurance, tax and consulting firms, encompassing 120 countries, 800 offices and more than 41,000 people internationally. The network's total revenue were US$4.87 billion in 2016. 19 3. APPROACH AND METHODOLOGY Submit detailed information addressing the experience Proposer has in achieving each portion of the scope of services and technical requirements outlined in Appendix C, Minimum Requirements and Specifications. Responses should be in sufficient detail and include supporting documentation, as applicable, which will allow the Evaluation Committee to complete a full review of the Proposer's approach and methodology on similar engagements, including(but not limited to) Identifying inherent fraud risks;assessing the likelihood and impact of inherent fraud risks;determining fraud risk tolerance; examining the suitability of existing fraud controls;prioritizes residual fraud risks;and documenting fraud risk profile. We assess the risk that errors or fraud may cause a material misstatement of financial statements, regulatory non-compliance, loss of assets, operational break-downs, and, equally as important, diminished public trust. Our process combines various methods of information gathering and concludes with a collaborative session to ensure that we are all on the same page. As part of the fraud risk assessment process, we will conduct interviews and surveys (using Survey Monkey), gather data, review laws and regulations and other information as deemed necessary in order to better understand the City and the surrounding environment. The risk profile will take into consideration the following risk areas: • Financial -measure of the financial significance of the account balances included on the statement of revenue, expenses and changes in net assets, statement of net assets or statement of cash flows specific to the business area under consideration. • Operational -addresses the ability of the business area to manage its internal/external processes and/or deliver its core product/service offerings in an efficient and effective manner. • Compliance-considers the degree to which the business area may not be in compliance with laws and regulations, contractual agreements, organizational policies and procedures, commitments, etc., increasing the company's exposure to fines, penalties, and/or sanctions. • Public perception -considers the impact of a control deficiency on the public trust. This factor is generally considered a magnifier in the presence of one of the other factors. Our fraud risk assessment audit approach follows the following phases: Phase 1: Phase 2: Fieldwork Phase 3: Planning and and Evaluation Communication of Scoping results ad reporting Collaboration with the Facilitative sessions and Vetting City interviews Communication with Information gathering Fraud risk register management and preliminary analysis 20 3. APPROACH AND METHODOLOGY—CONTINUED Phase 1, Planning and scoping Procedures for this phase may include: • Hold pre-fieldwork discussions to gain an understanding of the nature of any initial concerns, key stakeholders and regional points of contact, prior assessments of relevance, and your specific assessment objectives and desired outcomes; • Review initial documentation, as determined and requested; • Perform analytical procedures using data from areas such as accounts payable, payroll, procurement card transactions, travel expenses, etc. in order to identify relevant information, including potential"red flag"transactions for further discussion; • Analyze relevant prior assessments and other risk management-related reporting, if any(e.g. ERM, risk registers, incident logging, corruption risk assessments, etc.); • Agree upon methodologies for the measurement of risk, as well as application of risk appetite(e.g. for consistency and alignment with the City's other risk management programs) • Develop a preliminary scope for the assessment, including but not limited to: o Fraudulent statements • Financial • Non-financial o Corruption • Conflicts of interest • Bribery • Illegal gratuities o Asset misappropriation • Cash-related • Other assets • Confirm with you the nature and format of project deliverables, including fraud risk register and final report; • Prepare and communicate a schedule of interviews with City personnel; determine alternative information collection approaches(e.g. surveys, group workshops); • Review organizational structure in order to determine how best to organize the analysis (e.g. categorize assessable units by geographical region); • Conduct initial planning call with key stakeholders to develop rapport and outline shared project objectives; discuss roles, responsibilities, and timing; and • Develop a communication and milestone plan to be utilized to manage communication protocol and key milestones and responsibilities between RSM and the City. 21 3. APPROACH AND METHODOLOGY—CONTINUED Phase 2, Fieldwork and Evaluation We will perform the following procedures subject to the information obtained in Phase One: • Develop register of fraud-related risks, based on the agreed-upon scope, your input, and RSM's internal tools and templates; • Facilitate fraud risk assessment based on interviews and agreed-upon information collection methods; • Prioritize risks based on estimations of impact, likelihood, and velocity; discuss with you the initial ratings; • For fraud risks determined to be greater than "low" aggregate risk, facilitate workshops with key stakeholders (organized, for example, by region)to evaluate current risk responses, including relevant policies, programs, and internal controls, as well as the perceived efficacy of such responses; determine vulnerability ratings; and • Populate fraud risk register based on previously agreed-upon format, to include recommended risk mitigating strategies and tactics. Sample Fraud Risk Register 1 • . -- - = _- • _ _ _ • ._. — =7. M_.___---_ ____ - . •••••••••••••• • Sample Fraud Mitigation Control Matrix i 7 Ti M r 'ie�ii,1. 11,j� !! ililfi fi i:- II, I i' ;I �f .. ,a; � i;I •i .i! ,1 ;,iti i • .i : i i.1'ii' ' i, !i, iit l1''fb�i yi!(I- : Q l,• "'i iii i i': i•'N!^` 1 i! 1, v+ =�[i1 I. { ! I: !i} !I 'i: •iltiO1ii: • • • • • +� • • 1 `511'3:...... I • 22 3. APPROACH AND METHODOLOGY—CONTINUED Phase 3, Reporting We will perform the following procedures: • Conduct validation meetings with key stakeholders to review fraud risk register, confirm ratings and underlying rationale, and discuss opportunities for improvements to risk responses; • Develop executive summary memo and presentation; and • Present to appropriate City representatives. Commitment to quality Our focus as a firm is to deliver high-quality, responsive service to every client. Our delivery model is built to reinforce this commitment. Specifically, while conducting our internal audit support services, every phase of the engagement is performed in a manner that drives quality—from planning, to execution of fieldwork, to reporting. The diagram below illustrates the approach we will take to weave quality assurance throughout our engagement with the City. Quality Planning Quality Assurance Quality Control Define Quality Work Product Quality Assurance Document&Analyze Standards&Policy Quality Findings Peer Review Manager Expert Client Review Guidance Renew �- Review and Approve Address Quality Issues Quality Standards& &Make Necessary Policy with Stakeholders Monitor for Compliance with Quality Standards and Policy Improvements Process Audits Insoectiors Oversight Develop Work Programs Review Update Work and Reporting Programs,Quality Structures Standards&Policy In accordance with best practices promulgated by professional guiding standards, our consulting/internal audit engagements are properly supervised to ensure objectives are achieved, quality is assured and staff is developed. The extent of supervision required will depend on the proficiency and experience of internal auditors and the complexity of the engagement.All professionals benefit from extensive training (e.g., technical advancement and leadership)throughout their career at RSM, which includes a new hire orientation program and on-boarding activities before the start of a new engagement. On-boarding of resources are subject to supervisor/manager oversight and include training and guidance to equip resources on client requirements, tools and expectations to facilitate a successful outcome on each engagement. 23 Appendices 24 Appendix A—Team Biographies 25 RSM Donnovan Maginley FASB Technical Partner donnovan.maginley@rsmus.com Summary of experience Donnovan has over 22 years of audit experience and has devoted his entire career serving the public sector. He has managed and supervised audits of very large and complex municipal engagements. His recent experience afforded him the opportunity to implement GASBs 53 and 54. Donnovan has been involved in special projects that include assisting in the development of an operating budget for a municipal entity that was declared to be in a financial emergency, the preparation of comfort letters in association with various bond offerings, and the formation of an indirect cost allocation plan that aided in the allocation of applicable cost to grants. His extensive experience enables him to provide timely feedback and best practice recommendations relating to various accounting practices and internal control improvements. Representative client listing • Broward County • Miami-Dade County • Broward County Transit • Miami-Dade Expressway Authority • City of Hollywood • Miami-Dade Transit Authority • City of Miami Beach Palm Beach County • District School Board of Collier County • School Board of Miami-Dade County • Lee County • School District of Palm Beach County • Miami-Dade Aviation Professional affiliations and credentials • American Institute of Certified Public Accountants • Certified Public Accountant licensed in Florida and Washington D.C. • Florida Institute of Certified Public Accountants • Government Finance Officers Association and Florida GFOA • Miami Coalition for the Homeless Education • Bachelor of Science, accounting, Barry University • Master of Professional Accounting, Barry University 26 NEI RSM Clara Ewing 1 Program Director, Risk Advisory Services clara.ewing©rsmus.com �1 { Summary of experience Clara has over 15 years of experience in servicing clients in financial reporting, internal controls and process improvement. She started her risk management/auditing experience with Big Four accounting firms and has spent the breadth of her public accounting career partnering with organizations in auditing and assessing controls in both internal and external audit. Clara is success and teamwork driven, which drives her ability to collaborate with management to find the best solutions to help her clients succeed. Clara's ability to effectively work with senior management, boards of directors,Audit Committee members and other auditors has given her the skills necessary to partner, consult, assess and implement practical business solutions in an ever-changing environment in both private and public sector. Clara spends 100%of her time serving clients in the public sector.She is a regular presenter of internal audit related topics at various local, regional and internal public sector events. • Clara is part of the Core Team and responsible for the overall risk assessment and audit plan, determination of the design analysis, remediation implementation, analysis of operating effectiveness, reporting and presentations to Audit Committees and Management. • Her vast experience in assessing processes for both private and public sector, gives her the ability to provide best practices from a variety of organizations and industries. • Her work included implementation of successful remediation plans, including documentation of processes, and policies and procedures across organizations. • Her work included implementation of successful process re-engineering and implementation of remediation plans, including documentation of processes, policies and procedures across companies. • Clara serves as the Quality Assurance manager on several high profile engagements. Representative clients include: Counties of Prince William and Arlington VA; Counties of Brevard and St Lucie, FL;City of Charlotte, NC—Charlotte Douglas International Airport; Cities of Orlando and Homestead, FL; University of Florida; Florida Institute of Technology; Florida International University; School Districts of Brevard, Indian River, Polk and St Johns, FL, and Jacksonville Port Authority. Professional affiliations and credentials • Certified Internal Auditor • Institute of Internal Auditors • Speaker at GFOA, FGFOA, FSFOA, VGFOA, NCACPA • Boys and Girls Club, Board member Education • Bachelor of Science, Accounting, Louisiana State University • Bachelor of Science, General Business, Louisiana State University 27 a III RSM �_. Amanda T. Holbrook ' Engagement Manager, Risk Advisory Services Amanda.holbrook@rsmus.com Summary of Experience Amanda has over nine years of experience providing risk advisory services to clients. Her primary areas of focus are providing internal audit, enterprise risk assessment and Sarbanes-Oxley ("SOX") services. Amanda has significant experience in constructing internal audit plans and delivering these internal audits as well as performing regulatory compliance audits in a variety of industries, including public sector. She also has experience in implementing and maintaining SOX compliance programs for clients in a variety of industries. Prior to joining RSM in 2014, Amanda was a Consulting Manager at a Big 4 firm where she delivered services to higher education and not for profit clients. Amanda serves clients by tailoring her experience to their unique objectives. Key tasks Amanda performs includes information gathering, process walkthroughs and design gap assessments,detailed control testing and reporting, remediation planning and monitoring and the identification of best practices and opportunities for improvement. She also maintains the project plan, execution and budget of projects. Professional Affiliations and Credentials • Certified Internal Auditor, Member Institute of Internal Auditors • Certified Information Systems Auditor, Member Information Systems Audit and Control Association Education • Bachelor of Science, Business Administration, Finance Concentration, Elon University 28 IIIII RSM Jennifer Murtha Senior Director, Risk Advisory Services „Ilk. , _ jennifer.murtha@rsmus.com r Summary of experience Jennifer is a Senior Director and Leader in RSM's Public Sector risk advisory team, with nearly 20 years of experience focusing on both external and internal audit services. She provides a full range of consulting and audit services for FL State and Local governments. Jennifer has assisted many clients in establishing internal audit functions from top to bottom, including creating charters and audit committees and organizational governance. She has led teams in financial, operational, and performance as well as compliance audits in many different areas of government. She has led fraud investigations and has represented her clients as an expert witness. Jennifer started her career in 1993 with a Big 5 Firm where she gained experience in auditing large first time through engagements. Her experience has continued to grow at RSM as a key leader of the Public Sector team.A partial listing of her public sector clients include: • Prince William County—Jennifer is a part of the Core Team for the internal audit function at Prince William County, since inception in 2012. • Arlington County—Jennifer has been a public sector technical resource and has performed the risk assessment and internal audit plan and quality assurance on the co-sourced internal audit activities since inception in 2014 • DC Water-Jennifer is a part of the Core Team for the internal audit function at DC Water. Since inception in 2014, the team has delivered a 3 year audit plan and numerous internal audits from the approved plan. • School Board of Brevard County—Jennifer has been working with this client since she was a Supervisor in 1999. She has been the manager on the engagement and now is the Director over the internal audit function reporting directly to the audit committee. RSM has performed numerous internal audits including cash management, grant compliance, PCard and numerous fraud investigations. • Brevard County—since the inception (2000)of the audit function Jennifer has been Manager and Director in-charge of this engagement. Some of the high risk functions RSM has audited include information technology, contract compliance, property control, purchasing, CDBG, parks and recreation, public works, cash, maintenance, facilities and money collected. Professional affiliations and credentials • Certified public accountant, licensed in New York • American Institute of Certified Public Accountants • Florida Institute of Certified Public Accountants • Institute of Internal Auditors Education • Bachelor of Arts, Finance, Catholic University of America • Accounting Degree, Hofstra University 29 Ems RSM Jill Reyes Director, Risk Advisory Services jill.reyes@rsmus.com Summary of experience Jill Reyes provides consulting, financial and compliance audit services to a variety of public sector entities. Jill's hands-on experience working with senior management,boards of directors,audit committee members, elected officials of state and local government and other auditors has given her the skills necessary to consult, assess and implement practical business solutions in an ever-changing environment. She has been in public accounting since 2001. Jill is dedicated to the public sector industry, focusing primarily on healthcare organizations, cities, counties, school districts, and not-for-profit organizations. Jill's clients benefit from industry-specific experience and technical acumen in specialized areas. In her current role,Jill delivers advice and consultation regarding the adequacy and operating effectiveness of the control environment and specific internal controls, business process improvement, compliance issues, and financial reporting matters. Jill also performs external audit services and works with her client and team members to ensure reports issued are incompliance with generally accepted accounting principles and professional standards. Jill's public sector clients have included the State of Florida; University of Florida; University of Central Florida; Florida International University; Hartford Community College (State of Maryland); Florida Institute of Technology; DC Water; City of Homestead, FL; Brevard County, FL; and Prince William County, VA. Jill has also performed internal audit work for the School Districts of Brevard, St.Johns, Indian River, Lake and Polk Counties in Florida Professional affiliations and credentials • Certified Public Accountant • Certified Internal Auditor • Certified in Risk Management Assurance • American Institute of Certified Public Accountants • Florida Institute of Certified Public Accountants • Institute of Internal Auditors • Treasurer, Institute of Internal Auditors, Florida East Coast Chapter Education • Masters of Business Administration, Florida Institute of Technology • Bachelor of Sciences, accounting, Florida International University 30 N INN RSM .4.. 4+ • • Ryan J. Moore Manager, Risk Advisory Services ryan.moore@rsmus.com Summary of experience Ryan is a consulting professional with over 13 years of experience leading IT audits across a range of industries for global Fortune 500 companies, middle market organizations, and in the public sector. He has extensive experience knowledge in the area of Sarbanes-Oxley(SOX)404 and both internal and external audit methodologies. For over eight years prior to joining RSM, Ryan led IT audits control audits for two separate Fortune 500 companies spanning six continents. Prior to that, Ryan was a Senior Technology Risk Consultant for an international consulting firm and performed both IT and financial statement audits for a regional accounting firm. Ryan has led engagements that included services such as: • Executed and led numerous audits, including: General Computer Controls, Application Controls, Data Analytics, Separation of Duties, SDLC and Project Management, GLBA, and Massachusetts Privacy Law reviews • Assessed many IT environments, including PeopleSoft, SAP, Oracle E-Business Suite, Windows Network, UNIX, Hyperion, CostPoint, QAD, Cincom CONTROL, and many other custom developed applications and commercial off the shelf solutions Professional certifications • Certified Information Systems Auditor • Certified Internal Auditor • ITIL Foundations Certified Education • Master of Science, information systems management, Robert Morris University • Bachelor of Arts, accounting,Washington &Jefferson College • Ongoing professional education (average of 40 hours or more per year) 31 RSM Iro. wally Patrick Lynch Manager, Risk Advisory Services patrick.lynch@rsmus.com Summary of experience Patrick Lynch brings over 12 years of external and internal auditing experience from the Big Four 4 and a Fortune 25 company. At RSM, he provides financial and operational audit and consultation services to a variety of public and private sector entities. Patrick's responsibilities have included performing risk assessments, audit planning and execution, creation and implementation of accounting/audit policies and procedures, designing and executing testing methodologies, and reporting to executive management and external auditors. As a Certified Fraud Examiner, Patrick has received special training in fraud prevention and investigation. Additionally, he has participated in various fraud examinations across a variety of industries including public sector, real estate, property management, and consumer products. Prince William County project experience: • Fleet Services • Purchasing • Timekeeping • Library Operations • Convention and Visitors Bureau • Police Dept. Analysis and Benchmarking • Police Dept. I.C.E. Reporting • Issue Follow-up A partial listing of his Public Sector experience: • Prince William County, VA • Brevard County, FL • Territory of the Virgin Islands • City of Jacksonville, FL Professional affiliations and credentials • Certified Public Accountant • Certified Fraud Examiner Education • Bachelor of Science, Auburn University • Master of Accountancy, University of North Florida 32 Appendix B— Clarifications and Exceptions We (Offeror) have reviewed the City of Miami Beach, Florida (City) Request for Qualifications No. 2017- 290-WG (RFQ) for consulting services, which contains the general terms and conditions (Terms and Conditions) expected to be incorporated into a negotiated contract(Agreement). Except as indicated below, we are prepared to accept such Terms and Conditions. If the City selects us based upon our response to the RFQ, we would seek to negotiate in good faith modifications, additions, or clarifications of the Terms and Conditions of the Agreement in the areas discussed below. Given our experience in contracting with the City in the past, we are confident that we can reach an agreement with you on these issues. Notwithstanding anything to the contrary contained in the RFQ or this response thereto,our obligation to perform any services is contingent upon the execution by both parties of a definitive agreement. 33 Appendix B — Clarifications and Exceptions (continued) Miami Beach, Florida RFQ—City Wide Fraud Risk Assessment 2017-290-WG Exceptions and Clarifications We ("Contractor") have reviewed the Miami Beach. Florida ('City")Request for Qualifications 2017-2W- WG ('RFQ") for a City Wide Fraud Risk Assessment, which contains the general terms and conditions ("Terms and Conditions")expected to be incorporated into a negotiated contract("Agreement'). Except as indicated below,we are prepared to accept such Terms and Conditions. If the City selects us based upon our response to the RFQ.we would seek to negotiate in good faith modifications,additions,or clarifications of the Terms and Conditions of the Agreement in the areas discussed below.We would also seek the addition of terms and conditions customary and commensurate with the contemplated nature and complexity of the services requested,including by way of illustration,but not limited to,limitations of liability. exclusion of consequential damages. warranty of services provisions. statement of work provisions to address the services and any particular issues in connection therewith, change order management,etc. Given our extensive experience in contracting with municipalities similar to the City,we are confident that we can reach an agreement with you on these issues. Notwithstanding anything to the contrary contained in the RFQ or this response thereto,our obligation to perform any services is contingent upon the execution by both parties of a definitive agreement. Alk SECTION 0200 INSTRUCTIONS TO RESPONDENTS &GENERAL CONDITIONS: 30.DEFAULT:We would request clarification that this provision does not apply to negotiations that do not result in an executed Agreement where the negotiations involve any of the topics identified as exceptions or clarifications within this document 32. SPECIAL CONDITIONS:We would request clarification regarding the Special Conditions referenced in this provision,and an opportunity to review the same. 40.INDEMNIFICATION:We would request clarification regarding what persons or entities are referred to as Instrumentalities".as used in this provision.We would request modification to this provision to limit our obligations to claims brought by third parties that arise from negligent or willful acts or omissions by Consultant during the performance of its services. Further, we would request the addition of language providing that our total liability,except for our indemnification obligations,be limited to an amount equal to the fees we receive under the Agreement, and exclude indirect, consequential,exemplary or similar such damages. SECTION 0300 SUBMITTAL INSTRUCTIONS AND FORMAT: Note: RSM US LLP is a limited liability partnership.As such.we have no requirement to prepare financial statements for external release.We do affirm that RSM US has significant size and financial strength.For the most recent fiscal year ended April 30,2017,RSM US reported combined U.S. pro forma revenue of $1.P8 billion,an increase of 7.2%in comparison to the prior year.The average of our last three fiscal years of revenue is S1.82 billion.We have over 8,000 people in more than 88 cities nationwide. APPENDIX D INSURANCE REQUIREMENTS: —Contractor will provide standard industry ACORD Certificates of Insurance to evidence proof of coverage required under the Agreement. D. Professional Liability Insurance: Regarding the deductible. Contractor's deductible will not exceed $25,000. —Contractor will provide additional insured status to the City as requested under Contractors Commercial General Liability and Automobile policies via a blanket endorsement: however,Contractor cannot add the City as an additional insured to its Workers'Compensation or Professional Liability policies. —Contractor will provide a waiver of subrogation in favor of the City as requested under all of the required policies,except Contractors Professional Liability policy,via a blanket endorsement —Contractor will provide standard industry ACORD Certificates of Insurance to evidence proof of coverage required under the Agreement Regarding the requested wording in the Certificate as respects modification or change insurance,Contractor cannot comply with that request. We would propose alternative wording which states that. Contractor will provide the City with at least thirty(30)days prior written notice of any cancellation or non-renewal of the policies required under the Agreement where such cancellation or non-renewal does not result in equal or greater coverage. 34 www.rsmus.com RSM US LLP is the leading provider of audit,tax and consulting services focused on the middle market,with more than 9,000 people in 90 offices nationwide. It is a licensed CPA firm and the U.S.member of RSM International, a global network of independent audit.tax and consulting firms with more than 41,000 people in over 120 countries.RSM uses its deep understanding of the needs and aspirations of clients to help them succeed. For more information,visit www.rsmus.com,like us on Facebook at RSM US RSMLLP,follow us on Twitter @RSMUSLLP and/or connect with us on Linkedln. 2017 RSM US LLP.All Rights Reserved. RSM RSM US LLP 801 Brickeil Ave December 15, 2017 Suite 1050 Miami FL 33131 O 305-446-0114 Evaluation Committee www.rsmus.com City of Miami Beach, Florida 1755 Meridian Avenue 3rd Floor Miami Beach, FL 33139 Dear Evaluation Committee: RSM US LLP ("RSM") is enthusiastic about providing our qualifications and the prospect of re- establishing our partnership with the City of Miami Beach, Florida (the City), in performing a city-wide fraud risk assessment, as outlined in the Request for Qualifications 2017-290-WG.We fully understand the services to be provided and are committed to exceed your expectations and adding value to the City. As our proposal will demonstrate, RSM provides a compelling case to be selected to serve the City and, moreover, has hand-picked a team that has proven themselves to be subject matter experts in providing services to the public sector, including the City, and is well qualified to work with you to help you accomplish your goals, on schedule and within budget. National firm resources/local firm service philosophy RSM is the 5th largest audit, tax, and consulting firm in the United States. The combination of local presence and national strength assures that you will receive constructive advice from experienced professionals, prompt responses to your needs and questions, and access to a wide array of subject matter experts. We routinely receive feedback from our public sector clients that RSM performs beyond their expectations. Examples of recent feedback include: We... "want to express our appreciation for the superior work of your team in performing RSM's assignments... Your knowledge, guidance, and insistence on high professional standards have been apparent in every conversation, meeting, conference related to this project. Thank you. Your team has provided effort commensurate with the significant reputational and financial risks involved. We have come to rely on your team's detailed, accurate work product."—Office of General Counsel, DC Water Authority, January 2017 At RSM, we have a client experience methodology we believe differentiates us from other firms.We highly encourage you to contact our references and let them tell you about their RSM experience. Experienced and qualified team Your experience is going to be largely based on the quality of the people you work with, which is why we take our staffing approach so seriously. RSM has a dynamic group of professionals dedicated to providing services you have requested to public sector entities. In fact, members of the proposed team spend 100% of their time serving public sector organizations like the City. In that way, our team can share best practices from client to client and readily improve efficiency and effectiveness. Internal audit projects often require professionals with credentials beyond Certified Public Accountants (CPA). Our team includes Certified Fraud Examiners (CFE), Certified Information Systems Auditors (CISA), Certified Information System Security Professionals(CISSP), and Certified Internal Auditors (CIA)that provide services in the public sector. Commitment in serving public sector RSM considers the public sector one of the primary industry sectors. This sector includes counties, cities, various authorities, municipalities, school systems, and other governmental entities, in addition to nonprofit organizations. Our national government industry practice includes a significant number of partners, principals, directors, managers, and associates who are dedicated to handling the complex needs of public sector entities. Through our services to more than 2,800 public sector clients nationally, including over 800 governments,we understand the challenges faced by the public sector and can get out in front of those issues for you. Our public sector practice is the largest industry group of our Southeast region, serving hundreds of entities, including counties, cities and authorities, and their component units. Our experience is demonstrated in what our clients say about us, not what we say about us. We encourage you to reach out to our external clients such as: the Cities of Homestead and Orlando, FL, Counties of Brevard and St Lucie, and the Counties of Arlington and Prince William,VA among many others which are all served by the proposed team. Of particular importance, we are extremely proud of the partnership and successful relationship we had with the City 2007-2014. We have a well thought out approach to conduct fraud risk assessments as we spending 100%of our time providing services to the public sector. We assess the risk that errors or fraud may cause a material misstatement of financial statements, regulatory non-compliance, loss of assets, operational break-downs, and, equally as important, diminished public trust. We have developed a fraud awareness training specifically for our public sector clients. We will provide this training to your leadership team at no charge to the City. The power of being understood° As the previous external auditors for the City, we became very familiar with your organization and culture. This knowledge will enable us to provide meaningful insights on opportunities available to the City.We would like to emphasize one final point:We want to reestablish our partnership with you. Our brand promise speaks directly to how we differentiate ourselves in the marketplace. The City's success is a key part of our success—we look"beyond the numbers"to identify insights that add value to your organization. We realize and appreciate the need for our public sector clients to obtain real value for their purchases of goods and services. Through our in-depth knowledge and understanding of the audit and business risks affecting public sector entities, we are able to execute a very effective and efficient risk-based audit approach.We believe that the team we have assembled is the right one for the City and that you will receive the highest quality service that provides you with the best value for your professional dollar. This proposal demonstrates our commitment to serving the City, as well as answering the questions in the RFQ. As you know, RSM is committed to delivering quality consulting services. If you have any questions about our proposal or items that require additional elaboration, please do not hesitate either Donnovan Maginley or Clara Ewing at the numbers indicated below.We very much appreciate the opportunity and look forward to hearing from you. Sincerely, RSM US LLP Donnovan Maginley, Partner Clara Ewing, Director 305 569 7986 321 751 6239 QUALIFICATIONS TO PERFORM A CITY- WIDE FRAUD RISK ASSESSEMNT CITY OF MIAMI BEACH, FLORIDA RFQ 2017-290-WG 0 v 8 , t0001 ...._ • 11_DOII se sar ea es u11� mil ail '_ ii aim- II �► r I 1 i l ENCIMEIWI A ■ EN THE POWER OF BEING UNDERSTOOD RSIVI AUDIT I TAXI CONSULTING TABLE OF CONTENTS TABLE OF CONTENTS 1 1. Cover Letter and Minimum Qualifications 1 1.1 Cover Letter 1 1.2 Response Certification, Questionnaire& Requirements Affidavit 1 1.3 Minimum Qualifications Requirements 7 2. Experience and Qualifications 8 2.1 Qualifications of Proposing Firm • 8 2.2 Qualifications of Proposer Team 15 2.3 Financial Capacity 19 3. Approach and Methodology 20 Appendices 26 Appendix A—Team Biographies 27 Appendix B—Clarifications and Exceptions 35 1. COVER LETTER AND MINIMUM QUALIFICATIONS 1.1 Cover Letter The cover letter must indicate Proposer and Proposer Primary Contact for the purposes of this solicitation. Cover letter is located directly behind the cover page to this proposal. 1.2 Response Certification, Questionnaire & Requirements Affidavit Attach Appendix A fully completed and executed. STATEMENTS OF QUALIFICATIONS CERTIFICATION,QUESTIONNAIRE& REQUIREMENTS AFFIDAVIT Purpose: The purpose of this Response Certification, Questionnaire and Requirements Affidavit Form V3 to inform prospective Proposals of certain solicitation and contractual requirements,and to colect necessary information from Proposals in order that certarl portions of responsiveness,responsibility and other determining factors and compliance with requirements may be evaluated. This Statement of Qualifications Certification, Questionnaire and Requirements Affidavit Form is a REQUIRED FORM that must be submitted fully completed and executed_ 1. General Proposer Information. FIN WE: RSM US LLP NO.CF YEARS IN MINESS:J0 yearsfI NO.OF YEARS N E�.SINESS LOCALLY %O.OF EVPLCYEES: 315/84 9.000+ OTHER NA1AE(S)PRCPOt,.'_R HAS CPERATED„\SER IN THE LAST*0Y_AR;. cGladrey LLP FIRM PRIMARY ADDRESS('EADOUARTERS: One South Wacker Drive.Suite 800 CITY: Chicago STATE IL ZP CCCE: COdOe TELEPHONE NC.: 312 834 3400 TOL:FREE NC.: 800 274 397 8 FAx so.: 312 834 3410 FRU LCCALACCRESS: 801 Bnckei Avenue.Suite 1050 CRY: Miami STATE: FL ZP CCDE: 33131 PRIMARY ACCO..NT REPRESENTATIVE.FOR Tr LS ENGAGEMENT: Donnovan Maginley ACCCUNT REP TELEPHCNE NC: 305 442 8801 ACCCUNT REP TOLL FREE NO.: 800 gee 0428 ACCCUNT REP EMAIL: donnovan.magidey i rsmus.com FEDERAL TAX IDENTIFICATION NO.: 42-0714325 The City reserves the right to seek additional information from proposer or other source(s),including but not smiled to:any firm or principal information.applicable'censure,resumes of relevant individuals,client information,financial information or any information the City deems necessary to evaluate the capacity of the proposer to perform in accordance with contract requirements. 1 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued 1. Veteran Owned Business.Is Proposer claiming a veteran owned business status? YES r---1 NO SUBMITTAL REQUIREMENT:Proposers claiming veteran owned business status shall submit a documentation proving that firm is certified as a veteran-owned business or a service-disabled veteran owned business by the Sate of Florida or United States federal government as required pursuant to ordnance 2011-3748. Not applicable 2. Conflict Of Interest.All Proposer must disclose.h their Proposal.the name(s)of any officer,director,agent or immediate family member(spouse,parent sibling.and child)who is also an employee ofthe City of Miami Beach.Further_all Proposers must disease the name of any City employee who owns.either directly or ifdiectty,an interest often(In)percent or more in the Proposer entity or any of its affiliates. SUBMITTAL REQUIREMENT:Proposers must disclose the name(s)of any officer,director.agent cr immediate fame),member (spouse,parent.sibling and chid)who is also an employee of the City of Miami Beach.Proposers must also disuse the name of any City employee who owns.either directly or indirectly an interest of ten(10°t)percent or more in the Proposer entity or any of its affiliates. NO:applieabe 3 4. Suspension.Debarment or Contract Cancellation.Has Proposer ever been debarred.suspended or other legal violation or had a contract canoe led due to non-performance by anyr `pub'lic sector agency? YES I-- �-I NO SUBMITTAL REQUIREMENT:If answer to above is'YES,'Proposer shad submit a statement detaifng the reasons that led to action(s). Not aselicabe 5. Vendor Campaign Contributions.Proposers are expected to be or become familiar with.the Citys Campaign France Reform laws, as codified in Sections 2-487 through 2490 of the City Code. Proposers shall be solely responsible for ensuring that all applicable provisions of the Citys Campaign Finance Reform laws are complied with,and shat be subject to any and all sanctions, as prescribed therein,including disqualification of their Proposals.in the event cf such non-compliance. SUBMITTAL REQUIREMENT:Submit the names of al individuals or entities(including your sub-consultant)with a controlling financial interest as defied in solicitation.For each individual or entity with a contro'ing financial interest indicate whether or not each individual or entity has contributed to the campaign either directly or nbfreaty.of a candidate who has been elected tc the office of Mayor cr City Commissioner for the City cf Miami Beach. Not aechoab e 6. Code of Business Ethics.Pursuant to City Resolution No.2000-23879.each person or entity that seeks to do business wth the City shall adopt a Code of Business Ethics("Code')and submit that Code to the Cepartment of Procurement Management with its proposal/response or within fie(5)days upon receipt of request The Code shall,at a minimum require the Proposer to comply with all applicable governmental rules and regulations including,among others,the conflict of interestlobbying and ethics provisicn of the City of Miami Beach and Miami Dade County. SUBMITTAL REQUIREMENT:Proposer shall submit firm's Code of Business Ethics.'n ieu of submitting Code of Business Ethics. Proposer may submit a statement indicating that it will adopt,as required in the ordinance the City of Miami Beach Ccde of Ethics. available at www.miam ibeachfl.govlprocuremert/saell.ospx?hd=79113 RSM has read and familiarized itself with City Resolution No.2000-23879.Code of Business Ethic(Code). We confirm that we comply with all applicable governmental rules and regulations including,among others, the conflict of interest,lobbying and ethics provision of the City of Miami Beach and Miami Dade County. 7 Acct".hkerrFf aril ftp.°_kr.witl+c a kc ": 2 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued ietw Equal Benefits for Employees with Spouses and Employees with Domestic Partners.When awarding competiti►*y solicited contracts valued at over S10C:CC0 whose contractors maintain 51 or more full time empoyees on their payrolls during 20 cr more calendar work weeks,the Equal Benefits for Domestic Partners Ordnance 2005-3494 requires ce tar+contractors doing business with the City of Miami Beach,who are awarded a contract pursuant to onmpetitiuue proposers,to provide`Equal Benefits'to t,e r employees with domestic prates_ as ti+ey provide to employees with spouses. The Ordnance appies to al employees cf a Contractor who work widen the City limits of the City of Mbmi Beach Florida;and tie Contractor's employees boated in the Lied States but outside of are City of Miami Beach limits,who are directly performing work on the contract within the City of Miami Beach. A. Does your company provide or offer access tc any benefits to employees with spouses cr tc spouses of employees? X YES n NO B. Does your company provide or offer access to any benefits to employees will(same or opposite sex;dcmesio partners•or to domestic partners of employees? X YES I= NO C Pease check alt benefits that apply to your answers above and fist n the'other'section any additional benefits not aready specified. Note: some benefits are provided tc employees because they have a spouse or domestic partner, such as bereavement leave;other benefits are provided directy to the spouse or domestic partner.such as medical insurance. BENEFIT Film Provides for Firm Provides fcr Firm does not Employees with Employees with Provide Benefit Spouses Domestic Health X X Sick Leave X X Family Medical Leave X X Bereavement Leave X X If Proposer cannot offer a benefit to domestic partners because of reasons outside your control, (e.g., there are no insurance providers in your area willing to offer domestic partner coverage)you may be eligible for Reasonable treasures compliance.To comply on this basis,you must agree to pay a cash egrivaient and submit a completed Reasonab.e Measures Application(attached) with all necessary documentation.Your Reasonable Measures App'icaticn will be reviewed fcr consideration by the City Manager, or his designee.Approval is not guaranteed and the City Manager's decision is final. Further information en the Equal Benefits requirement is available atwww.miam beachfl.gov1procurement/saclLaspx?id=r9113 3 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit-continued 9. Public Entity Crimea.Section 287.133(21(a.Florida Stattlis,as currently enacted Cr as amended from titre to titre,sates that a perspr or affiliate who rias been placed on the comicfad vendor ist foloamg a correction not a public entity crane may rot sutmc a proposal proposal.cr reply on a contract to provide any goods a services to a pubic entry may riot submit a proposal.proccsa a reply cn a contract with a attic entity for tie corsiruCun or repair of a otbk buldrg or pubic work;may not stint orocosals. proposals,Of reples ah leases of real property to a puat'ic entity;may net be awarded or parlors work as a cortractor.supplier subporeacsor.cr consultant lander a wreath with airy pubic entity-and may rot trar'saa ausmess era any cubic entity in excess or the tMesholo amount padded n s.767.017 kr CATEGORY TWO for a prams of 35 months fotaeirg the ate of being placed cm the ccinicted veroceat SUBMITTAL REQUIREMENT:No addbonal submittal s required.By virus of executing this aiicavit dxunert,Frcpossr agues wet the reaurenents of Seam 287133•Florida Statutes,and certifies it has rot teen Placed or.convited vendor ist. 10 Noncar.Pursuant b Cry Ordnarve No.2016-3990,the City steal mot enter into a cantrac aith a braless unless the tusness represents that it does nal and ell lot engage m a boycott as darned in Section 2.375 a'of the City Code.nclocirg the badrlis•ng,dhresting nom,a olhorwrso retusng to Peal will a bison or Wry'sten such action is based on race,color.national origin,reliabr,sex,irtersemiality,gender p'antily,sexual orientation,manta n famrial status,age cr dsabiity. SUBMITTAL REQUIREMENT:No acsitonal%Veinal s regwred By virtue M exeourrg this millet documert,Proposer agvms a is and stat remain n hue c rnplaree wen Section 2-375 of the Crty of Umar a Beach City Cade. 11. Moratorium on Travel to and the Purchase of Goods a Services from North Carolina and Mississippi.Pursuant)0 Pesolutior 2016-29175,the Cry of Mann Beach,Florida.prohibts offiarai City Pavel 10 the states at North Carona and Missacippn as eel as the pumnase of goons a seruces source:it honft Caserta and Misssstpp Proposer shall agree that ro Tavel she.cmc or Permit of Me City to North Carolina a Miesaaipp,nor small any Prcd.irl or sen'ias it provdes no She Cry to sourced front These states. SUBMITTAL REQUIREMENT:Nc acdtional submittal s required By virue at executing this affidavit document,Proposer agrees is and sna I-=r-ai•r'0II wmFliarce enth ResoLticn 2016-29375. 12 Fair Chance Requirement PLrst.ant to Section 2-376 of the City Code,the Cry wall rot enter irto any contract resorb g from a cornpentve scli:taticn.unless the proposer certifies it of thatthe tri*ets has adopted and errplcys amen poldies_practices. and standards that are consistent wit the Ctys Fair Chance Ordinance,set forth in Article V of Chapter 62 cf the City Cade-Fair Cfarce Crdnancel,and ahich.among other things,()r prohbts Cty contractors,as an employer.from irquirng about an appicant's cameral history until the applicant i given a cordtonal offar of employment?ii)etchings advertising of employment positions nth a statement that an indsictal wth a criminal record may not apply kr the position,and(al prohibts placing a statement or an errcloymerit appicaticn that a person wilt a ain'rrnal record may not apply for the posbat SUBMITTAL REQUIREMENT:No additionalsubmittal s regired at this time.By vrtue of execung the affidavit Proposer metes Mat a las adopted poicas,practices and standar rx consisiert anti the Cris Fan Chance Ordnance Proposer agrees Is pewee the City ash aupcorng cocurnerratlon evdencerg its ccmpMerce upon request.Proposer`urtner agrees net any breach of the reoresertstiae made herein shall mr otute a funeral breach of contract,and sI-al entitle the Cry to the rhme itiate termitnstior 'cr cause pi rhe weren't,in adtiticn to arty:adages that may re avatar*at law and 71 ecey Acknoxfedgement of Addendum.Mar issuance of solataticr.the Cry may release one a more adderdurn no tie xck atnn which may provide eddaicrat r iicrrration to Proocsers or ear soicitezor recommend.The City wit sweets reach every Proposer having received sciiccaticn through the City's e-prccuerrant system. PubkPtschasecorn. icwever, Proposers are suet/ msporsibie Icr assirng May have reaahred any and as adds un ssr.ed pursuaro to sold/Pon.Ths A inowiedgement of Addendum sector certifies bat the Proposer has recei ed al arderdum released by the Cry pursuant to this sclicitatcn.Failure to obtain anc adohc+vledge receipt of al addenda may result it proposal discmaidlcaam. intro ro came snail ns Cent in nes Part kap nexcr breAddendum 1 frit Addendum 6 Addendum 11 on Addendan 2 Addendum 7 Adderd:rm i2 Addendum 3 Adderidun 8 Adderdum 13 Addendum a Adderdum 9 Addendum 14 Addendum 5 ! Addendum to Aunderdrm 15 If additional corrhrmator of addendum s'equmed.stogie under separate mar 4 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued DISCLOSURE AND DISCLANIIER SECTION The soicitstion referenced herein is being furnished to the recipient by the City of Miami Beach(the'City')for the recipient's cnvenience. My action taken by the City in response to Statement of Qualifications made pursuant to this solicitation,or in making any award.or n fairg or refusing to make any award pursuant to such Statement cf Qualifications,or n cancelling awards,or in withdrawing or cancelling this solicitation.either before cr after issuance of an award shat be without any liabiity or obligation on the part of the City. n it sole discretion,the City may withdraw the solicitation either before or after receiving Statement cf Qua ifoations,may accept or reject Statement of Qualifications,and may acept Statement of Qualifications which deviates from the solicitation,as it deems appropriate and it ics best interest In its sole discretion.the City may de:ermine the qualifications and acceptabiity of any party cr parties submitting Statement of Qualifications n response tc this scliat:1ticn_ Following submission of Statement ofQuaifications.the applicant agrees to deliver such further details,information and assurances,inducing Nnancial and disclosure data relating to the Statement of Quakifications and the applicant including,without limitation,the applicant's affiiates, officers,directors.shareholders,partners and employees,as requested by the City in its discretion. The information contained herein is provided solely for the convenience of prospective Proposals. t is the responsibility cf the recipient to assure itsef that information=waned herein is acourate and complete.The City does not provide any assurances as to the accuracy of any information in this solicitation. Any reliance or these contents,cr cn any permitted communications with City officials.shall be at the recipient's own risk Proposals should rely exclusively on tee own investigations,ntrpretations.and analyses.The solicitation is being provided by the City without any warranty or representation express or implied as to its content its accuracy,cr is completeness.No warranty or representation is made by the City or its agents that any Statement of Cvalificaticns conforming to these requirements will be selected for consideration,negotiation,or approval. The City shall have no citigation or liability with respect to this solicitation,the selection and the award process.or whether any award ivi be made.Any recpient of this solicitation who responds hereto fney acknowledges all the provisions of this Disclosure and Disclaimer,is totally relying on this Disclosure and Disclaimer,and agrees to be bound by the terms hereof.Any Statement of Quaifications submitted to the City pursuant to this solicitation are submitted at the sae risk and responsbiity of the party submitting such Statement of Qua ifications. This solicitation is made subect to crrecticn cf errors,omissions,or withdrawal from the market without notice.information is for guidance only.and does not constitute ads or any part of an agreement The City and a:Proposals will be bourhd arty as,if and when a Statement of Qualifications,as same may be ramified and the applicable definitive agreements pertaining thereto,are approved and executed by the parties,and then only pursuant to the terms of the definitive agreements executed among the parties.My response to this sokitation may be accepted or resected by the City for any reason,or for no reason,without any resultant liabdxy to the City. The City is governed by the Government-n-theSinshirne Law,and all Statement of Qualifications and supporting documents shahl be subject to disclosure as required by such law.Ail Statement of Quaifications shall be submitted in sealed proposal form and shall remain confidentia so the extent permitted by Florida Statutes,until the date and time selected for opening the responses.At that time;all documents received by the City shall become public records. Proposals are expected to make al disclosures and declarations as requested in this solicitation. By submission cf a Statement of Qua/cations,the Proposer adavowtedges and agrees that the City has the right to make any inquiry or investigation it deems appropriate to substantiate cr supplement information contained in the Statement of Qualifications,and authorizes the release to the City of any and all information sought in such inquiy or investigation_Each Proposer certifies that the information contained in the Statement of QuaIFcations is true;accurate and complete.to the best of its knowledge,information,and belief. Notwithstanding the foregoing or anything contained in the sokitation,all Proposals agree that in the event of a final unappealable judgment by a court of competent jurisdiction which imposes on the City any liabiity arising out cf this solicitaaon,or any response thereto,or any action or inaction by the City with respect thereto,such lability shall be limited to$10,000.00 as agreed-upon and liquidated damages.The previous sentence,however, shad not be construed to circumvent any cf the other provisions cf this Disclosure and Disclaimer which imposes nc Iiabity on the City. 'n the event cf any differences in language between this Disclosure and Disclaimer and the balance cf the solicitation,it is understood that the provisions cf this Disclosure and Disclaimer shall always govern.The solicitation and any disputes arising from the solicitation shall be governed by and construed n accordance with the laws of the State of Florida. 5 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.2 Response Certification, Questionnaire &Requirements Affidavit—continued ItidY7i I hereby certify that:I,as an authorized agent of the Preccser,an scbrrettng the foto rng information as my fan's propos* Proposer agrees to complete and unconditional accectance of the terms and conditions of this document inclusive of this scactatcn,all attachments.Exhibits and appendices and the contents cf any Addenda released hereto,and te Disclosure and Disclaimer Statement;proposer atroes to be bound to any and an specifications,terms and conditions contained in the sctac1ahen,and any released Addenda and understand that the'Plaiting are re�iremerts of this solicitation and failure to comply'NI result n disqualification cl proposal submitted.Proposer has not dvvlged,dsctssed, or compared the proposal iA4th other Proposals and has not colluded'Nth any other proposer or„arty to any other proposal;proposer ad'nmaiedges that all information contained heren is part of the ptutsc domain as defined by the State of Florida Sunshine and Pudic Records Laws;all responses,data and information contained in this proposal,edk,svve of the Statement of Quatficattors Cerdication, Questionnaire and Requirements Affidavit are true and accurate, Nano at HCpcsar sPUMntsd"obex fnY.e MU is e'Rp000w s Aurcraza rigfmontslac Connc.on PJagnoy Pittner egel.r7.1 Nowa,' Ailranzwl ♦Peva swallow O.cwrt.rt42a'r. Slate or Pn'M,a ) Cn this day of Decanter ,2017 ,pers craPP l appeared before nor IkrelcvanVaanlev ateo County of Steward ) stated that(s)he is the parner of PSM US LLP ,a corporation.and that the instrument was signed in behalf of the sad corporation by authority of its board cf directors and acknowledged said instrument to to 4s voluntary act and deed.Before me: Notary°adk 1w the Slated Fbide My Comssecn Eiirts .Wv 74.2019 41) _Um weesetctuzava • tr !13414 &Matt at.arta .._+...a�..w.,,,w,un...n1 6 1. COVER LETTER AND MINIMUM QUALIFICATIONS-CONTINUED 1.3 Minimum Qualifications Requirements Submit verifiable information documenting compliance with the minimum qualifications requirements established in Appendix C, Minimum Requirements and Specifications. This proposal will summarize our understanding of your needs and provide you with the information necessary to be fully aware of how our capabilities are uniquely positioned to provide the greatest value to the City. The proposal will also specify our approach and methodology to performing a city-wide fraud risk assessment for the City. Donnovan Maginley, Partner, and Clara Ewing, Director, will be the primary points of contact. Donnovan served as the overall lead partner for the City's audit engagement. In that role he was responsible for all aspects of the audit. That included understanding the City's key processes, the sufficiency of the design of internal controls and final reporting of recommendations to address and improve deficiency in internal controls. Donnovan will be available to the City during the full period of the engagement to address matters of concern and to ensure proper and timely execution of the project. Donnovan and Clara's contact information is as follows: 801 Brickell Avenue D: 305 569 7986 D: 321 751 6239 Suite 801 C: 954 394 0424 C: 321 698 8282 Miami, Florida, 33131 Donnovan.Maainlev( rsmus.com Clara.Ewinc @..rsmus.com Our Understanding of Your Needs We understand that you seek a city-wide fraud risk assessment, which will cover all areas of the operations with focus on fraud risks. Our proposal will demonstrate that RSM's experience in the public sector exceeds the City's minimum requirements outlined in this RFQ.We encourage you to reach out to the references provided. The fraud risk assessment will focus on the impact of fraud on the City's reputation, the exposure of the City to criminal and civil liability, and the result of a financial statement loss. The fraud risk assessment will include clear methods of identifying and measuring fraud vulnerabilities. Key elements to include in the fraud risk assessment are: • Identifying inherent fraud risks affecting City operations • Examining the suitability of existing fraud • Assessing the likelihood and impact of inherent fraud controls and prioritizes residual fraud risks risks • Documenting the City's fraud risk profile. • Determining fraud risk tolerance Our work will be to assist and advise you with this assessment; we will not, nor do you desire us to, perform any management functions, make management decisions, or otherwise perform in a capacity equivalent to that of an employee of the City. This contract will commence upon completion of a fully executed agreement, and will be effective for one(1) year. The City, through its City Manager,will have the option to extend for two(2)additional one (1) year periods subject to the availability of funds for succeeding fiscal years. 7 2. EXPERIENCE AND QUALIFICATIONS 2.1 Qualifications of Proposing Firm Submit detailed information regarding the firm's history and relevant experience and proven track record of providing the scope of services similar as identified in this solicitation, including experience in providing similar scope of services. Experience in government agencies such as county, other local governmental organizations or public entities is preferred. For each project that the proposer submits as evidence of similar experience, the following is required:project description, agency name, agency contact, contact telephone &email, and year(s) and term of engagement. oil 0 � 5th p Founded 9,000 T1926 � 7 I �:� �oIargestU.S .-r professionals v�gg! U.S.cities accounting firm min Firm history Our founder Ira B. McGladrey had a vision to build a great accounting firm with a solid foundation of client service. RSM traces its history to 1926 when the I.B. McGladrey Company was established through the purchase of a seven-person office in Cedar Rapids, Iowa, and a one-man practice in Davenport, Iowa. Over the years, McGladrey grew his firm both organically and by acquiring firms like his own—with down-to-earth attitudes and roots in the community. We continued this trend of joining forces with like-minded firms to become the fifth largest provider of assurance, tax and consulting services in the U.S. and the leading firm focused on the middle market. The principles on which Ira founded his firm are the foundation of RSM's past success and our future strategy. RSM US LLP (RSM) is a national professional services firm, supporting our clients through providing audit, tax, and consulting services. We have 8 offices in Florida located in the following cities: Fort Lauderdale, Jacksonville, Melbourne, Miami, Naples, Orlando, Tampa, and West Palm Beach, making us one of the largest providers of audit, accounting and consulting providers in the area. Size of public sector practice RSM's Public Sector practice has been designated by firm leadership as one of our top strategic industries. We are a leading national provider of services to the public sector, serving more than 2,800 public sector audits, including over 800 governments, more than 600 Single Audits (2nd nationally), and more than 1,000 Government Auditing Standards audits each year. As a result, we have a wealth of experience with contracts similar to the services that you have requested. We have established a dedicated government practice team that includes hundreds of professionals.We provide services to public sector entities across the country assisting improve their performance through a comprehensive understanding of their business models, internal processes, objectives and daily realities. We ask the right questions, read between the lines, listen actively and think holistically—and we build relationships based on experience and trust. We will bring these experts and professionals to the City based on the nature of the work and subject matter. 8 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm — continued RSM has 9,000 people within 90 offices nationwide. Within our public sector practice, we offer approximately 140 partners and principals, 150 directors, and nearly 500 additional professionals who are committed to serving state and local governments. Consulting professionals Audit and tax professionals All professionals • Partner Director Other Partner Director Other Partner Director Other 17 33 77 121 116 400 138 149 477 Focus on fraud The RSM team presented to you provides sponsorship,training and continuing professional education to groups including the Florida Government Finance Officers Association, as well as many other public sector focused organizations. We have developed a fraud awareness training specifically for our public sector clients. We will provide this training annually at no charge to the City. Annual fraud awareness training is an important part of any fraud program. Annual fraud awareness training is an important part of any fraud program. The training is based on the fraud diamond framework identified by the Association of Certified Fraud Examiners. We make the audience aware of opportunities for fraud and how to minimize those opportunities with specific controls and effective segregation of duties. We utilize examples from other public sector entities,which include funds handling, purchasing, contract compliance, timekeeping, theft of property or inventory and purchase cards. It has been very well received and incorporated into the fraud policies at several clients.We would provide this training as part of our commitment to you. ••(Pressure 49404 Inadequate or no: ✓Unrealistic deadlines ✓ SuSepervision of�reviewdt ✓Unrealistic performance goalle ✓ Management s 9 approvalManagement ✓Personal vices ` O� ✓ System controls • \‘1$• •t‘• /lo Convinced self that fraudulent 49 , ✓Necessary traits and ABILITIES behavior is worth the risk. to be right person to pull it off ✓Recognized this particular fraud opportunity and can turn it into reality. 9 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm— continued Within our firm, our Forensic Accounting and Litigation Services practice team is comprised of professionals dedicated to the delivery of forensic services. We are skillful at understanding the case and supporting our opinions with compelling analysis of the evidence. Our team has experience in providing forensic services in the context of a contract with a governmental agency. The team draws on extensive experience in the performance of forensic services in contract disputes and has current, hands-on experience in managing and performing forensic auditing. Furthermore,we understand the City's need to conduct itself as a prudent custodian of taxpayer funds and are comfortable with public agencies'contracting and compensation requirements. Range of activities performed by the firm RSM is a full-service audit, tax and consulting firm. This enables us to have the ability to draw from subject matter experts in all areas of our practice to support the project and any complex or emerging areas. In addition to tax and audit, RSM offers cost-effective risk, financial, and technology and management advisory services. We have significant experience providing audit and consulting services to state and local governments, and have established a dedicated government practice team. The RSM team provides governments with a full array of services ranging from cost-efficient, high quality audits to information systems and management consulting. We have assisted numerous public sector entities with internal audit services, including the startup and governance, charter creation and modification, audit committee structure and reporting process.We conduct risk assessments and from them propose audit plans. We work with audit committees, boards and in some co- sourced arrangements supplement fully functioning internal audit departments. Our audits conducted include cycle audits, entity-wide audits and individual function audits.We have completed internal audits for numerous functions including: cash/funds handling, timekeeping and payroll, property control, facilities construction, utilities, road and bridge, library services, animal control, maintenance, IT pen testing and user access, fire rescue, accounts payable, purchasing and purchasing card, permitting, fuel, and so many more Risk Advisory Financial Technology Audit Consulting Advisory Consulting Services Services • Internal Audit • Performance • IT Strategy • GAO • IT Audit Improvement • Management Consulting Performance • Governance, risk and • Finance Operations and • Disaster Recovery Audits compliance Controls • Business Intelligence • Federal Funds • Construction • Anti-Fraud Consulting • Enterprise Content Compliance Oversight and Cost • Project Management Management • IT Security Recovery • Litigation& Dispute • Application integration and • SOC 1 (SAS 70) • Contract Compliance • Budget&Modeling development • External Audit • Security and Privacy • Forensic accounting • Cloud Services • Tax Compliance Services • Network Infrastructure • Enterprise Risk • Security Architecture Management • Penetration Testing • Service organization • Business Continuity control assurance • Regulatory Planning • Program Management compliance • ERP Selection, Controls and IV&V 10 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm— continued Listing of representative local audit clients We provide audit and consulting services, including risk assessments, to many counties, cities, towns, boards of education and other public entities. Below is a sampling of government clients and internal audit clients we provide services to. Southeast Public Sector Clients Brevard County,FL(outsourced internal City of Jacksonville,FL airport Martin County, FL audit,including risk assessment) City of Baltimore, MD City of Longmont,CO McLean County, IL City of New Haven,CT City of Miami,FL Miami-Dade Clerk of Courts Chicago Public Schools,IL City of Moline,IL Miami-Dade County Aviation Department Craven County. NC City of New Haven,CT Miami-Dade County Solid Waste Department City of Charlotte,NC City of Norfolk,VA Miami-Dade County Water&Sewer Department Northern Virginia Community College,VA City of Norfolk Retirement System Miami-Dade County,FL District of Columbia Water City of North Miami,FL Moline School District,IL City of Homestead,FL(outsourced internal City of Orlando,FL Montgomery County Revenue audit,including risk assessment) City of Sacramento City of Pembroke Pines,FL Neuse Regional Water and Sewer Authority Arlington County,VA(co-sourced internal City of Rocky Mount,NC Palm Beach County,FL audit services,including risk assessment) Brevard County,FL(outsourced internal City of Springfield,IL Pitt County,NC audit,including risk-assessment) Broward County,FL City of Sunrise,FL Prince William County Schools.VA Cape Fear Public Utility Authority,NC City of Tulsa,OK Rappahannock Regional Solid Waste Authority, VA City of Boca Raton,FL City of Wilmington,NC Rock Island County,IL City of Boulder,CO Chicago Public Schools,IL School Board of Brevard County,FL (outsourced internal audit,including risk assessment) City of Columbia,MO Cleveland County,NC School Board of Broward County,FL City of Durham,NC Craven County,NC School Board of Indian River County,FL (outsourced internal audit,including risk assessment) City of Florida City,FL DC Water and Sewer Authority School Board of Lake County,FL(co- (outsourced internal audit,including risk sourced internal audit,including risk assessment) assessment) City of Fort Collins,CO ElectriCities of North Carolina,Inc. School Board of Miami-Dade County,FL City of Fort Lauderdale,FL Gwinnett County,GA School District of Kansas City,MO City of Frederick,MD Jacksonville Port Authority,FL School District of Palm Beach County,FL City of Greenville, NC Lee County,FL School Board of St Johns County,FL (outsourced internal audit,including risk assessment) City of Jacksonville, FL Lee County Electric Cooperative,FL St Lucie County,FL(outsourced internal audit,including risk assessment) 11 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References Brevard County, FL Reference: Description of Work: We have served as the lead audit firm for the outsourced internal audit Frank Abbate. County function for the Board of County Commissioners since 2001. We conduct Manager an annual risk assessment and build our annual audit plan to present to the 321.633.2001 Audit Committee. We manage the internal audit function and produce and frank.abbater brevardcountv.us report an average of 6-8 audits annually to the Audit Committee. Types of audits have included: Duration of Contract: • 2001 to present • Risk Assessment and Audit Plan Development: We conduct an annual risk assessment and build our annual audit plan to present to the Audit Committee. • Compliance Audit: Example audits have included: Accounts Payable, Accounts Receivable,Asset Management, Financial Position • Review, Human Resources, Purchasing Card, Purchasing, Criminal • • Justice Service, Economic Development, Land Development, Public Works,Animal Services,Ambulance Billing, and Tourism. • Operational/Performance Audit: We have performed financial condition reviews of various departments such as Utility Services, Parks and Recreation, Public Works, Stormwater Management and Housing and Human Services, with the objective of providing an independent analysis of the department's ability to maintain its Board directed service level within its current revenue structure. • Information Systems Audit Example audits have included: IT Advisory, Internal Network Security Assessment, Web Application Penetration, Database Security Assessment, and IT General Controls. • Investigative Audit: We have been called for numerous special reviews. • Construction Audit: Example audits have included: Facilities Construction. 12 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References —continued Prince William County, Virginia Reference: Description of Work: We have served as the County's outsourced internal audit function for the Board of Chris Martino. County Supervisors since 2012. The County employs over 4,000 people and the County Executive annual budget is over$1 billion. We designed and re-implemented the internal audit 703.792.6723 function which included development of an independent reporting structure. We cemartinoapwcgov.orq produce and report an average of 10 audits annually to the Audit Committee. Types of audits have included: Michelle Attreed, Director of Finance • Risk Assessment and Audit Plan Development: We conduct an annual risk 703.792.6752 assessment and build our annual audit plan to present to the Audit Committee. mattreed a(�.pwcdov.orq • Compliance Audit: Example audits have included: Contract Administration, Fleet Management, Benefit Plan: Length of Service Award Program, Asset Duration of Contract: Management, Purchasing, Records Retention, Timekeeping, Purchase Card, • 2012 to present Funds Handling, Real Estate Assessments, Treasury Management, and HR Out- Boarding. • Operational/Performance Audit: Example audits have included: Potomac Rappahannock Transportation Authority, Hiring Process, Social Services Homeless Division, Social Service Child Protective Services, Police, Overtime, Golf Operations, Fire and Rescue Operations,Watershed VSMP, Convention Visitors Bureau, Library Operations and Animal Shelter. • • Information Systems Audit Example audits have included: Business Continuity Planning, Internal Network Security Assessment,Web Application Penetration, Database Security Assessment, IT General Controls, Payment Card Industry Gap Review,and Change Management. • Investigative Audit: We have been called for numerous special reviews, and we assist in managing the fraud, waste and abuse hotline. Annually, we provide Fraud Awareness training workshops to all Senior Management. • Construction Audit Example audits have included: Facilities Construction, Development Services. z . • Financial Audit: RSM was engaged 2006—2010 to perform the external financial audit of Prince William County,VA. The audit services included the following: o Comprehensive Annual Financial Report(GASB Standards) o OMB Circular A-133 Single Audit 13 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.1 Qualifications of Proposing Firm—continued References — continued City of Homestead, Florida Reference: Description of Work: We have served as the outsourced internal audit function for the City since George Gretsas, City Manager 2012. We conduct an annual risk assessment and build our annual audit 305.224.4401 plan to present to City Council.We execute the internal audit function and ggretsas(c cityofhomestead.co produce and report an average of 2-4 audits annually. Types of audits have m included: Carlos Perez, Finance • Risk Assessment and Audit Plan Development: We conduct an Department Director annual risk assessment and build our annual audit plan to present to 305.224.4553 City Council. cperez(@.cityofhomestead.com • Compliance Audit:Example audits have included: Utility Billing, Development Services/Permitting, Human Resources, Timekeeping Duration of Contract: and Payroll, Cash Receipts, and Contract Management. • 2012 to present • Information Systems Audit: Example audits have included: IT Risk Assessment. • Construction Audit: Example audits have included: Facilities Construction. St. Lucie County, Florida eference: Description of Work: We have served as the co-sourced internal audit function for the County oseph (Joe) Smith, Clerk of since 2015. We conduct an annual risk assessment and build our annual 'the Court audit plan to present to the Audit Committee. We execute the internal audit 11305.224.4401 function and produce and report an average of 2-4 audits annually. Types '',Joe(@stlucieclerk.com of audits have included: 1-loward Tipton, County 'Administrator • Risk Assessment and Audit Plan Development: We conduct an '1305.224.4401 annual risk assessment and build our annual audit plan to present to jiptonh(Wstlucieco.orothe Audit Committee. • • Compliance Audit:Example audits have included: Purchasing and i uration of Contract: Purchase Card. • 2015 to present • Information Systems Audit: Example audits have included: Internal and External Penetration Testing. 14 . EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team Provide an organizational chart of all personnel and consultants to be used for this project if awarded, the role that each team member will play in providing the services detailed herein and each team members'qualifications. A resume of each individual, including education, experience, and any other pertinent information, shall be included for each respondent team member to be assigned to this contract. We have earned an outstanding reputation for the integrity of our people and the consistently high level of professionalism with which our firm's practices are conducted. We are a leader in the development and advancement of risk advisory services. To attract and retain the finest professionals, we have established high recruiting standards, a comprehensive training program and a recognition system for outstanding professional achievement. We are in the people business. We set expectations of each individual and measure demonstrated performance through the firm's four success factors: client service excellence, business growth, people relationships and expertise. This approach is focused on ensuring that each person's development is based on the respect of that individual and their readiness, as well as willingness to go to the next level. Annually our RSM Public Sector Leadership Team gets together to discuss issues facing our public sector clients. The 2 to 3 days we are together includes discussions about trends, benchmarking, best practices and often includes our clients as part of the collaboration. One of the critical factors for any successful engagement is the working relationship and communication that clients have with their sourcing provider. This relationship must be built on trust and confidence. We understand the importance of an effective partnership, which is why the foundation of our services emphasizes personal attention and responsiveness to our clients' needs. We believe that our people are what set us apart from other companies. Our internal audit team brings the necessary experience, technical skills, industry knowledge, creativity and benchmarking capabilities to serve the City's needs. 15 Engagement team structure The following organization chart depicts the reporting relationships of our proposed team to serve the City: City of Miami Beach, SUBJECT MATTER Florida ADVISORY TEAM Jennifer Jill Reyes Donnovan Murtha Public sector Maginley, Partner Public Sector Technical Lead Resource Relationship Ryan Moore Patrick Public Sector IT Lynch Clara Ewing Technical Public sector Project Director Resource Resource Team Lead Amanda Holbrook Project Manager Additional local internal audit and other risk advisory professionals engaged as needed. 16 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team—continued The following table presents the roles and qualifications of the team we have selected to serve you: Team member,engagement role Qualifications to serve the City CORE SERVICE TEAM Donnovan Maginley, Partner Donnovan is an assurance audit partner with over 22 years of experience Relationship Leader. Donnovan will oversee our and has devoted his entire career serving the public sector.Throughout his performance and delivery of services to the City. career, he has managed and supervised audits of very large and complex He will be your day-to-day single point-of-contact engagements. His extensive experience enables him to provide timely when it comes to ongoing engagement feedback and best practice recommendations relating to various management and ad hoc needs as they arise, accounting practices and internal control improvements. Local clients keeping you informed about our progress, and include and have included City of Miami Beach,Miami-Date County,School promptly addressing your questions and Board of Miami-Dade,and City of Hollywood. concerns. Clara Ewing, Director Clara is a CIA with more than 16 years of experience, with 9 years spent Project Director and Team Lead. She will be fully serving clients in the public sector. She is 100%dedicated to serving responsible for ensuring expectations are clients in the public sector, specializing in the areas of internal audit, exceeded throughout the engagement and will including risk assessment,policies and procedures, process improvement, seek feedback on our services, team and performance, operational and compliance audits, and other areas of deliverables and address any issues,as needed. consulting. She is a speaker at various internal and external public sector conferences focusing on government specific topics, including Fraud. Clara's client base includes, but is not limited to, counties, cities, energy commissions,,port authorities, water authorities, universities, and school districts. Amanda Holbrook,Manager With over 9 years of experience,Amanda leads multiple engagements that Project Manager. Amanda will make the deliver co-source and outsource Internal Audit engagements as well as determination of specific project tasks, provide Enterprise Risk Management and Sarbanes-Oxley consulting services. periodic status reports and monitor all project Prior to RSM,Amanda provided Internal Audit and ERM services to public phases to promote timely completion. sector clients. Team member,engagement role Qualifications to serve the City SUBJECT MATTER ADVISORY TEAM Jennifer Murtha,Senior Director Jennifer has more than 20 years of experience, with 10 years spent fully Public Sector Lead and Quality Assurance. serving clients in the public sector in the areas of internal audit, process Jennifer will serve as a technical resource to the improvement and compliance.Jennifer is 100%dedicated to serving clients engagement team as needed. She will provide in the public sector, leading the project teams for, Prince William County recommendations,leading practices and industry and Brevard County, as well as multiple other counties, cities, school insights as needed throughout our engagement to districts and other municipalities. best address the specific risks and challenges of the City. Jill Reyes, Director Jill has more than 15 years of experience,with 10 years spent fully serving Public sector subject matter advisor. In addition to clients in the public sector in the areas of internal audit, process Jennifer, Jill will provide public sector industry improvement, compliance and assurance. She is a CPA. CIA and CFE. insights as needed throughout our engagement to Jill's client base includes, but is not limited to, counties, cities, energy best address the specific risks and challenges of commissions, port authorities, water authorities, universities, and school the City. districts. 17 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.2 Qualifications of Proposer Team—continued Team member,engagement role Qualifications to serve the City SUBJECT MATTER ADVISORY TEAM—continued Ryan Moore,Manager Ryan is a consulting professional with over 13 years of experience leading Public Sector Information Technology (IT) IT audits across a range of industries including the public sector. He has Technical Resource. Ryan will supplement the extensive experience knowledge in the areas of both internal and external team of any IT related fraud vulnerabilities audit methodologies. For over eight years prior to joining RSM, Ryan led IT throughout our engagement and provide audits control audits for two separate Fortune 500 companies spanning six recommendations and leading practices. continents. Patrick Lynch,Manager Patrick is a CFE and brings over 12 years of external and internal auditing Public Sector Resource. Patrick will support the experience providing financial and operational audit and consultation team in the performance of the fraud risk services to a variety of public and private sector entities. As a CFE, Patrick assessment activities. has received special training in fraud prevention and investigation. Additionally, he has participated in various fraud examinations across a variety of industries including public sector. Sample biographical profiles of our professionals are in Appendix A. 18 2. EXPERIENCE AND QUALIFICATIONS-CONTINUED 2.3 Financial Capacity As a limited liability partnership, RSM US LLP has no requirement to prepare financial statements for external release. We affirm, however, that RSM has the capacity—both in size and financial strength—to serve our clients, as illustrated by the following: • Founded in 1926,today RSM US is the fifth largest accounting, tax and consulting firm in the U.S., as ranked in Accounting Today's 2017 Top 100 Report. • RSM US has 9,000 professionals and associates in 90 cities nationwide. • For the most recent fiscal year ended April 30, 2017, RSM reported revenue of$1.98 billion, an increase of 7.2% in comparison to the prior year. The average of our last three fiscal years of revenue is $1.82 billion. • In addition to cash and short-term investments, RSM US maintains a revolving credit facility for operational and other borrowing needs. Outside of the revolving credit facility and current liabilities, the firm has no other debt. • The firm is also very well capitalized, with significant partner and principal investment by its 800 partners and principals. All partners and principals are individuals, and no one partner or principal has more than 1%of the total capital investment in the firm. • A bank reference is as follows: US Bank Linda J. Perlick, Private Banking Associate 800 Nicollet Mall, Minneapolis MN 55402 Phone: (612) 303-3191 Email: Linda.Perlick(a usbank.com • As of May 01, 2017, RSM US LLP was assigned a low risk commercial credit score. An independent D&B comprehensive credit report for RSM US LLP (DUNS#07-348-2424)can be ordered via the D&B website. • RSM US is a member of RSM International, the sixth largest network of independent assurance, tax and consulting firms, encompassing 120 countries, 800 offices and more than 41,000 people internationally. The network's total revenue were US$4.87 billion in 2016. 19 3. APPROACH AND METHODOLOGY Submit detailed information addressing the experience Proposer has in achieving each portion of the scope of services and technical requirements outlined in Appendix C, Minimum Requirements and Specifications. Responses should be in sufficient detail and include supporting documentation, as applicable, which will allow the Evaluation Committee to complete a full review of the Proposer's approach and methodology on similar engagements, including(but not limited to) Identifying inherent fraud risks;assessing the likelihood and impact of inherent fraud risks;determining fraud risk tolerance; examining the suitability of existing fraud controls;prioritizes residual fraud risks;and documenting fraud risk profile. We assess the risk that errors or fraud may cause a material misstatement of financial statements, regulatory non-compliance, loss of assets, operational break-downs, and, equally as important, diminished public trust. Our process combines various methods of information gathering and concludes with a collaborative session to ensure that we are all on the same page. As part of the fraud risk assessment process, we will conduct interviews and surveys (using Survey Monkey), gather data, review laws and regulations and other information as deemed necessary in order to better understand the City and the surrounding environment. The risk profile will take into consideration the following risk areas: • Financial - measure of the financial significance of the account balances included on the statement of revenue, expenses and changes in net assets, statement of net assets or statement of cash flows specific to the business area under consideration. • Operational -addresses the ability of the business area to manage its internal/external processes and/or deliver its core product/service offerings in an efficient and effective manner. • Compliance-considers the degree to which the business area may not be in compliance with laws and regulations, contractual agreements, organizational policies and procedures, commitments, etc., increasing the company's exposure to fines, penalties, and/or sanctions. • Public perception -considers the impact of a control deficiency on the public trust. This factor is generally considered a magnifier in the presence of one of the other factors. Our fraud risk assessment audit approach follows the following phases: Phase 1: Phase 2: Fieldwork Phase 3: Planning and and Evaluation Communication of Scoping results ad reporting Collaboration with the Facilitative sessions and Vetting City interviews Communication with Information gathering Fraud risk register management and preliminary analysis 20 3. APPROACH AND METHODOLOGY-CONTINUED Phase 1, Planning and scoping Procedures for this phase may include: • Hold pre-fieldwork discussions to gain an understanding of the nature of any initial concerns, key stakeholders and regional points of contact, prior assessments of relevance, and your specific assessment objectives and desired outcomes; • Review initial documentation, as determined and requested; • Perform analytical procedures using data from areas such as accounts payable, payroll, procurement card transactions, travel expenses, etc. in order to identify relevant information, including potential"red flag"transactions for further discussion; • Analyze relevant prior assessments and other risk management-related reporting, if any(e.g. ERM, risk registers, incident logging, corruption risk assessments, etc.); • Agree upon methodologies for the measurement of risk, as well as application of risk appetite(e.g. for consistency and alignment with the City's other risk management programs) • Develop a preliminary scope for the assessment, including but not limited to: o Fraudulent statements • Financial • Non-financial o Corruption • Conflicts of interest • Bribery • Illegal gratuities o Asset misappropriation • Cash-related • Other assets • Confirm with you the nature and format of project deliverables, including fraud risk register and final report; • Prepare and communicate a schedule of interviews with City personnel; determine alternative information collection approaches(e.g. surveys,group workshops); • Review organizational structure in order to determine how best to organize the analysis(e.g. categorize assessable units by geographical region); • Conduct initial planning call with key stakeholders to develop rapport and outline shared project objectives; discuss roles, responsibilities, and timing; and • Develop a communication and milestone plan to be utilized to manage communication protocol and key milestones and responsibilities between RSM and the City. 21 3. APPROACH AND METHODOLOGY-CONTINUED Phase 2, Fieldwork and Evaluation We will perform the following procedures subject to the information obtained in Phase One: • Develop register of fraud-related risks, based on the agreed-upon scope, your input, and RSM's internal tools and templates; • Facilitate fraud risk assessment based on interviews and agreed-upon information collection methods; • Prioritize risks based on estimations of impact, likelihood, and velocity; discuss with you the initial ratings; • For fraud risks determined to be greater than"low" aggregate risk, facilitate workshops with key stakeholders (organized, for example, by region)to evaluate current risk responses, including relevant policies, programs, and internal controls, as well as the perceived efficacy of such responses; determine vulnerability ratings; and • Populate fraud risk register based on previously agreed-upon format, to include recommended risk mitigating strategies and tactics. Sample Fraud Risk Register 144 J.® =i-�- i--__.moi -- 1 ......... r.....774..:_ia,:_.:. ........ r_.-..•_-_____-- , .•-...7...-=....-7r_.;:- • - w • .-M -..-z.-:-..- .• ---.•- ......_ ...,...... ____ ...._ ...7....:_z_.___fs...,..„._„,....._,...:..:. . Sample Fraud Mitigation Control Matrix I lill II ii i ; l- i , , f t f i It i +t } i ' f I I 1 '!i t i; Iz II,iii!fli� 1; 'i t i1{ ti iT! :1 itf• ' ! ' t ' -I ; f i i If ! 1f { 1. I .i I !. l .! . . ,I f: !{1• it 1 ti! Itljj i, : 1 ��! 'i � � !i3 '.I a li: i.illl. Ili �, 'I — •• a•. ..:.. I .. 1 1 I I 1 . 22 3. APPROACH AND METHODOLOGY—CONTINUED Phase 2, Fieldwork and Evaluation -continued Information technology integration. A cornerstone to our approach is the utilization of multidisciplinary IT professionals. We employ a focused mix of experienced IT auditors, IT consultants, industry and specialists with a broad range of skills and experience. Our information resource team members collectively bring deep expertise in a broad range of IT risk, audit and consulting services including: project management, system integration, IT strategy, enterprise IT management, IT privacy and security, and application and functionality. We have experience in benchmarking, assessing and designing well controlled and efficient IT functions from IT planning to back-office system support.Additionally, we bring deep experience in IT Strategy, Sourcing, Information Systems Governance, Identity and Access Management, IT Security Services, business resumption planning and disaster recovery and a suite of enterprise resource management system services from running project management offices to implementing packages. Project Management Integration Services Software Selection •IneVaelielk 114 law'caMkeptI I,....1rlwr tS NawatewrN 1A.w.lerer .:RM:lllelll. Re ravaxwn CVaIdaW hoinlrLriK ma k>rfirsk Meaitewee;oMaow. k.ew+eiwg e~O� •vendor Mnlw+d neRollaflos ;:fie►Iraymeel %eWeraaow allwfey:..ke�. .d.iw...:«,k"J reve6kwrwl \ / IT Strategy 4 technology Consulting df JaMtYMhaladowgdl ymo YlkMwllneaN lgaca•ow` If,,t keI'mIlseCaniaefig • rtclt.i albw_t«l.e wa►weceolol !y�winabw .fp/ixaaiowCo4 Re.iere •[wwu,:«r eveloplrot dr`awrn.inw llwlg \ J Enterprise Resource Planning Coundadonsof IT Security&Privacy (ERDI RlnternalAudit / • PelwrellCad kaYMy 4.e..d Ie.a I.lrinumml•Iim CONVIMIKO Review. .kMewllawderkemal peplionof fllde.Mul,ds nllrw+oa rest aMreal YllRkffwli+M •wuat, er+ervrwlwc •hkrr 1 pfoctu Improvement 10 IT Outsourcing IT Risk&Audit • -hot eaf.1*-feyneomfg ft.*,fik Mal.<onYOh •`TT%rl NrlerIgwt Or elepwe d Nalnt kick M+wafelwelll nTeewv«ary Fele Id IT,ell PAW*ew .ilv.•.wwOrilr d hwr 1 •IT kerwlnul/dxd IfI awelwawlo f."lead mod Technology is instrumental in driving productivity, efficiency and operational growth. We understand the complex challenges you face with a changing landscape and dynamic plans to establish a new organization on a lean budget.We will align people, processes and technology to help meet your departmental strategic goals. A key component of our information security audit methodology is an integrated approach across our IT Risk Advisory team, including both information security risk and IT audit team members. While your annual information security audit plan may include individually scoped audits that are specifically technology related, we recognize that most audits will have some relation to your technology platforms and may require expertise beyond standard IT general controls, such as those defined within NIST 800.53. We will work with your technology team and business process owners to best determine how to obtain the information we need, to best understand how to evaluate your critical applications, supporting systems and databases efficiently and effectively. This bridge approach allows us to penetrate the`black box', rather than audit around it, and provide solutions that could also potentially streamline automated processes, as well. 23 3. APPROACH AND METHODOLOGY—CONTINUED Phase 2, Fieldwork and Evaluation—continued Understand the Risk Assessment Audit Plan Audit Reporting client Development Execution • Executive planning •Fommalrze objectives •Refine the dynamic •Finalize audit •Co-develop session scope and approach nsk-based audit plan scope and management • Define communication •Define key •Co-develop audit approach actions plans Protocols organization ask objectives •Develop audit •Draft audit • Develop engagement factors •Establish high-level notification letter reports project plan •Conduct an enterprise scope with process and stakeholder •Conduct internal • Conduct engagement risk assessment owners alignment quality expectations •Conduct a current •Coordinate with •Develop process assurance discussions state IT ask subject matter flows and data review • Inventory business assessment resources flow diagrams •Finalize arid processes and •Establish an audit •Obtain audit •Perform test of deliver reports supporting systems universe committee approval controls •Conduct penodic •Stakeholder •Communicate audit committee communication results communications IT Integration Data Governance& Infrastructure Systems Management Data Analytic Integration Define.•r Develop and Facilitate dynamic and repeatable analytic execute continuous management tests assurance program reporting Overall information security audit capabilities. Our team members are comprised of subject matter specialists that have extensive experience performing information security audits of various applications, supporting systems and databases. Our RAS IT professionals possess a deep understanding of widely adopted frameworks, best practices and standards such as Committee of Sponsoring Organizations of the Treadway Commission (C050), Control Objectives for Information and related Technology(COBIT), Information Technology Infrastructure Library(ITIL) and International Organization for Standardization and the National Institute of Standards and Technology(NIST). Our IT audit professionals hold various professional certifications such as Certified Public Accountant (CPA), Certified Information Systems Auditor(CISA), Certified Information Security Manager(CISM), Certified Information Systems Security Professionals(CISSP), Certified Information Privacy Professional (CIPP), Certified Business Continuity Professional (CBCP)and various SANS (Global Information Assurance Certification)GIAC security certifications. In addition, many of our professionals have technical certifications such as Microsoft Certified System Engineer(MCSE), Cisco Certified Network Associate (CCNA), Cisco Certified Design Associate (CCDA)and Certified Novell Engineer(CNE). 24 3. APPROACH AND METHODOLOGY—CONTINUED ,••" Phase 3, Reporting We will perform the following procedures: • Conduct validation meetings with key stakeholders to review fraud risk register,confirm ratings and underlying rationale, and discuss opportunities for improvements to risk responses; • Develop executive summary memo and presentation; and • Present to appropriate City representatives. Commitment to quality Our focus as a firm is to deliver high-quality, responsive service to every client. Our delivery model is built to reinforce this commitment. Specifically, while conducting our internal audit support services, every phase of the engagement is performed in a manner that drives quality—from planning, to execution of fieldwork, to reporting. The diagram below illustrates the approach we will take to weave quality assurance throughout our engagement with the City. • Quality Planning Quality Assurance Quality Control Define Quality Work Product Quality Assurance Document&Analyze Standards&Policy Quality Findings Manager Expert Client Peer Renew Review Guidance Review Review and Approve Address Quality Issues Quality Standards& &Make Necessary Policy with StakeholdersMonitor for Compliance with Quality Standards and Policy .Improvements Protea Audits Inspections Oversight I Develop Work Programs Review Update Work and Reporting Programs,Quality Structures Standards&Policy In accordance with best practices promulgated by professional guiding standards, our consulting/internal audit engagements are properly supervised to ensure objectives are achieved, quality is assured and staff is developed. The extent of supervision required will depend on the proficiency and experience of internal auditors and the complexity of the engagement. All professionals benefit from extensive training (e.g., technical advancement and leadership)throughout their career at RSM, which includes a new hire orientation program and on-boarding activities before the start of a new engagement. On-boarding of resources are subject to supervisor/manager oversight and include training and guidance to equip resources on client requirements, tools and expectations to facilitate a successful outcome on each engagement. 25 Appendices 26 Appendix A—Team Biographies 27 m RSM Donnovan Maginley 1 , I- , FASB Technical Partner donnovan.maginley@rsmus.com Summary of experience Donnovan has over 22 years of audit experience and has devoted his entire career serving the public sector. He has managed and supervised audits of very large and complex municipal engagements. His recent experience afforded him the opportunity to implement GASBs 53 and 54. Donnovan has been involved in special projects that include assisting in the development of an operating budget for a municipal entity that was declared to be in a financial emergency, the preparation of comfort letters in association with various bond offerings, and the formation of an indirect cost allocation plan that aided in the allocation of applicable cost to grants. His extensive experience enables him to provide timely feedback and best practice recommendations relating to various accounting practices and internal control improvements. Representative client listing • Broward County • Miami-Dade County • Broward County Transit • Miami-Dade Expressway Authority • City of Hollywood Miami-Dade Transit Authority • City of Miami Beach • Palm Beach County • District School Board of Collier County • School Board of Miami-Dade County • Lee County • School District of Palm Beach County • Miami-Dade Aviation Professional affiliations and credentials • American Institute of Certified Public Accountants • Certified Public Accountant licensed in Florida and Washington D.C. • Florida Institute of Certified Public Accountants • Government Finance Officers Association and Florida GFOA • Miami Coalition for the Homeless Education • Bachelor of Science, accounting, Barry University • Master of Professional Accounting, Barry University 28 RSM • Clara Ewing • Program Director, Risk Advisory Services clara.ewing@rsmus.com i. Summary of experience Clara has over 15 years of experience in servicing clients in financial reporting,internal controls and process improvement. She started her risk management/auditing experience with Big Four accounting firms and has spent the breadth of her public accounting career partnering with organizations in auditing and assessing controls in both internal and external audit. Clara is success and teamwork driven, which drives her ability to collaborate with management to find the best solutions to help her clients succeed. Clara's ability to effectively work with senior management, boards of directors,Audit Committee members and other auditors has given her the skills necessary to partner, consult, assess and implement practical business solutions in an ever-changing environment in both private and public sector. Clara spends 100%of her time serving clients in the public sector. She is a regular presenter of internal audit related topics at various local, regional and internal public sector events. • Clara is part of the Core Team and responsible for the overall risk assessment and audit plan, determination of the design analysis, remediation implementation, analysis of operating effectiveness, reporting and presentations to Audit Committees and Management. • Her vast experience in assessing processes for both private and public sector, gives her the ability to provide best practices from a variety of organizations and industries. • Her work included implementation of successful remediation plans, including documentation of processes, and policies and procedures across organizations. • Her work included implementation of successful process re-engineering and implementation of remediation plans, including documentation of processes, policies and procedures across companies. • Clara serves as the Quality Assurance manager on several high profile engagements. Representative clients include: Counties of Prince William and Arlington VA; Counties of Brevard and St Lucie, FL;City of Charlotte, NC—Charlotte Douglas International Airport;Cities of Orlando and Homestead, FL; University of Florida; Florida Institute of Technology; Florida International University; School Districts of Brevard, Indian River, Polk and St Johns, FL, and Jacksonville Port Authority. Professional affiliations and credentials • Certified Internal Auditor • Institute of Internal Auditors • Speaker at GFOA, FGFOA, FSFOA, VGFOA, NCACPA • Boys and Girls Club, Board member Education • Bachelor of Science, Accounting, Louisiana State University • Bachelor of Science, General Business, Louisiana State University 29 • RSM 3 Amanda T. Holbrook i Engagement Manager, Risk Advisory Services Amanda.holbrook@rsmus.com Summary of Experience Amanda has over nine years of experience providing risk advisory services to clients. Her primary areas of focus are providing internal audit, enterprise risk assessment and Sarbanes-Oxley ("SOX") services. Amanda has significant experience in constructing internal audit plans and delivering these internal audits as well as performing regulatory compliance audits in a variety of industries, including public sector. She also has experience in implementing and maintaining SOX compliance programs for clients in a variety of industries. Prior to joining RSM in 2014, Amanda was a Consulting Manager at a Big 4 firm where she delivered services to higher education and not for profit clients. Amanda serves clients by tailoring her experience to their unique objectives. Key tasks Amanda performs includes information gathering, process walkthroughs and design gap assessments,detailed control testing and reporting, remediation planning and monitoring and the identification of best practices and opportunities for improvement. She also maintains the project plan, execution and budget of projects. Professional Affiliations and Credentials • Certified Internal Auditor, Member Institute of Internal Auditors • Certified Information Systems Auditor, Member Information Systems Audit and Control Association Education • Bachelor of Science, Business Administration, Finance Concentration, Elon University 30 RSM Jennifer Murtha • Senior Director, Risk Advisory Services - jennifer.murtha@rsmus.com Summary of experience 1117 Jennifer is a Senior Director and Leader in RSM's Public Sector risk advisory team, with nearly 20 years of experience focusing on both external and internal audit services. She provides a full range of consulting and audit services for FL State and Local governments. Jennifer has assisted many clients in establishing internal audit functions from top to bottom, including creating charters and audit committees and organizational governance. She has led teams in financial, operational, and performance as well as compliance audits in many different areas of government. She has led fraud investigations and has represented her clients as an expert witness. Jennifer started her career in 1993 with a Big 5 Firm where she gained experience in auditing large first time through engagements. Her experience has continued to grow at RSM as a key leader of the Public Sector team. A partial listing of her public sector clients include: • Prince William County—Jennifer is a part of the Core Team for the internal audit function at Prince William County, since inception in 2012. • Arlington County—Jennifer has been a public sector technical resource and has performed the risk assessment and internal audit plan and quality assurance on the co-sourced internal audit activities since inception in 2014 • DC Water-Jennifer is a part of the Core Team for the internal audit function at DC Water. Since inception in 2014, the team has delivered a 3 year audit plan and numerous internal audits from the approved plan. • School Board of Brevard County—Jennifer has been working with this client since she was a Supervisor in 1999. She has been the manager on the engagement and now is the Director over the internal audit function reporting directly to the audit committee. RSM has performed numerous internal audits including cash management, grant compliance, PCard and numerous fraud investigations. • Brevard County—since the inception (2000)of the audit function Jennifer has been Manager and Director in-charge of this engagement. Some of the high risk functions RSM has audited include information technology, contract compliance, property control, purchasing, CDBG, parks and recreation, public works, cash, maintenance, facilities and money collected. Professional affiliations and credentials • Certified public accountant, licensed in New York • American Institute of Certified Public Accountants • Florida Institute of Certified Public Accountants • Institute of Internal Auditors Education • Bachelor of Arts, Finance, Catholic University of America • Accounting Degree, Hofstra University 31 aim RSM frit Jill Reyes Director, Risk Advisory Services jill.reyes@rsmus.com Summary of experience Jill Reyes provides consulting, financial and compliance audit services to a variety of public sector entities. Jill's hands-on experience working with senior management,boards of directors,audit committee members, elected officials of state and local government and other auditors has given her the skills necessary to consult, assess and implement practical business solutions in an ever-changing environment. She has been in public accounting since 2001. Jill is dedicated to the public sector industry, focusing primarily on healthcare organizations, cities, counties, school districts, and not-for-profit organizations. Jill's clients benefit from industry-specific experience and technical acumen in specialized areas. In her current role,Jill delivers advice and consultation regarding the adequacy and operating effectiveness of the control environment and specific internal controls, business process improvement, compliance issues, and financial reporting matters. Jill also performs external audit services and works with her client and team members to ensure reports issued are incompliance with generally accepted accounting principles and professional standards. Jill's public sector clients have included the State of Florida; University of Florida; University of Central Florida; Florida International University; Hartford Community College (State of Maryland); Florida Institute of Technology; DC Water; City of Homestead, FL; Brevard County, FL; and Prince William County, VA. Jill has also performed internal audit work for the School Districts of Brevard, St. Johns, Indian River, Lake and Polk Counties in Florida Professional affiliations and credentials • Certified Public Accountant • Certified Internal Auditor • Certified in Risk Management Assurance • American Institute of Certified Public Accountants • Florida Institute of Certified Public Accountants • Institute of Internal Auditors • Treasurer, Institute of Internal Auditors, Florida East Coast Chapter Education • Masters of Business Administration, Florida Institute of Technology • Bachelor of Sciences, accounting, Florida International University 32 RSM , . Ryan J. Moore Manager, Risk Advisory Services ryan.moore@rsmus.com Summary of experience Ryan is a consulting professional with over 13 years of experience leading IT audits across a range of industries for global Fortune 500 companies, middle market organizations, and in the public sector. He has extensive experience knowledge in the area of Sarbanes-Oxley(SOX)404 and both internal and external audit methodologies. For over eight years prior to joining RSM, Ryan led IT audits control audits for two separate Fortune 500 companies spanning six continents. Prior to that, Ryan was a Senior Technology Risk Consultant for an international consulting firm and performed both IT and financial statement audits for a regional accounting firm. Ryan has led engagements that included services such as: • Executed and led numerous audits, including: General Computer Controls, Application Controls, Data Analytics, Separation of Duties, SDLC and Project Management, GLBA, and Massachusetts Privacy Law reviews • Assessed many IT environments, including PeopleSoft, SAP, Oracle E-Business Suite, Windows Network, UNIX, Hyperion, CostPoint, QAD, Cincom CONTROL, and many other custom developed applications and commercial off the shelf solutions Professional certifications • Certified Information Systems Auditor • Certified Internal Auditor • ITIL Foundations Certified Education • Master of Science, information systems management, Robert Morris University • Bachelor of Arts, accounting,Washington &Jefferson College • Ongoing professional education (average of 40 hours or more per year) 33 RSM Patrick Lynch Manager, Risk Advisory Services patrick.lynch@rsmus.com Summary of experience Patrick Lynch brings over 12 years of external and internal auditing experience from the Big Four 4 and a Fortune 25 company. At RSM, he provides financial and operational audit and consultation services to a variety of public and private sector entities. Patrick's responsibilities have included performing risk assessments, audit planning and execution, creation and implementation of accounting/audit policies and procedures, designing and executing testing methodologies, and reporting to executive management and external auditors. As a Certified Fraud Examiner, Patrick has received special training in fraud prevention and investigation. Additionally, he has participated in various fraud examinations across a variety of industries including public sector, real estate, property management, and consumer products. Prince William County project experience: • Fleet Services • Purchasing • Timekeeping • Library Operations • Convention and Visitors Bureau • Police Dept. Analysis and Benchmarking • Police Dept. I.C.E. Reporting • Issue Follow-up A partial listing of his Public Sector experience: • Prince William County, VA • Brevard County, FL • Territory of the Virgin Islands • City of Jacksonville, FL Professional affiliations and credentials • Certified Public Accountant • Certified Fraud Examiner Education • Bachelor of Science, Auburn University • Master of Accountancy, University of North Florida 34 Appendix B — Clarifications and Exceptions We (Offeror) have reviewed the City of Miami Beach, Florida (City) Request for Qualifications No. 2017- 290-WG (RFQ) for consulting services, which contains the general terms and conditions (Terms and Conditions) expected to be incorporated into a negotiated contract(Agreement). Except as indicated below, we are prepared to accept such Terms and Conditions. If the City selects us based upon our response to the RFQ,we would seek to negotiate in good faith modifications, additions, or clarifications of the Terms and Conditions of the Agreement in the areas discussed below. Given our experience in contracting with the City in the past, we are confident that we can reach an agreement with you on these issues. Notwithstanding anything to the contrary contained in the RFQ or this response thereto,our obligation to perform any services is contingent upon the execution by both parties of a definitive agreement. *** 35 Appendix B — Clarifications and Exceptions (continued) Miami Beach, Florida RFQ—City Wide Fraud Risk Assessment 2017-290-WG Exceptions and Clarifications We ("Contractor) have reviewed the Miami Beach. Florida ("City")Request for Qualifications 2017-290- WG ("RFQ")for a City Wide Fraud Risk Assessment, which contains the general terms and conditions ("Terms and Conditions')expected to be incorporated into a negotiated contract("Agreement'). Except as indicated below,we are prepared to accept such Terms and Conditions. If the City selects us based upon our response to the RFQ.we would seek to negotiate in good faith modifications,additions,or clarifications of the Terms and Conditions of the Agreement in the areas discussed below.We would also seek the addition of terms and conditions customary and commensurate with the contemplated nature and complexity of the services requested,including by way of illustration,but not limited to.limitations of liability. exclusion of consequential damages. warranty of services provisions. statement of work provisions to address the services and any particular issues in connection therewith,change order management,etc. Given our extensive experience in contracting with municipalities similar to the City,we are confident that we can reach an agreement with you on these issues.Notwithstanding anything to the contrary contained in the RFQ or this response thereto,our obligation to perform any services is contingent upon the execution by both parties of a definitive agreement. SECTION 0200 INSTRUCTIONS TO RESPONDENTS &GENERAL CONDITIONS: 30.DEFAULT:We would request clarification that this provision does not apply to negotiations that do not result in an executed Agreement where the negotiations involve any of the topics identified as exceptions or clarifications within this document. 32. SPECIAL CONDITIONS:We would request clarification regarding the Special Conditions referenced in this provision,and an opportunity to review the same. 40.INDEMNIFICATION:We would request clarification regarding what persons or ertities are referred to as instrumentalities",as used in this provision.We would request modification to this provision to limit our obligations to claims brought by third parties that arise from negligent or willful acts or omissions by Consultant during the performance of its services. Further, we would request the addition of language providing that cur total liability.except for our indemnification obligations.be limited to an amount equal to the fees we receive under the Agreement and exclude indirect,consequential,exemplary or similar such damages. SECTION 0300 SUBMITTAL INSTRUCTIONS AND FORMAT: Note:RSM US LLP is a limited liability partnership.As such.we have no requirement to prepare financial statements for external release. We do affirm that RSM US has significant size and financial strength.For the most recent fiscal year ended April 30.2017,RSM US reported combined U.S. pro forma revenue of $1.98 billion,an increase of 7.2%it comparison to the prior year.The average of our last three fiscal years of revenue is 51.82 billion.We have over 8,000 people in more than 85 cities nationwide. APPENDIX 0 INSURANCE REQUIREMENTS: —Contractor will provide standard industry ACORD Certificates of Insurance to evidence proof of coverage required under the Agreement D. Professional Liability Insurance: Regarding the deductible. Contractor's deductible will not exceed $25,000. —Contractor will provide additional insured status to the City as requested under Contractor's Commercial General Liability and Automobile policies via a blanket endorsement:however,Contractor cannot add the City as an additional insured to its Workers'Compensation or Professional Liability policies. —Contractor will provide a waiver of subrogation in favor of the City as requested under all of the required policies.except Contractor's Professional Liability policy,via a blanket endorsement —Contractor will provide standard industry ACORD Certificates of Insurance to evidence proof of coverage required under the Agreement Regarding the requested wording in the Certificate as respects modification or change insurance.Contractor cannot comply with that request.We would propose alternative wording which states that, Contractor will provide the City with at least thirty(30)days prior written notice of any cancellation or non-renewal of the policies required under the Agreement where such cancellation or non-renewal does not result in equal or greater coverage. 36 www.rsmus.com RSM US LLP is the leading provider of audit,tax and consulting services focused on the middle market.with more than 9.000 people in 90 offices nationwide. It is a licensed CPA firm and the U.S.member of RSM International. a global network of independent audit,tax and consulting firms with more than 41.000 people in over 120 countries.RSM uses its deep understanding of the needs and aspirations of clients to help them succeed. For more information,visit www.rsmus.com,like us on Facebook at RSM US RSMLLP.follow us on Twitter @RSMUSLLP and/or connect with us on LinkedIn. rJ 2017 RSM US LLP.All Rights Reserved. ATTACHMENT D INSURANCE REQUIREMENTS APPENDIX D MI AMI BE AC H e RequirementsInsuranc 2017-290-WG Citywide Fraud Risk Assessment PROCUREMENT DEPARTMENT 1755 Meridian Avenue, 3rd Floor Miami Beach, Florida 33139 RFQ 2017-290-WG 27 MIAMI BEACH INSURANCE REQUIREMENTS This document sets forth the minimum levels of insurance that the contractor is required to maintain throughout the term of the contract and any renewal periods. The provider shall furnish to Department of Procurement, City of Miami Beach, 1755 Meridian Avenue, 3rd Floor, Miami Beach, Florida 33139, Certificate(s)of Insurance which indicate that insurance coverage has been obtained which meets the requirements as outlined below: A. Worker's Compensation Insurance for all employees of the vendor as required by Florida Statute 440. B. Commercial General Liability on a comprehensive basis in an amount not less than$1,000,000 combined single limit per occurrence for bodily injury and property damage. City of Miami Beach must be shown as an additional insured with respect to this coverage. . C. Automobile Liability Insurance covering all owned, non-owned and hired vehicles used in connection with the work, in an amount not less than$1,000,000 combined single limit per occurrence for bodily injury and property damage. D.Professional Liability Insurance in an amount not less than$1,000,000 with the deductible per claim,if any,not to exceed 10% of the limit of liability. A waiver of subrogation in favor of the City must be included for the policies required above.The insurance coverage required shall include those classifications,as listed in standard liability insurance manuals,which most nearly reflect the operations of the vendor. All insurance policies required above shall be issued by companies authorized to do business under the laws of the State of Florida,with the following qualifications: The company must be rated no less than"B+"as to management,and no less than"Class V"as to financial strength,by the latest edition of Best's Insurance Guide, published by A.M. Best Company, Oldwick, New Jersey,or its equivalent, subject to the approval of the City Risk Management Division. or The company must hold a valid Florida Certificate of Authority as shown in the latest"List of All Insurance Companies Authorized or Approved to Do Business in Florida"issued by the State of Florida Department of Insurance and are members of the Florida Guaranty Fund. Certificates will indicate no modification or change in insurance shall be made without thirty(30)days in advance notice to the certificate holder.CERTIFICATE HOLDER MUST READ: CITY OF MIAMI BEACH 1700 CONVENTION CENTER DRIVE 3rd FLOOR MIAMI BEACH, FL 33139 Compliance with the foregoing requirements shall not relieve the vendor of his liability and obligation under this section or under any other section of this agreement. The City of Miami Beach is self-insured.Any and all claim payments made from self-insurance are subject to the limits and provisions of Florida Statute 768.28,the Florida Constitution,and any other applicable Statutes. RFQ 2017-290-WG 28