RFP 946 Attestation Services.pdf

REQUEST FOR PROPOSAL

RFP #946

FOR

ATTESTATION SERVICES

RELATING TO

QUARTERLY LOBBYING FIRM COMPENSATION REPORTS

Proposals to be opened by the

Office of Legislative Services Purchasing Office

111 West Madison Street, Room 874 Tallahassee, Florida 32399-1400

At 3:00 p.m., October 31, 2022

Name of Proposer

Address

City State Zip Code

Signature (Authorized Officer)

(Printed or typed name)

F.E.I.D. Date

FLORIDA ACCOUNTANCY FIRM LICENSE NO.

Telephone Number ( )

Email Address:

TABLE OF CONTENTS

Section Description Page Number

1. Introduction 3

2. Scope of Services 5

3. Instructions for Submission 8

4. Evaluation Methodology 14

5. Proposal Conditions 15

Attachment A Certification Attachment B Non-Collusion Statement Attachment C Disclosure Information Attachment D Certificate of Licensure Attachment E Resume(s) Attachment F Florida Accountancy Firm Background and Experience Attachment G Certification of No Disciplinary Action Attachment H Peer Review Report Attachment I Reference Form Attachment J Cost Proposal For Attestation Services Attachment K Policies 3.5 and 3.5.1, Joint Policies and Procedures Attachment L Contract for Attestation Services Exhibit A Joint Legislative Auditing Committee Guidelines for Attestation Services

Relating to Quarterly Lobbying Firm Compensation Reports Exhibit B Independence Statement (CPA Firm) Exhibit C Engagement Letter Exhibit D Task Assignment Agreement Exhibit E Reimbursement of Travel Expenses Exhibit F Contractor’s Cost Proposal

SECTION 1: INTRODUCTION

The Joint Legislative Auditing Committee (JLAC) of the Florida Legislature (Legislature), is requesting competitive sealed proposals, in anticipation of issuing and awarding a Contract, from Florida-licensed certified public accountants (CPAs) or Florida-licensed CPA firms with which a Florida-licensed certified public accountant is currently employed or associated who is actively engaged in the accounting profession for the performance of attestation services relating to quarterly compensation reports filed by lobbying firms, starting with the compensation reports filed for the 2022 calendar year. Proposers will be required to provide the proposed services described in the Scope of Services, Section 2, of this Request for Proposal (RFP).

The terms “Proposer” and “Contractor” are used interchangeably herein with Proposer being a vendor who submits a Proposal and Contractor referring to the awarded vendor, if any, pursuant to this Request for Proposal (RFP).

The term “Proposal” means a response submitted by a Proposer to this RFP. The term “Proposer” means those entities that respond and submit a Proposal in response to the RFP. The term “Contract” means the written agreement to provide the services herein.

1.1 Objective

The objective is to enter into a Contract, attached as Exhibit A for Attestation Services in accordance with Section 11.40(3)(c), Florida Statutes, and the JLAC Guidelines for Attestation Services Relating to Quarterly Lobbying Firm Compensation Reports (Guidelines). The JLAC seeks to enter into a fair, competitive, and reasonable multiple-award contract to each responsive and responsible Proposer whose written Proposal is determined to be the most advantageous to the State of Florida, taking into consideration the price and other criteria set forth in the RFP and any other information known to the Legislature that demonstrates the Proposer’s experience and competence to provide the services herein.

1.2 Special Accommodation

Any person requiring a special accommodation because of disability should call the Purchasing Office at 850-717-0305 at least five (5) work days prior to the response opening date. If you are hearing or speech impaired, please contact the Purchasing Office by using the Florida Relay Service which can be reached at 1-800-955-8771 (TDD).

1.3 RFP Coordinator

The RFP Coordinator is the sole point of contact for information regarding this RFP from the date of release of the RFP until the Notice of Intent to Award, which will be posted on the website at: www.leg.state.fl.us/purchasing/RFP946 as indicated in the Schedule of Events.

All communication concerning this RFP must be directed by email only to the RFP Coordinator of the Office of Legislative Services (OLS) Purchasing Office listed below.

Please do not contact the RFP Coordinator by phone. Unauthorized contact regarding this RFP with any other legislative employee can result in disqualification. There should be no oral communications with OLS or any legislative employee during the solicitation and any such oral communication will be considered unofficial and nonbinding to the Legislature.

The RFP Coordinator is:

Theresa Dollar Office of Legislative Services, Purchasing Office

OLS-PurchasingBids@leg.state.fl.us

1.4 Questions

Questions for additional information or clarification may be submitted in writing to the RFP Coordinator and received no later than the deadline in the Schedule of Events, herein.

Written answers to all questions will be posted on the website at:

www.leg.state.fl.us/purchasing/RFP946 as indicated in the Schedule of Events. Questions shall be submitted via email only to the RFP Coordinator.

All Vendor questions shall indicate the following in the subject line of the email:

QUESTIONS RFP 946 - Attestation Services

Questions must be submitted in the following format:

Question # RFP Section # RFP Page # Question

1.5 Must, Shall, Will and Is Required

Although this solicitation uses terms such as “must,” “shall,” “will,” and “is required” and may define certain items as requirements, the Legislature reserves the right, in its discretion, to waive any minor irregularity, technicality, or omission if the Legislature determines that it is in the best interest of the State to do so. However, failure to provide requested information may result in the rejection of a proposal. There is no guarantee that the Legislature will waive an omission or deviation, or that any Proposal containing a deviation or omission will be considered for an award.

1.6 Schedule of Events

Issuance of RFP

Last Date to Submit Written Questions

October 4, 2022

October 13, 2022

Anticipated Posting of Answers on Website at www.leg.state.fl.us/purchasing/RFP946

Proposals Due by 3:00 p.m. for Opening

Anticipated Completion of Evaluation

Anticipated Notice of Intent to Award

Anticipated Contract Execution

October 18, 2022

October 31, 2022

November 18, 2022

December 22, 2022

February 1, 2023

1.7 Official Notices or Amendments to the Solicitation Documents

All notices, decisions, intended decisions, addenda and other matters relating to this procurement will be electronically posted on the website at www.leg.state.fl.us/purchasing/RFP946.

The Legislature will post addenda to the RFP documents, including timeline updates on the website listed above.

IT IS THE SOLE RESPONSIBILITY OF PROPOSERS TO CHECK THIS

WEBSITE FOR INFORMATION AND UPDATES.

SECTION 2: SCOPE OF SERVICES

2.1 Statement of Purpose

The objective of this RFP is to fulfill the requirements of Section 11.40(3)(b), Florida Statutes, for the auditing of compensation reports filed by a random sample of 3 percent of all legislative branch lobbying firms and 3 percent of all executive branch lobbying firms out of the total number of such firms filing for the preceding calendar year.

Based on the current number of registered lobbying firms, Contractors will be hired to perform attestation services relating to quarterly compensation reports filed by approximately 13 legislative lobbying firms and 11 executive lobbying firms. Section 11.40(3)(c), Florida Statutes, requires that JLAC maintain a list of independent contract auditors approved to perform these services.

Each lobbying firm randomly selected to participate in the audit process may designate a Contractor from the JLAC list of independent contract auditors within thirty (30) calendar days of their selection or, if one is not selected within the timeframe, JLAC will assign an available Contractor. In accordance with Section 11.40(3)(c), Florida Statutes, a Contractor, whether designated by the lobbying firm or JLAC, may not perform the attestation services where the Contractor and the lobbying firm have had a “direct personal relationship or any professional accounting, auditing, tax advisory, or tax preparing relationship with each other.” At the time of designation of the Contractor but before the Task Assignment Agreement (TAA), contained herein as Exhibit D to the Contract, has been executed and submitted to JLAC, both the Contractor and the lobbying firm shall execute a written sworn certification, Independence Statement, subject to Section 837.06, Florida Statutes, that no such relationship ever existed. The Independence Statement to be completed by the Contractor is contained herein as Exhibit B to the Contract (contained herein this RFP as Attachment L, Contract for Attestation Services).

By submitting a Proposal, the Proposer acknowledges that Attestation Services can be performed at any location in the State of Florida for which the lobbying firm is located.

The JLAC will assist each Contractor in obtaining any data maintained by the Legislature or the lobbying firm necessary for the Contractor to perform the assigned tasks.

2.2 Scope of Work

The Attestation Services include the following

a) Performance of Attestation Services (Services) as specified in the current version of the JLAC Guidelines for Attestation Services Relating to Lobbying Firm Compensation Reports (Guidelines), contained herein as Exhibit A to the Contract and as may be updated.

b) Performance of Attestation Services in accordance with applicable attestation standards promulgated by the American Institute of Certified Public Accountants as adopted by the Florida Board of Accountancy.

c) Contractor, once designated to perform the Services for a lobbying firm, must execute to JLAC a written, sworn certification subject to Section 837.06, Florida Statutes, contained herein as Exhibit B to the Contract, Independence Statement (CPA Firm), to verify that the Contractor’s “Key Personnel” (partners and audit staff; clerical and other support staff are not included) as defined therein, assigned to the engagement are “independent” in accordance with all applicable standards and rules adopted by the American Institute of Certified Public Accountants as adopted by the Florida Board of Accountancy. At no time during the Contract Term shall employees, owners, partners, contactors, other agents, or lobbyists of the Contractor contact lobbying firms in order to solicit or otherwise attempt to influence the Contractor’s engagement by a lobbying firm or its selection by JLAC.

d) Contractor, once designated to perform the Services for a lobbying firm, must execute for each engagement a mutually agreed, written Task Assignment Agreement (TAA) with the Legislature’s Contract Manager, contained herein as Exhibit D to the Contract.

JLAC may request that the Contractor provide a schedule for the performance of the Services to negotiate and estimate a completion date. JLAC reserves complete and sole discretion to terminate negotiations with the Contractor if agreement cannot be reached with the Contractor regarding the terms of the TAA and will follow the procedures in selecting another Contractor.

No oral agreements shall be valid or binding, and absolutely no Services can be commenced by the Contractor without an executed TAA. Any modifications to the terms and conditions of the TAA must be made by a mutually agreed and written amendment to the TAA.

e) The number of hours contained on the TAA will be set by JLAC. It is anticipated that individual engagements will vary in hours, depending on the number of principals represented by each lobbying firm.

f) The travel reimbursement will be mutually agreed to by the parties subject to the Travel Policy contained herein as Exhibit E to the Contract, Reimbursement of Travel Expenses.

g) The Contractor shall complete the work within the Due Date contained in the TAA.

The Legislature anticipates that the Contractor will commence attestation services no earlier than May 1, 2023, and complete the attestation services and issue the report no later than June 30, 2023, but that the time frame may vary, depending on the size and location of the lobbying firm.

h) Upon completion of the Services, including the distribution of the Agreed-Upon Procedures Report(s), the Contractor may be required to appear before the Legislature or the Florida Commission on Ethics to make oral presentations regarding the Services.

The Contractor will be compensated for such time as contained herein as Exhibit F to the Contract, Contractor’s Cost Proposal.

i) Upon completion of the Services, the Contractor may be required to participate in a wrap-up discussion regarding their experience. Such discussion may be held telephonically.

2.3 Contract

Attached to this RFP as Attachment L is a draft Contract which will become the binding agreement between the awarded Contractors, if any, and JLAC. The Contractor may not apply any condition or change any term to any aspect of the draft Contract or the Proposal may be deemed non-responsive and not evaluated. Any attempt to redline, modify, or change the Contract may subject the Proposal to be deemed nonresponsive and not evaluated.

2.4 Subcontractors or Third-Party Contractor

The Contractor shall not use any subcontractors or third-party contractors without the prior written consent of the Legislature’s Contract Manager.

2.5 Contractor Personnel

The Contractor shall designate a Contract Manager who will serve as the primary contact between JLAC and the Contractor.

SECTION 3: INSTRUCTIONS FOR SUBMISSION

3.1 Submission of Proposals

Proposals must be received at or before the time specified in the Schedule of Events, herein.

Sealed Proposals must be submitted to the RFP Coordinator, Office of Legislative Services Purchasing Office, Room 874, Pepper Building, 111 West Madison Street, Tallahassee, FL 32399-1400. Proposals received electronically or by facsimile will not be considered. It shall be the sole responsibility of the Proposer to see that their Proposal is received at the proper location on or before the stated time of the Proposal opening. All Proposals received after that time shall be returned unopened.

All Proposals shall be submitted in the format on the requisite forms, if provided. Proposals shall be properly executed in the name of and by the person, firm, or corporation submitting the Proposal.

Proposals must be submitted in two separate sealed envelopes with a USB flash drive for the sealed parts of the Technical Proposal and the Cost Proposal. Each USB flash drive should be clearly marked as Technical Proposal or Cost Proposal. Proposal packages must be boxed or sealed and identified as follows:

Name of Proposer: (Your Company’s Name) RFP #946, Attestation Services Proposal Type: (Technical or Cost)

A Proposer that considers any portion of its Technical Proposal or Cost Proposal to be confidential shall submit both a redacted version and a non-redacted version of the Proposal.

The attachment copies must contain searchable, copyable content (i.e., not copy-protected files).

3.2 Replacement/Withdrawal/Modification of Proposal

A Proposer may replace or withdraw a Proposal at any time prior to the Proposal due date.

No changes, modifications, or additions to the Proposals will be allowed after the Proposal due date.

3.3 Cost of Preparation

Neither the Legislature nor the State of Florida is liable for any costs incurred by a Proposer in responding to this RFP.

3.4 Firm Proposal

By submitting a Proposal, Proposers acknowledge and agree that their Proposal shall remain firm and shall not be withdrawn for one-hundred twenty (120) calendar days after the Proposal due date.

3.5 Use of Proposal Contents

All documentation produced as part of this RFP becomes the exclusive property of the Legislature and will not be returned to the Contractor. The Legislature will have the right to use any or all ideas or adaptations for the ideas presented in the Proposal. Selection or rejection of a Proposal will not affect this right.

3.6 Public Records/Confidential Information

All electronic and written communications pertaining to this RFP, whether sent from or received by the Legislature, are public records upon the conclusion of the RFP process.

Unless specifically exempted by law, all records made or received by the Contractor in conjunction with this RFP are public records available for inspection by the public in accordance with the provisions of Article I, Section 24, The Constitution of the State of Florida, and Section 11.0431, Florida Statutes, subject to Section III (F)(3)of the Guidelines. The Legislature, in its sole discretion, will determine whether a record that is created pursuant to this RFP is a public record regardless of which party is in possession of the record.

In order to ensure that records subject to an exemption are not disclosed, the Contractor shall notify the Legislature’s Contract Manager immediately upon the receipt of a public records request. The Contractor will not allow any inspection or otherwise disclose any information found in the documents or records unless and until directed to do so by the Legislature’s Contract Manager or as otherwise required by law.

All documents prepared pursuant to this RFP belong to the Legislature as a work-for-hire arrangement. Refusal of the Contractor to allow public access to such records, as directed by the Legislature or as otherwise required by law, shall constitute grounds for unilateral cancellation of this Contract by the Legislature.

If any part of the Proposal contains documents, data, or records submitted in response to this RFP that the Contractor considers to be confidential, trade secret, or otherwise not subject to disclosure pursuant to Section 11.0431, Florida Statutes, The Constitution of the State of Florida, or other authority, the Contractor must also simultaneously provide the

Legislature with a separate redacted copy of its documents, data, or records and briefly describe in writing the grounds for claiming exemption from the public records law, including the specific statutory citation for such exemption. This redacted copy shall contain this RFP number and Contractor’s name and shall be clearly titled “Redacted Copy.” The Redacted Copy shall be provided to the Legislature at the same time the Contractor submits the documents, data, or records to the Legislature and must only exclude or obliterate those exact portions that are claimed confidential, proprietary, or trade secret. The Redacted Copy shall be provided to the Legislature in electronic format.

The Contractor shall be responsible for defending its determination that the redacted portions of its documents, data, or records are confidential, trade secret, or otherwise not subject to disclosure. Further, the Contractor shall protect, defend, and indemnify the Legislature for any and all claims arising from or relating to the Contractor’s determination that the redacted portions of its Proposal are confidential, proprietary, trade secret, or otherwise not subject to disclosure.

If the Contractor fails to submit a Redacted Copy with its Proposal, the Legislature may produce the entire documents, data, or records submitted by the Contractor in answer to a public records request upon the conclusion of the solicitation.

3.7 Modifications to RFP Terms and Conditions

The Proposer may not apply any condition or change any term to any aspect of this RFP or the Proposal may be deemed non-responsive and not evaluated. Any attempt to redline, modify, or change this RFP and its contents, may subject the Proposal to be deemed nonresponsive and not evaluated.

3.8 Technical Proposal

The Technical Proposal must be appropriately titled by Section, arranged and sequenced as referenced herein. Additional information may be submitted to accompany the Proposal.

All additional information submitted, must be included in the Technical Proposal as a separate Section and titled as Supplemental.

THE TECHNICAL PROPOSAL MUST NOT CONTAIN ANY COST

INFORMATION.

The Technical Proposal shall consist of:

3.8.1 Section 1, Mandatory Requirements

The following items are Mandatory Requirements for Responsiveness to this RFP and must be included in the Technical Proposal, Section 1, and if deficient, the Proposal may be deemed nonresponsive and not evaluated.

A completed and signed Proposer’s Information Coversheet (page 1) of this RFP. These documents must be signed by an individual (contact name and title of the individual) responsible for the organization’s Proposal with binding signature authority.

Certification, Attachment A – completed and signed.

Non-Collusion Statement, Attachment B – completed and signed.

Disclosure Information, Attachment C – completed and signed.

Certificate of Licensure, Attachment D

Resume(s), Attachment E Florida Accountancy Firm Background and Experience, Attachment F Certification of No Disciplinary Action, Attachment G – completed and signed.

Peer Review Report, Attachment H

Reference Form, Attachment I -completed

3.8.2 Technical Proposal Content for Evaluation Total of 70 points

Proposer’s Technical Proposal Contents for Evaluation will be evaluated and scored in the areas of Qualifications and Experience, and References, as further described below.

Section 2: Qualifications and Experience 0-60 Points

Section 2 of the Proposal shall be entitled Qualifications and Experience.

This section will be evaluated using the following considerations:

1.) The Proposal shall provide a description of the Proposer’s experience within the last five (5) years of performing agreed-upon procedures or financial auditing services. Did the Proposer clearly describe and demonstrate that its organization has the experience performing agreed-upon procedures or financial auditing services? (10 points)

2.) The Proposal shall provide a description of the Proposer’s staffing, how the

Task Assignment will be performed, meeting the required deliverables and the timeline. Did the Proposer describe its approach in regards to its personnel by whom the services herein would be performed? Did the Proposer demonstrate that its organization has the ability to meet the deliverables and complete the engagement(s) designated in the TAA(s) in a timely manner? (10 points)

3.) The Proposer should provide a one-page resume for each

“Manager/Supervisor” (which may include a partner/shareholder) included in the Key Personnel (partners and audit staff; clerical and other support staff are not included) and listed in its Proposal that are anticipated to be assigned to the engagement(s) under this Contract.

The minimum requirements of a Manager/Supervisor are: (1) be licensed as a Florida Certified Public Accountant and (2) have at least five years of experience performing agreed-upon procedures or financial auditing services.

A Proposer that is a sole proprietor should submit a one-page resume for both this subsection (3) as the Manager/Supervisor and for subsection (4) below, as the Auditor.

Did the Proposer demonstrate that the Manager/Supervisor(s) possesses a level of project experience matching that job title and performing agreed-upon procedures or financial auditing services? (10 points).

4.) The Proposer should provide a one-page resume for each “Auditor” included in the Key Personnel (partners and audit staff; clerical and other support staff are not included) and listed in its Proposal that are anticipated to be assigned to the engagement(s) under this Contract. The minimum requirement of an Auditor is to be licensed as a Florida Certified Public Accountant.

A Proposer that is a sole proprietor should submit a one-page resume for both this subsection (4) as the Auditor and for subsection (3) above, as the Manager/Supervisor.

Did the Proposer demonstrate that the Auditor(s) possesses a level of project experience matching that job title and performing agreed-upon procedures or financial auditing services? (10 points).

5.) The Proposal shall provide a description of the Proposer’s internal procedures and performance to demonstrate the quality and independence standards followed. Did the Proposer demonstrate the internal procedures involved for how to respond and maintain the independence standards upon the receipt of a TAA? (10 points).

6.) The Proposal shall provide a recent Peer Review report (within the last three years) by a peer review program that has been approved by Florida Board of Accountancy. Did the Proposer submit a recent (within the last three years) Peer Review report by a peer review program that has been approved by the Florida Board of Accountancy? If not, did the Proposer submit at least two additional references in addition to the references required in Section 3, References, below? (10 points)

Section 3: References 0-10 Points

Section 3 of the Proposal shall be entitled References. The Proposer should provide contact information for References that pertain to agreed-upon procedures or financial auditing services completed within the last three (3) years. Proposers shall submit a minimum of two (2) references (unless two additional references are needed in lieu of providing a Peer Review report as specified in subsection (6) above). The Proposer shall only use the Reference Form contained in this RFP as Attachment I. This section will be evaluated using the contact information submitted on the Reference Form, attached hereto as Attachment I.

References shall not be given by persons currently or formerly employed or supervised by the Proposer or its affiliates, board members within the Proposer’s organization, or relatives of any of the above. The Legislature will contact, References regarding the Proposer’s performance of services including satisfaction of services and performance issues or problems.

For each Reference, evaluators will assign a score from 0 to 5 (based on the scale below) for each Reference Evaluation Criteria listed the evaluators’ scores will then be added, and the total will be divided by 5, to get an average score which will represent the Total Points for a Reference Organization.

TECHNICAL PROPOSAL SCORING

For each Proposal, the evaluation team will assign the appropriate score for each criterion listed above, based on the scales below.

SCORING SCALES

For each Proposal, the evaluators will assign the appropriate score for each criterion listed above, based on the scales below.

Scoring Scales Section 2 Scores (0-10) or Section 3 Scores (0-5)

Score(s) Description 10 or 5 Proposal demonstrates extraordinary experience related to the criterion 8 or 4 Proposal demonstrates exceptional experience related to the criterion 6 or 3 Proposal demonstrates sufficient experience related to the criterion 4 or 2 Proposal demonstrates nominal experience related to the criterion 2 or 1 Proposal demonstrates limited experience related to the criterion

0 Proposal fails to demonstrate experience related to the criterion

3.8.3 COST PROPOSAL 0-30 possible points

The Proposer shall submit a thumb drive clearly identified as Cost Proposal, which shall include ONLY Attachment J. Proposers shall not include any supplemental information within the Cost Proposal thumb drive.

FAILURE TO OBSERVE THIS REQUIREMENT MAY RESULT IN

DISQUALIFICATION OF YOUR PROPOSAL FROM CONSIDERATION.

The Cost Proposal shall specify a single, blended hourly rate for all the Key Personnel (partners and audit staff; clerical and other support staff are not included) mentioned in the Technical Proposal as anticipated to be assigned to the engagement.

Points will be determined by taking the lowest blended hourly rate from the Cost Proposal and dividing that cost by the Proposer’s cost, then multiplying by the maximum number of points for this section (30 points). The proposal with the lowest cost will receive the maximum number of points for cost.

Lowest Proposer’s Blended Rate ÷ Proposer’s Blended Rate x 30 = Points awarded for Proposer’s Proposal

Example Only:

Lowest Proposer’s Blended Rate $ 75.00 x 30 = 22.50 Points Awarded Proposer’s Blended Rate $100.00

The Cost Proposals will be verified for accuracy by the Legislature. If mathematical error(s) in the Cost Proposal are identified, the Single Blended Hourly Rate will govern.

The Cost Proposal shall include the Single Blended Hourly Rate for two renewal options after the original term: Option One is three (3), one-year renewals and Option Two is one 3-year renewal. Rates for both options must be presented in order for the Cost Proposal to be deemed responsive and evaluated. However, the renewal year rates will not be evaluated.

SECTION 4: EVALUATION METHODOLOGY

4.1 Proposal Responsiveness

The Purchasing Office will review all Proposals submitted to ensure that they have met all of the requirements in this RFP. Proposals that do not meet all requirements of the solicitation or fail to provide all required information or documents may be deemed non-responsive.

4.2 Proposal Evaluation Criteria

An evaluation team of no fewer than three (3) evaluators will individually rate the Technical Proposals based upon the established fair and objective criteria from this RFP.

The Legislature reserves the right to seek clarifications and to request any information deemed necessary for proper evaluation from all Proposers deemed eligible for award and to determine the integrity, viability, and qualifications of all Proposers when to do so would be in the best interest of the State of Florida.

The Proposal Evaluation Criteria and points available are as follows:

4.3 Selection and Award

Award may be made to all, some, or none of the responsive and responsible Proposers, if any, whose written Proposals are determined to be the most advantageous to the State of Florida, taking into consideration the price and other criteria set forth in the RFP, and any other information known to the Legislature that demonstrates the experience and competence of the Proposer to provide the Scope of Services defined herein.

4.4 Posting Notice of Intent to Award

If the Legislature decides to make an award, it will post a Notice of Intent to Award on the website specified in this RFP. If the Legislature decides to reject all Proposals or withdraw the RFP, it will post a notice of its intent on the website specified herein this RFP.

SECTION 5: PROPOSAL CONDITIONS

5.1 Legislature’s Reserved Rights

5.1.1 Rejection of Proposals

The Legislature may reject any Proposal not submitted in the manner specified by this RFP. The Legislature reserves the right to reject all Proposals at any time in its sole discretion, including after an award is made, when to do so would be in the best interest of the State of Florida, and by doing so the Legislature will have no liability to any Proposer.

Criteria Possible Points

Technical Proposal Proposer’s Experience & References 70

Cost Proposal Proposer’s Cost 30

5.1.2 Withdrawal of the RFP

The Legislature reserves the right to withdraw this RFP at any time in its sole discretion, including after an award is made, when to do so would be in the best interest of the State of Florida, and by doing so the Legislature will have no liability to any Proposer.

5.1.3 Clarification

The Legislature reserves the right to seek clarifications, request any information deemed necessary for proper evaluation from all Proposers, and negotiate different terms and related price adjustments if the Legislature determines that such changes would provide the best value to the Legislature.

5.1.4 Waiver of Minor Irregularities

The Legislature reserves the right to waive minor irregularities and/or material deviations in a Proposal when to do so would be in the best interest for the State of Florida. The Legislature makes the sole determination of whether a mistake or omission is a minor irregularity or a material deviation from the RFP.

5.2 Florida Substitute Form W-9

A completed Substitute Form W-9 is required from contractors doing business with the State of Florida. Should the Legislature award any Contract pursuant to this RFP, the Contractor, if not already registered, must register as a contractor with the State of Florida, Department of Financial Services, within five business days of the award. The registration and requirements for registering and submitting electronically a Substitute Form W-9 are available at: https://flvendor.myfloridacfo.com/.

5.3 Registration with the Florida Department of State, Division of Corporations

The Contractor must submit a certificate of licensure in good standing from the Florida Department of State, Division of Corporations, before contract execution. The Contractor must maintain that status through the term of the contract.

5.4 Procurement Protests

The Legislature is not an agency for purposes of Chapters 120 or 287, Florida Statutes.

This RFP is not a competitive solicitation pursuant to Chapter 287, Florida Statutes, and the procedures for resolution of procurement protests contained in Chapter 120, Florida Statutes, are inapplicable to this procurement.

Attachment A Certification

To the best knowledge of the person signing the Proposal, the Proposer, its affiliates, its subsidiaries, its directors, its officers, or employees of any other organization associated with this RFP are not currently under investigation by any governmental authority and have not in the last 10 years been convicted or found liable for any act prohibited by law in any jurisdiction involving conspiracy or collusion with respect to bidding on any public contract.

with this RFP have no delinquent obligations to the State, including a claim by the State for liquidated damages under any other contract.

with this RFP have not within the preceding three years been convicted of or had a civil judgment rendered against them or is presently under indictment for or otherwise criminally or civilly charged for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a federal, state, or local government transaction or public contract; violation of federal or state antitrust statutes; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property.

with this RFP have not within a three-year period preceding this certification had one or more federal, state, or local government public transactions terminated for cause or default.

with this RFP are not on the State of Florida’s Convicted Vendor List or the Discriminatory Vendor List.

Name of Proposer

Signature Printed or Typed Name

RFP #946: Attestation Services Relating to Quarterly Lobbying Firm Compensation Reports

Attachment B Non-Collusion Statement

I certify that this Proposal is made without prior understanding, agreement, or connection with any corporation, firm, or person submitting a Proposal for the same services, and is in all respects fair and without collusion or fraud. I agree to abide by all conditions of this Proposal and certify that I am authorized to sign this document for the organization and that the organization is in compliance with all requirements of this Request for Proposal including, but not limited to, certification requirements. In submitting a Proposal to an agency of the State of

Florida, the organization offers and agrees that, upon acceptance, the organization is deemed to have sold, assigned, and transferred to the State of Florida all rights, title, and interest in and to all causes of action it may now or hereafter acquire under the antitrust laws of the United States and the State of Florida relating to the particular commodities or services which may be purchased or acquired by the State of Florida or political subdivision thereof.

Organization:

Signature:

(Authorized Officer)

Signature:

(Printed or Typed Name)

Proposer:

Attachment C Disclosure Information

Upon reasonable inquiry, the organization discloses, on the lines below:

That the following identified owner, officer, director, employee, agent, or lobbyist who is/was a current or former member, officer, or employee of the Florida Legislature or any of its units and was, is, or will be significantly involved in preparing or approving this contract, representing the interests of the organization regarding this contract, or doing the work covered under this contract.

That the following identified current or former member or employee of the Florida Legislature owns, directly or indirectly, an interest of five percent (5%) or more of the total assets or capital stock in the company.

Name: ______________________________ Title: _________________________

If none, check here ________

Name of Proposer: ___________________________________________

By: ________________________________________________________

(Manual)

By: ________________________________________________________ (Typed)

Title or Position: _____________________________________________

Telephone: ________________________ Date: __________________

Attachment D Certificate of Licensure

(Copy of the Florida Accountancy Firm License and a copy of the Florida Certified Public Accountant License for all Key Personnel (partners and audit staff; clerical and other support staff are not included) identified in the Proposal)

The remainder of this page is intentionally left blank.

Attachment E

Resume(s)

(One page resume for each Manager/Supervisor and Auditor included in the Key Personnel)

Attachment F Florida Accountancy Firm Background and Experience

(Information about the Firm’s background and experience)

Attachment G Certification of No Disciplinary Action

I ______________, hereby certify that neither the Key Personnel (partners and audit staff; clerical and other support staff are not included) anticipated to be assigned to the attestation engagement as identified herein, nor the licensed accountancy firm, have been subject to any disciplinary action by the Florida Board of Accountancy within the last ten (10) years.

Certification Signature

Florida CPA License No.:______________________ ___________________________

Date: ___________________________________________________________________

Attachment H Peer Review Report

Attachment I Reference Form

Please use the format below for submitting references.

Reference Client 1: ___________________________________________________________________

Contact Person and Title: _______________________________________________________________

Mailing Address: _____________________________________________________________________

Phone Number: Email Address: _________________________________

Type of Services Provided: ________________________Dates Services Provided: __________________

Reference Client 2: ___________________________________________________________________

Contact Person and Title: _______________________________________________________________

Mailing Address: _____________________________________________________________________

Phone Number: Email Address: _________________________________

Type of Services Provided: ________________________Dates Services Provided: __________________

Reference Client 3: ___________________________________________________________________

Contact Person and Title: _______________________________________________________________

Mailing Address: _____________________________________________________________________

Phone Number: Email Address: _________________________________

Type of Services Provided: ________________________Dates Services Provided: __________________

Reference Client 4: ___________________________________________________________________

Contact Person and Title: _______________________________________________________________

Mailing Address: _____________________________________________________________________

Phone Number: Email Address: _________________________________

Type of Services Provided: ________________________Dates Services Provided: __________________

RFP #946: Attestation Services Relating to Quarterly Lobbying Firm Compensation Reports

Attachment J Cost Proposal

For Attestation Services

This Cost Proposal shall specify a single, blended hourly rate for all the Key Personnel (partners and audit staff; clerical and other support staff are not included) mentioned in the Technical Proposal as anticipated to be assigned to the engagement.

PROFESSIONAL STAFF PROFESSIONAL FEE:

POSITIONS DESCRIBED:

(If additional space is needed, attach a continuation page to the Cost Proposal.)

Single Blended Hourly Rate: *$_________________ [Note: Individual professional fees listed above should average to single blended hourly rate.]

*The Single Blended Hourly Rate is the basis of award.

Option One:

Renewal Term Single Blended Hourly Rate Year 1 $_____________ Renewal Term Single Blended Hourly Rate Year 2 $_____________ Renewal Term Single Blended Hourly Rate Year 3 $_____________

Option Two:

Renewal Term Single Blended Hourly Rate 3-Year $_____________

Attachment K

Policies 3.5 and 3.5.1, Joint Policies and Procedures

Attachment L

Contract for Attestation Services

This contract is between the Florida Legislature (Legislature), by and through the Joint Legislative Auditing Committee (JLAC), and _____________________, a ____ corporation registered to do business in Florida, with a principal address of _________________________ (Contractor).

The Legislature requires the Contractor to provide services as described herein. The objective of the competitive solicitation process was to seek qualified independent contract auditors as defined in Section 11.40(3)(c), Florida Statutes, to perform the attestation services relating to quarterly compensation reports filed by lobbying firms.

Contract Documents This Contract between the Legislature and the Contractor is comprised of this document and the following documents which are integrated into and made part hereof. In the event that there is a specific, direct, and irreconcilable conflict between any two or more provisions contained in this document and the component Exhibits and Attachments, the conflicting provisions will be given the following precedence:

a. Contract for Attestation Services

b. Request for Proposal RFP #946, as adjusted by any addenda to the RFP, including the Questions and Answers to the RFP

c. Contractor’s Proposal

Attestation Services and Deliverables.

The Attestation Services include the following specified deliverables:

a) Performance of Attestation Services (Services) as specified in the JLAC Guidelines for Attestation

Services Relating to Lobbying Firm Compensation Reports (Guidelines), contained herein as Exhibit "A" to the Contract and as may be subsequently updated. All subsequent revisions of Exhibit A will be provided by JLAC to the Contractor.

b) Performance of Attestation Services in accordance with applicable attestation standards promulgated by the American Institute of Certified Public Accountants as adopted by the Florida Board of Accountancy.

c) Contractor, once designated to perform the Services for a lobbying firm, must execute to JLAC a written, sworn certification subject to Section 837.06, Florida Statutes, contained herein as Exhibit "B” to the Contract, Independence Statement (CPA Firm), to verify that the Contractor's "Key Personnel" (partners and audit staff; clerical and other support staff are not included) as defined therein, assigned to the engagement are "independent" in accordance with all applicable standards and rules adopted by the American Institute of Certified Public Accountants as adopted by the Florida Board of Accountancy. At no time during the Contract Term shall employees, owners, partners, contactors, other agents, or lobbyists of the Contractor contact lobbying firms in order to solicit or otherwise attempt to influence the Contractor’s engagement by a lobbying firm or its selection by JLAC to perform the Services.

d) Contractor, once designated to perform the Services for a lobbying firm, must execute for each engagement a mutually agreed, written Task Assignment Agreement (TAA) with the Legislature’s Contract Manager, contained herein as Exhibit "D" to the Contract. JLAC may request that the Contractor provide a schedule for the performance of the Services to negotiate and estimate a completion date. JLAC reserves complete and sole discretion to terminate negotiations with the Contractor if agreement cannot be reached with the Contractor regarding the terms of the TAA and will follow the procedures in selecting another Contractor.

No oral agreements shall be valid or binding, and absolutely no Services can be commenced by the Contractor without an executed TAA. Any modifications to the terms and conditions of the TAA must be made by a mutually agreed and written amendment to the TAA.

e) The number of hours contained on the TAA will be set by JLAC. It is anticipated that individual engagements will vary in hours, depending on the number of principals represented by each lobbying firm.

f) The travel reimbursement will be mutually agreed to by the parties subject to the travel policy contained herein as Exhibit "E” to the Contract, Reimbursement of Travel Expenses.

g) The Contractor shall complete the work within the Due Date(s) provided. The Legislature anticipates that the Contractor will commence the Services no earlier than May 1, 2023, and complete the attestation services and issue the report no later than June 30, 2023, but that the time frame may vary, depending on the size and location of the lobbying firm. The Legislature’s Contract Manager will provide the Contractor with specific Due Date(s) before the start of the Services.

h) The Contractor must provide the Legislature’s Contract Manager the Certificate of No Disciplinary

Action (contained in the RFP as Attachment G, Certification of No Disciplinary Action) annually and must have a current Certificate on file before the start of the Services.

i) Upon completion of the Services, including the distribution of the Agreed-Upon Procedures

Report(s), the Contractor may be required to appear before the Legislature or the Florida Commission on Ethics to make oral presentations regarding the Services. The Contractor will be compensated for such time as contained herein as Exhibit "F” to the Contract, Contractor’s Cost Proposal.

j) Upon completion of the Services, the Contractor may be required to participate in a wrap-up discussion regarding their experience. Such discussion may be held telephonically.

Term; Renewal The Contract shall become effective upon execution and shall continue in effect for one (1) year.

The parties may renew the Contract, in whole or in part, for up to three (3) additional years at or lower than the prices specified in the Contractor’s Cost Proposal.

The Legislature will not be charged any additional costs or expenses for the renewal. The renewal must be in writing and signed by both parties, and is contingent upon satisfactory performance evaluations and subject to availability of funds.

Performance Credits Time is of the essence in performing the Services herein. The Contractor agrees that untimely performance will damage the Legislature, but by their nature such damages are impossible to ascertain presently and will be difficult to ascertain in the future. The parties agree that it is in their best interests to agree upon a reasonable amount of performance credit for failure to meet a performance standard of timeliness. The parties agree that, for each calendar day beyond the date specified in the Task Assignment Agreement (TAA) for completion of the Services and the distribution of the Agreed-Upon Procedures Report, the Contractor shall issue a credit against the final invoice submitted to JLAC equal to the blended hourly rate multiplied by four hours.

Consideration Travel, when required, must be authorized in advance by JLAC pursuant to the travel policy, attached hereto and incorporated herein as Exhibit “E” to the Contract, Reimbursement of Travel Expenses.

All invoices shall be submitted in detail sufficient for proper preaudit and postaudit thereof.

During the performance of Services, if the Contractor becomes aware that the number of hours on the TAA is insufficient and there is a reasonable probability that it will need to exceed the hours and/or the allocated travel or shipping costs to complete the Services, the Contractor must provide written notice to JLAC revising the estimate and explaining in detail the additional hours, and the related travel or shipping costs if any, needed to complete the Services. The Contractor shall comply with the terms and conditions of the TAA until it has received written approval from JLAC and executed a mutually agreed written amendment to the TAA.

The Contractor shall submit travel vouchers no later than the submission of the invoice as discussed in Payment Terms, hereinbelow.

Termination for Convenience The Legislature may terminate the Contract, in whole or in part, at any time upon providing written notice to the Contractor. The Legislature shall reimburse the Contractor for costs actually incurred for authorized services satisfactorily performed prior to the notice of termination.

Termination for Cause and Remedies of the Legislature Any one or more of the following events shall constitute an Event of Default on the part of the Contractor.

a.) Contractor fails to provide the Services as required under the Contract;

b.) Contractor discontinues the performance of the work required under the Contract;

c.) Contractor fails to promptly pay any and all taxes or assessments imposed by and legally due any state or federal government;

d.) Contractor made or has made a material misrepresentation or omission in any materials provided to the Legislature;

e.) Contractor commits any material breach of the Contract; or f.) Contractor refuses to allow public access to all documents, papers, letters, or other material subject to the provisions of Chapters 11 and 119, Florida Statutes, made or received by the Contractor in conjunction with the Contract and not otherwise deemed confidential, proprietary or a trade secret.

Upon the occurrence of an “Event of Default” on…