APPENDIX_F_-_Risk_Assessment.pdf

APPENDIX F – COUNTY OF SACRAMENTO

CONTRACT RISK ASSESSMENT QUESTIONNAIRE

REQUIRED SUBMITTALS

1. List the full names of any partners, owners, officers or other persons occupying a position of authority or responsibility in your organization.

2. Please provide a financial reference from your bank.

3. Please provide complete copies of your most recent independently audited accounts and annual reports for the last three (3) years. If you are not able to provide this information, please provide details.

4. Please identify any significant changes in the financial position/condition of your business/company/organization since the last independent audit.

5. Does your business/company/organization have a DUNS Number? If so, please provide that number.

6. Please provide a summary of your business/company/organization’s insurance coverage and any material exposures.

7. Please provide the following in bond reference: company, agent, bonding capacity (per project, aggregate), date, amount and type of last bond issued, bond rate.

8. What is your business/company/organization’s bonding capacity? For a single project? For aggregate projects?

9. Attach a list of major projects you/your business/company/organization has in progress showing project name, location, contract amount, percent complete and contact person.

10. What is the estimated total value of your business/company/organizations’ uncompleted work on all outstanding contracts?

11. Please confirm that all services performed are performed in the United States.

12. Proposer confirms there shall be no conflicts of interest with regard to any other work performed by Proposal on behalf of the County.

Required Responses

13. Have any of the people in item #1 been subject to bankruptcy, insolvency or receivership proceedings? Yes No If yes, please enclose details.

14. Has your business/company/organization filed for bankruptcy within the last five (5) years? Yes No If so, please enclose details.

15. Has your business/company/organization ever had a contract for the general type of services/product sought by the County terminated for non-compliance or inadequate performance? Yes No If yes, please enclose details.

16. Has your business/company/organization ever defaulted on a contract for the general type of services/product being sought by the County? Yes No If yes, please enclose details.

17. Any and all situations where a contract has been canceled or where a contract was not renewed due to alleged fault on the part of the Proposer.

18. Provide a detailed description of any termination for cause of contracts in which the Proposer has been involved in during the past five (5) years or is currently involved in.

19. Provide detailed and specific information regarding all situations where the Proposer has been cited, reprimanded, penalized, or threatened with a citation, by any state or federal regulatory agency within the last five (5) years.

20. Provide detailed and specific information regarding all situations where the Proposer, or any of its officers and directors has been under indictment or court order, subject of an investigation, or subject to an order issued by a government agency. The response must include all such situations including the date such action was initiated, the date such action was adjudicated, and how the matter was resolved.

21. Provide copies of any public statements made by the Proposer concerning inquiries/requests to Proposer from any federal or state government entity, committee, or regulatory authority in the past two (2) years.

22. Do you run, or are you willing to run, criminal background checks on all your workers, including employees and subcontractors who may, in the course of their duties, come into contact with vulnerable groups, including the elderly, minors and people with a physical or mental disability? Yes No

23. Has there been, in the last five (5) years, or is there now pending or threatened, any litigation, arbitration, sanctions, administrative actions, governmental proceeding or regulatory proceeding involving claims in excess of $100,000 with respect to the performance of any services or the provision of any product by your business/company/organization/affiliate companies? Yes No If yes, please enclose details.

24. Has any litigation been settled or otherwise resolved involving your business/company/organization’s performance under a contract for the general type of services/product being sought by the County? Yes No If yes, please enclose details.

25. Has your business/company/organization fulfilled all of its obligations relating to the payment of Social Security contributions, payment of taxes, etc. Yes No If no, please enclose details.

26. Has the Internal Revenue Service or similar state agency conducted an investigation regarding your business/company/organization within the last five (5) years?

Yes No If yes, please enclose details.

27. In the last five (5) years, has your business/company/organization, been or currently involved in any of the following:

a. Any action, audit or investigation brought by any federal government agency or authority or by any state or local governmental agency? Yes No If yes, please enclose details.

b. Any criminal proceeding, excluding traffic violations and other minor offenses? Yes No If yes, please enclose details.

28. In the last five (5) years, has your business/company/organization been debarred or suspended for any reason by any federal, state or local government or has refrained from bidding on a project due to an agreement with such governmental agency?

Yes No If yes, please attach a full explanation.

29. In the past five (5) years, has your business/company/organization had its surety called upon to complete any contract, whether government or private sector?

Yes No If yes, please enclose details.

30. In the past five (5) years, has your business/company/organization had a revocation, suspension or disbarment of any business or professional permit and/or license? Yes No If yes, please enclose details.

31. Within the past five (5) years, has your business/company/organization been subject to a denial or revocation of a government prequalification? Yes No If yes, please enclose details.

32. Within the past five (5) years, has your business/company/organization received an unsatisfactory performance assessment(s) from a government entity on a contract?

Yes No If yes, please enclose details.

33. Have you/your business/company/organization ever failed to complete any work awarded? Yes No If yes, please enclose details.

34. Has Proposer or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or any other act of dishonesty? Yes No If “yes,” identify on a separate signed page the person or persons convicted, the court (the county if a state court, the district or location of the federal court), the year and the criminal conduct.

35. Proposer agrees that all work produces developed by Proposer for the County (e.g., written reports, drafts, presentations, educational items and meeting materials, etc.) required under the Contract shall become the property of the County.

Signature

A. THE UNDERSIGNED HEREBY CERTIFIES THAT THE RESPONSES PROVIDED

ARE CORRECT AND TRUTHFUL TO THE BEST OF MY KNOWLEDGE AND FOR

THOSE RESPONSES GIVEN WHICH ARE BASED ON INFORMATION AND

BELIEF, THOSE RESPONSES ARE TRUE AND CORRECT BASED ON MY PRESENT

BELIEF AND INFORMATION.

B. Dated this ______ day of __________________ of the year _________ Name of organization:

Signature:

Printed Name and title: