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City of Seattle
REQUEST FOR PROPOSALSConsultant Contracting
Project Title: Deferred Compensation Plan -- Audit Services
Procurement Schedule Schedule of Events Date Location
RFP Release Friday, November 2, 2018Deadline for Questions Monday, November 19, 2018
Sealed Proposals Due to the City Friday, November 30, 2018 See below.RFP Interviews Wednesday, January 9 –
Wednesday, January 16, 2019Announcement of Successful Proposer(s) Wednesday, January 23, 2019
Anticipated Negotiation Schedule Thursday, January 24 – Wednesday, February 6, 2019
Contract Execution Friday, February 15, 2019
The City of Seattle Voluntary Deferred Compensation Trust Committee reserves the right to modify this schedule at its’ discretion.
Notification of changes will be posted on the City website or as otherwise stated herein.
Procurement ContactProject Manager: Michelle Ell
Manager, Deferred [email protected] (phone); 206-615-0202 (fax)
Fed Ex & Hand Delivery - Physical Address
US Post Office - Mailing Address
Seattle Dept of Human ResourcesDeferred Comp700 Fifth Avenue, Suite 5500Seattle, Washington, 98124-4028
Seattle Dept of Human ResourcesDeferred Comp, Mail stop SMT 55-01P.O. Box 34028Seattle, Washington, 98124-4028
It is important to use the correct address for the delivery method you chose.
Unless authorized by the Project Manager, no other City official or employee may speak for the Committee with respect to this solicitation. Any Proposer seeking information, clarification, or interpretations from any other City official or City employee is advised that such material is used at the Proposer’s own risk. The Committee will not be bound by any such information, clarification, or interpretation. Following the Proposal submittal deadline, Proposers shall continue to direct communications to only the Project Manager. The Project Manager will send out information to responding companies as decisions are concluded.
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Table of Contents
1. Purpose and Background............................................................................................................................ 3
2. Period of Performance................................................................................................................................. 3
3. Solicitation Objectives.................................................................................................................................. 3
4. Minimum Qualifications................................................................................................................................ 3
5. Scope of Work............................................................................................................................................. 4
6. Contract Modifications................................................................................................................................. 4
7. Instructions, Procedures and Requirements................................................................................................5
8. Response Format...................................................................................................................................... 11
9. Selection Process...................................................................................................................................... 12
10. Award and Contract Execution..................................................................................................................13
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1.Purpose and Background. The City of Seattle offers its workforce the City of Seattle Voluntary Deferred Compensation Plan (“the Plan”) that serves as a tax-deferred savings and investment vehicle to help meet retirement income needs. This 457 plan supplements the City’s defined benefit pension plan, and for most employees, participation in the Social Security system. As of March 31, 2018, the Plan held $1.215B in the accounts of approximately 9,600 participants, of whom 6,621 were actively contributing.
The Plan is overseen by a 7-member, joint labor-management Trust Committee (“the Committee”), supported by staff in the Deferred Compensation Unit of the Shared Administrative Services Division of the Seattle Department of Human Resources, and served by an independent record-keeper (Nationwide Retirement Solutions) and investment consultant (Sageview Advisory Group).The City holds public entity fiduciary liability coverage (insurance) to protect certain trustees, officers and staff from personal liability associated with errors, omissions or breaches of their assigned roles to protect the assets of participants and beneficiaries involved in a number of City programs and plans, including the Deferred Compensation Plan. As a condition of annual policy renewal, the carrier requires, among other documentation, for each covered plan, the “most recent audited financial statements for the plan, including any management letter.”
By pursuing annual audits of the Deferred Compensation Plan, the Plan also wishes to:
Confirm that trustees and other fiduciaries are fulfilling their duties to safeguard the Plan’s assets and the participants’ future retirement benefits through fiduciary monitoring procedures over plan assets and related recordkeeping.
Ascertain the strength of third party service providers’ control procedures and compliance support regarding matters of potential significance to the Plan.
Ensure the completeness and accuracy financial statement disclosures, and independently confirm the existence, value and ownership of Plan’s assets as of the balance sheet dates for the years ended December 31, 2018, 2019, and 2020, at a minimum.
Obtain the auditor’s perspective and expertise in “best practices” of plan administration and financial reporting
Under the proposed contract, the Consultant will be expected to audit, one year at a time, the statements of net assets of the Deferred Compensation Plan and the related statements of net asset changes for the year then ended for the three years ending 12/31/2018, 12/31/2019, and 12/31/2020, with up to two one-year extensions
2.Period of Performance.The Deferred Compensation Plan is currently being audited for the plan year ending 12/31/2017. Prior to that, the Deferred Compensation Plan was audited in 2015 and 2016. We are now intending to embark on a regular audit schedule for the 2018-2020 plan years, with up to two additional audits under the proposed contract.
3. Solicitation Objectives.We are seeking a skilled Consultant, with a strong record and applicable experience to provide formal annual opinions about whether the Plan’s financial statements comply, in all material aspects, with US generally accepted accounting principles. Each audit to be performed by the Consultant should include tests of the accounting records of the City’s Deferred Compensation Plan and other procedures deemed necessary to enable the generation of an opinion.
4.Minimum Qualifications.The minimum qualifications required of the Consultant include:
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• Successful audit experience with at least two deferred compensation plans with over $250,000,000 (two-hundred fifty million dollars) in account assets
• A minimum of five years continuous experience during which time audit activities have been a primary business service.
5. Scope of Work. The tentative 2019 time schedule for completion of such work is as follows. A similar schedule would be used in each contract year.
Proposed 2019 Audit Schedule City of Seattle Voluntary Deferred Compensation Plan and Trust
Project planning & preliminary data-gathering meeting pertaining to the 2018 plan year
Week beginning April 15
Finalization of project timeline & delivery of a well-specified written request for documentation (e.g., spreadsheets, plan documents) with specified due dates
Week beginning April 29
Interactions with investment consultant, record-keeper, City Payroll and others as needed
July 22 – August 16
Final field work in Seattle Week beginning August 12Draft audited financial statement and opinion sent to the City
No later than Wednesday, November 20 (firm date)
Brief presentation of findings to Plan Committee Wednesday, December 4 (firm date)
Finalization of audited financial statement and opinion December 6
The work shall, at all times, be subject to general review and approval of Plan Staff, and the Consultant is expected to confer with Plan Staff periodically. If requested, the Consultant shall prepare and present such information and materials (e.g., a detailed outline of completed Work) as may be pertinent, necessary, or requested by the Committee to determine the adequacy of the work product or the Consultant’s progress.
Plan Staff will be able to provide a conference room for brief on-site meetings, interviews, etc. When working at the City, the Consultant will be expected to limit questioning of City staff to agreed-upon time frames (e.g., dedicated interviews and/or twice a day at specified times) to prevent unnecessary disruptions of other City workflows. However, most work is expected to take place in the Consultant’s usual worksite.
Overall, the Committee expects:• Specificity in the Consultant’s requests for needed information/data (e.g., copies of original documents
with hire dates, birth dates, etc. as opposed to screen shots showing the data stored in the City’s HRIS).• Specificity about when responses to inquiries or data and documentation requests are needed.
• The Consultant to work directly with City Payroll, the Plan’s investment consultant, and record-keeper as needed, following initial authorization and introductions by Plan Staff. The City will not serve as a regular go-between.
• Use of emails for project communication to the maximum extent possible.
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6.Contract Modifications.The Committee has attached its boilerplate contract terms with this solicitation to allow Proposers an opportunity to be familiar with boilerplate, and all non-negotiable terms prior to investing time into submitting a proposal. The Committee may negotiate with the highest ranked apparent successful Proposer, to negotiate modifications to the proposal, the proposed contract, and/or align the proposal or the contract to best meet the needs of the Committee within the scope sought by the RFP. The Committee cannot modify contract provisions mandated by Federal, State or City law. This specifically includes, but is not necessarily limited to: Equal Benefits, Audit (Review of Vendor Records), WMBE and EEO, Confidentiality, and Debarment. Exceptions to those provisions will be summarily disregarded. In addition, Committee members and Plan Staff cannot agree to any form of mutual indemnification.
7. Instructions, Procedures and Requirements.This section details the City instructions and requirements for your submittal. The Committee reserves the right in its sole discretion to reject the submittal of any Consultant that fails to comply with the instructions.
7.1 Registration into City Registration System.If you have not previously completed a one-time registration into the City of Seattle Registration system, register at: http://www2.seattle.gov/ConsultantRegistration/ . The City expects all firms to register. Women- and minority- owned firms are asked to self-identify. For assistance, call 206-684-0444.
7.2 Pre-Proposal Conference. N/A
7.3 Questions.Proposers may submit written questions to the Project Manager at any time until the deadline stated on page 1. The Committee prefers questions be through e-mail to the Project Manager. Failure to request clarification of any inadequacy, omission, or conflict will not relieve the Consultant of responsibilities under in any subsequent contract. It is the responsibility of the interested Consultant to assure they receive responses to Questions if any are issued.
7.4 Changes to the RFP/Addenda.A change may be made by the Committee, if, in the sole judgment of the Committee, the change will not compromise the Committee’s objectives in this acquisition. A change to this RFP will be made by formal written addendum issued by the Project Manager Addenda and shall become part of this RFP and included as part of the Contract.
7.5 Receiving Addenda and/or Question and Answers. It is the obligation and responsibility of the Consultant to learn of addendums, responses, or notices issued by the Committee.
Note that some third-party services independently post City of Seattle solicitations on their websites as well. The City does not, however, guarantee that such services have accurately provided submitters with all the information published by the City.
All submittals sent to the Committee may be considered compliant to all Addendums, with or without specific confirmation from the Consultant that the Addendum was received and incorporated, at the sole discretion of the Project Manager. The Project Manager may reject the submittal if it does not fully incorporate an Addendum.
7.6 Proposal Submittal.
a. Proposals must be received into the City no later than the date and time given on page 1 except as revised by Addenda.
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b. All pages are to be numbered sequentially. The format should follow closely that requested in this RFP.
c. The City has a 20-page limit, exclusive of allowable attachments, as specified in the submittal instructions section. Any pages that exceed the page limit will be excised from the document for purposes of evaluation.
d. The submitter has full responsibility to ensure the response arrives at the City within the deadline. A response submitted or delivered after the time fixed for receipt will not be accepted unless waived as immaterial by the City given the specific fact-based circumstances. Responses arriving after the deadline may be returned unopened to the Consultant; or the City may accept the package and make a determination as to lateness.
Hard Copy Submittal.Submit one (1) original unbound, seven (7) simple, stapled paper copies, and one (1) electronic copy of the response. (We request that electronic copies of responses be provided in Word or other format that will allow us to copy responses onto review and/or contracting documents.) Fax, e-mail and CD copies will not be an alternative to the hard copy. If a CD, fax or e-mail version is delivered to the City, the hard copy will be the only official version accepted by the City. Delivery is to the location specified on Page 1 and Submittal Address.
a. Hard-copy responses should be in a sealed box or envelope clearly marked and addressed with the Program Administrator Name and RFP title. If submittals are not clearly marked, the Proposer has all risks of the RFP response being misplaced and not properly delivered.
b. The RFP Submittal may be hand-delivered or must otherwise be received by the Project Manager at the address provided, by the submittal deadline. Please note that delivery errors will result without careful attention to the proper address.
c. Please do not use any plastic or vinyl binders or folders. The City prefers simple, stapled paper copies. If a binder or folder is essential due to the size of your submission, you are to use fully 100% recycled stock. Such binders are available from Keeney’s Office Supply at 425-285-0541 or Complete Office Solutions at 206-650-9195.
7.7 License and Business Tax Requirements.Any resultant contract may require the additional licensing listed below. The Consultant needs to meet all licensing requirements that apply to their business immediately after contract award or the Committee may reject the Consultant. Companies must license, report and pay revenue taxes for the Washington State business License (UBI#) and Seattle Business License, if they are required by the laws of those jurisdictions. The Consultant should carefully consider those costs prior to submitting their offer, as the Committee will not separately pay or reimburse those costs to the Consultant.
Seattle Business Licensing and associated taxes.a. If you have a “physical nexus” in the city, you must obtain a Seattle Business license and pay all taxes due before
the Contract can be signed. b. A “physical nexus” means that you have physical presence, such as: a building/facility located in Seattle, you
make sales trips into Seattle, your own company drives into Seattle for product deliveries, and/or you conduct service work in Seattle (repair, installation, service, maintenance work, on-site consulting, etc).
c. We have attached a Consultant Questionnaire Form in our submittal package items later in this RFP, and it will ask you to specify if you have “physical nexus”. (See Attachment #2.)
d. All costs for any licenses, permits and Seattle Business License taxes owed shall be borne by the Consultant and not charged separately to the Committee.
e. The apparent successful Consultant(s) must immediately obtain the license and ensure all City taxes are current, unless exempted by City Code due to reasons such as no physical nexus. Failure to do so will result in rejection of the submittal.
f. Self-Filing You can pay your license and taxes on-line using a credit card https://dea.seattle.gov/self/
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g. For Questions and Assistance, call the Revenue and Consumer Protection (RCP) office which issues business licenses and enforces licensing requirements. The general e-mail is [email protected]. The main phone is 206-684-8484, or call RCA staff for assistance (Anna Pedroso at 206-615-1611, Wendy Valadez at 206-684-8509 or Brenda Strickland at 206 684-8404).
h. The licensing website is http://www.seattle.gov/rca/taxes/taxmain.htm. i. The City of Seattle website allows you to apply and pay on-line with a Credit Card if you choose.j. If a business has extraordinary balances due on their account that would cause undue hardship to the
business, the business can contact the RCA office (see contacts above in #7) to request additional assistance. A cover-sheet providing further explanation, along with the application and instructions for a Seattle Business License is provided below for your convenience.
k. Please note that those holding a City of Seattle Business license may be required to report and pay revenue taxes to the City. Such costs should be carefully considered by the Consultant prior to submitting your offer.
State Business Licensing. Before the contract is signed, you must have a State of Washington business license (a “Unified Business Identifier” known as a UBI#). If the State of Washington has exempted your business from State licensing (for example, some foreign companies are exempt and, in some cases, the State waives licensing because the company does not have a physical presence in the State), then submit proof of that exemption to the Committee. All costs for any licenses, permits and associated tax payments due to the State as a result of licensing shall be borne by the Consultant and not charged separately to the Committee. Instructions and applications are at http://www.dol.wa.gov/business/file.html and the State of Washington Department of Revenue is available at 1-800-647-7706.
Federal Excise Tax. The City is exempt from Federal Excise Tax (Certificate of Registry #9173 0099K exempts the City).
7.8 Proposer Responsibility to Provide Full Response. It is the Proposer’s responsibility to provide a full and complete response that does not require interpretation or clarification by the Committee. The Proposer is to provide all requested materials, forms and information. The Proposer is to ensure the materials submitted properly and accurately reflects the Proposer’s offering. During scoring and evaluation (prior to interviews if any), the Committee will rely upon the submitted materials and shall not accept materials from the Proposer after the RFP deadline; this does not limit the City right to consider additional information (such as references that are not provided by the Proposer but are known to the City, or past City experience with the consultant), or to seek clarifications as needed.
7.9 No Guaranteed Utilization. The Committee does not guarantee utilization of this contract. The solicitation may provide estimates of utilization; such information is for Consultant convenience and not a usage guarantee. The Committee reserves the right to multiple or partial awards, and/or to order work based on Committee’s needs. The Committee may turn to other appropriate contract sources or supplemental contracts, to obtain these same or similar services. The Committee may resolicit for new additions to the Consultant pool. Use of such supplemental contracts does not limit the right of the Committee to terminate existing contracts for convenience or cause.
7.10 Expansion Clause.Note that the contract strictly limits the expansion of scope and addition of new work that has not been expressly provided for within the RFP Scope of Work. The Proposers are to bring forward any questions about the scope that should be named within the solicitation, during the Q&A period.
7.11 Right to Award to Next Low Consultant.If a contract is executed as a result of this solicitation process and is terminated within 90-days, the Committee reserves the option to return to the solicitation process to award the contract to the next highest ranked responsive Consultant by mutual agreement with such Consultant. Any new award may also be allowed this right.
7.12 Background Checks.
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The Committee may require background/criminal checks during the course of the contract for essential Committee purposes. The Committee does not intend to request such background checks unless essential in the opinion of the City.
7.13 Negotiations.The Committee may open discussions with the apparent successful Proposer, to negotiate costs and modifications to the proposal or the contract, in order to align the proposal or contract to meet Committee needs within the scope sought by the RFP.
7.14 Effective Dates of Offer.Solicitation responses are considered valid until the Committee completes award. Should any Proposer object to this condition, the Proposer must object prior to the Q&A deadline on page 1.
7.15 Cost of Preparing Proposals.The Committee will not be liable for any costs incurred by the Proposer to prepare, submit and present proposals, interviews and/or demonstrations.
7.16 Readability.Proposers are advised that the Committee’s ability to evaluate proposals is dependent on the Proposer’s submittal document, including organization, level of detail, comprehensive material and readable.
7.17 Changes or Corrections to Proposal Submittal.Prior to the submittal closing date and time, a Consultant may make changes to its proposal, if initialed and dated by the Consultant. No changes are allowed after the closing date and time.
7.18 Errors in Proposals.Proposers are responsible for errors and omissions in their proposals. No such error or omission shall diminish the Proposer’s obligations to the Committee.
7.19 Withdrawal of Proposal.A submittal may be withdrawn by written request of the submitter, prior to the closing date and time. After the closing date and time, the submittal may be withdrawn only with permission by the Committee.
7.20 Rejection of Proposals. The Committee reserves the right to reject any or all proposals at any time with no penalty. The Committee also
has the right to waive immaterial defects and minor irregularities in any submitted proposal.
7.21 Incorporation of RFP and Proposal in Contract.This RFP and the Proposer’s response, including all promises, warranties, commitments, and representations made in the successful proposal as accepted by the Committee, shall be binding and incorporated by reference in the Committee’s contract with the Proposer.
7.22 Independent Contractor.The Consultant works as an independent contractor. Although the Committee provides responsible contract and project management, this is distinguished from a traditional employer-employee function. This contract prohibits Consultant workers from supervising City employees and prohibits Consultant workers from supervision by a City employee. Prohibited supervision tasks include conducting a City of Seattle Employee Performance Evaluation, preparing and/or approving a City of Seattle timesheet, administering employee discipline, and similar supervisory actions.
Contract workers shall not be given City office space unless expressly provided for below, and in no case shall such space be made available for more than 36 months without specific authorization from the Project Manager.
The Committee expects that at least some portion of the project will require the Consultant workers to be on-site at City offices. This benefits the Committee to assure access, communications, efficiency, and coordination. Any Consultant worker who is on-site remains, however, a Consultant worker and not a City employee. The
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Consultant shall ensure no Consultant worker is on-site at a City office for more than 36 months, without specific written authorization from the Project Manager. The Consultant shall notify the Project Manager if any worker is within 90 days of a 36-month on-site placement in a City office.
The City will not charge rent. The Consultant is not asked to itemize this cost. Instead, the Consultant should absorb and incorporate the expectation of such office space within the Consultant plan for the work and costs as appropriate. City workspace is exclusively for the project and not for any other Consultant purpose. The City Project Manager will decide if a City computer, software and/or telephone is needed, and the worker can use basic office equipment such as copy machines. If the Consultant worker does not occupy City workspace as expected, this does not change the contract costs.
7.23 Equal Benefits.Seattle Municipal Code Chapter 20.45 (SMC 20.45) requires consideration of whether Proposers provide health and benefits that are the same or equivalent to the domestic partners of employees as to spouses of employees, and of their dependents and family members. The Vendor Questionnaire requested in the Submittal instructions includes an “Equal Benefits Compliance Declaration,” which is the mandatory form on which you make a designation about the status of such benefits. If your company does not comply with Equal Benefits and does not intend to do so, you must still supply the information on the Declaration. Instructions are provided on the Declaration. This applies to all contracts with an estimated value at or above $44,000 a year.
7.24 Women and Minority Subcontracting. It is the policy of the Committee, as directed through Mayor’s Executive Order and City ordinance to provide the maximum practicable opportunity for successful participation of minority and women-owned subcontracts. The Committee requires all proposers agree to SMC Chapter 20.42, and requires proposers to seek meaningful subcontracting opportunities and supply a plan for including minority- and women-owned firms.
7.25 Insurance Requirements.Any specific City insurance requirements will be provided as an Attachment. If attached, provide proof of insurance to the Committee before Contract execution. The Committee will remind the apparent successful proposal in the Intent to Award letter. The apparent successful Proposer must promptly provide proof of insurance to the Project Manager.
Consultants are encouraged to immediately contact their Broker to begin preparation of the required insurance documents, in the event that the Consultant is selected as a finalist. Proposers may elect to provide the requested insurance documents within their Proposal.
7.26 Proprietary and Confidential Material.Requesting Disclosure of Public RecordsThe Committee asks interested parties to refrain from requesting public disclosure of proposal records until a contract is executed. This measure is intended to shelter the solicitation process, particularly during the evaluation and selection process or in the event of a cancellation or resolicitation. With this preference stated, the Committee will continue to be responsive to all requests for disclosure of public records as required by State Law.
Marking and Disclosing Material.The State of Washington’s Public Records Act (Release/Disclosure of Public Records)Under Washington State Law (reference RCW Chapter 42.56, the Public Records Act) all materials received or created by the City of Seattle are considered public records. These records include but are not limited to proposal submittals, agreement documents, contract work product, or other material.
The State of Washington’s Public Records Act requires that public records must be promptly disclosed by the City upon request unless a judge rules that RCW or another Washington State statute specifically exempts records from disclosure. Exemptions are narrow and explicit and are listed in Washington State Law (Reference RCW 42.56 and RCW 19.108).
Proposers must be familiar with the Washington State Public Records Act and the limits of record disclosure exemptions. For more information, visit the Washington State Legislature’s website at http://www1.leg.wa.gov/LawsAndAgencyRules).
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If you believe any records you are submitting to the Committee as part of your submittal or contract work product, are exempt from disclosure you can request that the Committee not release the records until the Committee notifies you about the pending disclosure. To make that request, you must complete the appropriate portion of the Consultant Questionnaire (Non-Disclosure Request Section) and very clearly and specifically identify each record and the exemption(s) that may apply. If you are awarded a contract by the Committee, the same exemption designation will carry forward to the contract records.
The Committee will not withhold materials from disclosure simply because you mark them with a document header or footer, page stamp, or a generic statement that a document is non-disclosable, exempt, confidential, proprietary, or protected. Do not identify an entire page as exempt unless each sentence is within the exemption scope; instead, identify paragraphs or sentences that meet the specific exemption criteria you cite on in the Consultant Questionnaire. Only the specific records or portions of records properly listed on the Consultant Questionnaire will be protected and withheld for notice. All other records will be considered fully disclosable upon request.
If the City receives a public disclosure request for any records you have properly and specifically listed on the Consultant Questionnaire, the Committee will notify you in writing of the request and postpone disclosure, providing sufficient time for you to pursue an injunction and ruling from a judge. While it is not a legal obligation, the City, as a courtesy, allows up to ten business days to file a court injunction to prevent the City from releasing the records (reference RCW 42.56.540). If you fail to obtain a Court order within the ten days, the City may release the documents.
By submitting for this solicitation, the Consultant acknowledges the obligation to clearly identify such records within the Consultant Questionnaire, and that the City has no obligation or liability to the proposer if the records are disclosed.
7.27 Ethics Code.Please familiarize yourself with the City’s Ethics Code: http://www.seattle.gov/ethics/etpub/et_home.htm . . If you have questions, contact the Seattle Ethics and Elections Commission at 206-684-8500 or via email: ([email protected]).
No Gifts or Gratuities. Consultants may not offer anything of value (such as entertainment, gifts, tickets, trips, favors, special discounts, or meals) to any City employee, volunteer or official, if it is intended or may appear to a reasonable person to be intended to obtain special consideration. For example, a consultant may not give an RFP evaluation committee member tickets to a sporting event. The rule also prohibits City employees from soliciting items of value from Consultants. Promotional items worth less than $25 (for example, mugs or mousepads) may be given to City employees without violating the Ethics Code.
Involvement of Current and Former City Employees.If a Consultant has any current or former City employee, official or volunteer, working or assisting with the solicitation of City business or on completion of an awarded contract, they must provide written notice to City Purchasing of the current or former City official, employee or volunteer’s name. The Consultant Questionnaire within your submittal documents prompts you to answer that question. You must continue to update that information to City Purchasing during the full course of the contract.
Contract Workers performing more than 1,000 Hours of work.The Ethics Code applies to Consultant employees that perform more than 1,000 cumulative hours on City contracts during any 12-month period. Any such Consultant employees must abide by the City Ethics Code.
No Conflicts of Interest. Consultants (including officers, directors, trustees, partners or employees) may not have a business relationship or a family or personal relationship with any City officer or employee involved in any way with the contract selection, negotiation, drafting, execution, administration, or the evaluation of the Consultant’s performance.
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7.28 Miscellaneous Provisions.A. Background Checks and Immigrant Status: The Committee may require background checks for some or
all of the employees that may perform work under this Agreement. The City has strict policies regarding the use of Background checks, criminal checks, immigrant status, and/or religious affiliation for contract workers. The policies are incorporated into the contract and available for viewing on-line at https://www.seattle.gov/city-purchasing-and-contracting/social-equity/background-checks#backgroundchecks .
B. Notification Requirements for Federal Immigration Enforcement Activities: Prior to responding to any requests from an employee or agent of any federal immigration agency including the Immigration and Customs Enforcement (ICE), the U.S. Department of Homeland Security (DHS), Homeland Security Investigations (HSI), Enforcement Removal Operations (ERO); Customs and Border Protection (CPB), and U.S. Citizenship and Immigration Services (USCIS) regarding your City Contract, Consultant shall notify the Project Manager immediately.
Such requests include, but are not limited to:
a. Requests for access to non-public areas in City buildings and venues (i.e., areas not open to the public such as staff work areas that require card key access and other areas designated as “private” or “employee only”); or
b. Requests for data or information (writing or oral) about workers engaged in the work of this contract of City employees.
No access or information shall be provided without prior review and consent of the City. The Consultants shall request the ICE authority to wait until the Project Manager is able to verify the credentials and authority of the ICE agent and will direct the Consultant on how to proceed.
8.Response Format.
Submit proposal with the following format and attachments. Failure to clearly and completely provide all information below, on forms provided and in order requested, may result in rejection as non-responsive.
1. Letter of interest (optional).
2. Legal Name: Submit a certificate, copy of web-page, or other documentation from the Secretary of State in which you incorporated that shows your legal name as a company. Many companies use a “Doing Business As” name or a nickname in their daily business. However, the Committee requires the legal name of your company, as it is legally registered. When preparing all forms below, be sure to use the proper company legal name. Your company’s legal name can be verified through the State Corporation Commission in the state in which you were established, which is often located within the Secretary of State’s Office for each state. For the State of Washington, see ( http://www.secstate.wa.gov/corps/ ).
3. Minimum Qualifications: Provide a single page that clearly lists each Minimum Qualification, and exactly how you achieve each minimum qualification. Remember that the determination that you have achieved all the minimum qualifications is made from this page. The Project Manager is not obligated to check references or search other materials to make this decision.
4. Mandatory - Consultant Questionnaire: Submit Attachment # 2 with your proposal package. Be sure to submit this, even if you have sent one in to the City on previous solicitations or contracts.
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5. Mandatory - Proposal Response: This document details the forms, documents and format for your proposal response to the Committee.
Procurement Package Checklist.The SOQPA response should be packaged with each of the following documents. This list is for the convenience of bidders, to assist with quality control before submittal of your final package. Addenda may change this list; be sure to check any final instructions:
1. Letter of Interest (optional)2. Vendor Questionnaire (see Embedded Form).3. Proof of Legal Name4. Minimum Qualifications Sheet5. Contract Exceptions6. Proposal Response (see Proposal Response Section, above).
9. Selection Process.Initial Screening: The Project Manager shall review submittals for initial decisions on responsiveness and responsibility. Those found responsive and responsible based on this initial review shall proceed to Step 2. Equal Benefits, Minimum Qualifications, satisfactory past performance if applicable, satisfactory financial responsibility and other elements are screened in this Step.
9.1 Proposal Evaluation: The Committee will evaluate proposals using the criteria specified below. Responses will be evaluated and ranked or scored.
Evaluation Criteria (listed in order of relative importance):ExperienceProposed Delivery of ServicesCost Proposal WMBE Participation, including via Subcontractors
9.2 Interviews: If interviews are conducted, rankings of firms shall be determined by the Committee, using the combined results of interviews and proposal submittals. Consultants invited to interview are to bring the assigned Project Manager that has been named by the Consultant in the Proposal and may bring other key personnel named in the Proposal. The Consultant shall not, in any event, bring an individual who does not work for the Consultant or for the Consultant as a subcontractor on this project, without specific advance authorization by the Project Manager.
9.3 Professional References: The Committee may contact one or more professional references that have been provided by the Proposer in the Consultant, or other sources that may not have been named by the Proposer but can assist the City in determining performance.
9.4 Selection: Using the evaluation criteria listed above, the Committee shall select one Proposer for award and negotiation of a final agreement.
9.5 Contract Negotiations. The Committee may negotiate elements of the proposal as required to best meet the needs of the Committee, with the apparent successful Proposer. The Committee may negotiate any
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aspect of the proposal or the solicitation. The Committee does not intend to negotiate the base contract, which has been attached (See Attachments).
9.7 Repeat of Evaluation: If no Consultant is selected at the conclusion of all the steps, the City Committee return to any step in the process to repeat the evaluation with those proposals that were active at that step in the process. In such event, the Committee shall then sequentially step through all remaining steps as if conducting a new evaluation process. The Committee reserves the right to terminate the process if it decides no proposals meet its requirements.
9.8 Points of Clarification: Throughout the evaluation process, the Committee reserves the right to seek clarifications from any Proposer.
10. Award and Contract Execution. The Project Manager intends to provide written notice of the intention to award in a timely manner and to all Consultants responding to the Solicitation.
Protests to Project Manager.Interested parties that wish to protest any aspect of this RFP selection process are to provide written notice to the Project Manager for this solicitation.
Debriefs.For a debrief, contact the Project Manager.
Instructions to the Apparently Successful Consultant(s).The Apparently Successful Consultant(s) will receive an Intent to Award Letter from the Project Manager after award decisions are made by the Committee. The Letter will include instructions for final submittals that are due prior to execution of the contract.
Once the Committee has finalized and issued the contract for signature, the Consultant must execute the contract and provide all requested documents within ten (10) business days. This includes attaining a Seattle Business License, payment of associated taxes due, and providing proof of insurance. If the Consultant fails to execute the contract with all documents within the ten (10) day time frame, the Committee may cancel the award and proceed to the next ranked Consultant, or cancel or reissue this solicitation. Cancellation of an award for failure to execute the Contract as attached may disqualify the firm from future solicitations for this same work.
Checklist of Final Submittals Prior to Award.The Consultant(s) should anticipate the Letter will require at least the following. Consultants are encouraged to prepare these documents as soon as possible, to eliminate risks of late compliance.
Seattle Business License is current and all taxes due have been paid, if applicable. State of Washington Business License. Certificate of Insurance (if required) Special Licenses (if any)
Taxpayer Identification Number and W-9.Unless the Consultant has already submitted a Taxpayer Identification Number and Certification Request Form (W-9) to the City, the Consultant must execute and submit this form prior to the contract execution date.
AttachmentsInsurance requirements, the consultant questionnaire and the technical questionnaire are included as Attachments #1, #2 and #3.
Attachment #1: Insurance Requirements
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Attachment #2: Consultant Questionnaire
Attachment #3: Technical Questionnaire
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Attachment #1
2018 Insurance Requirements INSURANCE REQUIREMENTS TRANSMITTAL FORM FOR CITY USE ONLY: COMPLETE ALL YELLOW FIELDS
Contract: Contract Number: Contract Manager: Department: Telephone:
INSURANCE REPRESENTATIVE – ATTACH THIS FORM TO INSURANCE CERTIFICATION SUBMITTED TO THE CITY
COMPLETE THESE FIELDS SO THAT WE MAY CONTACT YOU IF NECESSARY.NAME: POSITION: NAME OF COMPANY EMAIL: TELEPHONE: FAX:
SEND ORIGINAL CERTIFICATION WITH COPY OF CGL ADDITIONAL INSURED ENDORSEMENT OR BLANKET ADDITIONAL INSURED POLICY WORDING TO: THE CITY OF SEATTLE
ATTN: (IF BLANK, “RISK MANAGER”) P.O. BOX (IF BLANK, “P.O. BOX 94669”)
SEATTLE, WA 98124- (IF BLANK, “-4669”)
SEND COPY OF CERTIFICATION INCLUDING COPY OF ADDITIONAL INSURED PROVISION BY FAX TO (206) 470-1279 OR AS AN EMAIL ATTACHMENT IN ADOBE PDF FORMAT TO [email protected] .
The Consultant shall maintain continuously throughout the term of this Agreement, at no expense to the City, the following insurance coverage and limits of liability as checked below:
A. STANDARD INSURANCE REQUIRED:
Commercial General Liability (CGL) or equivalent insurance including coverage for:Premises/Operations, Products/Completed Operations, Personal/Advertising InjuryContractual and Stop Gap/Employers Liability (coverage may be provided under a separate policy). Minimum limit of liability shall be $ 1,000,000 each occurrence Combined Single Limit bodily injury and property damage (“CSL”) except:— $ 1,000,000 each offense Personal/Advertising Injury— $ 1,000,000 each accident/disease Stop Gap/Employers Liability.
Automobile Liability insurance for owned, non-owned, leased or hired vehicles, as applicable. The minimum limit shall be $1,000,000 CSL. MSC-90 and CA 99 48 endorsements.
Worker's Compensation insurance for Washington State as required by Title 51 RCW Industrial Insurance.
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B. ADDITIONAL COVERAGES AND/OR INCREASED LIMITS:
Federal Maritime insurance U.S.L.&H. minimum limit $1,000,000. Jones Act minimum limit $1,000,000.
Professional Liability (E&O/Technical E&O) insurance appropriate to the consultant’s profession. The minimum limit shall be $1,000,000 or $ each claim.
Umbrella or Excess Liability “follow form” insurance over primary CGL and Automobile Liability insurance limits, if necessary, to provide total minimum limits of liability of $2,000,000 $ each occurrence combined single limit bodily injury and property damage. These required total minimum limits of liability may be satisfied with primary limits or any combination of primary and umbrella/excess limits.
Contractor’s Pollution Liability insurance with minimum limits of liability of $1,000,000 $ each claim.
insurance with minimum limits of $1,000,000 $ .
ONLY PARAGRAPH I. OF THE FOLLOWING CONDITIONS APPLIES TO WASHINGTON STATE TITLE 51 INDUSTRIAL INSURANCE (WORKERS COMPENSATION):
C. CITY AS ADDITIONAL INSURED; PRODUCTS-COMPLETED OPERATIONS: As respects CGL and Automobile Liability insurance, and Contractor’s Pollution Liability insurance if required, the City of Seattle shall be included as an additional insured subject to a standard "Separation of Insureds" clause. As respects CGL and (if required) Contractor’s Pollution Liability insurance, additional insured status for the City:1. Must be established either by an appropriate additional insured endorsement issued and
attached to the policy or by appropriate blanket additional insured policy wording, and2. Shall be primary and non-contributory with any insurance or self-insurance coverage
maintained by the City.
D. NO LIMITATION OF LIABILITY: The limits of liability specified herein are minimum limits of liability only and, except for the policy limits, shall not be construed to limit the liability of the Consultant or any of the Consultant’s insurers. The City shall be an additional insured as required in paragraph C. above as respects the total limits of liability maintained, whether such limits are primary, excess, contingent or otherwise.
E. SUBSTITUTION OF SUBCONSULTANT’S INSURANCE: If portions of the scope of work are subcontracted, the subconsultant or subcontractor may provide the evidence of insurance for the subcontracted body of work provided all the requirements specified herein are satisfied.
F. NOTICE OF CANCELLATION: Coverages shall not be canceled without at least thirty (30) days written notice to the City, except ten (10) days notice for non-payment of premium.
G. CLAIMS MADE FORM: If any insurance policy is issued on a “claims made” basis, the retroactive date shall be prior to or coincident with the effective date of this Agreement. The Consultant shall
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either maintain “claims made” forms coverage for a minimum of three years following the expiration or earlier termination of this Agreement, providing the City with a Renewal Certificate of Insurance annually; purchase an extended reporting period ("tail") for the same period; or execute another form of guarantee acceptable to the City to assure the Consultant’s financial responsibility for liability for services performed.
H. INSURER’S A.M. BEST’S RATING: Each insurance policy shall be issued by an insurer rated A-: VII or higher in the A.M. Best's Key Rating Guide, unless a surplus lines placement by an licensed Washington State surplus lines broker, or as may otherwise be approved by the City.
I. SELF-INSURANCE: The City acknowledges that the Consultant may employ self-insured and/or alternative risk financing and/or capital market risk financing programs for some or all of its coverages. The term “insurance” wherever used herein shall include any such self-insured and/or alternative risk financing and/or capital market risk financing programs. The Consultant shall be liable for any self-insured retention or deductible portion of any claim for which insurance is required.
J. EVIDENCE OF INSURANCE (NOT APPLICABLE TO WASHINGTON STATE WORKERS COMPENSATION): The Consultant or its authorized representative shall deliver in the manner described an Acord Certificate and Additional Insured Endorsement or Blanket Policy Wording that complies with coverages, limits and conditions as required herein. (NOTE: A Copy of the actual additional insured endorsement or blanket additional insured policy wording to the CGL policy MUST BE ATTACHED TO THE CERTIFICATE to verify additional insured status.)
CGL INSURANCE WILL NOT BE APPROVED WITHOUT ADDITIONAL INSURED ENDORSEMENT
OR BLANKET ADDITIONAL INSURED WORDING
ATTACHED TO THE CERTIFICATE!
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Attachment #2Consultant Questionnaire
Name of Proposer: _______________________
INSTRUCTIONS: This is a mandatory form. Submit this form with your response. Provide information to the extent information available. If response is incomplete or requires further description, the Committee may request additional information within a specified deadline or may determine the missing information is immaterial to award.
Consultant InformationConsultant’s Legal Name “Doing Business Name” (dba) if applicable Mailing Address Contact Person and Title Contact Person’s Phone Number Contact Person’s Fax Number Contact Person’s E-Mail Address Dun & Bradstreet number (if available) Identify the City and State of your company headquarters
Consultant Registration with City of SeattleDid your firm register on to the City’s Registration and Roster System at http://www2.ci.seattle.wa.us/Consultantregistration/default.asp ? For assistance, call 206-684-0444.
Yes No
Most companies must hold a Seattle Business License (if you have a facility/office in Seattle, conduct sales visits to Seattle, deliver products in your own trucks, or perform on-site consulting, repairs, installation, etc). If you fall within that category, will you immediately seek a Business License upon award and ensure all taxes are paid current?
Yes No
Ownership .Is your firm a subsidiary, parent, holding company, or affiliate of another firm? What year was your firm, under the present ownership configuration, founded? How many years has your firm been in continuous operation without interruption? What year did your firm begin providing, on a continuous basis, the types of services or products that are required from this solicitation?
Financial Resources and Responsibility Specify yes or no. If yes, explain.
Within the previous five years has your firm been the debtor of a bankruptcy? Is your firm in the process of or in negotiations toward being sold? Within the previous five years has your firm been debarred from contracting with any local, state, or federal governmental agency?
Within the previous five years has your firm been determined to be a non-responsible for any government contract?
Within the previous five years has a governmental or private entity terminated your firm’s contract prior to contract completion?
Within the previous five years has your firm used any Subconsultant to perform work on a government contract when that Subconsultant had been debarred by a governmental agency?
Affirmative Contracting – SMC 20.42 Specify yes or no. Within the previous five years has your firm been found to have violated any local, state, or federal anti-discrimination laws or regulations?
If yes, explain.
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Disputes Specify yes or no. If yes, explain.
Within the previous five years has your firm been the defendant in court on a matter related to payment to subconsultants or work performance on a contract?
Does your firm have outstanding judgments pending against it? Within the previous five years, was your firm assessed liquidated damages on a contract? Has your firm received notice of and/or in litigation about patent infringement for the product and/or service that your firm is offering to the Committee?
Compliance Specify yes or no. If yes, explain.
Within the previous five years, has your firm or any of its owners, partners, or officers, been assessed penalties or found to have violated any laws, rules, or regulations enforced or administered by a government entity? This does not include owners of stock in your firm if your firm is a publicly traded corporation.
If a license is required to perform the services sought by this solicitation, within the previous five years has your firm had a license suspended by a licensing agency or been found to have violated licensing laws?
If Hazardous Materials are an element of the contract, has the Consultant had any violations of improper disposal of such materials or any violation of associated laws, rules or regulations in the previous five years?
Involvement by Current and Former City Employees Specify yes or no. If yes, explain
Are any of your company officers or employees a current or former City of Seattle employee or volunteer? If yes, identify the employee name. Advise the employee of their duty to comply with City of Seattle’s Code of Ethics, Seattle Municipal Code Chapter 4.16.
Will any of your Consultant employees work more than 1,000 hours (per rolling 12 months) within a City contract, combining the hours for work under this contract and any other? If so, specify the worker name. Advise the worker of their duty to comply with the City of Seattle’s Code of Ethics, Seattle Municipal Code Chapter 4.16
Does any of Consultant workers (including officer, director, employee, trustee, or partner) have a business interest or a close family or domestic relationship with any City official, officer or employee who was, is, or will be involved in selection, negotiation, drafting, signing, administration or evaluation of the Consultant performance? If yes, Consultant must notify the Project Manager in writing and the Committee shall make the sole determination as to conflicts.
Business History Specify yes or no.
In the last five years, has your firm held other contracts with public agencies to provide similar services in a size and scope similar to that required by the Committee?
Provide and/or attach a list contracts your local firm held in the past five years, sufficient for the Committee to understand the depth and breadth of your experience, with a particular emphasis on contracts with public agencies. The Committee may use this to assess your capability and experience at this particular type of product provision or service work. Specify the name/contact that can serve as a reference for each.
If you have many such contracts, you can provide a brief list. If you are a subsidiary of a national firm, summarize the contracts that represent
your local office.
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By submittal of this form, the Consultant hereby certifies:Consultant is not debarred, suspended, proposed for debarment, or declared ineligible for award of contracts by any Federal agency.During the most recent three years, the Consultant has not been convicted of or had a civil judgment rendering against the firm for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a Federal, state or local government, or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property, and my firm is not presently indicted for, or otherwise criminally or civilly charged by a Government entity with, commission of any of these offenses.Consultant has not paid, nor will pay, Federal appropriated funds (including profit or fee received under a covered Federal transaction), to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the Offeror shall notify the Committee and complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities.Consultant has not had a governmental or private entity contract terminated prior to contract completion or debarred from submitting, within the last five years.Within the previous five years, Consultant has not used any subconsultant to perform work on a government contract when that Subconsultant had been debarred by a governmental agency.Consultant’s Offer is valid until the date the Committee awards a Consultant Contract or rejects all offers;Consultant has not, directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of competitive pricing in the preparation and submission of its Offer;Consultant shall provide immediate written notice to the Committee if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.Submittal of this Consultant Questionnaire with your proposal provides authority and certification for your entire submittal.
Committee Non-Disclosure Request If you believe any statements or items you submit to the Committee as part of this submittal/response are exempt from disclosure, you must identify and list them below. You must very clearly and specifically identify each statement or item, and the RCW exemption that applies. If awarded a contract by the Committee, the same exemption status will carry forward to the contract records.
The Committee will not exempt materials from disclosure simply because you mark them with a document header or footer, page stamp, or a generic statement that a document is non-disclosable, exempt, confidential, proprietary, or protected. You may not identify the entire page, unless the entire page is within the exemption scope. Only records properly listed on this Form will be protected and withheld for notice. All other records will be considered fully disclosable upon request.
I do not request any information be withheld.
I request the following specific information be withheld. I understand that all other information will be considered public information. For each statement or item you intend to withhold, you must fill out every box below. You should not require an entire page withheld; only request the specific portion subject to the exemption.
Document Page: Specify the page number on which the material is located within your submittal
package (page number)
Statement:Repeat the text you request to be held as confidential, or attach a redacted version.
RCW Exemption: Specify the RCW exemption
including the subheading
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For this request to be valid, you must specify the RCW provision or other State or Federal law that designates the documents as exempt from disclosure. For example, potential RCW exemptions include the following:1. RCW 42.56.230.3 – Personal information - taxpayer 2. RCW 42.56.230.4 – Personal information – Credit card numbers and related3. RCW 42.56.240 - Investigative, law enforcement and crime victims4. RCW 42.56.250 – Employment and licensing – specify the applicable subheading5. RCW 42.56.260 - Real estate appraisals6. RCW 42.56.270 (Items 1 through 17) – specify which subheading.7. RCW 42.56.270 (items 1 through 17) – specify applicable subheading8. RCW 42.56.420 - Security
Equal Benefits Compliance DeclarationPlease declare one (1) option from the list below that describes the Consultant’s intention to comply with Seattle Municipal Code Chapter 20.45 (City Contracts – Non-Discrimination in Benefits) and related rules, for offices in the City of Seattle and any other United States office where work will be performed for this contract. Detailed instructions are provided on the next page.
Option AThe Consultant makes, or intends to make by the contract award date, all benefits available on an equal basis to its employees with spouses and its employees with domestic partners, and to the spouses and the domestic partners of employees, in all Seattle locations and in other locations within the United States where work on the Committee contract is being performed.
Option BThe Consultant does not make benefits available to either the spouses or the domestic partners of its employees.
Option CThe Consultant has no employees.
Option DThe Consultant submitted a request for Substantial Compliance Authorization to the City of Seattle to delay implementation of equal benefits. Substantial Compliance Authorization may be granted to a Consultant if compliance will be delayed due to circumstances outside the Consultant’s control – for example, the Consultant cannot make eligibility changes to its health insurance plan until the next open enrollment period, or the Consultant cannot negotiate with one or more labor unions for additional benefits until the expiration of the current collective bargaining agreement. The Consultant must request this authorization online and be approved by the City of Seattle. To select this option, also visit the City website and request authorization: http://www.seattle.gov/contract/equalbenefits/eb-substantial.htm.
Option E The Consultant submitted a request for Reasonable Measures Authorization to the City of Seattle to provide a
cash equivalent payment to eligible employees in lieu of making benefits available. Reasonable Measures may be granted to a Consultant to allow a cash equivalent in lieu of benefits that are unavailable due to circumstances outside of the Consultant's control. The Consultant must request this authorization online and be approved by the City of Seattle. To select this option, also visit the City website and request authorization: http://www.seattle.gov/contract/equalbenefits/eb-reasonable.htm.
No United States PresenceThe Consultant does not have United State locations that are owned or rightfully occupied by the Consultant, where the Consultant performs direct services for the proposed contract.
Non-Compliance
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The Consultant does not comply and does not intend to comply with Seattle Municipal Code Chapter 20.45 and related rules.
Equal Benefits InstructionsConsideration will be given to whether submittalders provide health and benefits that are the same or equivalent to domestic partners of employees as to spouses of employees, and of their dependents and family members. If your company does not comply with Equal Benefits and does not intend to do so, you must still supply the information on the Consultant Questionnaire.
Carefully fill out the Consultant Questionnaire. It is essential to your standing in the evaluation process, so it is important to understand and complete the Questionnaire properly.
Locations: If you have multiple offices, answer the form based on compliance for offices in the City of Seattle and any other United State locations where work will be performed for the City contract:
The Trust uses the definition of Domestic Partner” contained in The Seattle Municipal Code (20.45.010), which defines “Domestic Partner” as any person who is registered with his/her employer as (having) a domestic partner, or, in the absence of such employer-provided registry, is registered as a domestic partner with a governmental body pursuant to state or local law authorizing such registration. Any internal employer registry of domestic partnership must comply with criteria for domestic partnerships specified by rule by the Department. Whether through employer registration or through a public agency registration, the definition of domestic Partner, by City Rule, cannot be more restrictive than that provided below:
Share the same regular and permanent residence; and Have a close, personal relationship; and Are jointly responsible for "basic living expenses" as defined below; and Are not married to anyone; and Are each eighteen (18) years of age or older; and Are not related by blood closer than would bar marriage in the State in which the individual resides;
and Were mentally competent to consent to contract when the domestic partnership began; and Are each other’s sole domestic partner and are responsible for each other’s common welfare.
"Basic living expenses" means the cost of basic food, shelter, and any other expenses of a Domestic Partner which are paid at least in part by a program or benefit for which the partner qualified because of the Domestic Partnership. The individuals need not contribute equally or jointly to the cost of these expenses as long as they agree that both are responsible for the cost.
If the employer does not have a registration system and does not intend to implement one, the City of Seattle has a registration system as an option: http://www.seattle.gov/leg/clerk/dpr.htm
The information you supply is used by the Committee to determine your EB status. However, the Committee will review responses and make final determinations. If information you supply conflicts with or is not clearly supported by documentation, the Committee may reject your submittal or seek clarification to ensure the Committee properly classifies your compliance.
Equal Benefits makes a significant difference in Submittal evaluation: Submitters that select “Non Compliance” may be rejected, unless there are no submitters which are compliant, responsive and responsible. The Committee may also find a Submitter “Non Compliant” upon review (such as those that select Option D or E and do not have a waiver from the Committee to select that option, or where the form is blank).
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Attachment #3Technical Questionnaire
Project Title: Deferred Compensation Plan -- Audit ServicesName of Proposer: _______________________
Please answer the questions below and keep responses clear and concise. Questions that are marked with a (Yes/No) response only require a description if requested.
QUESTION ANSWER
A-1. Provide the legal name and local address of your firm and, if applicable, the legal name and address of other offices or subcontractors that will perform or assist in performing the work.
A-2. Identify any parent company and any affiliated companies, and the nature of their businesses.
A-3. Provide the following information about your firm. Primary business (auditing, benefits
consulting, asset management, etc.) Other business or services Number of employees by job category
When founded A-4. What was the turnover percentage of key professional personnel within your firm during the last three years (beginning July 1, 2015 and ending June 30, 2018)?
A-5. Is your firm affiliated with a brokerage, funds management company or any other financial institution? (Yes/No) If yes, please provide name and brief description.
A-6. Are any changes in ownership of your firm planned or anticipated? (Yes/No. If yes, please explain.)A-7. Is there any past or pending litigation against your firm or any member of the staff resulting from involvement with any deferred compensation, defined contribution or public/private pension plan? (Yes/No. If yes, please explain.)
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A-8. Has your firm or any member of the consulting staff been involved in any investigation by a federal or state security, or regulatory agency in connection with any audit or accounting services provided to a current or former client? (Yes/No. If yes, please explain.)A-9. Please provide the name of the carrier providing your firm’s errors and omissions (or malpractice) insurance and the amount of coverage.
A-10. Identify the approximate number of employee benefit plans for which your firm performs annual audits.
A-11. List the 457 plans your firm has audited in the last 5 years.Name of Sponsor Asset Size Number of
ParticipantsWhen Audited
A-12. List the 401(k), 457 or 403(b) plans which your firm has audited in the past 5 years that are similar to the City’s Deferred Compensation Plan in asset size and number of participants.
Name of Sponsor Asset Size Number of Participants
When Audited
QUESTION ANSWER
A-13. Briefly describe the ongoing training and education your staff members receive to keep current on laws and rules.
A-14. Is your firm a member of the Employee Benefit Plan Audit Quality Center of the American Institute of
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Certified Public Accountants (AICPA)? (Yes/No)
A-15. Provide your firm’s most recent AICPA peer review report and related letter of comments, along with your firm’s response to the letter of comments.
See Attachment #____________
A-16. Attach two samples of opinion letters previously issued for other similar types of audit engagements. Client names may be omitted.
See Attachment # ____________
A-17. Please provide the names, titles, firm names and telephone numbers of three (3) benefit plan references that we may contact.
B-1. Provide the following information about the key personnel who would be assigned to this account: Name and Title Years
with Firm
Role on Team % of Time Dedicated to Audits
Number of Assigned Accounts
Recent Experience with 457 Plans
QUESTION ANSWER
B.2. Attach a brief resume (one page or less) for each firm member to be assigned to this project.
See Attachment # ____________
B-3. Provide information regarding your firm’s procedures to determine whether anyone in your firm would have a conflict of interest as an auditor of the Plan.
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C-1. Provide an expected work plan in the table below sequenced chronological, defining work tasks and methods/tools to be utilized. (The order and names of tasks may be changed as needed.)
Task Methods/Tools Beginning Date
Ending Date
Estimated Hours of Consultant on this Task
Project PlanningInitial InterviewsDocument and File ReviewEligibility TestingInvestment ValuationDistribution ConfirmationReport/Opinion DraftingPreparation for PresentationOther (please specify)
QUESTION ANSWER
C-2. Indicate the sample sizes that you would use in your testing.
C-3. Briefly describe any challenges you anticipate with conducting the audit.
D-1. Please provide a not-to-exceed fee proposal to provide the audit services required by the Plan for the Plan years ending 2018, 2019 and 2020.
Plan Year Ending Time Period During Which Audit is to be Performed
Proposed Fee
12/31/2018 Late Summer/Fall 2019 $12/31/2019 Summer/Fall 2020 $12/31/2020 Summer/Fall 2021 $
D-2. Provide a not-to-exceed fee proposal or cap on fee increases should the proposed audit contract with the Plan be extended for up to two years.
Plan Year Ending Time Period During Which Audit is to be Performed
Proposed Fee or Cap on Fee Increase Over Prior Year
12/31/2021 Summer/Fall 2022 $12/31/2022 Summer/Fall 2023 $
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