Solicitation RFP-DAA-FY Forensic Accountant. Bid designation: Public

Transcription

1 Solicitation RFP-DAA-FY Forensic Accountant Bid designation: Public County of Santa Clara 10/18/2013 9:46 AM p. 1

2 Forensic Accountant Bid Number Bid Title RFP-DAA-FY Forensic Accountant Bid Start Date Sep 27, :53:57 AM PDT Bid End Date Oct 25, :00:00 PM PDT Question & Answer End Date Oct 11, :00:00 PM PDT Bid Contact Denise Mitri Management Analyst Changes made on Oct 17, :20:12 PM PDT New Documents APPENDICES B-1 - E.doc Changes made on Oct 18, :44:50 AM PDT New Documents Addendum 1 RFP-DAA-FY pdf Description The County of Santa Clara District Attorney s Office (hereafter, County ) is requesting proposals from qualified Contractor(s) to provide Forensic Accounting audit reports, audit services, and courtroom testimony in criminal and civil cases. The anticipated duration of this engagement is five years. The Agreement may require the approval of the Board of Supervisors, or designee. Proposals will be considered from individuals or firms. This Request for Proposals (RFP) may result in result in multiple awards. 10/18/2013 9:46 AM p. 2

3 COUNTY OF SANTA CLARA, CALIFORNIA REQUEST FOR PROPOSAL-RFP-DAA-FY FOR A FORENSIC ACCOUNTANT ISSUED ON: September 27, 2013 PROPOSALS DUE: October 25, 2013 BY 3:00 P.M. PACIFIC TIME DISTRICT ATTORNEY 70 WEST HEDDING ST., WEST WING 5 TH FLOOR SAN JOSE, CA Contact: Denise Mitri dmitri@da.sccgov.org 10/18/2013 9:46 AM p. 3

4 TABLE OF CONTENTS I. INTRODUCTION...3 II. CONDITIONS GOVERNING THE PROCUREMENT...5 III. EVALUATION...11 IV. RESPONSE FORMAT AND ORGANIZATION...13 V. REQUIREMENTS AND OFFEROR SUBMITTALS...15 APPENDICES...18 All applicable Appendices must be submitted with the proposal APPENDIX A - OFFEROR REQUIREMENTS RESPONSE FORM...18 APPENDIX B - PROPOSAL COST RESPONSE FORM...21 APPENDIX C - NON-COLLUSION DECLARATION...22 APPENDIX D - DECLARATION OF LOCAL BUSINESS...23 APPENDIX E - OFFEROR S TERMS AND CONDITIONS...25 ATTACHMENTS...26 The Attachments listed below are for reference and are not required to be submitted with the proposal. ATTACHMENT 1 - SERVICE AGREEMENT...26 ATTACHMENT 2 - INSURANCE REQUIREMENTS...38 Request For Proposal #RFP-DAA-FY Page 2 of 41 10/18/2013 9:46 AM p. 4

5 I. INTRODUCTION A. INVITATION The County of Santa Clara District Attorney s Office (hereafter, County ) is requesting proposals from qualified Contractor(s) to provide Forensic Accounting audit reports, audit services, and courtroom testimony in criminal and civil cases. The anticipated duration of this engagement is five years. The Agreement may require the approval of the Board of Supervisors, or designee. Proposals will be considered from individuals or firms. This Request for Proposals (RFP) may result in result in multiple awards. B. BACKGROUND 1. Santa Clara County is located at the southern end of the San Francisco Bay and it forms the geographic core of the economic region called Silicon Valley. The County has approximately 1.8 million residents which makes it the sixth largest in California, and the largest of the nine Bay Area counties. The County contains 15 incorporated cities within its borders including: Campbell, Cupertino, Gilroy, Los Altos, Los Altos Hills, Los Gatos, Milpitas, Monte Sereno, Morgan Hill, Mountain View, Palo Alto, San Jose, Santa Clara, Saratoga and Sunnyvale, as well as numerous special districts. Ninety percent of the population lives in cities while unincorporated ranch and farmland covers a significant portion of the County s 1,315 square miles. County residents speak over 100 languages and dialects with over 55 percent of them from either Asian, Hispanic or Latino backgrounds. 2. The Forensic Accounting Contractor(s) reports to the Lieutenant in charge in the District Attorney s Bureau of Investigation Insurance Fraud Unit. The Forensic Accountant will provide forensic accounting services for criminal investigations in the following areas: Workers Compensation Premium and Applicant Fraud, Disability and Healthcare Insurance Fraud, and Automobile Insurance Fraud. Funding for the agreement(s) consists entirely from Insurance Fraud Grants from the California Department of Insurance. Actual funding levels may vary from year to year. C. PROJECT SCOPE OF WORK AND REQUIREMENTS The County of Santa Clara District Attorney s Office (DA) is seeking to contract with a Forensic Accountant, for a period of five years on-site. The primary duties and responsibilities will be to provide Forensic Accounting audit reports, audit services, and courtroom testimony in criminal and civil cases. The Forensic Accountant services consists primarily of examining, analyzing and explaining the financial records of individuals and business firms and forming opinions about the information based on the evidence. The contractor(s) will be ultimately responsible for the accuracy and completeness of their work product, methodology and evidence presentation as well as any expert opinions expressed. See Appendix A for complete project scope of work and requirements. Request For Proposal #RFP-DAA-FY Page 3 of 41 10/18/2013 9:46 AM p. 5

6 D. POINT OF CONTACT: The County has designated a Procurement Lead who is responsible for the conduct of this procurement whose name, address and telephone number is listed below: Denise Mitri, Procurement Lead (RFP-DAA-FY ) County of Santa Clara District Attorney s Office 70 West Hedding Street, West Wing, 5th Floor San Jose, CA Telephone: (408) dmitri@da.sccgov.org Any inquiries or requests regarding this procurement must be submitted to the Procurement Lead in writing. Offerors may contact ONLY the Procurement Lead regarding this RFP. Request For Proposal #RFP-DAA-FY Page 4 of 41 10/18/2013 9:46 AM p. 6

7 II. CONDITIONS GOVERNING THE PROCUREMENT This section of the RFP contains the anticipated schedule for the procurement and describes the procurement events and the conditions governing the procurement. The Procurement Lead will make every effort to adhere to the anticipated schedule below. A. SEQUENCE OF EVENTS Action Date 1. Issue of RFP September 27, Pre-Proposal Conference, if applicable N/A 3. Deadline To Submit Written Questions October 11, 4:00 PM (PST) 4. Response to Written Questions/RFP Addendum October 18, 4:00 PM (PST) 5. Deadline for Submission of Proposals October 25, 3:00 PM (PST) 6. Proposal Evaluation October 29, 2013 to October 31, Selection of Shortlist, if applicable N/A 8. Demonstrations/Presentations, If applicable TBD 9. Selection of Finalist for Negotiations, if applicable November 1, Final Negotiations Week of November 4, Notice of Intent to Award November 11, Commencement of Contract To Be Determined B. EXPLANATION OF EVENTS 1. ISSUE OF RFP This RFP is being issued by the County of Santa Clara District Attorney s Office. Copies of this RFP, including supporting documents, may be obtained from BidSync s web site at 2. PRE-PROPOSAL CONFERENCE No pre-proposal conference is scheduled for this RFP. Please submit all questions by the due date listed in Paragraph A of Section II. 3. DEADLINE TO SUBMIT WRITTEN QUESTIONS Deadline to submit written questions via BidSync is specified in Paragraph A, Sequence of Events. 4. RESPONSE TO WRITTEN QUESTIONS/RFP ADDENDUM POSTED Questions received prior to a scheduled pre-proposal conference may be responded to at the conference. Answers to all questions received by the deadline and any material change to the RFP will be listed on an addendum to the RFP and posted on on this date. Additional written questions must be received by the Procurement Lead no later than two (2) days after the addendum is posted. The County will respond in the same manner. Thereafter, the County does not guarantee a response. The County, however, reserves the right to post additional addenda until the RFP closing date and time. Request For Proposal #RFP-DAA-FY Page 5 of 41 10/18/2013 9:46 AM p. 7

8 5. SUBMISSION OF PROPOSAL County of Santa Clara Proposals must be received no later than the deadline specified. All received proposals will be time stamped. All deliveries via express carrier should be addressed as follows: Denise Mitri, Procurement Lead (RFP-DAA-FY ) County of Santa Clara District Attorney s Office 70 West Hedding Street, West Wing, 5 th Floor San Jose, CA Telephone: (408) dmitri@da.sccgov.org Proposals must be sealed and labeled on the outside of the package to clearly indicate that they are in response to the RFP # and title as referenced on the cover page. 6. PROPOSAL EVALUATION An Evaluation Committee will review the proposals to validate if Offeror s submittal meets the Qualifying Requirements, non-qualifying proposals will not be considered, or move forward. Those proposals meeting the Qualifying Requirements, will move forward for further evaluation against the RFP s requirements herein and will be considered for recommendation to award. 7. SELECTION OF SHORT LIST Offerors that demonstrate their capacity, ability and capability to meet the County s requirements will be determined to be within the competitive range and selected on the shortlist of Offerors to progress to the next round of evaluation. 8. DEMONSTRATIONS/PRESENTATIONS At County option, Offerors on the short list may be required to provide a demonstration/presentation of their proposed solution. Demonstrations/ presentations will be held on-site at a County location. Date, time, and location are to be determined. 9. SELECTION OF FINALIST FOR NEGOTIATIONS At County s option, one or more Offerors may be selected as finalists and invited to move forward in the process. 10. FINAL NEGOTIATIONS One or more Offerors may be selected to enter into final negotiations with the intent of award. 11. NOTICE OF INTENT TO AWARD The Procurement Lead will send an to all proposers informing them of the proposal that was selected. 12. COMMENCEMENT OF AGREEMENT The date the agreement will become effective. Request For Proposal #RFP-DAA-FY Page 6 of 41 10/18/2013 9:46 AM p. 8

9 C. GENERAL 1. INCURRING COST County of Santa Clara This RFP does not commit the County to award, nor does it commit the County to pay any cost incurred in the submission of the Proposal, or in making necessary studies or designs for the preparation thereof, nor procure or contract for services or supplies. Further, no reimbursable cost may be incurred in anticipation of a contract award. 2. CLAIMS AGAINST THE COUNTY OF SANTA CLARA Neither your organization nor any of your representatives shall have any claims whatsoever against the County or any of its respective officials, agents, or employees arising out of or relating to this RFP or these RFP procedures, except as set forth in the terms of a definitive agreement between the County and your organization. 3. GUARANTEE OF PROPOSAL Responses to this RFP, including proposal prices, will be considered firm and irrevocable for one-hundred and eighty (180) days after the due date for receipt of proposals and/or onehundred eighty (180) days after receipt of a best and final offer, if one is submitted. 4. BASIS FOR PROPOSAL Only information supplied by the County in writing by the Procurement Lead in connection with this RFP should be used as the basis for the preparation of Offeror s proposal. 5. FORM OF PROPOSALS No oral, telephone, facsimile, or electronic proposals will be accepted. 6. AMENDED PROPOSAL An Offeror may submit an amended proposal before the deadline for receipt of proposals. Such amended proposals must be complete replacements for a previously submitted proposal and must be clearly identified in a written format. The County personnel will not merge, collate, or assemble proposal materials. 7. WITHDRAWAL OF PROPOSAL Offerors will be allowed to withdraw their proposals at any time prior to the deadline for receipt of proposals. The Offeror must submit a written withdrawal request signed by the Offeror s duly authorized representative addressed to the Director of the Agency/Department and submitted to the Procurement Lead. 8. LATE RESPONSES In order for a proposal to be considered, the proposal must be received in person or via courier or mail to the place specified above no later than the RFP due date and time. The Agency/Department s time and date stamp will be the basis for determining timeliness of proposals. 9. NO PUBLIC PROPOSAL OPENING There will be no public opening for this RFP. Request For Proposal #RFP-DAA-FY Page 7 of 41 10/18/2013 9:46 AM p. 9

10 10. CALIFORNIA PUBLIC RECORDS ACT (CPRA) All proposals become the property of the County, which is a public agency subject to the disclosure requirements of the California Public Records Act ( CPRA ). If Contractor proprietary information is contained in documents submitted to County, and Contractor claims that such information falls within one or more CPRA exemptions, Contractor must clearly mark such information CONFIDENTIAL AND PROPRIETARY, and identify the specific lines containing the information. In the event of a request for such information, the County will make best efforts to provide notice to Contractor prior to such disclosure. If Contractor contends that any documents are exempt from the CPRA and wishes to prevent disclosure, it is required to obtain a protective order, injunctive relief or other appropriate remedy from a court of law in Santa Clara County before the County s deadline for responding to the CPRA request. If Contractor fails to obtain such remedy within County s deadline for responding to the CPRA request, County may disclose the requested information. Contractor further agrees that it shall defend, indemnify and hold County harmless against any claim, action or litigation (including but not limited to all judgments, costs, fees, and attorney s fees) that may result from denial by County of a CPRA request for information arising from any representation, or any action (or inaction), by the Contractor. 11. CONFIDENTIALITY All data and information obtained from the County of Santa Clara by the Offeror and its agents in this RFP process, including reports, recommendations, specifications and data, shall be treated by the Offeror and its agents as confidential. The Offeror and its agents shall not disclose or communicate this information to a third party or use it in advertising, publicity, propaganda, or in another job or jobs, unless written consent is obtained from the County. Generally, each proposal and all documentation, including financial information, submitted by an Offeror to the County is confidential until a contract is awarded, when such documents become public record under state and local law, unless exempted under CPRA. 12. ELECTRONIC MAIL ADDRESS Most of the communication regarding this procurement will be conducted by electronic mail ( ). Potential Offerors agree to provide the Procurement Lead with a valid address to receive this correspondence. 13. USE OF ELECTRONIC VERSIONS OF THE RFP This RFP is being made available by electronic means. If accepted by such means, the Offeror acknowledges and accepts full responsibility to insure that no changes are made to the RFP. In the event of conflict between a version of the RFP in the Offeror s possession and the version maintained by the Agency/Department the version maintained by the Agency/Department must govern. 14. COUNTY RIGHTS The County reserves the right to do any of the following at any time: a. Reject any or all proposal(s), without indicating any reason for such rejection; b. Waive or correct any minor or inadvertent defect, irregularity or technical error in a proposal or the RFP process, or as part of any subsequent contract negotiation; c. Request that Offerors supplement or modify all or certain aspects of their proposals or other documents or materials submitted; Request For Proposal #RFP-DAA-FY Page 8 of 41 10/18/2013 9:46 AM p. 10

11 d. Terminate the RFP, and at its option, issue a new RFP; e. Procure any equipment or services specified in this RFP by other means; f. Modify the selection process, the specifications or requirements for materials or services, or the contents or format of the proposals; g. Extend a deadline specified in this RFP, including deadlines for accepting proposals; h. Negotiate with any or none of the Offerors; i. Modify in the final agreement any terms and/or conditions described in this RFP; j. Terminate failed negotiations with an Offeror without liability, and negotiate with other Offerors; k. Disqualify any Offeror on the basis of a real or apparent conflict of interest, or evidence of collusion that is disclosed by the proposal or other data available to the County; l. Eliminate, reject or disqualify a proposal of any Offeror who is not a responsible Offeror or fails to submit a responsive offer as determined solely by the County; and/or m. Accept all or a portion of an Offeror s proposal. 15. ASSIGNMENT OF CLAYTON ACT, CARTWRIGHT ACT CLAIMS In submitting a response to a solicitation issued by the County, the responding person and/or entity offers and agrees that if the response is accepted, it will assign to the County all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the responding person and/or entity for sale to the County pursuant to the solicitation document. Such assignment shall be made and become effective at the time the County tenders final payment to the responding person and/or entity. 16. PROTEST PROCEDURES The Procurement Lead will send an to all proposers informing them of the proposal that was selected. Proposers whose proposals were not selected may file a written protest ( Protesters ) no later than 5 business days of the sending of the notifying proposers of the County s selection. a. Filing a Protest The protest of an award must be in writing. The following must be written on the cover of the protest: Protest Relating to RFP-DAA-FY The written protest must be ed, faxed and/or mailed to the Director of the Agency/Department and the designated Procurement Lead. All protests must be received by the designated Procurement Lead within five days after the Procurement Lead has sent the to proposers of the County s intent to award the contract. Any protests received after this time will not be considered. b. Contents of Protest The written protest must contain the following information: (1) the name, street address, electronic mail address, and telephone and facsimile number of the Protester; (2) signature of the Protester or its representative; (3) clearly state the grounds for the protest as set forth below; (4) copies of any relevant documents; (5) the form of relief Request For Proposal #RFP-DAA-FY Page 9 of 41 10/18/2013 9:46 AM p. 11

12 requested; and (6) the method by which the Protester would like to receive the Reviewing Officer s written protest decision. The written protest must clearly state the grounds for the protest. Protests should be concise and logically arranged. c. Grounds for Protest Protests shall be based only on the Protester s belief that one or more of the following situations happened: (1) the County failed to follow the procedures and adhere to requirements set forth in the solicitation or any addendum thereto; (2) there was misconduct or impropriety by County officials or evaluation team members; and (3) there was abuse of process or abuse of discretion by County officials or evaluation team members. d. Protest Resolution Process 1. Informal Review by Department A designee of the requiring department will review the protest in a timely manner and work expeditiously to informally resolve it. If the designee of the requiring department is not able to resolve the protest, then the Director of the Agency/Department will either appoint or act as Independent Reviewing Officer for the RFP. 2. Formal Review by the Independent Reviewing Officer of the Department is required to provide written notification to the Protester that the protest is being forwarded to an Independent Reviewing Officer and the contact information for the Reviewing Officer. Both the Department and Protester have 10 business days from the date of the written notification issued by the Department to forward any additional documents to the Reviewing Officer that they believe are relevant to the review of the protest. The notification being sent to the Protester by the Department should also state that the Protester has 10 business days from the date of the notification to forward additional documents to the Reviewing Officer. Protester may not present any additional grounds for protest, argument or narrative. The Reviewing Officer shall conduct an independent review of the protest to determine whether the grounds for the protest have merit. Only the information contained in a timely protest shall be considered by the Reviewing Officer. The Reviewing Officer shall only consider the documents each party has submitted, grounds for protest, and grounds to reject the protest. The Reviewing Officer will issue a written decision on a timely written protest within 20 days of receiving a protest; however, the time for decision may be extended by the Reviewing Officer. The Reviewing Officer will issue the written decision to the Protester and the Department. If the Protester failed to specify in its written protest the method by which the Protester would like to receive the Reviewing Officer s written protest decision, the Reviewing Officer will send his written decision to the Protester by mail. The decision of the Reviewing Officer shall be final. e. Remedies County of Santa Clara If the Reviewing Officer sustains a protest in whole or in part, the Reviewing Officer shall refer the matter back to the Department for redress in conformance with the Reviewing Officer s decision. If the Reviewing Officer rejects the protest, then the Department may proceed with its process. Request For Proposal #RFP-DAA-FY Page 10 of 41 10/18/2013 9:46 AM p. 12

13 III. EVALUATION A. FACTORS Evaluation of the proposal will include but not be limited to consideration of the following factors. The expectation is that those proposals in the competitive range may be considered for contract award. The proposal should give clear, concise information in sufficient detail to allow an evaluation based on the criteria below. An Offeror must be acceptable in all criteria for a contract to be awarded to that Offeror whose proposal provides the best value to the County. 1. Qualifying Requirements 2. Corporate/contractor strength, experience, references and reputation of Offeror 3. Ability to meet the business, technical, and functional requirements 4. Local Preference. Cost The cost to the County will be considered in the evaluation after the evaluations of qualifications. The degree of the importance of cost will increase with the degree of equality of the proposals in relation to the other factors on which selection is to be based. B. LOCAL BUSINESS PREFERENCE In accordance with applicable sections of Board Policy, Section , in the formal solicitation of goods or services, the County of Santa Clara shall give responsive and responsible Local Businesses the preference described below. Local Business means a lawful business with a physical address and meaningful production capability located within the boundary of the County of Santa Clara. The term production capability means sales, marketing, manufacturing, servicing, provision of services, or research and development capability that substantially and directly enhances the firm's or bidder's ability to perform the proposed contract. Post Office box numbers, residential addresses, a local sales office without any support and/or a local subcontractor hired by the contractor may not be used as the sole basis for establishing status as a Local Business. In the procurement of goods or services using an Invitation to Bid or another solicitation method in which price is the determining factor for award of the contract, five percent (5%) shall be subtracted from a bid submitted by a responsive and responsible Local Business in determining the lowest responsive responsible bidder. If application of the 5% results in a Local Business bid being lower than the non-local business bid, the contract award shall be made to the Local Business at the Local Business' original bid price. If after applying the 5% discount, two or more competing vendors have bid the same price, local businesses shall be given preference. In the procurement of goods or services in which best value is the determining basis for award of the contract - for example, a Request for Proposals - five percent (5%) of the total points awardable will be added to the Local Business score. When a contract for goods or services, as defined in this policy, is presented to the Board for approval, the accompanying transmittal document shall include a statement as to whether the proposed vendor is a Local Business, and whether the application of the local preference policy was a decisive factor in the award of the proposed contract. The local preference policy may only be applied based on the entity submitting a bid or proposal and not a subcontractor or business partner. This Local Business preference shall not apply to the following: a. Public works contracts; Request For Proposal #RFP-DAA-FY Page 11 of 41 10/18/2013 9:46 AM p. 13

14 b. Where such a preference is precluded by local, state or federal law or regulation; c. Contracts funded in whole or in part by a donation or gift to the County where the special conditions attached to the donation or gift prohibits or conflicts with this preference policy. The donation or gift must be approved or accepted by the Board in accordance with County policy; or d. Contracts exempt from solicitation requirements under an emergency condition in accordance with Board policy, state law and/or the County of Santa Clara Ordinance Code. In order to be considered for Local Preference, Offeror must complete and submit Declaration of Local Business with its RFP response. Request For Proposal #RFP-DAA-FY Page 12 of 41 10/18/2013 9:46 AM p. 14

15 IV. RESPONSE FORMAT AND ORGANIZATION This section contains relevant information Offerors should use for the preparation of their proposals. A. NUMBER OF RESPONSES Offerors must submit only one proposal, but may include more than one option or alternative offer of service in the proposal. B. ORIGINAL AND COPIES 1. Offerors must provide one (1) original and five (5) identical copies of their proposal to the location specified on or before the closing date and time for receipt of proposals. The original binder/submittal must be stamped ORIGINAL and contain original signatures on the necessary forms. The remaining sets should be copies of the originals. 2 The Proposal Cost Response Form shall be submitted in a separate sealed envelope along with five (5) copies. The envelope shall be marked Proposal Cost Response Form and contain one original marked Original signed in blue ink, and five (5) additional copies. 3 Offerors shall provide one (1) electronic copy of their proposal in CD-ROM or flash drive format, readable by Microsoft Office 2003 (Word, Excel and Project) software. The CD or flash drive shall be included in the ORIGINAL binder. C. PROPOSAL FORMAT All proposals shall be typewritten on standard 8 ½ x 11 paper (larger paper is permissible for charts, spreadsheets, etc.) and placed within a binder with tabs delineating each section. Hard copies should utilize both sides of the paper where practical. The proposal should be organized and indexed in the following format and must contain, at a minimum, the applicable items n the sequence indicated: Tab 1: Letter of Transmittal Tab 2: Table of Contents Tab 3: Executive Summary Tab 4: Section V.C: Offeror s Corporate Experience (items 1 7) Tab 5: Appendix A: Offeror Requirements Response Form Tab 6: Appendix B: Proposal Cost Response Form (SEE INSTRUCTIONS BELOW) Tab 7: Appendix C: Non-Collusion Declaration Form Tab 8: Appendix D: Declaration of Local Business, if applicable. Tab 9: Appendix E: Offeror s Terms and Conditions Tab 10: Magnetic Media (CD/flash drive) in the Original Binder ONLY Tab 11: Offeror s Supporting Materials, if any. Appendix B - Proposal Cost Response Form: The original form must be submitted in a sealed envelope along with five (5) copies in a same sealed envelope, marked Appendix B- Proposal Cost Response Form. Request For Proposal #RFP-DAA-FY Page 13 of 41 10/18/2013 9:46 AM p. 15

16 D. PROPOSAL PREPARATION INSTRUCTIONS County of Santa Clara Within each section of their proposal, Offerors should address the items in the order in which they appear in this RFP. All forms provided in the RFP shall be thoroughly completed and included in the appropriate section of the proposal. E. NON-CONFORMING SUBMISSIONS A submission may be construed as a non-confirming proposal, ineligible for consideration or incomplete if it does not comply with the requirement of this RFP. Request For Proposal #RFP-DAA-FY Page 14 of 41 10/18/2013 9:46 AM p. 16

17 V. REQUIREMENTS AND OFFEROR SUBMITTAL This section contains requirements and relevant information Offerors should use for the preparation of their proposals. Offerors should thoroughly respond to each requirement. A. LETTER OF TRANSMITTAL The letter of transmittal should include: a. Identify the submitting organization, include company name, business address, headquarter location, and all offices relevant to the proposed solution and services. b. Identify all subcontractors that will be used in the performance of the contract. Include company name, business address, headquarter location, and all office relevant to the proposed solution and services. Explain what services the subcontractor will provide in relation to the proposed solution. If no subcontractor will be used, state No subcontractor will be utilized in the performance of the agreement. c. Identify the name, title, telephone and fax numbers, and address of the person authorized by the organization to contractually obligate the organization; d. Identify the name, title, telephone and fax numbers, and address of the person authorized to negotiate the contract on behalf of the organization; e. Identify the names, titles, telephone and fax numbers, and addresses of persons to be contacted for clarification; f. Be signed by the person authorized to contractually obligate the organization; and g. Acknowledge receipt of any and all addenda to this RFP h. Identify all sections of the proposal that the Offeror claims contain proprietary or confidential information. B. EXECUTIVE SUMMARY Include a one or two page executive summary which provides the Evaluation Committee with an overview of the significant business features of the proposal. C. CORPORATE EXPERIENCE, STABILITY/STRENGTH AND REPUTATION 1. Corporate information: a. The name of the jurisdiction in which the Offeror is organized and the date of such organization. b. Length of time Offeror has been providing Forensic Accounting Services. c. A description of the Offeror s organization, including names of principals, number of employees, client base, areas of specialization and expertise, and any other information that will assist the Evaluation Committee in formulating an opinion about the stability and strength of the organization. 2. Specifics on the number of staff and the depth of their experience with providing support. Identify the location and availability of the staff. 3. Provide a complete disclosure if Offeror, its subsidiaries, parent, other corporate affiliates, or subcontractors have defaulted in its performance on a contract during the past five years which has led the other party to terminate the contract. If so, identify the parties involved and the circumstances of the default or termination. Request For Proposal #RFP-DAA-FY Page 15 of 41 10/18/2013 9:46 AM p. 17

18 4. A list of any lawsuits filed against the Offeror, its subsidiaries, parent, other corporate affiliates, or subcontractors in the past five years and the outcome of those lawsuits. Identify the parties involved and circumstances. Also, describe any civil or criminal litigation or investigation pending. 5. Provide copies of the most recent year s independently audited financial statements, as well as those for the preceding three years. The submission shall include the audit opinion, balance sheet, income statement, retained earnings, cash flows, and notes to the financial statements. If independently audited financial statements do not exist for the Offeror, the Offeror shall state the reason and, instead, submit sufficient detail information (such as a Dun and Bradstreet report) to enable the Evaluation Committee to determine the financial stability of the Offeror. Offerors must provide information with their proposal and not defer submission at a later date. The Procurement Lead may request and the Offeror shall supply any additional financial information requested in a timely manner. 6. Provide two (2) different external references from clients, for which the Offeror has provided Forensic Accounting Services within the last three years and who are willing to validate the Offeror s past performance on projects of similar size and scope. Include public organization references, if any. The minimum information that shall be provided for each client reference follows: a. Name and title of the contact person; b. Name of the facility or entity; c. Address of the contact person; d. Telephone number and address of contact person; and e. Brief description of the Forensic Accounting projects for which services were provided. 7. Offerors shall provide a certificate(s) of insurance or a copy insurance declaration page(s) with their proposals as written evidence of their ability to meet the insurance certificate and other applicable County insurance requirements in accordance with the provisions listed in Attachment 2 of the RFP. In addition, Offerors should provide a letter from an insurance agent or other appropriate insuring authority documenting their willingness and ability to endorse their insurance policies making the County an additional insured. Offerors must provide this information with their proposal and not defer a submission at a later date. D. OFFEROR REQUIREMENTS RESPONSE FORM (APPENDIX A) The Offeror will need to demonstrate through their answers to the questions in Appendix A that they meet the qualifying requirements to be considered for Award. Offeror must submit a narrative to fully address all of the requirements as listed in Appendix A. Offeror must also submit supporting documents to validate that it meets the requirements, if applicable. E. COST PROPOSAL (APPENDIX B) Offerors shall complete all pages of the Proposal Cost Response Form Appendix B and submit it in a sealed envelope with their proposal. The proposed costs shall directly relate to the Project Work Plan. Request For Proposal #RFP-DAA-FY Page 16 of 41 10/18/2013 9:46 AM p. 18

19 F. OTHER SUBMITTALS County of Santa Clara 1. NON-COLLUSION DECLARATION Offerors shall complete and include Appendix C - Non-Collusion Declaration form with their proposal. 2. DECLARATION OF LOCAL BUSINESS Offerors shall complete and include Appendix D - Declaration of Local Business form with their proposal, if applicable. 3. OFFEROR S TERMS AND CONDITIONS Offerors shall initial and/or complete the questions In Appendix E- Offeror s Terms and Conditions, next to the appropriate statement. Failure to initial shall default to the first response, acceptance of the County s terms and conditions as is. Request For Proposal #RFP-DAA-FY Page 17 of 41 10/18/2013 9:46 AM p. 19

20 APPENDIX A OFFEROR REQUIREMENTS RESPONSE FORM A. QUALIFYING REQUIREMENTS In order for a proposal to be considered, the Offeror must provide documentation that they meet the following qualifying requirements at the time the proposal is submitted: 1. Offeror has a minimum of five years professional paid experience which would demonstrate sufficient academic and professional accounting experience to qualify as an expert witness in the area of forensic accounting as described in Appendix A. 2. Offeror has provided two (2) client references (see Section V.C.6). 3. Offeror has provided copies of one of the following certifications Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Fraud Specialist (CFS). B. SCOPE OF WORK AND REQUIREMENTS Offeror must submit a narrative to fully address all of the requirements as listed below. The County of Santa Clara District Attorney s Office (DA) is seeking to contract with a Forensic Accountant, for a period of five years on-site. The primary duties and responsibilities will be to provide Forensic Accounting audit reports, audit services, and courtroom testimony in criminal and civil cases. The Forensic Accountant services consists primarily of examining, analyzing and explaining the financial records of individuals and business firms and forming opinions about the information based on the evidence. The contractor(s) will be ultimately responsible for the accuracy and completeness of their work product, methodology and evidence presentation as well as any expert opinions expressed. Additionally, the contractor(s) should have knowledge of where evidence for reconstructing financial transactions can be developed and knowledge of the rules of criminal procedure in obtaining, perfecting, and preserving such evidence to ensure admissibility in court proceedings. The contractor(s) must have knowledge and ability to apply evidentiary rules admissibility to all generated work product. The contractor(s) must possess a sufficient skill set to identify and detail probable cause in financial transactions that could be used in an affidavit for search warrants or grand jury subpoenas, or in courtroom testimony. The contractor(s) should be experienced in litigation and demonstrate a degree of comfort when testifying before a grand jury or court proceeding. The contractor(s) will assist Deputy District Attorneys in preparation of economic crimes for prosecution and trial. The contractor(s) should have knowledge regarding the sufficiency of evidence to sustain a forfeiture seizure and should be versed in forfeiture laws and demonstrate the applicability of these provisions as well as money laundering violations to investigations where appropriate. The contractor(s) should possess proficiency in proving illicit income/gain with the use of indirect methods such as cash expenditures, source and application of funds, bank deposits, and net worth applications. Request For Proposal #RFP-DAA-FY Page 18 of 41 10/18/2013 9:46 AM p. 20

21 In order for a proposal to be considered, the Offeror must provide documentation that meets the following requirements at the time the proposal is submitted will be assessed during the evaluation period); Ability to meet Offeror Qualifying Requirements: a. Offeror has a minimum of five years professional paid experience which would demonstrate sufficient academic and professional accounting experience to qualify as an expert witness in the area of forensic accounting; b. Offeror can provide two (2) client references for which the Offeror has provided Forensic Accounting Services as described in this RFP, and; c. Offeror has one of the following certifications Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Fraud Specialist (CFS). Thorough Knowledge of: Principles and practices of accounting necessary to analyze and evaluate complex accounting transactions Auditing standards and procedures Alternated approaches to audit verification and legal requirements Audit work paper techniques and review procedures audiences General Knowledge of: Principles and practices of electronic data processing necessary to audit financial records Analytical software, such as EXCEL, LOTUS, and ACCESS Support and improved forensic testing techniques utilizing a broad range of tools (e.g., ACL, TeamMate, CFA, etc.) Advance understanding in one or more of the following sophisticated accounting transactions: the U.S. Generally Accepted Accounting Practices (GAAP), Corporate Filings or Financial Statements Ability to: Analyze and evaluate financial data and draw conclusions and recommendations Prepare comprehensive, complex accounting and statistical reports Reconstruct books and records that have been destroyed Prepare graphical representations of findings and conclusions Utilize analytical software and compile database materials, review and evaluate financial reports, working papers and procedures Initiate, plan and complete work assignments with a minimum amount of direction and control. Work on large scale, multi-jurisdictional investigations Request For Proposal #RFP-DAA-FY Page 19 of 41 10/18/2013 9:46 AM p. 21

22 Responsibilities: County of Santa Clara Perform related duties and fulfill responsibilities as required. C. RESPONSE TO SCOPE OF WORK AND REQUIREMENTS 1. The Offeror shall include in their proposal a statement of relevant experience. The Offeror should thoroughly describe, in the form of a narrative, their experience, knowledge and ability to meet the requirements listed above in Section B, including an explanation of their five years experience and success in providing Forensic Accounting Services. 2. Certificates: provide copies 3. Two (2) Client References 4. Provide a sample Forensic Audit Report (Minimum of 1; Maximum 2) Request For Proposal #RFP-DAA-FY Page 20 of 41 10/18/2013 9:46 AM p. 22

23 APPENDIX B - COST PROPOSAL RESPONSE FORM Offeror s Name: Section I Cost Proposal Offeror please complete the applicable sections based upon your proposed solution. The proposed cost shall include all fees, including one-time and recurring, sales tax, discounts, and value added options. Add lines as needed. Please be sure to include all costs, as additional costs will not be allowed later. Any and all travel costs should be incorporated in the pricing on the form(s) below. No additional charge(s) for, but not limited to, mileage, airfare, food, beverages, lodging, and/or mass transit may be added, charged, or in any way paid for by the County. The County does not guarantee, whether expressed or implied, ordering any estimated quantity, but reserves the right to order at any quantity deemed necessary. Cost Proposal: 1 Hourly Rate for Forensic Accountant Hour $ 2 Other costs (describe) 3 Total $ Request For Proposal #RFP-DAA-FY Page 21 of 41 10/18/2013 9:46 AM p. 23

24 APPENDIX C NON-COLLUSION DECLARATION I,, am the (Print Name) of, (Position/Title) (Name of Company) the party making the foregoing proposal that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the Offeror has not directly or indirectly induced or solicited any other Offeror to put in a false or sham bid; and has not directly or indirectly colluded, conspired, connived, or agreed with any Offeror or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the Offeror has not in any manner directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the Offeror or any other Offeror, or to fix any overhead, profit, or cost element of the bid price, or of that of any other Offeror, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the Offeror has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. I declare under penalty of perjury under the Laws of the State of California that the foregoing is true and correct: COMPANY NAME: AUTHORIZED SIGNATURE PRINT NAME: DATE: Request For Proposal #RFP-DAA-FY Page 22 of 41 10/18/2013 9:46 AM p. 24

25 APPENDIX D DECLARATION OF LOCAL BUSINESS Santa Clara County gives local businesses a preference in formal solicitations of goods and services as set forth in the Board Policy, Section A bidder or offeror has the option of qualifying for the preference by self-declaring its qualification as a local business. By signing below, the bidder or offeror is certifying its qualification as a local business for purposes of application of Santa Clara County s policy and is deemed to be applying for the local preference. All information submitted is subject to investigation, as well as to disclosure to third parties under the California Public Records Act. Incomplete, unclear, or incomprehensible responses to the following will result in the bid or proposal not being considered for application of Santa Clara County s local preference policy. False or dishonest responses will result in rejection of the bid or proposal and curtail the firm or individual s ability to conduct business with the County in the future. It may also result in legal action. Provide the complete physical address of your business with meaningful production capability located within the boundary of the County of Santa Clara. The term production capability means sales, marketing, manufacturing, servicing, or research and development capability that substantially and directly enhances the firm s/bidder s/offeror s ability to perform the proposed contract. Post Office box numbers, residential addresses, a local sales office without any support and/or a local subcontractor hired by the contractor may not be used as the sole basis for establishing status as a Local Business. If you have more than one physical address in Santa Clara County, please provide an attachment with all of the addresses in the form specified below. Business Name: Street: City/State: Zip: Please Indicate Business Organization (Check One) Individual Proprietorship Partnership Corporation Other By filling this form, bidder/offeror declares its qualification as a local business as defined in County of Santa Clara Board Policy, Section The undersigned declares that he or she is an official/agent of responding firm or individual and is empowered to represent, bind, and execute contracts on behalf of the firm or individual. Request For Proposal #RFP-DAA-FY Page 23 of 41 10/18/2013 9:46 AM p. 25

26 The undersigned declares under penalty of perjury, under the laws of the State of California, that all statements in this Exhibit and response are true and correct, with full knowledge that all statements are subject to investigation and that any incomplete, unclear, false or dishonest response may be grounds for denial or revocation of the accompanying bid or proposal and may result in being barred from doing business with Santa Clara County as well as additional legal consequences. Signature Name Title Date Business License Number (if applicable) Request For Proposal #RFP-DAA-FY Page 24 of 41 10/18/2013 9:46 AM p. 26

27 APPENDIX E OFFEROR S TERMS AND CONDITIONS Below, please initial next to the appropriate statement. Failure to initial shall default to the first response, acceptance of the County s terms and conditions as is. Offeror accepts the County s terms and conditions listed in Attachment 1 as is. Offeror accepts the County s terms and conditions listed in Attachment 1 and proposes additional terms and conditions here in Appendix I below. Offeror shall provide specific proposed wording and a brief discussion of the purpose and impact, if any, and include any applicable agreement, such as license, service level, maintenance, etc. Offeror objects to the County s terms and conditions listed in Attachment 1 and has indicated the reason for objection and/or proposed specific alternative language here in Appendix I below. The County may or may not accept the alternative language. General references to the Offeror s terms and conditions or attempts at complete substitutions are not acceptable to the County and the County may disqualify the response in its entirety. Offeror must provide a brief discussion of the purpose and impact, if any, of each proposed changed followed by the specific proposed alternate wording for any applicable agreement, such as license, service level, maintenance, etc. Request For Proposal #RFP-DAA-FY Page 25 of 41 10/18/2013 9:46 AM p. 27

28 ATTACHMENT 1 COUNTY OF SANTA CLARA SERVICE AGREEMENT SECTION I: GENERAL INFORMATION Contractor Name: Purchase Order Number: Agency/Department Name: Department No: Brief Description of Services: Maximum Financial Obligation The maximum amount payable to this contractor $ under this agreement shall not exceed: Term of Agreement Start Date: (When left blank, start date will be the date executed by Authorized County Representative) End Date: Account Assignment Plant Number General Ledger (Expense Code) For County Use Only Cost Center (Dept Code) Amount WBS (Capital Project Code) Internal Order ( PCA code optional) Line 1 Line 2 Line 3 Line 4 Line 5 Request For Proposal #RFP-DAA-FY Page 26 of 41 10/18/2013 9:46 AM p. 28

29 SECTION II: PARTIES TO AGREEMENT Legal notices and invoices pertaining to this Agreement shall be sent to the appropriate contact person listed below. Notices shall be in writing and served either by personal delivery or sent by certified or registered mail, postage prepaid, addressed as follows. Notice shall be deemed effective on the date that the notice is personally delivered or, if mailed, three (3) days after deposit in the mail. Either party may designate a different person and/or address for the receipt of notices by sending written notice to the other party, which shall not require an amendment to this Agreement. Business Name Contractor Contact Person Street Address * City, State, Zip * Telephone number * Address * SCC Vendor Number (SAP) * To be completed for Independent Contractors Only DO NOT COMPLETE FOR DEPENDENT CONTRACTORS Agency / Department Program Manager or Contract Monitor Name Street Address County of Santa Clara City, State, Zip Telephone number Fiscal Contact (Accounts Payable Contact) Contract Preparer Request For Proposal #RFP-DAA-FY Page 27 of 41 10/18/2013 9:46 AM p. 29

30 SECTION III: CONTRACT AUTHORIZATION It is agreed between County and Contractor that Contractor will, for the compensation described in this Agreement, perform the work described in Section V in accordance with all terms and conditions of this Agreement including all exhibits and attachments. In addition, County and Contractor certify that the tax withholding status and benefit documentation (Section IV) accurately reflect the anticipated working relationship between County and Contractor. Further, contractor certifies that the insurance waiver information (Section VIII, Part B) of this form is true and correct. For independent contractors, a certificate demonstrating appropriate insurance is required before work may begin. SIGNATURES Contract is not valid until signed by Contractor and County s authorized representative. Signatures of the County Counsel and Office of the County Executive are required for contracts executed by a delegation of authority. Contractor: Date: County Authorized Representative: (Procurement Department, Board of Supervisors, or Delegated Authority) Agency/Department Manager: Date: Date: Agency/Department Fiscal Officer: Date: County Counsel: (Signature required when the Standard Provisions language (Section VI) is changed, or for IT Services pursuant to Board Policy , or when contract was approved by a delegation of authority from the Board) Office of the County Executive: Date: Date: (Signature required when Board approved contract by a delegation of authority) Attest Clerk of the Board: Date: (Signature required when Board approved contract) Request For Proposal #RFP-DAA-FY Page 28 of 41 10/18/2013 9:46 AM p. 30

31 SECTION IV: DETERMINATION OF RELATIONSHIP STATUS Dependent/Independent status is an important relationship distinction. It determines the contractor s eligibility for Medicare and Social Security, Public Employees Retirement System benefits, and other benefits and affects how the contractor files tax returns and the contractor s responsibility for various federal and state taxes. Questionnaire to be Completed by Contracting Department to Determine Relationship Status of Contractor Supervision: Will the County have the right to tell the contractor how to do the work, when to arrive or leave work, or when to take breaks? Do you have other employees performing similar work with a similar degree of supervision? If the answer to any of these questions is YES, select YES from the dropdown. Training: Will the County instruct the contractor on how to do the job or pay for external training? Incomplete Work: Will the Contractor be able to resign or terminate the contract without being held either financially or legally liable for unfinished work? Place of Work/Tools: Will the County provide the Contactor with a place to work at a County location and tools to do the job, i.e. computers, telephones, etc? Length of Relationship: When the Contractor is hired to complete ongoing departmental duties or functions answer YES. When the contractor is hired to complete a specific project that was not the regular tasks performed by County employees before. Other Customers: Does the County prevent the Contractor from performing similar services for other customers, either due to the amount of work (full-time), or by contractual provision? Designation as Business Entity: If the Contractor has a business license or business certificate, or is a corporation, nonprofit organization, or school district, select No from the dropdown. (This does not pertain to professional licenses or certificates such as a license for a physician or architect.) Enter below the business license number and the city/entity where issued. Bus Lic. # Issued by: Payment Schedule: Will payments be made either as an hourly wage or as weekly/monthly salary? If payment is by commission or based on project milestones or deliverables, answer NO to this question. Be sure this answer matches the contract payment schedule in Section V. Support Services: Will County employees or other independent contractors provide assistance to this Contractor? Assistance is defined as clerical, technical or professional support. If at least 5 of the above questions were answered NO, Contractor is an Independent Contractor. If 5 or more of the above questions were answered YES, Contractor is a Dependent Contractor, where the relationship resembles that of employer/employee. Tax withholding is required and benefits are provided. Complete and attach the following forms: Employee s Withholding Allowance Certificate Federal Form W-4, State Withholding, Form DE-4, Determining PERS Eligibility and PERS Member Action Request. Visit for more information regarding Dependent Contractors. County insurance requirements do not apply to Dependent Contractors. Contractor understands and agrees that the tax withholding and benefit status checked above is correct. Any changes to the contractor s tax withholding and benefit status require a new contract. Contractor is responsible for any penalties and liabilities assessed by any taxing authority, based on a change of tax withholding and benefit status. Contractor s Initials: Reviewed by Dept. Fiscal Officer: Request For Proposal #RFP-DAA-FY Page 29 of 41 10/18/2013 9:46 AM p. 31

32 SECTION V: CONTRACT SPECIFICS A. SERVICE DESCRIPTION AND EXPECTED OUTCOME (SCOPE OF SERVICE) Or See Attachment incorporated by this reference B. DELIVERABLES, MILESTONES, TIMELINE FOR PERFORMANCE Or See Attachment incorporated by this reference Request For Proposal #RFP-DAA-FY Page 30 of 41 10/18/2013 9:46 AM p. 32

33 C. PERFORMANCE STANDARDS Or See Attachment incorporated by this reference D. PAYMENT SCHEDULE Note: All reimbursements for travel shall comply with the current County Travel Policy Dependent contractors are not permitted to work in excess of 40 hours per week Or See Attachment incorporated by this reference Request For Proposal #RFP-DAA-FY Page 31 of 41 10/18/2013 9:46 AM p. 33

34 SECTION VI: STANDARD PROVISIONS Changes to the terms and conditions in this section require approval of County Counsel A. ENTIRE AGREEMENT This document represents the entire Agreement between the parties. All prior negotiations and written and/or oral agreements between the parties with respect to the subject matter of the agreement are merged into this Agreement. B. AMENDMENTS This agreement may only be amended by a written instrument signed by the Parties. C. CONFLICTS OF INTEREST Contractor shall comply, and require its subcontractors to comply, with all applicable (i) requirements governing avoidance of impermissible client conflicts; and (ii) federal, state and local conflict of interest laws and regulations including, without limitation, California Government Code section 1090 et. seq., the California Political Reform Act (California Government Code section et. seq.) and the regulations of the Fair Political Practices Commission concerning disclosure and disqualification (2 California Code of Regulations section et. seq.). Failure to do so constitutes a material breach of this Agreement and is grounds for immediate termination of this Agreement by the County. In accepting this Agreement, Contractor covenants that it presently has no interest, and will not acquire any interest, direct or indirect, financial or otherwise, which would conflict in any manner or degree with the performance of this Agreement. Contractor further covenants that, in the performance of this Agreement, it will not employ any contractor or person having such an interest. Contractor, including but not limited to contractor s employees and subcontractors, may be subject to the disclosure and disqualification provisions of the California Political Reform Act of 1974 (the Act ), that (1) requires such persons to disclose economic interests that may foreseeably be materially affected by the work performed under this Agreement, and (2) prohibits such persons from making or participating in making decisions that will foreseeably financially affect such interests. If the disclosure provisions of the Political Reform Act are applicable to any individual providing service under this Agreement, Contractor shall, upon execution of this Agreement, provide the County with the names, description of individual duties to be performed, and addresses of all individuals, including but not limited to Contractor s employees, agents and subcontractors, that could be substantively involved in making a governmental decision or serving in a staff capacity and in that capacity participating in making governmental decisions or performing duties that would be performed by an individual in a designated position, (2 CCR 18701(a)(2)), as part of Contractor s service to the County under this Agreement. Contractor shall immediately notify the County of the names and addresses of any additional individuals later assigned to provide such service to the County under this Agreement in such a capacity. Contractor shall immediately notify the County of the names of individuals working in such a capacity who, during the course of the Agreement, end their service to the County. If the disclosure provisions of the Political Reform Act are applicable to any individual providing service under this Agreement, Contractor shall ensure that all such individuals identified pursuant to this section understand that they are subject to the Act and shall conform to all requirements of the Act and other laws and regulations listed in subsection (A) including, as required, filing of Statements of Economic Interests within 30 days of commencing service pursuant to this Agreement, annually by April 1, and within 30 days of their termination of service pursuant to this Agreement. D. GOVERNING LAW, VENUE This Agreement has been executed and delivered in, and shall be construed and enforced in accordance with, the laws of the State of California. Proper venue for legal action regarding this Agreement shall be in the County of Santa Clara. E. ASSIGNMENT No assignment of this Agreement or of the rights and obligations hereunder shall be valid without the prior written consent of theother party. F. ASSIGNMENT OF CLAYTON ACT, CARTWRIGHT ACT CLAIMS Contractor assigns to the County all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the Contractor for sale to the County pursuant to this Agreement. G. WAIVER No delay or failure to require performance of any provision of this Agreement shall constitute a waiver of that provision as to that or any other instance. Any waiver granted by a party shall be in writing and shall apply to the specific instance expressly stated. Request For Proposal #RFP-DAA-FY Page 32 of 41 10/18/2013 9:46 AM p. 34

35 H. NON-DISCRIMINATION Standard Non-Discrimination Language Contractor shall comply with all applicable Federal, State, and local laws and regulations including Santa Clara County s policies concerning nondiscrimination and equal opportunity in contracting. Such laws include but are not limited to the following: Title VII of the Civil Rights Act of 1964 as amended; Americans with Disabilities Act of 1990; The Rehabilitation Act of 1973 (Sections 503 and 504); California Fair Employment and Housing Act (Government Code sections et seq.); and California Labor Code sections 1101 and Contractor shall not discriminate against any subcontractor, employee, or applicant for employment because of age, race, color, national origin, ancestry, religion, sex/gender, sexual orientation, mental disability, physical disability, medical condition, political beliefs, organizational affiliations, or marital status in the recruitment, selection for training including apprenticeship, hiring, employment, utilization, promotion, layoff, rates of pay or other forms of compensation. Nor shall Contractor discriminate in provision of services provided under this contract because of age, race, color, national origin, ancestry, religion, sex/gender, sexual orientation, mental disability, physical disability, medical condition, political beliefs, organizational affiliations, or marital status. OR Alternate Non-Discrimination Language Attached As Exhibit (Requires County Counsel Approval), incorporated by this reference. I. TERMINATION Standard Termination Language The County may, by written notice to Contractor, terminate all or part of this Agreement at any time for the convenience of the County. The notice shall specify the effective date and the scope of the termination. In the event of termination, Contractor shall deliver to County all documents prepared pursuant to the Agreement, whether complete or incomplete. Contractor may retain a copy for its records. Upon receipt of the documents, Contractor shall be compensated based on the completion of services provided, as solely and reasonably determined by County. OR Alternate Termination Language Attached As Exhibit (Requires County Counsel Approval)., incorporated by this reference J. BUDGET CONTINGENCY This Agreement is contingent upon the appropriation of sufficient funding by the County for the services covered by this Agreement. If funding is reduced or deleted by the County for the services covered by this Agreement, the County has the option to either terminate this Agreement with no liability occurring to the County or to offer an amendment to this Agreement indicating the reduced amount. K. COUNTY NO-SMOKING POLICY Contractor and its employees, agents and subcontractors, shall comply with the County s No-Smoking Policy, as set forth in the Board of Supervisors Policy Manual section 3.47 (as amended from time to time), which prohibits smoking: (1) at the Santa Clara Valley Medical Center Campus and all County-owned and operated health facilities, (2) within 30 feet surrounding County-owned buildings and leased buildings where the County is the sole occupant, and (3) in all County vehicles. Request For Proposal #RFP-DAA-FY Page 33 of 41 10/18/2013 9:46 AM p. 35

36 L. FOOD AND BEVERAGE STANDARDS Except in the event of an emergency or medical necessity, the following nutritional standards shall apply to any foods and/or beverages purchased by Contractor with County funds for County-sponsored meetings or events. If food is to be provided, healthier food options shall be offered. Healthier food options include (1) fruits, vegetables, whole grains, and low fat and low calorie foods; (2) minimally processed foods without added sugar and with low sodium; (3) foods prepared using healthy cooking techniques; and (4) foods with less than 0.5 grams of trans fat per serving. Whenever possible, Contractor shall (1) offer seasonal and local produce; (2) serve fruit instead of sugary, high calorie desserts; (3) attempt to accommodate special, dietary and cultural needs; and (4) post nutritional information and/or a list of ingredients for items served. If meals are to be provided, a vegetarian option shall be provided, and the Contractor should consider providing a vegan option. If pre-packaged snack foods are provided, the items shall contain: (1) no more than 35% of calories from fat, unless the snack food items consist solely of nuts or seeds; (2) no more than 10% of calories from saturated fat; (3) zero trans fat; (4) no more than 35% of total weight from sugar and caloric sweeteners, except for fruits and vegetables with no added sweeteners or fats; and (5) no more than 360 mg of sodium per serving. If beverages are to be provided, beverages that meet the County s nutritional criteria are (1) water with no caloric sweeteners; (2) unsweetened coffee or tea, provided that sugar and sugar substitutes may be provided as condiments; (3) unsweetened, unflavored, reduced fat (either nonfat or 1% low fat) dairy milk; (4) plant-derived milk (e.g., soy milk, rice milk, and almond milk) with no more than 130 calories per 8 ounce serving; (5) 100% fruit or vegetable juice (limited to a maximum of 8 ounces per container); and (6) other low-calorie beverages (including tea and/or diet soda) that do not exceed 40 calories per 8 ounce serving. Sugar-sweetened beverages shall not be provided. M. CONTRACTING PRINCIPLES All entities that contract with the County to provide services where the contract value is $100,000 or more per budget unit per fiscal year and/or as otherwise directed by the Board, shall be fiscally responsible entities and shall treat their employees fairly. To ensure compliance with these contracting principles, all contractors shall: (1) comply with all applicable federal, state and local rules, regulations and laws; (2) maintain financial records, and make those records available upon request; (3) provide to the County copies of any financial audits that have been completed during the term of the contract; (4) upon the County s request, provide the County reasonable access, through representatives of the Contractor, to facilities, financial and employee records that are related to the purpose of the contract, except where prohibited by federal or state laws, regulations or rules. N. CALIFORNIA PUBLIC RECORDS ACT The County is a public agency subject to the disclosure requirements of the California Public Records Act ( CPRA ). If Contractor s proprietary information is contained in documents submitted to County, and Contractor claims that such information falls within one or more CPRA exemptions, Contractor shall clearly mark such information CONFIDENTIAL AND PROPRIETARY, and identify the specific lines containing the information. In the event of a request for such information, the County will use its best efforts to provide notice to Contractor prior to such disclosure. If Contractor contends that any documents are exempt from the CPRA and wishes to prevent disclosure, it is required to obtain a protective order, injunctive relief or other appropriate remedy from a court of law in Santa Clara County before the County s deadline for responding to the CPRA request. If Contractor fails to obtain such remedy within County s deadline for responding to the CPRA request, County may disclose the requested information. Contractor shall defend, indemnify and hold the County harmless against any claim, action or litigation (including but not limited to all judgments, costs, fees, and reasonable attorney s fees) that may result from denial, withholding or redaction of a CPRA request for information arising from any representation, or any action (or inaction), by the Contractor. O. THIRD PARTY BENEFICIARIES This agreement does not, and is not intended to, confer any rights or remedies upon any person or entity other than the parties. P. INTELLECTUAL PROPERTY RIGHTS: Ownership: County shall own all right, title and interest in and to the Deliverables. For purposes of this Agreement, the term Deliverables shall mean any documentation and deliverables created by Contractor during the performance of services that are identified in this Agreement. Contractor hereby assigns to the County all rights, title and interest in and to any and all intellectual property whether or not patentable or registrable under patent, copyright, trademark or similar statutes, made or conceived or reduced to practice or learned by Contractor, either alone or jointly with others, during the period of Contractor s agreement with the County or result from the use of premises leased, owned or contracted for by the County. Contractor acknowledges that all original works of authorship which are made by Contractor (either solely or jointly with others) within the scope of this Agreement and which are protectable by copyright are works made for hire, as that term is defined in the United States Copyright Act (17 U.S.C. Section 101), and shall belong solely to County. Contractor agrees that the County will be the copyright owner in all copyrightable works of every kind and description created or delivered by Contractor, either solely or jointly with others, in connection with any agreement with the County. Request For Proposal #RFP-DAA-FY Page 34 of 41 10/18/2013 9:46 AM p. 36

37 Q. INTELLECTUAL PROPERTY INDEMNITY Contractor represents and warrants for the benefit of the County and its users that, to its knowledge, as of the effective date of this Agreement, Contractor is the exclusive owner of all rights, title and interest in the Deliverables and/or services provided pursuant to this Agreement. Contractor shall defend, indemnify and hold the County harmless against any claim, action or litigation (including but not limited to all judgments, costs, fees, and reasonable attorney s fees) by a third party alleging the Deliverables and/or services provided pursuant to this Agreement infringe upon any intellectual property rights of third parties. This indemnity and duty to defend is in addition to and does not supersede the requirements stated in VII of this agreement. R. OWNERSHIP RIGHTS TO MATERIALS / RESTRICTIONS ON USE All materials obtained, developed or prepared by Contractor in the course of performing services hereunder, including but not limited to videotapes, audio recordings, still photographs, ads or brochures, and the derivative works, patent, copyright, trademark, trade secret or other proprietary rights associated therewith (collectively Deliverables ), shall be the sole and exclusive property of the County. To the extent Contractor owns or claims ownership rights to said Deliverables, Contractor hereby expressly assigns all said rights, title, and interest in and to the Deliverables to the County pursuant to the terms and conditions of this Agreement and at no additional cost. The County has the exclusive royalty-free irrevocable right to duplicate, publish or otherwise use for any purpose, all materials prepared under this Agreement. If Contractor wishes to use the materials prepared hereunder for any purpose including but not limited to promotional, educational or commercial purposes, the Contractor shall obtain prior written authorization from the County, which consent may be withheld by the County in its sole discretion. Contractor acknowledges that all original works of authorship which are made by Contractor (solely or jointly with others) within the scope of this Agreement and which are protectable by copyright are works made for hire, as that term is defined in the United States Copyright Act (17 U.S.C., Section 101), and shall belong solely to County. Contractor agrees that the County will be the copyright owner in all copyrightable works of every kind and description created or developed by Contractor, solely or jointly with others, in connection with any agreement with the County. If requested to, and at no further expense to the County, Contractor will execute in writing any acknowledgments or assignments of copyright ownership of such copyrightable works as may be appropriate for preservation of the worldwide ownership in the County and its nominees of such copyrights. This section shall apply to the extent not otherwise provided under this agreement. S. COUNTY DATA County Data shall mean data and information received by Contractor from County. As between Contractor and County, all County Data shall remain the property of the County. Contractor shall not acquire any ownership interest in the County Data. Contractor shall not, without County s written permission consent, use or disclose the County Data other than in the performance of its obligations under this Agreement. Contractor shall be responsible for establishing and maintaining an information security program that is designed to ensure the security and confidentiality of County Data, protect against any anticipated threats or hazards to the security or integrity of County Data, protect against unauthorized access to or use of County Data that could result in substantial harm or inconvenience to County or any end users; and ensure the proper disposal of County data upon termination of this Agreement. Contractor shall take appropriate action to address any incident of unauthorized access to County Data, including addressing and/or remedying the issue that resulted in such unauthorized access, notifying County as soon as possible of any incident of unauthorized access to County Data, or any other breach in Contractor s security that materially affects County or end users; and be responsible for ensuring compliance by its officers, employees, agents, and subcontractors with the confidentiality provisions hereof. Should confidential and/or legally protected County Data be divulged to unauthorized third parties, Contractor shall comply with all applicable federal and state laws and regulations, including but not limited to California Civil Code Sections and at Contractor s sole expense (if applicable). Contractor shall not charge the County for any expenses associated with Contractor s compliance with the obligations set forth in this section. Request For Proposal #RFP-DAA-FY Page 35 of 41 10/18/2013 9:46 AM p. 37

38 SECTION VII: INSURANCE / INDEMNIFICATION Independent Contractors shall comply with the County s insurance and indemnification requirements as indicated below. These requirements do not apply to Dependent Contractors. A. TYPE OF INSURANCE LANGUAGE The following standard insurance and indemnification language is attached and incorporated into this agreement: Modification or Waiver Attached if Appropriate B. DETERMINATION OF INSURANCE REQUIREMENTS AND WAIVER DECLARATION Workers Compensation: Does the contractor have employees? If YES, then, WORKER S COMPENSATION/EMPLOYER S LIABILITY INSURANCE IS REQUIRED. Owned Auto Insurance: Will the contractor use any owned autos in the provision of direct services, such as transporting clients in autos or operating autos in performance of the work itself? If YES, then INSURANCE FOR OWNED AUTOS IS REQUIRED. Hired Auto Insurance: Will the contractor use any hired autos in the provision of direct services, such as transporting clients in autos or operating autos in performance of the work itself? If YES, then INSURANCE FOR HIRED AUTOS IS REQUIRED. Non-owned Auto Insurance: Will the contractor be using any non-owned autos in the provision of direct services, such as transporting clients in non-owned autos or operating non-owned autos in performance of the work itself? If YES then, INSURANCE FOR NON-OWNED AUTOS IS REQUIRED. When NO is checked, this declaration will serve as a waiver for the specified type of insurance. Request For Proposal #RFP-DAA-FY Page 36 of 41 10/18/2013 9:46 AM p. 38

39 SECTION VIII: FEDERAL/STATE REQUIRED PROVISIONS (Examples include Drug free Workplace Activity, Health Insurance Portability and Accountability Act (HIPAA), Business Associate Language, etc) A. Federal Required Language Attached (optional) Only add special language if services included in the contract require language different from or in addition to that in Section VI. B. State Required Language Attached (optional) Only add special language if services included in the contract require language different from or in addition to that in Section VI. SECTION IX: ADDITIONAL ATTACHED EXHIBIT(S) (optional) If exhibits are added to this Service Agreement, the contract will require review, approval and signature of County Counsel, with the exception of attachments that further explain the Contract Specifics as outlined in Section V, and insurance exhibits. Examples of attachments that require County Counsel approval are: 1) Contractor s terms and conditions that are different than, or add to the standard provisions language, 2) Any changes to the language in Section VI Standard Provisions. Exhibit Name(s) The Exhibits named above are attached and incorporated by this reference Request For Proposal #RFP-DAA-FY Page 37 of 41 10/18/2013 9:46 AM p. 39

40 ATTACHMENT 2 INSURANCE REQUIREMENTS EXHIBIT B-3 (revised) INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES CONTRACTS (e.g. Medical, Legal, Financial services, etc.) Indemnity The Contractor shall indemnify, defend, and hold harmless the County of Santa Clara (hereinafter "County"), its officers, agents and employees from any claim, liability, loss, injury or damage arising out of, or in connection with, performance of this Agreement by Contractor and/or its agents, employees or sub-contractors, excepting only loss, injury or damage caused by the sole negligence or willful misconduct of personnel employed by the County. It is the intent of the parties to this Agreement to provide the broadest possible coverage for the County. The Contractor shall reimburse the County for all costs, attorneys' fees, expenses and liabilities incurred with respect to any litigation in which the Contractor is obligated to indemnify, defend and hold harmless the County under this Agreement. Insurance Without limiting the Contractor's indemnification of the County, the Contractor shall provide and maintain at its own expense, during the term of this Agreement, or as may be further required herein, the following insurance coverages and provisions: A. Evidence of Coverage Prior to commencement of this Agreement, the Contractor shall provide a Certificate of Insurance certifying that coverage as required herein has been obtained. Individual endorsements executed by the insurance carrier shall accompany the certificate. In addition, a certified copy of the policy or policies shall be provided by the Contractor upon request. This verification of coverage shall be sent to the requesting County department, unless otherwise directed. The Contractor shall not receive a Notice to Proceed with the work under the Agreement until it has obtained all insurance required and such insurance has been approved by the County. This approval of insurance shall neither relieve nor decrease the liability of the Contractor. B. Qualifying Insurers Rev. 4/2002 All coverages, except surety, shall be issued by companies which hold a current policy holder's alphabetic and financial size category rating of not less than A- V, according to the current Best's Key Rating Guide or a company of equal financial stability that is approved by the County's Insurance Manager. Request For Proposal #RFP-DAA-FY Page 38 of 41 10/18/2013 9:46 AM p. 40

41 EXHIBIT B-3 (revised) C. Notice of Cancellation All coverage as required herein shall not be canceled or changed so as to no longer meet the specified County insurance requirements without 30 days' prior written notice of such cancellation or change being delivered to the County of Santa Clara or their designated agent. D. Insurance Required 1. Commercial General Liability Insurance - for bodily injury (including death) and property damage which provides limits as follows: a. Each occurrence - $1,000,000 b. General aggregate - $2,000,000 c. Personal Injury - $1,000, General liability coverage shall include: a. Premises and Operations b. Personal Injury liability c. Severability of interest 3. General liability coverage shall include the following endorsement, a copy of which shall be provided to the County: Additional Insured Endorsement, which shall read: County of Santa Clara, and members of the Board of Supervisors of the County of Santa Clara, and the officers, agents, and employees of the County of Santa Clara, individually and collectively, as additional insureds. Insurance afforded by the additional insured endorsement shall apply as primary insurance, and other insurance maintained by the County of Santa Clara, its officers, agents, and employees shall be excess only and not contributing with insurance provided under this policy. Public Entities may also be added to the additional insured endorsement as applicable and the contractor shall be notified by the contracting department of these requirements. Rev. 4/2002 Request For Proposal #RFP-DAA-FY Page 39 of 41 10/18/2013 9:46 AM p. 41

42 EXHIBIT B-3 (revised) 4. Automobile Liability Insurance For bodily injury (including death) and property damage which provides total limits of not less than one million dollars ($1,000,000) combined single limit per occurrence applicable to owned, non-owned and hired vehicles. 4a. Aircraft/Watercraft Liability Insurance (Required if Contractor or any of its agents or subcontractors will operate aircraft or watercraft in the scope of the Agreement) For bodily injury (including death) and property damage which provides total limits of not less than one million dollars ($1,000,000) combined single limit per occurrence applicable to all owned non-owned and hired aircraft/watercraft. 5. Workers' Compensation and Employer's Liability Insurance a. Statutory California Workers' Compensation coverage including broad form all-states coverage. b. Employer's Liability coverage for not less than one million dollars ($1,000,000) per occurrence. 6. Professional Errors and Omissions Liability Insurance a. Coverage shall be in an amount of not less than one million dollars ($1,000,000) per occurrence/aggregate. b. If coverage contains a deductible or self-retention, it shall not be greater than fifty thousand dollars ($50,000) per occurrence/event. c. Coverage as required herein shall be maintained for a minimum of two years following termination or completion of this Agreement. 7. Claims Made Coverage If coverage is written on a claims made basis, the Certificate of Insurance shall clearly state so. In addition to coverage requirements above, such policy shall provide that: a. Policy retroactive date coincides with or precedes the Consultant's start of work (including subsequent policies purchased as renewals or replacements). b. Policy allows for reporting of circumstances or incidents that might give rise to future claims. Rev. 4/2002 Request For Proposal #RFP-DAA-FY Page 40 of 41 10/18/2013 9:46 AM p. 42

43 E. Special Provisions EXHIBIT B-3 (revised) The following provisions shall apply to this Agreement: 1. The foregoing requirements as to the types and limits of insurance coverage to be maintained by the Contractor and any approval of said insurance by the County or its insurance consultant(s) are not intended to and shall not in any manner limit or qualify the liabilities and obligations otherwise assumed by the Contractor pursuant to this Agreement, including but not limited to the provisions concerning indemnification. 2. The County acknowledges that some insurance requirements contained in this Agreement may be fulfilled by self-insurance on the part of the Contractor. However, this shall not in any way limit liabilities assumed by the Contractor under this Agreement. Any self-insurance shall be approved in writing by the County upon satisfactory evidence of financial capacity. Contractors obligation hereunder may be satisfied in whole or in part by adequately funded self-insurance programs or self-insurance retentions. 3. Should any of the work under this Agreement be sublet, the Contractor shall require each of its subcontractors of any tier to carry the aforementioned coverages, or Contractor may insure subcontractors under its own policies. 4. The County reserves the right to withhold payments to the Contractor in the event of material noncompliance with the insurance requirements outlined above. F. Fidelity Bonds (Required only if contractor will be receiving advanced funds or payments) Before receiving compensation under this Agreement, Contractor will furnish County with evidence that all officials, employees, and agents handling or having access to funds received or disbursed under this Agreement, or authorized to sign or countersign checks, are covered by a BLANKET FIDELITY BOND in an amount of AT LEAST fifteen percent (15%) of the maximum financial obligation of the County cited herein. If such bond is canceled or reduced, Contractor will notify County immediately, and County may withhold further payment to Contractor until proper coverage has been obtained. Failure to give such notice may be cause for termination of this Agreement, at the option of County. Rev. 4/2002 Request For Proposal #RFP-DAA-FY Page 41 of 41 10/18/2013 9:46 AM p. 43

44 APPENDIX B - 1 COST PROPOSAL RESPONSE FORM Offeror s Name: Section I Cost Proposal Offeror please complete the applicable sections based upon your proposed solution. Add lines as needed. The Offeror must break out the estimated travel cost separately. Please note, the Offeror must adhere to the County s Travel Policy (below) and only those expenses that are covered under the policy will be reimbursed. Please be sure to include all costs, as additional costs will not be allowed later. The County does not guarantee, whether expressed or implied, ordering any estimated quantity, but reserves the right to order at any quantity deemed necessary. Cost Proposal: 1 Hourly Rate for Forensic Accountant Hour $ 2 Total Travel Expenses (from below) Total $ 3 Other costs (describe) $ 4 Total $ Section II - Travel Expenses Please itemize the travel expense in Row 2 in the above table, if any. Description Cost 1. $ 2. $ 3. $ 4. $ Total $ 10/18/2013 9:46 AM p. 44

45 Section III - County Travel Policy Travel costs shall be aligned with the County s current travel policy. Listed below is a summary of the policy (effective 6/2010). Original receipts must be submitted to the County for travel reimbursement. The County will pay actual costs up to the limits listed below. 1. Transportation: coach class airfare to local airport (San Jose the nearest) at the lowest available rate, taking consideration any special rates, promotions, etc which would reduce the rate. If requiring ground transportation (rental car), the most economical and appropriate form of available transportation. 2. Lodging: single person occupancy taking into consideration any special rates, promotions, etc., which would reduce the rate. Reimbursement will be based on actual expenses up to federal per diem rate. Receipts must be provided for lodging reimbursement. 3. Meal reimbursement is based on federal per diem rates. Go to under home page; click Per Diem Rates. 4. Other costs: miscellaneous expenses must be itemized, and receipts must be provided for each single item of expense in excess of $10.00 Non-reimbursement expenses include, but not limited to, the following: a. parking/traffic violations; b. flight insurance and car rental insurance; c. tips exceeding guidelines; d. airline club membership or credit card fees; e. refreshments, snacks, alcoholic beverages; f. personal travel expenses; g. medicinal remedies, health supplies/cosmetics; h. personal entertainment, i.e., in room movies; and i. any other non-reimbursable expense in contractor s travel policy. 10/18/2013 9:46 AM p. 45

46 Guiding Principles County of Santa Clara TRAVEL POLICY 2010 Quick Reference Guide for Contractors Payment of travel expenses are limited to training and business purposes that benefit the County. All expenses incurred while on County business should reflect reasonable and prudent use of public funds. Contractors should choose the most efficient, direct and economic travel options required by the occasion. Travel Authorization Travel expenses submitted by the contractor are reimbursable by the County only through a written contractual obligation signed by both parties. Contractor is obligated to follow the policies and procedures described therein. Contractor shall ensure that all travel on behalf of the County is necessary and allowable prior to making any reservation or embarking on the trip. Department Contractor Monitor approving the travel expenses shall determine: Introduction This is a quick reference guide to travel policies and procedures contained in the County's Travel Policy Desk Reference Manual. It is NOT meant to provide comprehensive information. County Service Agreements and Contracts shall be written to comply with County Travel Policy when terms include travel provisions for contractor whose travel expenses are paid by the County, unless grant specifically authorizes in writing that a different policy shall apply. 1. if the trip is necessary 2. if the business reason for the trip is justified 3. if the business purpose could be accomplished by telephone, or other means 4. if the estimated cost justifies the trip Reservations for Airfare and Car Rental Depending on the language in the Contract, reservation required for official travel by contractor can be arranged through designated travel agency whenever practicable or by contractor when lowest available rate can be obtained and price is comparable to those obtained from travel agency. 10/18/2013 9:46 AM p. 46

47 Reimbursable Travel Costs Reimbursable travel costs are limited to those that are actual and necessary. When arranging for travel, Contractor should consider any special rates, promotions, etc., which would reduce County cost. For example, some special rates are available to those who are traveling on government business. Transportation Costs In determining the mode of transportation, Contractor should consider relative costs, time efficiencies, and the number of people traveling together. County will reimburse Contractor for standard coach airfare at the lowest available rate, and reasonable and actual add-on airline fee when submitted with receipt(s). Contractors who use private auto for traveling on County business will be reimbursed at the current IRS published rate. When traveling to a destination with scheduled airline service, the mileage payment may not exceed the equivalent coach class airfare plus avoided mileage to/from airport and local airport parking cost. Rental car rate should be comparable to State rental car contract with low base rate. Reimbursement is limited to standard sedan or vehicle commensurate with the requirement of the trip with proper approval. The car must be turned in promptly. Additional daily charges will not be reimbursed. Current proof of auto insurance must be provided when requesting mileage or rental car reimbursement for County business. Travel Insurance The Contractor assumes all risks and expenses associated with obtaining insurance deemed necessary when using a private vehicle or rental vehicle for business-related travel. The cost of such insurance is not reimbursable. It is the Contractor's responsibility to protect against damage to his/her vehicle and legal liability in the form of insurance that complies with State of California law and Insurance Code. Lodging Costs Lodging expenses will be reimbursed at the actual expenses up to the federal per diem rate plus hotel tax. Itemized receipt must be provided. Meal Costs Meals on authorized County business will be reimbursed at the federal meal per diem rate. Federal Per Diem Rate For Travel within the Continental US, use rate listed on Includes 48 contiguous States and District of Columbia high cost locations Applies to short term travel (29 days or fewer) Use County Code ( search when the city is not listed and to identify if the city is in a high cost county If neither city nor county is listed, use CONUS standard lodging/meal rate 10/18/2013 9:46 AM p. 47

48 Incidental and Other Reimbursable Expenses Reasonable and necessary costs for other travel expenses will be reimbursed when supported by itemized receipts (if more than $10) or other appropriate documentation. Incidental expenses incurred will be reimbursed up to GSA limit (currently at $5 per day) Other Costs Miscellaneous expenses must be itemized, and receipts must be provided for each single item of expense in excess of $ Non-reimbursable Expenses include: *Travel and related expenses performed outside the scope of contract agreement will be denied. This includes, but not limited to, travel performed: 1. prior to the execution of the agreement 2. after the expiration of the agreement 3. at a location not included in the agreement 4. during the term of the agreement, but without proper approval of contract monitor 5. travel costs in excess of those allowed within the County Travel Policy or those prescribed by the contract * If official business travel is interrupted for personal convenience, any resulting additional expenses shall be borne by the Contractor. *Airfare exceeding the lowest available price for standard coach class *Parking and traffic violations *Mileage for County vehicle *Mileage for commute to work *Emergency repairs for non-county vehicles *Insurance not provided for under the Travel Policy *Car rental Service Option and vehicle insurance *Tips exceeding guidelines *Airline club membership or credit card fees *Refreshments, snacks, alcoholic beverages *Personal travel expenses *Medicinal remedies, health supplies, cosmetics *Personal entertainment, e.g. in-room movies *Childcare fees; kennel/boarding fees *Short term airport parking exceeding long term rate *Incidental expenses that are to be of personal nature, extravagant, or might be considered to be unreasonable or unnecessary Final Accounting For the Trip A final accounting for the trip must be provided to the department within 21 days after the end of the trip. Travel reimbursement submitted six months after the travel ending date will not be reimbursed. Travel Receipts If the contract agreement has a provision for travel reimbursement, Contractor's travel expenses submitted for reimbursement must be substantiated by valid receipts or other appropriate written evidence that show the following: Name of the establishment location of the establishment Date(s) the expense(s) incurred The type of expenses, and The amount of the expenses 10/18/2013 9:46 AM p. 48

49 The following documentation, when applicable, must be included with each travel expense report: Airline ticket - the invoice, e-ticket, or the original passenger copy of the airline ticket, regardless of amount Lodging - the itemized lodging receipt, regardless of amount Automobile rental - the original rental receipt, regardless of amount Other expenses: for all other expenses, the original receipt must be provided for any single item costing $10 or more Other required documentation as specified in the Contract 10/18/2013 9:46 AM p. 49

50 APPENDIX C NON-COLLUSION DECLARATION I,, am the (Print Name) of, (Position/Title) (Name of Company) the party making the foregoing proposal that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the Offeror has not directly or indirectly induced or solicited any other Offeror to put in a false or sham bid; and has not directly or indirectly colluded, conspired, connived, or agreed with any Offeror or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the Offeror has not in any manner directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the Offeror or any other Offeror, or to fix any overhead, profit, or cost element of the bid price, or of that of any other Offeror, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the Offeror has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. I declare under penalty of perjury under the Laws of the State of California that the foregoing is true and correct: COMPANY NAME: AUTHORIZED SIGNATURE PRINT NAME: DATE: 10/18/2013 9:46 AM p. 50

51 APPENDIX D DECLARATION OF LOCAL BUSINESS Santa Clara County gives local businesses a preference in formal solicitations of goods and services as set forth in the Board Policy, Section A bidder or offeror has the option of qualifying for the preference by self-declaring its qualification as a local business. By signing below, the bidder or offeror is certifying its qualification as a local business for purposes of application of Santa Clara County s policy and is deemed to be applying for the local preference. All information submitted is subject to investigation, as well as to disclosure to third parties under the California Public Records Act. Incomplete, unclear, or incomprehensible responses to the following will result in the bid or proposal not being considered for application of Santa Clara County s local preference policy. False or dishonest responses will result in rejection of the bid or proposal and curtail the firm or individual s ability to conduct business with the County in the future. It may also result in legal action. Provide the complete physical address of your business with meaningful production capability located within the boundary of the County of Santa Clara. The term production capability means sales, marketing, manufacturing, servicing, or research and development capability that substantially and directly enhances the firm s/bidder s/offeror s ability to perform the proposed contract. Post Office box numbers, residential addresses, a local sales office without any support and/or a local subcontractor hired by the contractor may not be used as the sole basis for establishing status as a Local Business. If you have more than one physical address in Santa Clara County, please provide an attachment with all of the addresses in the form specified below. Business Name: Street: City/State: Zip: Please Indicate Business Organization (Check One) Individual Proprietorship Partnership Corporation Other By filling this form, bidder/offeror declares its qualification as a local business as defined in County of Santa Clara Board Policy, Section The undersigned declares that he or she is an official/agent of responding firm or individual and is empowered to represent, bind, and execute contracts on behalf of the firm or individual. The undersigned declares under penalty of perjury, under the laws of the State of California, that all statements in this Exhibit and response are true and correct, with full knowledge that all statements are 10/18/2013 9:46 AM p. 51

52 subject to investigation and that any incomplete, unclear, false or dishonest response may be grounds for denial or revocation of the accompanying bid or proposal and may result in being barred from doing business with Santa Clara County as well as additional legal consequences. Signature Name Title Date Business License Number (if applicable) 10/18/2013 9:46 AM p. 52

53 APPENDIX E OFFEROR S TERMS AND CONDITIONS Below, please initial next to the appropriate statement. Failure to initial shall default to the first response, acceptance of the County s terms and conditions as is. Offeror accepts the County s terms and conditions listed in Attachment 1 as is. Offeror accepts the County s terms and conditions listed in Attachment 1 and proposes additional terms and conditions here in Appendix I below. Offeror shall provide specific proposed wording and a brief discussion of the purpose and impact, if any, and include any applicable agreement, such as license, service level, maintenance, etc. Offeror objects to the County s terms and conditions listed in Attachment 1 and has indicated the reason for objection and/or proposed specific alternative language here in Appendix I below. The County may or may not accept the alternative language. General references to the Offeror s terms and conditions or attempts at complete substitutions are not acceptable to the County and the County may disqualify the response in its entirety. Offeror must provide a brief discussion of the purpose and impact, if any, of each proposed changed followed by the specific proposed alternate wording for any applicable agreement, such as license, service level, maintenance, etc. 10/18/2013 9:46 AM p. 53

54 COUNTY OF SANTA CLARA, CALIFORNIA Addendum # 1 October 18, 2013 for REQUEST FOR PROPOSAL RFP-DAA-FY for A Forensic Accountant by D. Mitri Procurement Lead The following documents shall be incorporated as part of the above mentioned RFP: Addendum # 1: 1. QUESTIONS AND ANSWERS 2. CHANGES TO RFP DOCUMENT 3. APPENDIX B-1 COST PROPOSAL RESPONSE FORM ALL OTHER SPECIFICATIONS, TERMS AND CONDITIONS REMAIN UNCHANGED 10/18/2013 9:46 AM p. 54

55 County of Santa Clara Addendum #1 Forensic Accountant RFP DAA FY Page 2 of 9 ADDENDUM # 1 Request for Proposal RFP-DAA-FY For A Forensic Accountant Please acknowledge receipt of this Addendum in the Letter of Transmittal, as instructed on page 15, Section V. A. (g) of the RFP. 1. QUESTIONS AND ANSWERS NOTE THAT COUNTY IS RESPONDING ONLY TO THOSE QUESTIONS RECEIVED THAT ARE RELEVANT TO AND/OR HAVE AN IMPACT ON THE RFP. Questions and Answers: 1. The appendix forms requested don't appear to be "interactive"; are the forms available in Word? A: All forms that are to be submitted (Appendices B through E) are available in BidSync in both PDF and Word formats. The Word documents can be filled in by computer and submitted. 2. How do I submit my estimated travel costs, i.e. mileage, parking, and other travel expenses? A: The Cost Proposal Response Form has been revised. Please use Appendix B 1 3. In that I'm a dependent contractor and wish to remain as such, is the "Declaration of Local Business" applicable to me and should I prepare the form just listing me personally? A: Yes, a dependent contractor can submit the Declaration of Local Business statement. 4. Sample Forensic Audit Reports the reports with attachments are fairly large. A: Submitting a large report is acceptable. 5. Is it the County s intention to contract with a forensic accountant where the County would call upon that forensic accountant from their office on an as needed basis or is the intention to contract with a forensic accountant who would physically reside in the County s office Monday through Friday every week for a five year period? A: It is the County s intention to have the forensic accountant(s) physically reside in the County s offices 3 5 times a week for the duration of the contract. 10/18/2013 9:46 AM p. 55

56 County of Santa Clara Addendum #1 Forensic Accountant RFP DAA FY Page 3 of 9 6. Forensic Accountant RFP describes the project scope as seeking to contract with a Forensic Accountant, for a period of five years on site on subsection C, of the Introduction. Does this mean that all work (or at least the majority) is to be performed physically in Santa Clara County? How do we submit our estimate for travel expenses such as Air/Lodging/etc. when work is to be performed on site? A: The forensic accounting work maybe done at your offices outside the state of California. However, a majority of the work is to be performed physically in Santa Clara County. It is the County s intention to have the forensic accountant(s) physically reside in the County s offices 3 5 times a week for the duration of the contract. The Cost Proposal Response Form has been revised. Please estimate your travel costs on Appendix B CHANGES TO RFP DOCUMENT Changes to RFP document: 1. Section II, A. #7 Selection of Shortlist, if applicable should say TBD. 2. Appendix B is replaced with Appendix B 1 Cost Proposal Response Form 3. APPENDIX B-1 COST PROPOSAL RESPONSE FORM The addendum herein is authorized and issued by: D. Mitri Procurement Lead County of Santa Clara District Attorney s Office dmitri@da.sccgov.org 10/18/2013 9:46 AM p. 56

57 APPENDIX B - 1 COST PROPOSAL RESPONSE FORM Offeror s Name: Section I Cost Proposal Offeror please complete the applicable sections based upon your proposed solution. Add lines as needed. The Offeror must break out the estimated travel cost separately. Please note, the Offeror must adhere to the County s Travel Policy (below) and only those expenses that are covered under the policy will be reimbursed. Please be sure to include all costs, as additional costs will not be allowed later. The County does not guarantee, whether expressed or implied, ordering any estimated quantity, but reserves the right to order at any quantity deemed necessary. Cost Proposal: 1 Hourly Rate for Forensic Accountant Hour $ 2 Total Travel Expenses (from below) Total $ 3 Other costs (describe) $ 4 Total $ Section II - Travel Expenses Please itemize the travel expense in Row 2 in the above table, if any. Description Cost 1. $ 2. $ 3. $ 4. $ Total $ 10/18/2013 9:46 AM p. 57

58 Section III - County Travel Policy Travel costs shall be aligned with the County s current travel policy. Listed below is a summary of the policy (effective 6/2010). Original receipts must be submitted to the County for travel reimbursement. The County will pay actual costs up to the limits listed below. 1. Transportation: coach class airfare to local airport (San Jose the nearest) at the lowest available rate, taking consideration any special rates, promotions, etc which would reduce the rate. If requiring ground transportation (rental car), the most economical and appropriate form of available transportation. 2. Lodging: single person occupancy taking into consideration any special rates, promotions, etc., which would reduce the rate. Reimbursement will be based on actual expenses up to federal per diem rate. Receipts must be provided for lodging reimbursement. 3. Meal reimbursement is based on federal per diem rates. Go to under home page; click Per Diem Rates. 4. Other costs: miscellaneous expenses must be itemized, and receipts must be provided for each single item of expense in excess of $10.00 Non-reimbursement expenses include, but not limited to, the following: a. parking/traffic violations; b. flight insurance and car rental insurance; c. tips exceeding guidelines; d. airline club membership or credit card fees; e. refreshments, snacks, alcoholic beverages; f. personal travel expenses; g. medicinal remedies, health supplies/cosmetics; h. personal entertainment, i.e., in room movies; and i. any other non-reimbursable expense in contractor s travel policy. 10/18/2013 9:46 AM p. 58

59 Guiding Principles County of Santa Clara TRAVEL POLICY 2010 Quick Reference Guide for Contractors Payment of travel expenses are limited to training and business purposes that benefit the County. All expenses incurred while on County business should reflect reasonable and prudent use of public funds. Contractors should choose the most efficient, direct and economic travel options required by the occasion. Travel Authorization Travel expenses submitted by the contractor are reimbursable by the County only through a written contractual obligation signed by both parties. Contractor is obligated to follow the policies and procedures described therein. Contractor shall ensure that all travel on behalf of the County is necessary and allowable prior to making any reservation or embarking on the trip. Department Contractor Monitor approving the travel expenses shall determine: Introduction This is a quick reference guide to travel policies and procedures contained in the County's Travel Policy Desk Reference Manual. It is NOT meant to provide comprehensive information. County Service Agreements and Contracts shall be written to comply with County Travel Policy when terms include travel provisions for contractor whose travel expenses are paid by the County, unless grant specifically authorizes in writing that a different policy shall apply. 1. if the trip is necessary 2. if the business reason for the trip is justified 3. if the business purpose could be accomplished by telephone, or other means 4. if the estimated cost justifies the trip Reservations for Airfare and Car Rental Depending on the language in the Contract, reservation required for official travel by contractor can be arranged through designated travel agency whenever practicable or by contractor when lowest available rate can be obtained and price is comparable to those obtained from travel agency. 10/18/2013 9:46 AM p. 59