SANTA CLARA COUNTY OFFICE OF EDUCATION REQUEST FOR PROPOSAL FOR AUDIT OF THE JUNE 30, 2017 CASH BALANCE OF ALUM ROCK UNION ELEMENTARY SCHOOL DISTRICT

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1 SANTA CLARA COUNTY OFFICE OF EDUCATION REQUEST FOR PROPOSAL FOR AUDIT OF THE JUNE 30, 2017 CASH BALANCE OF ALUM ROCK UNION ELEMENTARY SCHOOL DISTRICT NOTICE IS HEREBY GIVEN that the Santa Clara County Office of Education, hereinafter referred to as the SCCOE, will receive up to, but not later than, February 12, 2018 by 3:00 PM, sealed proposals for the award of a contract for independent audit of the June 30, 2017 cash balance for all funds of the Alum Rock Union Elementary School District. All proposals shall be submitted in the format specified by the SCCOE. Proposals shall be received in the office of the Purchasing Manager, Santa Clara County Office of Education, 1290 Ridder Park Drive, MC 254, San Jose, CA Questions relating to the terms, conditions, and instructions of this Request for Proposal (RFP) may be directed to Jas Sohal, Purchasing Manager, at (408) or jas_sohal@sccoe.org. Questions relating to the Statement of Work may be directed to Ann Redd, Senior District Business Advisor at (408) or ann_redd@sccoe.org. Pre-Proposal Conference There will be a Pre-Proposal conference held on Thursday, February 1, 2018 at 10:30 AM at the Santa Clara County Office of Education, Board Room, located at 1290 Ridder Park Drive, San Jose, CA At this time, details of the RFP will be reviewed and an update on the status of monthly cash reconciliations and the types of long-outstanding items cleared or written off will be provided. See Section 3.10 for further details. It is strongly recommended that all firms attend this conference so that they are familiar with the circumstances giving rise to this audit and the scope of the bid. Please note the following conference call number for those who cannot attend in person: Local: Long Distance: INTRODUCTION This Request for Proposal (RFP) contains specifications for an independent audit of the June 30, 2017 cash balances of each fund of the district. Effective July 1, 2017, the Alum Rock Union Elementary School District s (District s) fiscal independence was revoked by the Superintendent of Public Instruction. As a result, the Santa Clara County Office of Education (SCCOE) must now examine and approve District orders to draw from the appropriate District funds held by the county controller for the payment of legally authorized claims, including accounts payable and payroll. Before disbursements are made, there must be sufficient money in the fund or funds against which the district order is drawn to make the payment. 1

2 This RFP shall not be construed: To create an obligation to enter into a contract on the part of the SCCOE with any audit firm; nor To serve as the basis for a claim for reimbursement for expenditures related to the development of a proposal. Notwithstanding other provisions of the RFP, Auditors are hereby advised that this request is an informal solicitation of proposals only. This RFP is not intended to be construed as engaging in formal bidding pursuant to any statute, ordinance, policy or regulation. 2. BACKGROUND INFORMATION The Alum Rock Union Elementary School District is located in East San Jose. The District serves approximately 10,000 students from pre-kindergarten through 8th grade. The District has fourteen (14) elementary schools (K-5th grades), seven (7) middle schools (6-8 grades) and three (3) K-8 schools. Additionally, the District has authorized three independent charter schools: Alpha Blanca Alvarado Middle, Kipp Prize Preparatory Academy, and Kipp Heartwood Academy, which are operated independent of the District and are not included in the scope of this audit. The District employs approximately 1,060 personnel, including part-time employees, has a monthly payroll totaling approximately $7.8 million, and prepares approximately 7,043 accounts payable warrants annually. Effective July 1, 2017, the District s fiscal independence was revoked by the Superintendent of Public Instruction. As a result, the SCCOE must now examine and approve District orders to draw from the appropriate District funds held by the county controller for the payment of legally authorized claims, including accounts payable and payroll. Before disbursements are made, there must be sufficient money in the fund or funds against which the district order is drawn to make payment. Therefore, the SCCOE is requesting an audit of the District s June 30, 2017, cash balance of each fund. Historically, the District has been challenged in preparing monthly reconciliations of its general ledger cash balance to the county controller. The District s transactions are recorded in the applicable funds as they occur. At least since FY , the District has been delayed up to 9 months (more recently improved to 5 to 6 months delay) in preparing its monthly cash reconciliations for each of their funds, so it will be important to identify a point in time from which records can be relied on as a starting point for establishing the proper sources and uses of funds. The monthly cash reconciliations provided by the District to the SCCOE during the past couple of years have contained large long-outstanding reconciling items aged up to three years; in recent months the District has engaged additional staffing and contractors in an effort to bring its cash reconciliations current. An update on the status of any long-outstanding reconciliation items cleared or written off will be provided at the bidder s conference to be held on February 1, The District maintains accounts at the Santa Clara County Treasury, Commerce Bank, and Wells Fargo Bank. 2

3 3. INFORMATION AND GENERAL CONDITIONS 3.1 Preparation of Proposal Documents Five (5) sealed copies of the proposal shall be submitted by no later than 3:00 PM on February 12, Proposals shall be delivered to the attention of the Purchasing Manager, Santa Clara County Office of Education, 1290 Ridder Park Drive, Mail Code 254, San Jose, CA It is the sole responsibility of the person submitting the proposal to see that it is delivered on time. Proposals received after 3:00 PM on February 12, 2018 will be returned to the Auditor unopened. 3.2 Signature and Contact Information The proposal must be signed in the name of the Auditor and must bear the signature of the person authorized to sign proposals on behalf of the Auditor. The authorized signer must also provide their contact information, including a phone number and address. 3.3 Completion of Proposals Proposals shall be complete in all respects as required by the instructions herein. A proposal may be rejected if it is conditional or incomplete, or if it contains alterations of form or other irregularities of any kind. A proposal will be rejected if, in the opinion of the SCCOE, the information contained therein was intended to erroneously and fallaciously mislead the SCCOE in the evaluation of the proposal. 3.4 Corrections The proposal submitted must not contain erasures/adjustments, interlineations, or other corrections unless each correction is authenticated by signing, in the margin immediately opposite the correction. The signature should belong to the person signing the proposal. 3.5 Examination of Contract Documents Auditors shall thoroughly examine the contents of the RFP. The failure or omission of any Auditor to receive or examine any contract document, form, instrument, addendum, or other document shall in no way relieve the Auditor from obligations with respect to this RFP or to the contract to be awarded. The submission of a proposal shall be taken as prima facie evidence of compliance with this Section. If the Auditor discovers any ambiguity, conflict, discrepancy, omission, or other errors in the RFP, he/she shall immediately notify the SCCOE of the error in writing and request modification or clarification of the document. Clarification shall be given by written notice to all Auditors participating in the RFP, without divulging the source of the request for same. Modifications shall be made by addendum issued pursuant to Section 3.6 below. If an Auditor fails to notify the SCCOE of an error in the RFP before the date scheduled for submission of proposals, or of an error which reasonably should have been known to him/her, he/she shall submit the proposal at his/her own risk. If the contract is awarded to the Auditor, he/she shall not be entitled to additional compensation or time by reason of the error or its subsequent detection. 3

4 3.6 Addenda The SCCOE may modify this RFP before the date scheduled for submission of proposals by issuance of an addendum to all parties who received the RFP for the purpose of submitting a proposal. Addenda shall be numbered consecutively as a suffix to the RFP reference number. (The first number of an addendum would be RFP A-1.) 3.7 Modification of RFP Response Auditor may modify his/her proposal after its submission by written notice to the SCCOE of withdrawal and resubmission prior to the date and time specified for receipt of proposals. Modifications will not be considered if offered in any other manner. 3.8 Withdrawal of Proposals Auditor may withdraw his/her proposal by submitting a written request to the SCCOE at any time prior to the date for proposal submission. Auditor may thereafter submit a new proposal before the proposal submission date. A proposal may not be withdrawn after the proposal submission date. 3.9 Rejection of Proposals The SCCOE reserves the right to reject any or all proposals received in response to this Request for Proposal or to negotiate separately with any Auditor when it is determined to be in the best interest of the SCCOE to do so Pre-Proposal Conference A Pre-proposal Conference will be held at 10:30am on Thursday, February 1, 2018 at the Santa Clara County Office of Education, Board Room, 1290 Ridder Park Drive, San Jose, CA At this Conference, Auditors will be given the opportunity to meet with staff and contractors, if any, of the SCCOE and the Alum Rock Union Elementary School District to discuss the terms of the RFP. It is highly recommended that all Auditors who intend to submit a proposal be in attendance at this Conference. Written questions before the pre-proposal conference will be accepted and are encouraged to allow time for research or input from staff, if necessary. Please direct questions to Ann Redd, Senior District Business Advisor at ann_reddj@sccoe.org. The SCCOE will also entertain other questions during the conference. All questions and answers covered during the Conference, including questions that cannot be answered during the discussion will be provided in writing and sent to all auditors attending the pre-proposal conference and posted as an addendum to the RFP. No other individual sessions will be held with Auditors participating in the Request for Proposal. Questions that may arise after the Pre-proposal Conference should be directed to the attention of Ann Redd, Senior District Business Advisor, at (408) or ann_redd@sccoe.org. A written summary of any such questions and the answers will also be posted as an addendum to the RFP Misunderstandings The RFP documents will be clarified by the SCCOE upon written request. The SCCOE s decision shall be final in any matter of interpretation of the documents. 4

5 3.12 Cost of Preparation of Proposals Costs of developing responses to this RFP are entirely the responsibility of the Auditor, and shall not be chargeable to the SCCOE Award of Contract It is anticipated that the contract will be awarded within the sixty (60) day period that proposals are required to remain open. If an award cannot be made within that time, Auditors will be requested in writing to extend the time period during which the Auditor agrees to be bound by his proposal. Written notification will be made to unsuccessful bidders Errors in Proposal Auditors shall be bound by the terms and conditions of their proposals, notwithstanding the fact that errors are contained therein Workers Compensation In accordance with the provisions of Section 3700 of the Labor Code of the State of California, each Auditor shall sign and file with the SCCOE the following certificates before performing services: I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers compensation or to undertake selfinsurance in accordance with the provisions of the code, and I will comply with such provisions before commencing the work to be done under the contract Contract Documents Documents included in this RFP are complimentary. Work called for by one shall be binding as if called for by all Related Experience All Auditors must submit information that indicates specific qualifications to perform the financial and compliance audit services as specified herein. Each Auditor shall submit with the proposal a list of clients for whom similar services have been performed during the past three (3) years. The reference list shall include the names and addresses of each client, the names, titles and telephone numbers of each client, manager, and the dates the work was performed. During the evaluation and selection process, SCCOE may contact each of the referenced clients Tentative Schedule of Events Issue Request for Proposal January 22, 2018 Pre-Proposal Conference February 1, 2018 Receive Proposal February 12, 2018 Complete Evaluation February 14, 2018 Oral Interviews February 26, 2018 Award Contract February 28, Definitions The term SCCOE, as used in these clauses, shall be construed to mean the Santa Clara County Board of Education, and all employees, officers and agents of the Santa Clara County Office of Education. 5

6 3.20 Covenant Against Contingent Fees Auditor warranties that no person has been employed or retained to solicit or secure the contract to be executed as a result of this Request for Proposal, upon an agreement or understanding for a commission, percentage, brokerage or contingent fee. For breach or violation of this warranty, the SCCOE shall have the right to terminate any contract that may be entered into with Auditor Affirmative Action Auditor shall take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, religion, ancestry, handicap, age, sexual preference or national origin. Auditor shall post in conspicuous places, available to employees and applicants for employment, notices to be provided by the State of California setting forth the provisions of the Fair Employment Practices Act Compliance with Civil Rights Auditor hereby assures that he/she will comply with Subchapter VI of the Civil Rights Act of 1964, USC Sections 2000 e through (17), to the end that no person shall, on the grounds of race, creed, color, sex, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under the Agreement or under any project, program or activity supported by the Agreement Payment Retention The SCCOE shall pay Auditor an amount not to exceed the maximum cost proposed by Auditor. The SCCOE shall retain ten percent (10%) of each payment. Such retention is to be held by the SCCOE until released by receipt of the final audit report Supplemental Compensation and Additional Services If, during the course of the examination, the Auditor finds any unusual item or circumstance, which, in their view, warrants an immediate detailed investigation, the same will be reported in writing to the Director of District Business and Advisory Services (DBAS) at the SCCOE. If, in the opinion of the Director of DBAS, a more detailed verification is required than that which would be required under ordinary circumstances, a written authorization will be provided to the auditor. Additional services are not within the scope of services and to be performed pursuant to this Agreement. If additional services are required and authorized, the Agreement will be amended to reflect the additional services and supplemental compensation shall be at the rates applicable for the then current audit. If the additional work is not authorized, the audit report may provide additional statements relative to the circumstances involved Auditor Obligation to Perform Work in Accordance with Standards If the work performed by Auditor is not in accordance with the standards as specified herein and the engagement letter, or if the reports submitted by Auditor are not complete, then the Auditor shall be obligated to do whatever is required to correct the reports to meet the requirements specified in the agreed upon procedures engagement letter. 6

7 3.26 Insurance and Indemnification Auditor shall take out and maintain, during the term of the Agreement, such general liability and property damage insurance as is required to protect the Auditor and the SCCOE from any and all actions, suits or other proceedings which may arise as a result of the work performed by the Auditor pursuant to the Agreement with the SCCOE. Auditor shall hold harmless and indemnify the SCCOE and all officers, agents and employees of the SCCOE, from and against any such actions, suits or other proceedings Independent Contractor While performing services pursuant to this Agreement, Auditor is an Independent Contractor and not an officer, agent or employee of the SCCOE Assignment of Contract The Auditor shall not assign, transfer or subcontract, by operation of law or otherwise, any or all of their rights, burdens, duties or obligations without the prior written consent of the SCCOE Legal Action If the SCCOE prevails in any action in law or equity to enforce or interpret the provisions of this agreement, it shall be entitled to reasonable attorney s fees in addition to any other relief to which it may be entitled. 4. STATEMENT OF WORK 4.1 Scope of the Audit Service The Santa Clara Office of Education (SCCOE) is requesting an independent audit of the Alum Rock Union Elementary School District s (District s) June 30, 2017 cash balance in all funds. 4.2 The audit shall include the cash balance of all funds of the District, including, but not limited to the General Fund (01), Cafeteria Fund (13), Deferred Maintenance Fund (14), Building Fund (21), Building Fees / Capital Facilities Fund (25), County School Facilities Fund (35), Debt Service Fund (51), Self-Insurance Funds (67), Foundation Trust Fund (68) and Workers Compensation as of June 30, For your planning, the District s fiscal year and financial audit reports are posted to the following link: The fiscal year audit report is in process of completion and has received an extension to February 28, Due to the nature of the cash reconciliations submitted by the District, we ask that the audit report include an analysis of the root cause for the long-outstanding reconciling items contained in the monthly reconciliations that are aged up to 3 years during fiscal year , including an analysis of whether reconciling items are appropriately cleared or written off, and the impact of these actions. 7

8 4.3 Technical Standards and Approach Education Code requires that school districts shall provide for an annual audit of the books and accounts of the district and the audit shall include all funds of the district, including any other funds under the control or jurisdiction of the district. Examination of financial records and statements shall be made in accordance with the provisions of the Education Code of the State of California and the applicable edition of Standards and Procedures for Audits of California K-12 Local Educational Agencies prepared by the California State Controller s Office. These financial audits were performed in accordance with generally accepted auditing standards as issued by the Auditing Standards Board of the American Institute of Certified Public Accountants. Accordingly, cash was included in these audits but no findings and management letters were issued in relation to cash in the past five years. Please state in your proposals: the firm s approach, auditing standards, and the methodology to be used to provide assurances of the cash balances of each fund at June 30, Additionally, we are requesting a report and root cause analysis of long-outstanding items, with an assessment of the appropriateness of items cleared or written off, and recommendations for best practices that will help the District stay current on closing reconciling items and preparing timely and reliable cash flow reports Progress and final reports Entrance Conference. The auditors will conduct a kick-off meeting at the District to brief management and key personnel on the audit purpose, scope, professional standards, and proposed schedule of work Bi monthly Progress Reports The auditors will meet with the SCCOE Chief Business Officer, District Business Services Director, and assigned Senior District Business Advisor to provide a bi- monthly update of the progress of the audit and any identified significant items Draft Report Upon completion of a draft report, the auditors will provide an electronic copy and 5 hard copies of the draft report for review and comment by the SCCOE and response by district staff and management Final Report An electronic copy of the final report, along with 10 hard copies will be delivered to the SCCOE. 4.4 Staffing The Auditor shall assign professional staff as appropriate to conduct the audit. The district Chief Business Officer shall assign staff to facilitate the activities of all Auditors staff and shall be the liaison between the Auditor and the SCCOE. 4.5 Audit Reports Refer to sections and Resources to be Provided by the Alum Rock Union Elementary School District Staff Assistance The Alum Rock Union Elementary School District shall, to whatever extent possible, assign appropriate staff or its contractors to assist the Auditors by 8

9 providing required information and explanations. Staff will furnish the Auditor with copies of existing schedules and documents as appropriate Working Space The Alum Rock Union Elementary School District shall provide the Auditors with working space for a maximum of five (5) persons. Requests for space shall be settled at the time of contract negotiations. 5. PROPOSAL RESPONSE REQUIREMENTS 5.1 General All proposals shall be submitted in the format as specified below. 5.2 Title Page Indicate the name of the firm, local address, the name of your firm s contact person for the purposes of this RFP, the telephone number and address of the contact person. 5.3 Table of Contents Include a clear identification of the material included in your firm s response by section and by page number. 5.4 Letter of Transmittal Summarize your understanding of the work to be done. Indicate the names of the persons who will be authorized to make representations on the part of your firm, their titles, addresses and telephone numbers. The person and/or persons who is authorized to execute the contract on the part of your firm shall sign the transmittal letter. 5.5 Profile of Auditor State whether your firm is local, regional, national or international State the location of the office from which the work will be done if your firm is awarded the contract, the number of partners, managers, seniors, supervisors and other professional staff employed at this office Describe the range of experience that the firm has in performing audits of cash and funds. Current example reports or management letters for these types of clients may be included in the proposals Describe the range of activities performed by the office from which the work will be done (i.e. auditing, accounting, tax service, management service), indicating the percentage of work related to community college districts. 5.6 Auditor s Staffing and Qualifications Indicate the name and position of the person who will manage the audit services as specified in this Request for Proposal. Provide a brief resume of the manager s background, training and experience. Specifically discuss the manager s experience in managing audits of the size and scope as specified herein. 9

10 5.6.2 Indicate the names of supervising auditors who will be assigned to the audit(s). Provide a brief resume of the supervisors background, training and experience in supervising preimplementation reviews of the size and scope as specified herein Indicate the levels and titles of other auditors who will be assigned to perform services under the contract. Include a job description which describes the types of experience, background and training required for each of the classifications proposed. 5.7 Regulatory Sanctions The Auditor must clearly indicate to the office if the firm or assigned staff have been assessed any sanctions by State or Federal regulatory agencies for deficient work on any California school district or community college district audit in the prior three (3) years, including a statement of the resolution of the deficiency. 5.8 References Provide a list of educational agency clients for whom your firm has provided auditing services in the past three (3) years. Indicate the scope of the audits performed for each of the referenced clients. Include the name of the client, address, telephone and the name of each client s cognizant manager. 5.9 Auditor s Approach to the Examinations Please state in your proposals, the firm s approach, auditing standards, and the methodology to be used to provide assurances of the cash balances of each fund at June 30, Additionally, we are requesting a report and root cause analysis of long-outstanding items, with an assessment of the appropriateness of items cleared or written off, and recommendations for best practices that will help the district stay current on closing reconciling items and preparing timely and reliable cash flow reports. Prepare a work plan to accomplish the auditing services as specified in this Request for Proposal. The work plan shall include time estimates for each significant segment of the work; the number of staff to be assigned, including supervisors where appropriate; the level of each of the staff members to be assigned; and any specialists who will be assigned during any portion of the audit Cost of the Services State the maximum cost for the cash audit. Costs, as specified in this Section, shall be based upon the scope of the work as specified herein. The supporting data for the maximum cost of the audit services shall include the number of staff to be assigned, by level, the estimated maximum number of hours each of the staff will be assigned, and the hourly rate applicable to each level of staff assigned Additional Information The preceding sections shall contain only the information requested. If the Auditor desires to present additional information, such additional information shall be presented in this Section of the RFP. If there is no additional information to present, indicate There is no additional information to present Assurances The Auditor certifies that they meet the independence standards of the GAO Standards for Audit of Governmental Organizations, Programs, Activities and Functions. 10

11 The Auditor understands the primary purpose of the examinations, as specified herein. If conditions are discovered which lead to the belief that material errors, defalcations, or other irregularities may exist, or if any other circumstances are encountered that require extended services, the Auditor will promptly advise the SCCOE. No extended services will be performed unless they are authorized by the SCCOE and the agreement covering the work to be done has been amended to reflect such extended services. The Auditor shall certify that in accordance with auditing standards and other applicable guidelines and regulations, the Auditor will select the necessary procedures to test compliance and to disclose noncompliance with specified laws, regulations and contracts. 6.0 PROPOSAL EVALUATION A proposal will not be considered unless the Audit firm submitting the proposal meets all of the criteria specified herein. All submittals will be evaluated by a panel and assigned an overall rating based on their scores in three major areas Technical References Cost Firms selected through this evaluation will be invited to appear for a panel interview on February 26, Please reserve this date on your calendars in case you are selected for an interview time. All firms participating in the oral panel must have all members of the engagement team attend this event. The SCCOE may then enter into contract negotiations with the successful firm. ALL ATTACHMENTS (Must Send Back Signed With RFP Response) PROFESSIONAL SERVICES AGREEMENT (Must Send Back Signed With RFP Response) ACKNOWLEDGMENT OF ADDENDA The undersigned Proposer acknowledges receipt of the following addenda, if issued, to the RFP Documents. If none received, write "None Received." Addendum No., dated. Addendum No., dated. Date: Firm: 11

12 Print Name: Signature: Title: ATTACHMENTS: A - E ON THE FOLLOWING PAGES ATTACHMENT-A AFFIRMATIVE ACTION EMPLOYMENT PROGRAM APPROVED: January 13, 1976 BY: Santa Clara County Board of Education SECTION 12, CONTRACT COMPLIANCE 12.1 The Santa Clara County Office of Education will maintain a list of minority businesses and businesses operated by women that will ensure that such businesses receive solicitations for bids The Santa Clara County Office of Education will maintain a list of minority and woman consultants and will ensure that they are afforded equal opportunity for contracts The Santa Clara County Office of Education will notify its vendors, suppliers, and other contractors of its affirmative action program The Santa Clara County Office of Education will require the inclusion of the following equal opportunity clauses as a condition of all contracts in excess of $10,000. During the performance of this contract, the contractor agrees as follows: The contractor will not discriminate against any employee or applicant for employment because of race, creed, color sex, or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and a selection for training, including apprenticeship. The 12

13 contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause The contractor will, in all solicitation or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, creed, color, physical handicap, sex, or national origin The contractor will show evidence of compliance with all provision of executive Order 11246, as amended, and of the rules, regulations, and relevant orders of the Secretary of Labor In the event of the contractor s noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contractor may be declared ineligible for further contracts with this office. 13

14 ATTACHMENT- B CERTIFICATE OF NONDISCRIMINATION BY SELLER As a supplier of goods or services to the Santa Clara County Office of Education, the firm listed below certifies that it does not discriminate in its employment with regard to race, religion, creed, sex, national origin, or handicap; that it is in compliance with all Federal, State, and local directives and executive orders regarding nondiscrimination in employment; and that it agrees to demonstrate positively and aggressively the principal of equal opportunity in employment. We agree specifically: 1. To establish or observe employment policies which affirmatively promote opportunities for minority persons at all job levels. 2. To communicate this policy to all persons concerned, including all company employees, outside recruiting services (especially those serving minority communities), and the minority communities at large. 3. To take affirmative steps to hire minority employees within the company. FIRM NAME: TITLE OF OFFICER SIGNING: SIGNATURE: DATE: 14

15 ATTACHMENT-C CONTRACTOR S CERTIFICATE REGARDING WORKER S COMPENSATION Labor Code Section Every employer except the State and all political subdivisions or institutions thereof, shall secure the payment of compensation in one or more of the following ways: (a) By being insured against liability to pay compensation in one or more insurers duly authorized to write compensation insurance in this State. (b) By securing from the Director of Industrial Relations a certificate of consent to self- insure, which may be given upon furnishing proof satisfactory to the Director of Industrial Relations of ability to self-insure and to pay any compensation that may become due to his or her employees. I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract. Signature: (In accordance with Article 5 (commencing at Section 1860), Chapter 1, Part 7, Division 2 of the Labor Code, the above certificate must be signed and filed with the awarding body prior to performing any work under this contract.) 15

16 ATTACHMENT-D NONCOLLUSION DECLARATION (To Be Executed By Bidder and Submitted With Bid) I,, declare as follows: That I am the of, the party making the attached bid; that the attached bid 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 bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, 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 bidder 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. Executed this day of, 201_, at, California Authority: Public Contract Code 7106 CCP

17 The following is SCCOE s Professional Services Agreement that you are expected to sign after award of this RFP and the general conditions listed in the agreement apply to this proposal. Following are the required documents in this agreement that you must sign and send back with your RFP response: Please see attached Professional Service Agreement (PSA). Successful bidders will be expected to use this form. 17