HomeMy WebLinkAboutC2015-446 - 11/10/2015 - Approved SERVICE AGREEMENT FOR EVALUATION OF THE FINANCE DEPARTMENT
Re: Request for Proposal Event No. 62
THIS Assessment of the Efficiency and Effectiveness of the Finance Department Service
Agreement("Agreement") is entered into by and between the City of Corpus Christi,a Texas home-rule
municipal corporation("City"), by and through its duly authorized City Manager or his designee("City
Manager"),and Weaver and Tidwell,L.L.P., a Texas limited liability partnership, effective for all
purposes upon execution by the City Manager.
WHEREAS, the Contractor has proposed to provide an assessment of the efficiency and
effectiveness of the Financial Services Department in response to the City's Request for Proposals ("RFP
Event No. 62");
WHEREAS,the City has determined Contractor to be the best valued respondent;
NOW, THEREFORE, City and Contractor enter into this Agreement and mutually agree as
follows:
1. Services. Contractor will provide an assessment of the efficiency and effectiveness of the City's
Financial Services Department ("Services") in accordance with RFP Event No. 62 ("Exhibit A"), the
Contractor's response to RFP Event No. 62 ("Exhibit B"), and the modified scope document ("Exhibit
C"), which exhibits are incorporated by reference into this Agreement as if fully set out here in their
entirety.
2. Term. This Agreement takes effect upon execution of the City Manager and continues until the
Services are completed by the Contractor, such date presently unknown but estimated to be approximately
six months after commencement.
3. Contract Administrator. The contract administrator designated by the City is responsible for
approval of all phases of performance and operations under this Agreement including deductions for
non-performance and authorizations for payment. All of the Contractor's notices and communications
regarding this Agreement must be directed to the contract administrator, who is the Assistant Director of
Strategic Management or her designee("Contract Administrator").
4. Independent Contractor. Contractor will perform the Services as an independent contractor and will
furnish such Services in its own manner and method, and under no circumstances or conditions may any
agent,servant, or employee of the Contractor be considered an employee of the City.
5. Insurance. Before activities can begin under this Agreement, the Contractor's insurance company, or
companies, must deliver a Certificate of Insurance, as proof of the required insurance coverages, to the
Contract Administrator and the City's Risk Manager. Additionally, the Contract Administrator and Risk
Manager must be given at least 30 days' advance notice, by certified mail, of cancellation, material
change in the coverages, or intent not to renew any of the policies. The City must be named as an
additional insured. The City Attorney must be given copies of all insurance policies within 15 days of the
City Manager's reasonable written request.
6. Assignment. No assignment by the Contractor of this Agreement nor of any right or interest
contained in this Agreement is effective unless the City gives its written consent in advance of such
assignment. The performance of this Agreement by the Contractor is the essence of this Agreement, and
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Weaver and Tidwell LLP INDEXED
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the City's right to withhold consent to such assignment is within the sole discretion of the City on any
ground whatsoever.
7. Fiscal Year. All parties recognize that the continuation of any contract after the close of any fiscal
year of the City (the City's fiscal year ends each September 30th) is subject to sufficient appropriations
and budget approval providing for covering such contract item as an expenditure in the budget. The City
does not represent that said budget item will be actually adopted, as that determination is within the sole
discretion of the City Council at the time of adoption of each annual budget.
8. Waiver. No waiver of any breach of any term or condition of this Agreement, its exhibits, and
amendments, if any,waives any subsequent breach of the same by either party.
9. Compliance with Laws. This Agreement is subject to all applicable federal, State, and local laws.
All duties of the parties will be performed in the city of Corpus Christi, Nueces County, Texas. The
applicable law for any legal disputes arising out of this Agreement is the law of the State of Texas, and
the forum and venue for any such disputes is in the appropriate district, county, or justice court in and for
Nueces County, Texas.
10. Subcontractors. The Contractor may use subcontractors in connection with the Services to be
performed under this Agreement. When using subcontractors, however, the Contractor must obtain prior
written approval from the Contract Administrator. In using subcontractors, the Contractor shall be
responsible for all their acts and omissions to the same extent as if the subcontractor and its employees
were employees of the Contractor. All requirements set forth as part of this Agreement are applicable to
all subcontractors and their employees to the same extent as if the Contractor and its employees had
performed the Services.
11. Amendments. This Agreement may be amended only in writing and upon execution by authorized
representatives of both parties.
12. Termination. The City Manager may terminate this Agreement for Contractor's failure to perform
the Services specified in this Agreement, including its exhibits A, B, and C, and any properly executed
amendment. Failure to keep all insurance policies in force for the entire term of this Agreement is also
grounds for termination. The Contract Administrator must give the Contractor written notice of the
breach and set out a reasonable opportunity to cure. If the Contractor has not cured within the cure period
stated,the City Manager may terminate this Agreement immediately thereafter.
Alternately, the City Manager may terminate this Agreement without cause upon 20 days' advance
written notice to the Contractor. However, the City may terminate this Agreement upon three days'
advance written notice to the Contractor for Contractor's failure to pay or provide proof of payment of
required taxes as set out in this Agreement.
13. Taxes. The Contractor covenants to pay payroll taxes, Medicare taxes, FICA taxes, unemployment
taxes, and all other related taxes in accordance with IRS Circular E,"Employer's Tax Guide",Publication
15, as it may be amended. Upon his request,the City Manager shall be provided proof of payment of one
or more of these taxes within 15 days of such request.
14. Precedence of Documents. In the event of a conflict or discrepancy among the documents
incorporated by reference and constituting this Agreement, interpretations will be based on the following
order of precedence: this executed Agreement excluding its exhibits and amendments; Exhibit A;Exhibit
B as modified by Exhibit C; Exhibit C; and any properly executed amendments to the Agreement.
15. Notice. Any notices or communications required or permitted under this Agreement must be given
by hand delivery, fax, or certified mail, with postage prepaid and return receipt requested, and is deemed
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received on the day hand-delivered or faxed and on the third day after deposit in the U.S. mail if sent
certified mail. Notices and communications must be sent as follows:
IF TO CITY:
City of Corpus Christi
Attention: Assistant Director of Strategic Management
1201 Leopard Street
Corpus Christi, Texas 78401
Fax: (361) 826-3174
IF TO CONTRACTOR:
Weaver and Tidwell,L.L.P.
Attn: Alyssa G. Martin
24 Greenway Plaza, Suite 1800
Houston,Texas 77046
Fax: (972)702-8321
16. Severability. Each provision of this Agreement is deemed severable and if, for any reason, any such
provision or any part thereof is determined to be invalid as provided by any existing or future applicable
law, such invalidity shall not impair the operation of or affect those provisions or portions of this
Agreement that are valid, and this Agreement shall be construed and enforced in all respects as if the
invalid or unenforceable provision or part thereof had been omitted.
17. INDEMNIFICATION. CONTRACTOR SHALL INDEMNIFY, HOLD
HARMLESS, AND DEFEND THE CITY OF CORPUS CHRISTI AND ITS
OFFICERS, EMPLOYEES AND AGENTS ("INDEMNITEES") FROM AND
AGAINST ANY AND ALL LIABILITY, LOSS, CLAIMS, DEMANDS, SUITS AND
CAUSES OF ACTION OF ANY NATURE WHATSOEVER ON ACCOUNT OF
PERSONAL INJURIES, INCLUDING THOSE RESULTING IN WORKERS'
COMPENSATION CLAIMS OR DEATH, PROPERTY LOSS OR DAMAGE, OR
ANY OTHER KIND OF LOSS, INJURY, OR DAMAGE, AND INCLUDING ALL
EXPENSES OF LITIGATION, COURT COSTS, ATTORNEYS' FEES AND
EXPERT WITNESS FEES WHICH ARISE OR ARE CLAIMED TO ARISE OUT
OF OR IN CONNECTION WITH THIS AGREEMENT OR THE PERFORMANCE
OF THIS AGREEMENT AND REGARDLESS OF WHETHER THE INJURIES,
DEATH, LOSS, OR DAMAGES ARE CAUSED OR ARE CLAIMED TO BE
CAUSED BY THE CONCURRENT OR CONTRIBUTORY NEGLIGENCE OF
INDEMNITEES BUT NOT IF BY THE SOLE NEGLIGENCE OF INDEMNITEES
UNMIXED WITH THE FAULT OF ANY OTHER PERSON. CONTRACTOR
MUST, AT ITS OWN EXPENSE, INVESTIGATE ALL NOTICES, CLAIMS, AND
DEMANDS, ATTEND TO THEIR SETTLEMENT OR OTHER DISPOSITION,
DEFEND ALL ACTIONS BASED THEREON WITH COUNSEL REASONABLY
SATISFACTORY TO THE CITY ATTORNEY, AND PAY ALL CHARGES OF
ATTORNEYS AND ALL OTHER COSTS AND EXPENSES OF ANY KIND
ARISING FROM ANY SAID LIABILITY, LOSS, CLAIMS, DEMANDS, SUITS,
OR ACTIONS. THE INDEMNIFICATION OBLIGATIONS OF CONTRACTOR
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UNDER THIS SECTION SURVIVE THE EXPIRATION OR EARLIER
TERMINATION OF THIS AGREEMENT.
EXECUTED this o day of ,20
15
Weaver and Tidwell,L.L.P.
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�� �� ) ATTEST sl- rc --
i;laa..
REBECCA HUERTA
Signatur:1 N rfl y SECRETARY
at. sso, 6' G, r } P
PrinteddjName and/ o / i5 tle
/0
Date
CITY OF CORPUS CHRISTI
NL %., 1l ( t8) 1s a l lroved as to form: l 1.
Maria Pedraza Date
Procurement Manager
.l/.I .A, lh- / 11
Assent City Att'rney /
For City Attorney
Attached and Incorporated by Reference: I
Exhibit A: RFP Event No. 62
Exhibit B: Contractor's Response to RFP Event No.62
Exhibit C: Modification of Scope and Costs
Id ilD D--1.22
A I MUK LLI
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SECRETARY
4
EXHIBIT A
CITY OF CORPUS CHRISTI
PURCHASING DIVISION
`-013pS C494'
O ..,.•
) y
8522
REQUEST FOR PROPOSAL
("RFP")
ASSESSMENT OF THE
EFFICIENCY AND
EFFECTIVENESS OF THE CITY
OF CORPUS CHRISTI'S
FINANCIAL SERVICES
DEPARTMENT
RFP EVENT No. 62
Release Date: July 18, 2015
Table of Contents
Section 1 Notice of Request for Proposal
1.1 Request for Proposal
1.2 Submission of Proposal
1.3 Schedule
Section 2 Conditions Governing the Procurement
2.1 RFP Notice Requirement
2.2 RFP Procedural and Content Questions
2.3 Basis for Proposal
2.4 Submission of Proposals
2.5 Proposal Terms and Conditions
2.6 Disclosure of Proposal Contents
2.7 Late Proposals
2.8 Signing of Proposals
2.9 Cost of Proposal
2.10 Disclosure of Interest
2.11 Ownership of Proposals
2.12 Disqualification or Rejection of Proposals
2.13 Rejection of Proposals
2.14 Right to Waive Irregularities
2.15 Withdrawal of Proposals
2.16 Amending of Proposals
2.17 Proposal Offer Firm
2.18 Proposer's Qualifications
2.19 Exceptions to RFP Specifications
2.20 Consideration of Proposals
2.21 Termination of RFP
2.22 Service Agreement
2.23 Precedence of Contract Documents
2.24 Governing Law
2.25 No Obligation
2.26 Contract Deviations
2.27 Sufficient Appropriation
2.28 Recommendation for Award
2.29 Award of Contract
2.30 Execution of Contract
2.31 Disputes
2.32 Change in Proposer's Representative
2.33 Term
2.34 Change Requests
2.35 Termination of Contract
2.36 Indemnification
2.37 Insurance Requirements
2.38 Right to Publish
2.39 Proposer's Ethical Behavior
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2.40 Quantities
2.41 Use of Subcontractors
Section 3 Scope of Work
3.1 General Information
3.2 Statement of Work
3.3 Deliverables
3.4 City of Corpus Christi Financial Services - Background
Section 4 Proposal Format and Organization
4.1 General Instructions
4.2 Proposal Format
4.3 Transmittal Letter
4.4 Service Agreement
Section 5 Proposal Evaluation
5.1 Evaluation Committee
5.2 Evaluation Criteria
Attachments
SERVICE AGREEMENT (Contract)
DISCLOSURE OF INTEREST
BUSINESS DESIGNATION FORM
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Section 1
Notice of Request for Proposal
1.1 Request for Proposal
A. The City of Corpus Christi ("City") hereby issues this request for proposal ("RFP"). The City is
seeking proposals from consultant firms interested and qualified in evaluating the efficiency and
effectiveness of the City of Corpus Christi's Financial Services department and identifying areas for
improvement with associated recommendations and action plans. The City intends to enter into a
contract (also referred to herein as "Contract" or"Agreement") resulting herefrom that commences on
the date signed by the last signatory and shall continue until the project is completed, approximately
six months after commencement subject to the approval of the Contractor and the City Manager or
designee ("City Manager")
B. The City hereby designates Gabriel Maldonado as the Procurement Officer with overall responsibility
for procurement and administration of this service. Mr. Maldonado's information is as follows:
Gabriel Maldonado
Interim Procurement Manager, Financial Services
City of Corpus Christi
P.O. Box 9277
Corpus Christi, Texas 78469-9277
Phone: (361) 826-3169
Fax: (361) 826-3174
GabrielM@cctexas.com
Further, the City designates Saundra K. Thaxton, Assistant Director of Strategic Management, as the as
the City's representative point of contact and project director following the award of the contract.
Saundra K. Thaxton, Assistant Director, Office of Strategic Management
City of Corpus Christi
1201 Leopard, 5th floor, City Hall
Corpus Christi, Texas 78469-9277
Telephone: 361.826.3682
E-mail: saundra@cctexas.com
C. All inquiries or requests regarding this RFP must be submitted to the Procurement Officer indicated
above, or his designee as specified in writing, in writing and online, via the City's Supplier Portal
(http://www.cctexas.com/business/supplierportal) using the electronic question submission feature
specific to this RFP. Such inquiries or requests must be submitted by the due date and time provided
in Section 1.3 of this RFP. Other employees do not have the authority to respond for the City in
writing and any attempt to question other employees regarding this RFP may result in the City
disqualifying that Proposer. Only written responses from the Procurement Officer or his designee will
be binding with regard to inquiries requesting clarification or additional information. The
Procurement Officer's written responses will be released simultaneously to all prospective Proposers.
D. The date and time the Proposer electronically submits its proposal via the City's Supplier Portal shall
be electronically recorded by the Supplier Portal and shall be the official "time stamp" for the purpose
of this RFP. The time maintained by the Supplier Portal shall be the official time for the purpose of
the DUE DATE FOR PROPOSALS provided in Section 1.3 of this RFP.
1.2 Submission of Proposal
A. PROPOSER SHALL SUBMIT ITS PROPOSAL ELECTRONICALLY, AS INSTRUCTED
HEREIN, VIA THE CITY'S SUPPLIER PORTAL. All proposals must be complete and accurate
and in the City-approved format specified herein.
B. The City's Charter and the City's Electronic Procurement Policy require that all proposals submitted
be sealed, secret, unopened and time-locked through the DUE DATE FOR PROPOSALS specified in
this RFP. Therefore, proposals submitted directly to the City by facsimile machine, e-mail or
hard copy will be considered non-responsive and will be eliminated from consideration.
C. Proposals will be received, electronically, before the date and time specified in Section 1.3 of this
RFP. Without exception, proposals received on or after this deadline are late, shall be deemed non-
responsive and shall not be considered.
D. Proposers shall comply with the additional detailed instructions regarding submission of proposals
found in Section 4 of this RFP.
1.3 Schedule
The following is the schedule for this procurement:
Date Activity
July 18, 2015 Request for Proposal issued
July 29, 2015 Written questions are due, via the question feature in the City's
Supplier Portal before 5:00 p.m. CT
August 5, 2015 Responses to the questions will be posted via the question feature in
the City's Supplier Portal
August 17, 2015 DUE DATE FOR PROPOSALS: Proposals due before 12:00
p.m. CT
Week of August 24-28, 2015 Finalists interviewed (tentative)
August 31, 2015 Consultant recommended/selected (tentative)
September 8, 2015 Projected Date Award of Contract will appear as "Future" Item on
City Council Agenda, if applicable.*
September 15, 2015 Projected Date Award of Contract will appear as "Consent" Item on
City Council Agenda, if applicable.*
October 2015 through Consultant field work
February 2016
February 5, 2016 Consultant briefs staff on tentative conclusions
February 12, 2016 Consultant provides staff a draft report
February 26, 2016 Consultant provides staff the final report
March 15, 2016 Consultant briefs City Council
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Section 2
Conditions Governing the Procurement
2.1 RFP Notice Requirement
Notice of the RFP will be published in the Corpus Christi Caller Times once a week for two consecutive
weeks. The date of the first publication will be at least fourteen (14) days prior to the proposal due date.
2.2 RFP Procedural and Content Questions
A. Any Proposer requiring further clarification of the RFP procedures should submit specific questions
to the Procurement Officer as described in Section 1.1, C of this RFP.
B. During a review of this RFP and preparation of the proposal, certain errors, omissions or
ambiguities may be discovered. If so, or if there are doubts or concerns about the meaning of any
part of this RFP, questions should be submitted to the Procurement Officer as described in Section
1.1, C of this RFP.
2.3 Basis for Proposal
Only the information contained in this RFP, questions and answers, addenda hereto and information
supplied by the City in writing through the Procurement Officer should be used in the preparation of the
Proposer's proposal(s).
2.4 Submission of Proposals
A formal opening of the proposals shall not take place.
2.5 Proposal Terms and Conditions
With its proposal, the Proposer must submit a complete set of any additional terms and conditions
proposed for inclusion in the final Agreement.
2.6 Disclosure of Proposal Contents
Proposals will be opened in a manner that avoids disclosure of the contents to competing Proposers and
keeps the proposals secret during negotiations. All proposals are open for public inspection after the
contract(s) are awarded; however, trade secrets and confidential information in the proposals are not open
for public inspection. It is specifically provided, however, that each Proposer must identify any
information contained in its proposal which it asserts is either a trade secret or confidential
information. Such material must be conspicuously identified by marking each page containing such
information as "confidential" or "proprietary". If such material is not conspicuously identified, then
by submitting its proposal, a Proposer agrees that such material is considered public information.
2.7 Late Proposals
Without exception, proposals must be submitted before the DUE DATE FOR PROPOSALS. Proposals
received on or after the time and date specified in Section 1.3 are late and shall not be considered.
2.8 Signing of Proposals
By submitting and signing a proposal, the Proposer indicates its intention to adhere to the provisions
described in this RFP. Proposals signed for a partnership shall be signed in the Proposer's name by at
least one general partner or in the Proposer's name by an attorney-in-fact. If signed by an attorney-in-
fact, there should be attached to the proposal a Power-of-Attorney evidencing authority to sign proposals,
dated the same date as the proposal, and executed in accordance with the legal requirements of the
Proposer. Proposals signed for a corporation shall have the correct corporate name thereon and
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shall bear the president's or vice president's original signature with the name and title written below the
corporate name. Any other signature must be accompanied by a resolution of the board of directors
authorizing such signature to contract in the corporation's name. The title of the office held by the person
signing for the corporation shall appear below the signature of the officer.
2.9 Cost of Proposal
This RFP does not commit the City to pay any costs incurred by a Proposer for preparation and
submission of a proposal or for procuring or contracting for the items to be furnished under this RFP. All
costs directly or indirectly related to preparing and responding to this RFP, including all costs incurred
for supplementary documentation, shall be borne solely by the Proposer.
2.10 Disclosure of Interest
The City of Corpus Christi's Code of Ordinances, Section 2-349, as amended, requires all persons and
Proposers seeking to do business with the City to provide the Disclosure of Interest information on the
City-supplied form included herewith. Every question must be answered. If the question is not
applicable, answer with N/A. Proposers are obligated to provide updated information concerning the
Disclosure of Interest, as warranted, for the duration of time the proposals are under consideration.
2.11 Ownership of Proposals
All documents submitted in response to this RFP shall become the property of the City.
2.12 Disqualification or Rejection of Proposals
Proposers may be disqualified for any of the following reasons:
1. There is reason to believe that collusion exists among the Proposers;
2. The Proposer is involved in any litigation against the City;
3. The Proposer is in arrears on an existing contract or has defaulted on previous contracts with the
City;
4. The Proposer lacks financial stability;
5. The Proposer has failed to perform under previous or present contracts with the City;
6. The Proposer has failed to use the City's approved forms;
7. The Proposer has failed to adhere to one or more of the provisions established in this RFP;
8. The Proposer has failed to submit its Proposal in the format specified herein;
9. The Proposer has failed to submit its Proposal before the deadline established herein;
10. The Proposer has failed to adhere to generally accepted ethical and professional principles during
the proposal process; or,
11. The Proposer has failed to provide a detailed cost summary in the proposal.
2.13 Rejection of Proposals
Proposals may be rejected if they show any alteration of words or figures, additions not called for,
conditional or uncalled-for alternate proposals, incomplete proposals, erasures or irregularities of any
kind. Proposals tendered or delivered after the official time designated for receipt of proposals shall be
deemed non-responsive and shall not be considered.
2.14 Right to Waive Irregularities
Proposals shall be considered "irregular" if they show any admissions, alterations of form, additions or
conditions not called for, unauthorized alternate proposals or irregularities of any kind. The Procurement
Officer reserves the right to waive minor irregularities and mandatory requirements, provided that all
responsive proposals failed to meet the same mandatory requirements and the failure to do so does not
otherwise materially affect the procurement. This right shall be exercised at the sole discretion of the
Procurement Officer.
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2.15 Withdrawal of Proposals
Proposals may be withdrawn through the City's Supplier Portal prior to the exact hour and DUE DATE
FOR PROPOSALS.
2.16 Amending of Proposals
A Proposer may amend a proposal through the City's Supplier Portal prior to the exact hour and DUE
DATE FOR PROPOSALS.
2.17 Proposal Offer Firm
By submission of its proposal, the Proposer affirms that its proposal is firm for one hundred eighty (180)
days after the DUE DATE FOR PROPOSALS.
2.18 Proposer's Qualifications
The City may make such investigations as necessary to determine the ability of the Proposer to adhere to
the requirements specified herein. The Procurement Officer will reject the proposal of any Proposer who
is not a responsible Proposer.
2.19 Exceptions to RFP Specifications
Although the specifications in the following sections represent the City's anticipated needs, there may be
instances in which it is in the City's best interest to permit exceptions to specifications and evaluate
alternatives. It is vital that the Proposer make very clear where exceptions are taken to the specifications
and how the Proposer will provide alternatives.
Therefore, exceptions, conditions or qualifications to the provisions of the City's specifications must be
clearly identified as such, together with reasons for taking exception and inserted in the proposal at
that point. If the Proposer does not make clear that an exception is being taken, the City will assume
the Proposer is, in its proposal, responding to and will meet the specifications and requirements of this
RFP.
2.20 Consideration of Proposals
Discussions may be conducted with responsible Proposers qualified to be selected for award for the
purpose of clarification to assure full understanding of and responsiveness to the solicitation
requirements. In discussions, there shall not be disclosure of any information derived from proposals
submitted by competing Proposers. Until award of the Contract is made by the City, the City reserves the
right to reject any or all proposals, to waive technicalities, to re-advertise for new proposals or to proceed
with the work in any manner as may be considered in the best interest of the City. Should the City require
clarification from the Proposer, the City shall contact the individual named as the organization's contact
person in the City's Supplier Portal. Evaluation of the proposal is the first step in a series of evaluation
steps that will be conducted by the Committee. The City may elect to conduct post-submission reference
checks, Proposer interviews or best and final offers with any Proposers that are not eliminated based on
their proposal.
2.21 Termination of RFP
The City reserves the right to cancel this RFP at any time. The City reserves the right to reject any or all
proposals submitted in response to this RFP.
2.22 Service Agreement
The fully executed Contract, as amended; the RFP, as clarified via questions and answers and addenda;
and the proposal, as may be clarified in writing, constitute the agreement, in its entirety, between the City
and the Contractor. Any other terms and conditions shall be null and void.
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2.23 Precedence of Contract Documents
In case of a conflict in the contract documents, first precedence shall be given to the fully executed
Contract, as amended; second precedence will be given to the RFP, including questions, answers and
addenda; and third precedence will be given to the proposal, including as may be clarified in writing.
2.24 Governing Law
The laws of the State of Texas will govern the Contract. The contract shall be executed and venue shall
lie in Nueces County, Texas.
2.25 No Obligation
In no manner does this RFP obligate the City or any of its agencies to the eventual services offered until
confirmed by an executed written Contract.
2.26 Contract Deviations
Any additional terms or conditions, which may be the subject of negotiation, will be discussed only
between the City and qualified Proposers.
2.27 Sufficient Appropriation
Any contract awarded as a result of this RFP process may be terminated if sufficient appropriations or
authorizations do not exist. Such termination will be effected by sending written notice to the Contractor.
The City's decision as to whether sufficient appropriations and authorizations are available shall be
accepted by the Proposer as final.
2.28 Recommendation for Award
City staff will recommend to the City Manager that award be made to the Proposer(s) whose proposal is
determined by the City to be the most advantageous ("Best Value") to the City.
2.29 Award of Contract
The City reserves the right to withhold final action on proposals for a reasonable time not to exceed one
hundred eighty(180) days subsequent to the deadline for receipt of proposals. The award of a Contract(s),
if an award is made, will be to the most responsible and responsive Proposer(s) that gives the City the
"Best Value" and whose proposal meets the requirements and criteria set forth in this RFP.
2.30 Execution of Contract
The City Manager shall authorize award of the Contract to the successful Proposer(s) and shall designate
the successful Proposer(s) ("Contractor") as the City's Provider(s). The City will require the
Contractor(s) to sign the documents necessary to enter into the required Contract with the City and to
provide the necessary evidence of insurance as required in the Contract documents. No Contract for this
project may be signed by the City without the authorization of the City Manager and no Contract shall be
binding on the City unless and until it has been approved as to form by the City Attorney's Office and
executed by the City Manager.
2.31 Disputes
In the case of any doubt or difference of opinion with regard to the items to be furnished by a Proposer or
the interpretation of the provisions of this RFP, the decisions of the City shall be final and binding upon
all parties.
2.32 Change in Proposer's Representative
The City reserves the right to require a change in Proposer's representatives if the assigned
representatives are not, in the sole opinion of the City, adequately meeting the needs of the City.
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2.33 Term
The contract resulting herefrom will commence on the date signed by the last signatory and continues
until the project is completed, approximately six months after commencement, subject to the approval of
the Contractor and the City Manager. By submission of its proposal, the Proposer agrees that the pricing
quoted in its proposal is fixed and firm for the duration of the contract.
2.34 Change Requests
Contract changes may only be made by an amendment to the Contract and executed in writing by the City
and the Contractor and approved by the City Manager.
2.35 Termination of Contract
A. The City Manager may terminate this Agreement for Contractor's failure to perform the services
specified in this Agreement and its exhibits. The Contract Administrator must give the Contractor written
notice of the breach and set out a reasonable opportunity to cure. If the Contractor has not cured within
the cure period stated in the notice, the City Manager may terminate this Agreement immediately
thereafter. Failure to keep all insurance policies in force for the entire term of this Agreement is grounds
for termination.
B. Alternatively, the City may terminate this Agreement without cause upon twenty (20) days' advance
written notice to the Contractor. However, the City may terminate this Agreement upon twenty-four(24)
hours' advance written notice to the Contractor for the Contractor's failure to pay any required taxes or to
provide proof of payment of taxes as set out in this Agreement. The Contractor may terminate this
Agreement upon ninety(90) days' advance written notice to the City.
2.36 Indemnification
CONTRACTOR SHALL INDEMNIFY, HOLD HARMLESS AND DEFEND THE
CITY OF CORPUS CHRISTI AND ITS OFFICERS, EMPLOYEES AND AGENTS
("INDEMNITEES") FROM AND AGAINST ANY AND ALL LIABILITY, LOSS,
CLAIMS, DEMANDS, SUITS AND CAUSES OF ACTION OF ANY NATURE ON
ACCOUNT OF DEATH, PERSONAL INJURIES, PROPERTY LOSS OR
DAMAGE OR ANY OTHER KIND OF DAMAGE, INCLUDING ALL EXPENSES
OF LITIGATION, COURT COSTS, ATTORNEYS' FEES AND EXPERT
WITNESS FEES WHICH ARISE OR ARE CLAIMED TO ARISE OUT OF OR IN
CONNECTION WITH THIS AGREEMENT OR THE PERFORMANCE OF THIS
AGREEMENT, REGARDLESS OF WHETHER THE INJURIES, DEATH, OR
DAMAGES ARE CAUSED OR ARE CLAIMED TO BE CAUSED BY THE
CONCURRENT OR CONTRIBUTORY NEGLIGENCE OF INDEMNITEES, BUT
NOT IF BY THE SOLE NEGLIGENCE OF INDEMNITEES UNMIXED WITH
THE FAULT OF ANY OTHER PERSON OR GROUP. CONTRACTOR MUST,
AT ITS OWN EXPENSE, INVESTIGATE ALL CLAIMS AND DEMANDS,
ATTEND TO THEIR SETTLEMENT OR OTHER DISPOSITION, DEFEND ALL
ACTIONS BASED THEREON WITH COUNSEL REASONABLY
SATISFACTORY TO INDEMNITEES, AND PAY ALL CHARGES OF
ATTORNEYS AND ALL OTHER COSTS AND EXPENSES OF ANY KIND
ARISING FROM ANY SAID LIABILITY, DAMAGE, LOSS, CLAIMS, DEMANDS
OR ACTIONS. THE INDEMNIFICATION OBLIGATIONS OF CONTRACTOR
UNDER THIS SECTION SURVIVE THE EXPIRATION OR SOONER
TERMINATION OF THIS AGREEMENT.
7
2.37 Insurance Requirements
I.CONSULTANT'S LIABILITY INSURANCE
1. Consultant must not commence work under this agreement until all insurance required herein has
been obtained and approved by the City's Risk Manager or designee. Consultant must not allow
any subcontractor to commence work until all similar insurance required of the subcontractor has
been so obtained.
2. Consultant must furnish to the Risk Manager and Assistant Director, Office of Strategic
Management, two (2) copies of Certificates of Insurance with applicable policy endorsements
showing the following minimum coverage by an insurance company(s) acceptable to the Risk
Manager or designee. The City must be listed as an additional insured for the General
Liability and Auto Liability policies, and a waiver of subrogation is required on all
applicable policies. Endorsements must be provided with Certificate of Insurance. Project
name and/or number must be listed in Description Box of Certificate of Insurance.
TYPE OF INSURANCE MINIMUM INSURANCE COVERAGE
30-day advance written notice of cancellation, Bodily Injury and Property Damage
non-renewal, material change or termination Per occurrence- aggregate
required on all certificates and policies.
Commercial General Liability including: $1,000,000 Per Occurrence
1. Commercial Broad Form
2. Premises—Operations
3. Products/Completed Operations
4. Contractual Liability
5. Independent Contractors
6. Personal Injury- Advertising Injury
BUSINESS AUTOMOBILE LIABILITY $1,000,000 Combined Single Limit
1. Owned
2. Hired &Non-owned Or State of Texas Minimum Limits for personal or
3. Rented & Leased rental autos.
PROFESSIONAL LIABILITY $1,000,000 Per Claim
(Errors and Omissions) (Defense costs not included in face value of the
policy)
If claims made policy, retro date must be prior to
inception of agreement, have extended reporting
period provisions and identify any limitations
regarding who is insured.
WORKERS' COMPENSATION Statutory
(All States Endorsement if Company is not
domiciled in Texas)
Employer's Liability $500,000/ $500,000/ $500,000
3. In the event of accidents of any kind related to this project, Consultant must furnish the Risk Manager
with copies of all reports of such accidents within 10 days of the accident.
8
E ADDITIONAL REQUIREMENTS
1. Applicable for paid employees, Consultant must obtain workers' compensation coverage through
a licensed insurance company. The coverage must be written on a policy and endorsements
approved by the Texas Department of Insurance. The workers' compensation coverage provided
must be in an amount sufficient to assure that all workers' compensation obligations incurred by
the Consultant will be promptly met. An All States endorsement shall be required if consultant is
not domiciled in the State of Texas.
2. Consultant shall obtain and maintain in full force and effect for the duration of this Contract, and
any extension hereof, at Consultant's sole expense, insurance coverage written on an occurrence
basis, by companies authorized and admitted to do business in the State of Texas and with an
A.M. Best's rating of no less than A- VII.
3. Consultant shall be required to submit replacement Certificate of Insurance to City at the address
provided below within 10 days of any change made by the Consultant or as requested by the City.
Consultant shall pay any costs incurred resulting from said changes. All notices under this Article
shall be given to City at the following address:
City of Corpus Christi
Attn: Risk Management
P.O. Box 9277
Corpus Christi, TX 78469-9277
4. Consultant agrees that with respect to the above required insurance, all insurance policies
are to contain or be endorsed to contain the following required provisions:
• List the City and its officers, officials, employees, and volunteers, as additional insureds by
endorsement with regard to operations, completed operations and activities of or on behalf of the
named insured performed under contract with the City, with the exception of the workers'
compensation policy.
• Provide for an endorsement that the "other insurance" clause shall not apply to the City of Corpus
Christi where the City is an additional insured shown on the policy;
• Workers' compensation and employers' liability policies will provide a waiver of subrogation in
favor of the City; and
• Provide 30 calendar days advance written notice directly to City of any cancellation, non-renewal,
material change or termination in coverage and not less than ten calendar days advance written
notice for nonpayment of premium.
5. Within five calendar days of a cancellation, non-renewal, material change or termination of
coverage, Consultant shall provide a replacement Certificate of Insurance and applicable
endorsements to City. City shall have the option to suspend Consultant's performance should there
be a lapse in coverage at any time during this contract. Failure to provide and to maintain the
required insurance shall constitute a material breach of this contract.
6. In addition to any other remedies the City may have upon Consultant's failure to provide and
maintain any insurance or policy endorsements to the extent and within the time herein required,
9
the City shall have the right to order Consultant to stop work hereunder, and/or withhold any
payment(s) which become due to Consultant hereunder until Consultant demonstrates compliance
with the requirements hereof.
7. Nothing herein contained shall be construed as limiting in any way the extent to which Consultant
may be held responsible for payments of damages to persons or property resulting from
Consultant's or its subcontractor's performance of the work covered under this contract.
8. It is agreed that Consultant's insurance shall be deemed primary and non-contributory with respect
to any insurance or self-insurance carried by the City of Corpus Christi for liability arising out of
operations under this contract.
9. It is understood and agreed that the insurance required is in addition to and separate from any
other obligation contained in this agreement.
2.38 Right to Publish
Throughout the duration of the procurement process and resulting Contract teen, Proposer must secure
from the City written approval prior to the release of any information that pertains to the potential work or
activities covered by the RFP or the resulting Contract. Failure to adhere to this requirement may result in
disqualification of the Proposer's proposal or termination of the Contract.
2.39 Proposer's Ethical Behavior
By submission of its proposal, the Proposer promises that Proposer's officers, employees, or agents will
not attempt to lobby or influence a vote or recommendation related to the Proposer's proposal submitted
in response to this RFP, directly or indirectly, through any contact with City Council members or other
City officials between the date this RFP is released to the public and the date a contract is awarded by the
City Manager. Such behavior will be cause for rejection of the Proposer's proposal at the discretion of
the City Manager or his designee.
2.40 Quantities
Quantities described herein are estimates and do not obligate the City to order or accept more than the
City's actual requirements during the term of any contract, nor do the estimates limit the City to ordering
less than its actual needs during the term of any contract, subject to availability of appropriated funds.
2.41 Use of Subcontractors
The Proposer may use subcontractors in connection with the work performed under this Agreement.
When using subcontractors, however, the Proposer must obtain prior written approval from the Contract
Administrator. In using subcontractors, the Proposer is responsible for all their acts and omissions to the
same extent as if the subcontractor and its employees were employees of the Proposer. All requirements
set forth as part of the Contract are applicable to all subcontractors and their employees to the same extent
as if the Proposer and its employees had performed the services.
10
Section 3
Scope of Work
3.1 General Information
The City is interested in obtaining an overall assessment of Financial Services department. The purpose
of the review is to:
Evaluate the efficiency and effectiveness of the City of Corpus Christi's Financial Services and
identify areas for improvement with associated recommendations and action plans. Overall
objectives include assessing how well the department is currently performing core services and
identifying ways Financial Services can improve efficiency and effectiveness and performance
relative to other cities. This includes results of comparisons against other municipal Finance
departments and against industry standards. Aspects of the assessment include reviewing
organization, staffing levels,financial policies and procedures,financial performance reporting,
CAFR preparation, and divisional operations.
Examples of specific questions to be addressed are included in Section 3.2 below. If any "weaknesses"
or "areas of improvement" are identified, the consultant will be expected to provide specific
recommendations needed to close the gaps identified, including recommended action steps and
implementation timelines.
3.2 Statement of Work
The Consultant will assess the City's Financial Services Department taken as a whole and each of the
specific divisional units and identify areas for improvement. Specific questions shall include, but not be
limited to, the following topical areas and divisions:
1) Organization and Support of Financial Services
2) Staffing Levels
3) Financial Policies, Procedures, Process Flow, and Charting
4) Financial Performance Reporting
5) CAFR Preparation
6) Divisions:
a) Utility Billing Office
b) Purchasing
c) Warehouse
d) Accounts Payable
e) Accounts Receivable & Collections
f) Accounting
g) Payroll
h) Grants
i) Cash Management
j) Central Cashiering
11
1) ORGANIZATION AND SUPPORT OF FINANCIAL SERVICES:
a) Is the overall organization of Financial Services logically structured and how does it compare to
other Texas cities?
b) Are supervisor-to-staff ratios and the span of control reasonable?
c) Is the Utility Billing Office (UBO) properly structured within the organization and the right
structure within UBO? Is there a case to be made for including the Utility Billing Office in the
Finance Department(or as a separate department?)
d) Would Financial Services be better served if"Functional or Technical Analysts" resided within
the department rather than within MIS (IT)?
e) Is the current level of technical IT support provided by the MIS Department adequate and if not,
how should Finance be appropriately supported?
f) Is there a better way to do this work?
2) STAFFING LEVELS:
a) Does the Department use a systematic approach to determine staffing level needs for each of the
major functional areas (UBO, Purchasing, Payroll, Treasury, Central Cashiering, Accounting), and
if so, is the approach used reasonable? If not, describe approach and results.
b) What is the minimum number of staff by position and division needed to do a good job in
Financial Services?
c) Are the staffing levels reasonable for each of the major functional areas?
d) Is the pay and classification correct for staff and if not, what should it be?
e) Are our people qualified?
3) FINANCIAL SERVICES POLICIES AND PROCEDURES, PROCESS FLOW AND
CHARTING:
a) Are the City's overall Financial Policies reasonable and sufficient?
b) Does the Department have adequate systems in place to monitor compliance with financial
policies?
c) Does the Department have adequately documented procedures, process flow and charting for all
major functional areas? If not, what is recommended to rapidly create procedures and flow
charting?
d) Are there adequate procedures to address all major policies?
e) Is the City's annually adopted debt, budgetary financial policy, and investment policy reasonable
and does it adequately address risk?
4) FINANCIAL PERFORMANCE REPORTING:
a) Does Financial Services periodically provide City management adequate analyses of financial
trends and emerging issues? If so, are the reports of a quality comparable to other Texas cities
(e.g. San Antonio, Fort Worth, Arlington, Austin, Dallas, El Paso, and Houston)? If not, define
the types of reports that should be provided.
b) How does the financial performance of the City of Corpus Christi compare relative to other Texas
cities?
c) Has the City established criteria for what constitutes good financial performance?
12
5) CAFR PREPARATION:
a) Has the level of effort devoted annually to prepare the CAFR been reasonable, and is it
comparable to other municipalities?
b) How does the preparation of the CAFR compare to other Texas cities? Does the external auditor
prepare the book or is it done internally by staff?
i) If done by staff, how long does it take to complete the CAFR (from start to finish)? Is CAFR
software used?
ii) If done by the external auditor, how much is the fee to do so?
c) Has the level of effort increased significantly with INFOR and, if so, what are the contributing
causes?
d) Would it be cost justified to acquire CAFR software?
6) DIVISIONS: For each of the divisions, provide answers to the following questions:
a) Are there reasonable controls, checks and balances, and review procedures?
b) How does performance compare relative to other major Texas cities?
c) Is the level of effort devoted to routinely process the following reasonable and are there
opportunities to refine or further automate?:
an invoice, bill, accounting transactions,fixed assets, payroll, monthly/quarterly grant reporting,
daily cash management transactions, or central cashiering payments.
d) Do our work processes and procedures align with our technology? If not, how can it be fixed?
e) Can we outsource parts of the Finance Department? Which parts and would it be cost effective to
do so?
a) UTILIY BILLING OFFICE (UBO):
i) Do UBO customer service representatives have easy access to accurate customer account
records sufficient to provide quality and timely service?
ii) Are utility receivables adequately managed? This would include determining whether
collection and receivable criteria are established and routinely monitored.
iii) Are monthly reports of water revenues by rate class of sufficient quality and detail to support
cost of service analysis?
iv) Is the current level of functionality provided in the new UBO system reasonable?
v) Are the current reports going to be provided as part of the new system?
vi) Is there adequate inter- and intra-departmental input and training provided as part of the new
system?
vii)Do any major deficiencies or issues exist as part of the new system rollout which we are not
aware?
b) PURCHASING:
i) Are there significant opportunities to increase the efficiency of the procurement process? If
so,how?
ii) Are purchasing procedures adequately documented and communicated to City departments?
iii) Is the City taking reasonable advantage of opportunities to purchase commonly used goods
and services off of supply agreements or IDIQ's?
iv) Is the training provided to departments adequate to support departmental compliance with new
procedures given that the City moved from a decentralized to centralized purchasing process?
13
c) WAREHOUSE:
i) Is the Purchasing Division's Warehouse structured appropriately and is the location
appropriate? How does it compare to other Texas cities?
ii) Are there significant opportunities to increase the efficiency of the City's warehouse?
iii) Is the City taking reasonable advantage of opportunities to purchase commonly used goods
and services off of supply agreements or IDIQ's?
iv) Are procedures for utilizing the City's warehouse adequately documented and communicated
to City departments?
v) Is the training provided to departments adequate for utilization of the City's warehouse?
vi) Are we being efficient? If not, are there better ways to do this work?
d) ACCOUNTS PAYABLE:
i) Is the time and effort to routinely process accounts payable reasonable?
ii) Is additional departmental training needed?
e) ACCOUNTS RECEIVABLE/COLLECTIONS:
i) Is the time and effort to routinely process monthly billing reasonable?
ii) Is additional departmental training needed?
iii) Are the City's collection rates for utilities and miscellaneous receivables comparable to other
Texas cities?
iv) Are all accounts receivables centralized in other Texas cities or are they decentralized like in
Corpus Christi?
I) ACCOUNTING:
i) Is the number and type of journal entries reasonable?
ii) Is the monthly/quarterly "close-out" time reasonable so that departments may obtain adequate
financial statements?
iii) Is our"close-out"time reasonable compared to other Texas cities?
g) PAYROLL:
i) Is the frequency of payroll errors or adjustments reasonable?
ii) Does there appear to be duplication of effort between the centralized payroll processing in
Finance and payroll activities within the other City departments?
iii) Are systems in place to identify"ghost employees"?
h) GRANTS:
i) Are the number and type of journal entries reasonable?
ii) Is our "close-out" time and preparation of the Schedule of Federal and State Expenditures of
Awards reasonable compared to other Texas cities?
i) CASH MANAGEMENT:
i) Is the level of effort devoted to investing City funds reasonable, and are there significant
opportunities for automation or improvement?
14
ii) Is the level of effort devoted to printing checks, doing wires, and doing ACH transactions
reasonable, and are there significant opportunities for automation or improvement?
iii) Are the number and type of cash interfaces and daily reconciliations reasonable?
j) CENTRAL CASHIERING:
i) How does the collection of payments in person, on-line, by telephone, through the lock-box
(mail-in payments), and at substations compare to other Texas cities?
3.3 Deliverables
The consultant will be required to deliver a final report that answers all the questions specified in Section
3.2 and requirements specified in Section 4 of this RFP. The final report shall be provided both in
electronic and printed form, with 20 printed copies of the final report.
The report must include recommended actions and include return on investment analysis needed to
address deficiencies identified, and where benchmarks indicate improvements are needed. An action plan
shall include suggested tasks and timeline.
The consultant will be required to present to the City Council the final report, and comprehensively
support the findings on a date to be selected by the City. All working papers to support the report shall be
the property of the City's.
3.4 City of Corpus Christi Financial Services - Background
Financial Services is made up of five main divisions: administration, accounting, treasury, collections,
and procurement and has 95 full-time equivalent (FTE) positions budgeted.
The Administration Division is responsible for the overall management and operations of the department.
One assistant director is responsible for the Accounting, Treasury Divisions, and Collections Divisions,
while the other is responsible for the Procurement Division.
The Accounting Division is responsible for the daily operations of general accounting and grants,
reconcilement of the City's bank accounts, paying of City invoices city-wide, and administration of
payroll. Accounting is responsible for the Comprehensive Annual Financial Report (CAFR),
supplemental disclosure, cost allocation plan, daily general ledger and grant activities, and account
reconciliations. Grant accountants report to the Controller. The INFOR financial module was
implemented last year.
The Treasury Division includes cash management and central cashiering. Cash management handles the
City's cash and investment portfolio. This division will be implementing a new cash receipting system on
October 1, 2015.
The Collections Division includes accounts receivable and the Utility Business Office and is responsible
for the monthly billing and collecting of the City's miscellaneous receivable and utility accounts. This
division will also be implementing a new billing system on October 1, 2015, which will interface with the
INFOR financial module implemented one year earlier.
The Procurement Division includes the purchasing function, operations of warehouse, messenger service
and postage services.
15
Organizational Chart
DI RECTOR/
ASSISTANT DIRECTORS(2)
EXECUTIVE ASSISTANT
I
Accounting Treasury Collections Procurement
28 FTE's 15 FTE's 31 FTE's 17 FTE's
1—Controller
1-Chief Accountant Accountants Cash Accounts Purchasing
2—Supervising Accountants 8 FTE's Management Receivable 8 FTE's
3-Senior Accountants(fund) 5 FTE's 5 FTE's
1—Accountant See E Below
See A Below See C Below
Bank
1-Accountant Reconciliation Utility Bus Office Warehouse
1 FTE Central 7 FTE's
24 FTE's
Cashiering See F Below
10 FTE's See D Below
3—Account Payable Techs Accounts
1—Senior Customer Svc Rep
Payable See B Below
1—Customer Service Rep y Messenger Svc
5 FTE's
- C 2 FTE's
A
City Treasurer 1—Collections Manager See G Below
1—Accounts Manager 1—
1—Accounts Supervisor Payroll 1—Investments Analyst 1—Senior Accountant
3—Customer Service Reps
1—Accounting Assistant 11 FTE's 3—Senior Clerk Collector E
8—Payroll Technicians
D 1—Procurement Mgr
B 1-Utilites Acct.Manager 2—Senior Buyers
Grants 1—Section Supervisor 1-Utilies Billing Supervisor 2—Buyers
i 3-Senior Accountants(grant) 3 FTE's 1—Assistant Cashiering 1-Resolution Supervisor 1—Junior Buyer
Supervisor 1-Project Manager 1—Procurement Asst.
8—Senior Clerk Collectors 2-Utilities Code Enforcer 1—Functional Analyst
1-Utilities Mgt Aide
8-Resolution Intake F
Specialist 1—Stores Supervisor
5-Customer Svc.Rep 1—Storeskeeper
1-Functional Analyst 4—Stock Clerks
Street Fee Staff: 1—Management Aide
1—Supervisor
2—Resolution Intake
Specialists G
2—Mail Clerks
16
Financial Summary
GENERAL FUND—For Administration, Accounting, Cash Management, and Central
Cashiering:
14 MONTH 14 MONTH
ACTUAL BUDGET ESTIMATED ADOPTED
CLASSIFICATION 2012-2013 2013-2014 2013-2014 2014-2015
Revenues:
General Resources 3,470.339 4,325.031 4.354.228 3,936,062
Total 3,470,339 4,325,031 4,354,228 3,936,062
Expenditures:
Personnel Services 2,218,670 2,907.804 2,876,520 2,766,691
Material Supplies 36.517 92,975 22,707 26,565
Contractual Services 377,502 377,391 467,597 347,725
Other Charges 24,056 13.920 11,702 15.000
Reserve Appropriations 0 0 0 0
Debt Services 0 0 0 0
Schools/Seminars/Training 3,650 4,737 4.403 8,149
Internal Service Allocations 809,944 928,204 971,298 771,932
Transfer Out 0 0 0 0
Capital Outlay 0 0 0 0
Total 3.470,339 4.325,031 4,354,228 3,936,062
Full Time Equivalents: 51 51 51
UTILITY FUNDS— For Utilities Business Office and Utilities Field Operations:
Expenditures for the Utility Business Office are included in each of the utility fund's budgets
as a line item for"Utility Office Cost".
UTILITY BUSINF,SS OFFICE
EXPENDITURE DETAIL BY ORGANIZATION
14 MONTH
ORG ORGANIZATION ADOPTED ESTIMATED PROPOSED
NUMBER NAME 2013-2014 2013-2014 2014-2015
Departmental Expenditures
30010 Utility Office Cos:
Funded by Water Department(4100) 755.513 1.379,901 707,696
Funded by Stormwater Department(4300) '721.311 810.311 705.705
Funded by Wastewater Department(4200) 654.323 805,413 675,000
Funded by Gas Department(4130) 443.885 571,866 432,581
Total 2.635.040 3.598.024 2,520.992
17
STORES FUND - For Purchasing, Print Shop. Messenger Service and Warehouse
14 MONTH 14 MONTH
ACTUAL BUDGET ESTIMATED ADOPTED
CLASSIFICATION 2012-2013 2013-2014 2013-2014 2014-2015
Revenues:
Warehouse sales 2,750,457 3,493,677 3,403,841 2,895,340
Printing sales 155,856 192,110 181,153 135,044
Postage sales 174,562 226,345 215,362 182,750
Central copy sales 133,443 191,268 173,572 167,187
Purchasing/Messenger Svc Altoc 797,904 905,674 905,674 807,984
Sale of scrap/city property 270 200 210 400
Purchase discounts 340 0 0 0
Transf fr General Liab Fd 25,078 0 0 0
Transf fr Workman's Comp 15,522 0 0 0
Transfer from Other Funds 0 16,566 16,566 0
Revenue 4,053,432 5,025,840 4,896,377 4,188,706
Total 4,053,432 5,025,840 4,896,377 4,188,706
Expenditures:
Personnel Services 904,409 1,064,629 1,064,629 1,047,815
Materials Supplies 2,723,826 3,553,074 3,337,326 2,836,926
Contractual Services 257,530 192,319 222,951 187,019
Other Charges (58) 0 400 0
Reserve Appropriations 0 18,300 0 0
Debt Service 0 0 0 0
Schools/Seminars/Training 2,453 2,987 3,687 2,500
Internal Services Allocations 288,444 308,697 336,336 271,085
Transfer Out 0 0 0 0
Capital Outlay 0 0 0 0
Reimbursements 0 0 0 0
Total 4,176,604 5,140,005 4,965,329 4,345,346
Mission, Mission Elements
"The mission of the Financial Services Department is to support City departments in meeting
their finance, accounting, and procurement requirements and to support the organization in
maintaining the fiscal integrity of the City. Shown below are the mission elements, goals and
associated measures used for the City Performance Report (CPR).
Mission Elements:
1) Maintain financial records for receipts, disbursements, and inventories;
2) Produce financial reports;
3) Provide contract services for utility billing and collections;
4) Administer centralized treasury for debt, cash, and investment management;
5) Administer a centralized purchasing and procurement system.
18
Baseline Information
FY 14-15 FY 13-14 FY 12-13 FY 11-12
Finance Dept. full-time employees 93 91 92
Finance Dept. expenditures $9.9 M $9.5 M $10.1 M
GO Bond rating - S&P AA- AA- AA-
Revenue bond rating - S&P A+ A+ A+
Property Tax Rate (per$100 valuation) $0.585264 $0.570557 $0.570557
GFOA Certificate in Excellence? Yes Yes
CAFR with clean opinion Yes Yes
Staff retention rate tbd tbd
Table of Mission Elements, Goals, and Measures
Mission Elements Goals Measures Used for the
# Description City Performance Report
(CPR)
1 Maintain financial records for Accurately record financial
receipts, disbursements, and transactions.
inventories.
Accurately manage the billing,
collection and financial
reporting of the City of Corpus
Christi's various miscellaneous
receivable accounts.
Accurately and timely pay Invoices paid in less than 10 days
vendor invoices remitted by of data entry by Accounts Payable
departments to Accounts staff
Payable.
Accurately and timely pay
employees bi-weekly.
Maintain financial records for
inventories and capital assets.
2 Produce financial reports. Complete the Comprehensive
Annual Financial Report
(CAFR) by January 31st of
every year.
Prepare annual Supplemental
Disclosure and Bond Official
Statements as needed.
Timely produce monthly #of days elapsing after month-end
financial reports. to close financial accounting
period.
Comply with State, Federal,
and regulatory agency
reporting requirements.
Prepare Schedule of
Federal/State Expenditures of
Awards (Single Audit)with no
findings.
19
3 Provide contract services for Accurately bill citizens in a . % of utility receivables >60
utility billing and collections. timely basis for all utility days.
account balances due to the
City of Corpus Christi. • Monthly collection rate on
utility bills
• Monthly utility delinquency rate
Monitor and report how much
revenue is collected in
comparison to what is billed as
it relates to utility collections.
Assist with the implementation
of new financial software
system.
4 Administer centralized Manage City's cash flow and
treasury for debt, cash, and invest cash on a daily basis.
investment management.
Process walk-in payments at
City Hall, Development
Services, and the JC Elliott
transfer station.
Structure the issuance of debt
to meet the City's capital
improvement needs.
Comply with debt covenants
and other reporting
requirements.
Timely reconcile all bank #of outstanding bank reconciling
accounts items each month.
5 Administer a centralized Ensure commodities and #of RFP's or RFQ's requested but
purchasing and procurement services are procured and not yet issued.
system. available for departmental
release.
Assist departments with small-
dollar purchases.
Timely meet departmental
copy and print needs.
Timely availability of
standardized products
20
Benchmarks
1 9
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tercel or Ally for-couts wet sorra Mimeo
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[*Tar'Me ftriber01*Pa 10 p* sn—frodee—
_FIT
15
10
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21
Section 4
Proposal Format and Organization
This section provides specific instructions on format and organization of the proposal to be submitted by
the Proposer. Each Proposer may submit only one proposal in a totally self-supporting format without
reference to any other proposal(s).
4.1 General Instructions
A. To provide for ease and uniformity and to aid in the evaluation of proposals, Proposers shall comply
with the sequence outlined herein. IN NUMBERING PROPOSALS, THE PROPOSER
SHALL USE THE SAME SECTION NUMBERS AND TITLES AND SHALL
PROVIDE ITS RESPONSES IN THE SAME ORDER AS EACH QUESTION IS
NUMBERED AND ORDERED HEREIN. Failure to comply may result in rejection of the
proposal. The proposal shall be completed in sections, which are described below.
B. Proposers should be aware that all technical and operational specifications, equipment descriptions
and marketing material submitted or made available will be incorporated by reference into any
contract(s). The City discourages the inclusion of general marketing material or equipment manuals
unless they are used to provide specific information or specifically requested by the City.
C. The Proposer shall provide one electronic copy, via the electronic submission feature on Supplier
Portal, as specified below, before the DUE DATE FOR PROPOSALS:
4.2 Proposal Format
A. This section outlines the minimum requirements for preparation and presentation of a proposal.
B. The Proposer shall define the capabilities of their organization to supply and maintain the
services as requested in this RFP. The response should be specific and complete in every detail
and prepared in a simple and straightforward manner.
C. Proposers are expected to examine the entire RFP including all specifications, standard provisions,
instructions and attachments. Failure to do so will be at the Proposer's risk. Proposers should
provide their best pricing for the services set out herein.
4.3 Transmittal Letter
A. The transmittal letter shall be the first item in your proposal and shall indicate the intention of the
Proposer to adhere to the provisions described in the RFP. The transmittal letter SHALL:
1. Be presented on company letterhead;
2. Identify the submitting organization;
3. Acknowledge receipt of any addenda to this RFP;
4. Identify, by name and title, and be signed by the person authorized by the
organization to obligate the organization contractually.
B. The second item in your proposal shall be a table of contents listing titles, sections and major sub-
sections. All pages shall have a unique identifier and be numbered sequentially.
C. The third item in your proposal shall be the City of Corpus Christi's Disclosure of Interest.
D. The fourth item in your proposal shall be the City of Corpus Christi's Business Designation Form.
E. The fifth item in your proposal shall be your actual proposal and associated documents.
22
4.4 Service Agreement
A sample SERVICE AGREEMENT is attached hereto that the successful Proposer will be required to
sign. With the exception of certain terms and conditions which may be modified by mutual agreement
between the City and the Proposer prior to final execution of the Contract, the final SERVICE
AGREEMENT will conform to the SERVICE AGREEMENT included in this RFP.
23
Section 5
Proposal Evaluation
The City will conduct a comprehensive, fair and impartial evaluation of all proposals received in response
to this RFP. Each proposal will first be analyzed to determine overall responsiveness and completeness as
defined in Section 4 Proposal Format and Organization, and Section 5.2 Evaluation Criteria. Failure to
comply with the instructions or submission of a proposal that does not satisfy Sections 4 and 5.2 may
result in the proposal being deemed non-responsive and may, at the discretion of the Committee, as
defined in Section 5.1 below, result in the proposal being eliminated from further consideration.
5.1 Evaluation Committee
An Evaluation Committee ("Committee") will be established to assist the City to select a qualified
Proposer. The Committee will be comprised of the Assistant Director Office of Strategic Management,
Strategic Resource & Budget Manager, Finance Director, and Procurement Manager. The Committee will
then review each proposal to evaluate the response in relation to the evaluation factors identified in
Section 5.2 and will rank the proposers. This Evaluation Committee will then recommend the top
proposer to the Executive Committee consisting of the City Manager, Deputy City Manager, and
Assistant City Manager.
5.2 Evaluation Criteria
A. Minimum Qualifications:
To be considered, the proposers must have completed at least three municipal finance department
evaluations during the last 10 years in any U.S. city, must provide contact information for each,
and must make the reports available to the City, and,
• The proposer must have at least five years of experience conducting municipal finance
department evaluations;
• The proposer must have sufficient staffing in order to meet project deliverable deadlines
established in section 1.3 and 4.2;
• The proposer must assign to this project a project manager with at least five years of
experience conducting finance department evaluations.
B. Each qualified proposer will then be ranked on the basis of the following: a) Profile & Qualifications;
b) Project Approach; and c) Cost. To determine an overall ranking, the relative rankings will be
weighted according to the following:
Proposer's Profile Project Cost
&Qualifications Approach
1/3 1/3 1/3
C. Costs: Proposers are to submit pricing for the services. The City requests all proposers to submit the
proposed number of hours that will be dedicated to performing the assessment as an indication of the level
of effort that will performed by the proposer.
All costs, both direct and indirect, necessary to effect the work described herein shall be included in
the Proposer's proposal. Such costs include, but are not limited to: salaries, supplies, the cost of
the proposal itself, postage, travel, per diem, transportation costs, etc. The proposer shall not
24
invoice and City shall not pay any costs other than those set out by the Proposer in its proposal and
agreed to by the City.
D. The Proposer's failure to provide information relative to the above criteria may result in the City
deeming such proposal non-responsive and may, at the sole discretion of the Committee, result in
elimination of said proposal from further consideration. The Committee reserves the right to conduct
other evaluation and measurements of the proposals as may be necessary to make an informed decision.
25
Attachment 1 — Sample Contract
SERVICE AGREEMENT FOR EVALUATION OF THE FINANCE DEPARTMENT
Request for Proposal Event No. 62
THIS Assessment of the Efficiency and Effectiveness of the Finance Department Service
Agreement ("Agreement") is entered into by and between [insert name of company] ("Contractor")
and the City of Corpus Christi, a Texas home-rule municipal corporation ("City"), by and through
its duly authorized City Manager or his designee ("City Manager"), effective for all purposes upon
execution by the City Manager.
WHEREAS, Contractor has proposed to provide an assessment of the efficiency and
effectiveness of the Financial Services Department in response to the City's Request for Proposals
("RFP Event No. 62");
WHEREAS, the City has determined Contractor to be the best valued respondent;
NOW,THEREFORE, Contractor and City enter into this Agreement and agree as follows:
1. Services. Contractor will provide an assessment of the efficiency and effectiveness of the City's
Financial Services Department ("Services") in accordance with RFP Event No. 62 ("Exhibit A"),
which exhibit is incorporated by reference into this Agreement.
2. Term. This Agreement takes effect upon execution of the City Manager and continues until the
Services are completed, approximately six months after commencement.
3. Contract Administrator. The contract administrator designated by the City is responsible for
approval of all phases of performance and operations under this Agreement including deductions for
non-performance and authorizations for payment. All of the Contractor's notices or communications
regarding this Agreement must be directed to the contract administrator, who is the Assistant Director
of Strategic Management or her designee("Contract Administrator").
4. Independent Contractor. Contractor will perform the Services as an independent contractor
and will furnish such Services in its own manner and method, and under no circumstances or
conditions may any agent, servant or employee of the Contractor be considered an employee of the
City.
5. Insurance. Before activities can begin under this Agreement, the Contractor's insurance company,
or companies, must deliver a Certificate of Insurance, as proof of the required insurance coverages, to
the Contract Administrator and City's Risk Manager. Additionally, the Contract Administrator and
Risk Manager must be given at least 30 days' advance notice, by certified mail, of cancellation,
material change in the coverages or intent not to renew any of the policies. The City must be named
as an Additional Insured. The City Attorney must be given copies of all insurance policies within 15
days of the City Manager's reasonable written request.
6. Assignment. No assignment of this Agreement or of any right or interest contained in this
Agreement by the Contractor is effective unless the City first gives its written consent to such
assignment. The performance of this Agreement by the Contractor is of the essence of this
Agreement, and the City's right to withhold consent to such assignment is within the sole discretion of
the City on any ground whatsoever.
26
7. Fiscal Year. All parties recognize that the continuation of any contract after the close of any fiscal
year of the City(the City's fiscal year ends on September 30th) is subject to appropriations and budget
approval providing for covering such contract item as an expenditure in the budget. The City does not
represent that said budget item will be actually adopted, as that determination is within the sole
discretion of the City Council at the time of adoption of each budget.
8. Waiver. No waiver of any breach of any term or condition of this Agreement, Exhibit A, or the
Consultant's response to RFP Event No. 62 ("Exhibit B"), which exhibit is incorporated into this
Agreement, waives any subsequent breach of the same.
9. Compliance with Laws. This Agreement is subject to all applicable federal, state and local laws.
All duties of the parties will be performed in the City of Corpus Christi, Texas. The applicable law
for any legal disputes arising out of this Agreement is the law of Texas and such form and venue for
such disputes is the appropriate district, county or justice court in and for Nueces County, Texas.
10. Subcontractors. The Contractor may use subcontractors in connection with the Services to be
performed under this Agreement. When using subcontractors, however, the Contractor must obtain
prior written approval from the Contract Administrator. In using subcontractors, the Contractor shall
be responsible for all their acts and omissions to the same extent as if the subcontractor and its
employees were employees of the Contractor. All requirements set forth as part of this Agreement are
applicable to all subcontractors and their employees to the same extent as if the Contractor and its
employees had performed the Services.
11. Amendments. This Agreement may be amended only in writing and upon execution by
authorized representatives of both parties.
12. Termination. The City Manager may terminate this Agreement for Contractor's failure to
perform the Services specified in Exhibit A. Failure to keep all insurance policies in force for the
entire term of this Agreement is grounds for termination. The Contract Administrator must give the
Contractor written notice of the breach and set out a reasonable opportunity to cure. If the Contractor
has not cured within the cure period, the City Manager may terminate this Agreement immediately
thereafter.
Alternatively, the City Manager may terminate this Agreement without cause upon 20 days' written
notice to the Contractor. However, the City may terminate this Agreement upon three days' written
notice to the Contractor for Contractor's failure to pay or provide proof of payment of taxes, as set out
in this Agreement.
13. Taxes. The Contractor covenants to pay payroll taxes, Medicare taxes, FICA taxes,
unemployment taxes and all other related taxes in accordance with Circular E, "Employer's Tax
Guide", Publication 15, as it may be amended. Upon his request, the City Manager shall be provided
proof of payment of one or more of these taxes within 15 days of such request.
14. Notice. Notice may be given by hand delivery or certified mail, postage prepaid, and is received
on the day faxed or hand-delivered and on the third day after deposit in the U.S. mail if sent certified
mail. Notice shall be sent as follows:
IF TO CITY:
City of Corpus Christi
Attention: Assistant Director of Strategic Management
1201 Leopard Street
Corpus Christi,Texas 78401
27
IF TO CONTRACTOR:
Contractor [insert contractor company name]
Contact [insert contractor contact name]
Address: [insert contractor street address]
City, State, [insert contractor city, state]
15. Severability. Each provision of this Agreement shall be considered to be severable and if,
for any reason, any such provision or any part thereof, is determined to be invalid and contrary
to any existing or future applicable law, such invalidity shall not impair the operation of or
affect those portions of this Agreement that are valid, and this Agreement shall be construed
and enforced in all respects as if the invalid or unenforceable provision or part thereof had been
omitted.
16. INDEMNIFICATION. CONTRACTOR SHALL INDEMNIFY, HOLD
HARMLESS AND DEFEND THE CITY OF CORPUS CHRISTI AND ITS
OFFICERS, EMPLOYEES AND AGENTS ("INDEMNITEES") FROM AND
AGAINST ANY AND ALL LIABILITY, LOSS, CLAIMS, DEMANDS, SUITS
AND CAUSES OF ACTION OF ANY NATURE ON ACCOUNT OF PERSONAL
INJURIES, INCLUDING THOSE RESULTING IN WORKERS'
COMPENSATION CLAIMS OR DEATH, PROPERTY LOSS OR DAMAGE,
OR ANY OTHER KIND OF LOSS OR DAMAGE, INCLUDING ALL
EXPENSES OF LITIGATION, COURT COSTS, ATTORNEYS' FEES AND
EXPERT WITNESS FEES WHICH ARISE OR ARE CLAIMED TO ARISE
OUT OF OR IN CONNECTION WITH THIS AGREEMENT OR THE
PERFORMANCE OF THIS AGREEMENT AND REGARDLESS OF
WHETHER THE INJURIES, DEATH, LOSS, OR DAMAGES ARE CAUSED
OR ARE CLAIMED TO BE CAUSED BY THE CONCURRENT OR
CONTRIBUTORY NEGLIGENCE OF INDEMNITEES BUT NOT IF BY THE
SOLE NEGLIGENCE OF INDEMNITEES UNMIXED WITH THE FAULT OF
ANY OTHER PERSON. CONTRACTOR MUST, AT ITS OWN EXPENSE,
INVESTIGATE ALL NOTICES, CLAIMS, AND DEMANDS, ATTEND TO
THEIR SETTLEMENT OR OTHER DISPOSITION, DEFEND ALL ACTIONS
BASED THEREON WITH COUNSEL REASONABLY SATISFACTORY TO
THE CITY ATTORNEY, AND PAY ALL CHARGES OF ATTORNEYS AND
ALL OTHER COSTS AND EXPENSES OF ANY KIND ARISING FROM ANY
OF SAID LIABILITY, LOSS, CLAIMS, DEMANDS, SUITS, OR ACTIONS.
THE INDEMNIFICATION OBLIGATIONS OF CONTRACTOR UNDER THIS
SECTION SURVIVE THE EXPIRATION OR EARLIER TERMINATION OF
THIS AGREEMENT.
28
SIGNED this day of , 20 .
Contractor: [insert company name]
Name
Title:
CITY OF CORPUS CHRISTI
Gabriel Maldonado Date
Interim Procurement Manager
Incorporated by Reference:
Exhibit A: RFP Event No. 62
Exhibit B: Proposer's Response to RFP Event No.62
?9
City of
Corpus
Christi SUPPLIER NUMBER
TO BE ASSIGNED BY CI FY
PURCHASING DIVISION
CITY OF CORPUS CHRISTI
DISCLOSURE OF INTEREST
Corpus Christi Code § 2-349, as amended, requires all persons or firms seeking to do business with the City to
provide the following information. Every question must be answered. If the question is not applicable, answer
with"NA". See next page for Filing Requirements, Certification and Definitions.
COMPANY NAME:
P. O. BOX: STREET ADDRESS:
CITY: STATE: ZIP: -
FIRM IS: 1. Corporation _ 2. Partnership _ 3. Sole Owner ❑
4. Association _ 5. Other _
DISCLOSURE QUESTIONS
If additional space is necessary,please use the reverse side of this page or attach separate sheet.
1. State the names of each "employee" of the City of Corpus Christi having an "ownership interest" constituting
3%or more of the ownership in the above named"firm."
Name Job Title and City Department(if known)
2. State the names of each"official" of the City of Corpus Christi having an "ownership interest" constituting 3%
or more of the ownership in the above named"firm."
Name Title
3. State the names of each "board member" of the City of Corpus Christi having an "ownership interest"
constituting 3%or more of the ownership in the above named"firm."
Name Board, Commission or Committee
4. State the names of each employee or officer of a"consultant" for the City of Corpus Christi who worked on any
matter related to the subject of this contract and has an "ownership interest" constituting 3% or more of the
ownership in the above named"firm."
Name Consultant
30
FILING REQUIREMENTS
If a person who requests official action on a matter knows that the requested action will confer an economic benefit
on any City official or employee that is distinguishable from the effect that the action will have on members of the
public in general or a substantial segment thereof,you shall disclose that fact in a signed writing to the City official,
employee or body that has been requested to act in the matter,unless the interest of the City official or employee in
the matter is apparent. The disclosure shall also be made in a signed writing filed with the City Secretary. [Ethics
Ordinance Section 2-349 (d)]
CERTIFICATION
I certify that all information provided is true and correct as of the date of this statement, that I have not
knowingly withheld disclosure of any information requested; and that supplemental statements will be promptly
submitted to the City of Corpus Christi,Texas as changes occur.
Certifying Person: Title:
(Type or Print)
Signature of Certifying Person: Date:
DEFINITIONS
a. "Board member." A member of any board, commission, or committee of the city, including the board of any
corporation created by the city.
b. "Economic benefit". An action that is likely to affect an economic interest if it is likely to have an effect on that
interest that is distinguishable from its effect on members of the public in general or a substantial segment
thereof.
c. "Employee." Any person employed by the city, whether under civil service or not, including part-time
employees and employees of any corporation created by the city.
d. "Firm." Any entity operated for economic gain, whether professional, industrial or commercial, and whether
established to produce or deal with a product or service, including but not limited to, entities operated in the
form of sole proprietorship, as self-employed person, partnership, corporation, joint stock company, joint
venture,receivership or trust, and entities which for purposes of taxation are treated as non-profit organizations.
e. "Official." The Mayor, members of the City Council, City Manager, Deputy City Manager, Assistant City
Managers, Department and Division Heads, and Municipal Court Judges of the City of Corpus Christi,Texas.
f. "Ownership Interest." Legal or equitable interest, whether actually or constructively held, in a firm,
including when such interest is held through an agent, trust, estate, or holding entity. "Constructively held"
refers to holdings or control established through voting trusts, proxies, or special terms of venture or
partnership agreements.
g. "Consultant." Any person or firm, such as engineers and architects, hired by the City of Corpus Christi for the
purpose of professional consultation and recommendation.
31
CITY OF CORPUS CHRISTI
PURCHASING DIVISION
BUSINESS DESIGNATION FORM
ENSURE THIS FORM IS SUBMITTED WITH YOUR BID RESPONSE
PLEASE INDICATE WHETHER YOUR COMPANY IS ANY ONE OF THE FOLLOWING:
❑ YES ❑ NO - CERTIFIED HISTORICALLY UNDERUTILIZED BUSINESS (HUB)
Select all that are appropriate:
❑ ASIAN PACIFIC
❑ BLACK
❑ HISPANIC
❑ NATIVE AMERICAN
❑ WOMAN
Please visit the following website for information on becoming a Texas Certified HUB: http://www.window.state.tx.us/procurement/prog/hub/
❑ YES ❑ NO - LOCAL SMALL BUSINESS (LSB)
A for-profit entity employing less than 49 employees located within the City limits of Corpus Christi,Texas
❑ YES ❑NO OTHER(PLEASE SPECIFY):
❑ THIS COMPANY IS NOT A CERTIFIED HUB or LSB
THE INFORMATION REQUESTED IN THIS FORM IS FOR STATISTICAL REPORTING
PURPOSES ONLY AND WILL NOT INFLUENCE AWARD DECISIONS OR THE AMOUNT
OF MONIES EXPENDED WITH ANY GIVEN COMPANY.
EVENT NO: 62
Firm Name: Telephone: - - Ext.
Address: Fax: - -
City: State: Zip: - E-mail:
Date:
Signature of Person Authorized to Sign Form
Signer's Name: Title:
(Please print or type)
32
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VIA
Orirri
August 17, 2015 Proposal for Assessment of the
Efficiency and Effectiveness of the
Financial Services Department
City of Corpus Christi
Presented by:
Alyssa G. Martin, CPA I Partner, Risk Advisory Services
weaver Direct: 972.448.6975 I Email: alyssa.martin 4'weaver.com
Assuran,e•Tnx•Advisory 12221 Merit Drive, Suite 1400 I Dallas, Texas 75251 ( weaver.com
E
EXHIBIT B
weaver
Assurance•Tax•Advisory
Transmittal Letter
August 17,2015
Gabriel Maldonado
Interim Procurement Manager, Financial Services
City of Corpus Christi
PO Box 9277
Corpus Christi,Texas 78469-6277
Re: Request for Proposal for Assessment of Efficiency and Effectiveness of Financial Services Department,RFP 62
Mr.Maldonado,
With this proposal, Weaver and Tidwell, L.L.P.commits to providing services that meet the requirements detailed in
the City of Corpus Christi Request for Proposal for an assessment of the efficiency and effectiveness of the City's
Financial Services department (RFP Event No.62).
As you'll see from our proposal, Weaver offers the City an exceptional team of leaders,deeply experienced in all
aspects of the project and with extensive hands-on experience in municipal operating environments.We also
offer the City:
• Insight.We understand that assessments are more than items on a checklist;we go above and beyond—
providing insightful services and a better overall experience.
• Focus. Drawing from our dedicated Advisory Services practice,you are assured a deeply experienced
team professionals and subject matter advisors able to focus almost immediately on each your key areas
of concern.
• Communication. Not only do we adopt a"no surprises" approach throughout the engagement,but our
team remains accessible to you throughout the year.We work to prepare you for coming initiatives,help
you meet your goals and even educate your team along the way.
• Experience.With 65 years of experience working with Texas municipalities,we understand the
operational nuances and challenges of financial departments like yours.
• Stability.We maintain a stable team that has relevant, hands-on experience. Not only does this improve
efficiency,it also enables us to offer recommendations that are specific and relevant to your needs and
goals over time.
As your engagement partner, I will serve as the City's primary contact for this engagement,and confirm that I am
authorized to represent the firm and to sign a binding contract with the City.We hereby acknowledge the
receipt of responses to questions on the RFP, but no addenda.
If you would like to discuss this proposal or any other matter,please do not hesitate to contact me directly. I look
forward to hearing from you.
Sincerely, /
Alyssa G.Martin
Engagement Partner
Direct:972.448.6975
Email:alyssa.martin@weaver.com
AN INDEPENDENT MEMBER OF WEAVER AND TIDWELL L.L.P. 12221 MERIT DRIVE,SUITE 1400,DALLAS,TX 75251
BAKER TILLY INTERNATIONAL CERTIFIED PUBLIC ACCOUNTANTS AND CONSULTANTS P:(972)4901970 F:(972)702 8321
3""
Assurance•Tax•Advisory
Table of Contents
Transmittal Letter 1
Disclosure of Interest 3
Business Designation Form 5
Executive Summary 6
Profile and Qualifications 9
Risk Advisory Services 9
Municipal and Related Experience 10
Engagement Team 12
Project Approach 16
Assessment of Key Topical Areas 16
Approach for Evaluating Divisional Operations 21
Ongoing Communication 23
Cost Proposal 24
Appendix A: Resumes 25
17=2
City Of
•
Corpus
Christi SUPPLIER NUMBER
TO BE ASSIGNED BY CITY
PURCHASING DIVISION
CITY OF CORPUS CHRISTI
DISCLOSURE OF INTEREST
Corpus Christi Code § 2-349, as amended, requires all persons or firms seeking to do business with the City to
provide the following information. Every question must be answered. If the question is not applicable, answer
• with"NA". See next page for Filing Requirements,Certification and Definitions.
COMPANY NAME: Weaver and Tidwell, L.L.P.
P.O.BOX: STREET ADDRESS: 24 Greenway Plaza, Suite 1800
CITY: Houston STATE: Texas ZIP: 77046-
FIRM IS: 1. Corporation 2. Partnership X 3. Sole Owner El
4. Association _ 5. Other
DISCLOSURE QUESTIONS
If additional space is necessary,please use the reverse side of this page or attach separate sheet.
1. State the names of each "employee" of the City of Corpus Christi having an "ownership interest" constituting
3%or more of the ownership in the above named"firm."
Name Job Title and City Department(if known)
n/a
2. State the names of each "official" of the City of Corpus Christi having an"ownership interest" constituting 3%
or more of the ownership in the above named"firm."
Name Title
n/a
3. State the names of each "board member" of the City of Corpus Christi having an "ownership interest"
constituting 3%or more of the ownership in the above named"firm."
Name Board,Commission or Committee
n/a
4. State the names of each employee or officer of a"consultant"for the City of Corpus Christi who worked on any
matter related to the subject of this contract and has an "ownership interest" constituting 3% or more of the
ownership in the above named"firm."
Name Consultant
Na
30
FILING REQUIREMENTS
If a person who requests official action on a matter knows that the requested action will confer an economic benefit
on any City official or employee that is distinguishable from the effect that the action will have on members of the
public in general or a substantial segment thereof,you shall disclose that fact in a signed writing to the City official,
employee or body that has been requested to act in the matter,unless the interest of the City official or employee in
the matter is apparent. The disclosure shall also be made in a signed writing filed with the City Secretary. [Ethics
Ordinance Section 2-349(d)]
CERTIFICATION
I certify that all information provided is true and correct as of the date of this statement, that I have not
knowingly withheld disclosure of any information requested; and that supplemental statements will be promptly
submitted to the City of Corpus Christi,Texas as changes occur.
Certifying Person: Alyssa G. Martin / Title: Partner
(Type or Prlan
Signature of Certifying Person: r Yf "�— Date:
08/10/15
DEFINITIONS
a. "Board member." A member of any board, commission, or committee of the city, including the board of any
corporation created by the city.
b. "Economic benefit". An action that is likely to affect an economic interest if it is likely to have an effect on that
interest that is distinguishable from its effect on members of the public in general or a substantial segment
thereof
c. "Employee." Any person employed by the city, whether under civil service or not, including part-time
employees and employees of any corporation created by the city.
d. "Firm." Any entity operated for economic gain, whether professional, industrial or commercial, and whether
established to produce or deal with a product or service, including but not limited to, entities operated in the
form of sole proprietorship, as self-employed person, partnership, corporation, joint stock company, joint
venture,receivership or trust,and entities which for purposes of taxation are treated as non-profit organizations.
e. "Official." The Mayor, members of the City Council, City Manager, Deputy City Manager, Assistant City
Managers,Department and Division Heads,and Municipal Court Judges of the City of Corpus Christi, Texas.
f "Ownership Interest." Legal or equitable interest, whether actually or constructively held, in a firm,
including when such interest is held through an agent, trust, estate, or holding entity. "Constructively held"
refers to holdings or control established through voting trusts, proxies, or special terms of venture or
partnership agreements.
g. "Consultant." Any person or firm, such as engineers and architects, hired by the City of Corpus Christi for the
purpose of professional consultation and recommendation.
1
31
CITY OF CORPUS CHRISTI
PURCHASING DIVISION
BUSINESS DESIGNATION FORM
ENSURE THIS FORM IS SUBMITTED WITH YOUR BID RESPONSE
PLEASE INDICATE WHETHER YOUR COMPANY IS ANY ONE OF THE FOLLOWING:
, ❑YES ❑X NO - CERTIFIED HISTORICALLY UNDERUTILIZED BUSINESS(HUB)
Select all that are appropriate:
C ASIAN PACIFIC
E BLACK
E HISPANIC
1 NATIVE AMERICAN
• WOMAN
Please visit the following website for information on becoming a Texas Certified HUB: http://www window.state.tx.us/procurcmcntiprog/hub/
❑YES QX NO - LOCAL SMALL BUSINESS(LSB)
A for-profit entity employing less than 49 employees located within the City limits of Corpus Christi,Texas
❑ YES ❑NO OTHER(PLEASE SPECIFY):
QX THIS COMPANY IS NOT A CERTIFIED HUB or LSB
11 THE INFORMATION REQUESTED IN THIS FORM IS FOR STATISTICAL REPORTING
PURPOSES ONLY AND WILL NOT INFLUENCE AWARD DECISIONS OR THE AMOUNT
OF MONIES EXPENDED WITH ANY GIVEN COMPANY.
EVENT NO: 62
Firm Name: Weaver and Tidwell, L.L.P. Telephone: 713 -850- 8787 Ext.
Address: 24 Greenway Plaza, Suite 1800 Fax: 713 -850- 1673
City: Hous of State: TX Zip: 77046 - E-mail: alyssa.martin@weaver.com
Date: August 10, 2015
igna e of Person •uthorized to Sign Form
Signer's Name: Alyssa G. Martin Title: Partner
(Please print or type)
32
weaver
Assurance•Tax•Advisory
Executive Summary
The City of Corpus Christi is poised for
explosive growth of businesses—both new
and expanding—in its boundaries. To
manage these new opportunities gracefully,
the City is wise to prepare its financial and
/fr- ce
operational processes for increased volume
and complexity.
As we have worked in Corpus Christi for
clients such as Del Mar College, and with a
full-service office nearby in San Antonio,
Weaver has seen first-hand the potential i
your city holds. Just as we have helped other i
cities control risks and improve processes, we
are ready to help the City of Corpus Christi make the most of its emerging opportunities.
Understanding the current state of the Finance Department's structure and processes,
including how they compare to similar cities, is an essential first step to improving operational
effectiveness and achieving your long-term goals. Throughout the course of our assessment,
we'll keep your goals in mind. The resulting set of practical, scalable recommendations will help
you progress toward your most distant goals while still improving your efficiency and
effectiveness today.
The largest CPA firm in Texas,and in the Southwest, Weaver has provided an array of assurance,advisory and tax
services to Texas public-sector clients for 65 years.With more than 500 employees and 75 partners,our reach is
broad,but our focus remains at home,with seven full-service offices across the state: Houston,San Antonio, Austin,
Dallas, Fort Worth, Midland and Odessa.Serving as the foundation of all that we do are certain constants:the quality
and talent of our professionals;an unwavering commitment to quality;and personalized,attentive client service.
Insight & Experience: Understanding Your Needs
All organizations have varying levels of operational complexity and process maturity. Benchmarking the
Department's current state against best practices and other Texas cities,along with identifying areas for
improvement and automation,is a key foundational step not only for improving immediate operational efficiency
and effectiveness,but also for overall process maturity.
With more than 30 Texas cities as clients,six decades of experience serving the public sector,and a dedicated Risk
Advisory Services team that is well-versed in best practices,Weaver is well-positioned to understand—and meet—the
City's needs.Your team leadership and key subject matter advisors will leverage their years of experience—with the
public sector and Fortune 500 companies alike—to provide you with insightful,implementable recommendations so
you can make informed decisions about your next steps.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver;
Assurance•Tax•Advisory
Holistic Approach: Putting Your Goals
in Context ,L,
The City will benefit from a proven,disciplined U Alyssa G. Martin, CPA
approach rooted in best practices and based on zQ Engagement Partner
years of multidisciplinary knowledge.Our goal is to
help you develop not only a keen understanding of 0 • 25+years of experience,including 17+
how well your policies and processes function, but years of internal control process risk
an understanding of how and where they fit into management
you overall operational performance. Q • Partner-in-charge of Weaver's Risk
o_ Advisory Services
As we evaluate your policies and processes,we'll
rely on our extensive experience providing similar v) • Regularly publishes and presents on
services to other Texas cities,including Houston, w operational effectiveness and risk
Dallas, Bryan, Irving and Denton-just to name a D management
few.Our understanding of complex, multi-
departmental operations enables us to provide the w • Recent clients include Del Mar College
citiesHouston, Dallas,
City with proven,prioritized and implementable, and theDenton,Dn, Irving,McKinney
presented with insightful context based on your Q and Bryan
broader goals. LU
Collaborative Focus: A Foundation for Dan Graves, CPA
Long-Term Success Senior Manager
As the City knows from your years of service to your • 10+years of experience,with a strong
citizens and businesses,success is built on focus on public sector and financial
relationships.That's why we work to cultivate a services clients
lasting, collaborative relationship with you,with an
•
overarching focus on continuity,responsiveness and Extensive experience with business
continuous communication.To that end,your process improvement and internal
engagement partner and managers will provide control consulting
much more than oversight and accountability • Recent clients include Del Mar College,
during this assessment;they will remain available to the City of Arlington, North Central
you throughout the year. From value-added Texas Council of Governments and
recommendations to ongoing guidance and Austin Community College
support,the City can be confident in our
commitment to helping you meet your goals.
Brandon Tanous, CIA, CFE, CGAP,
Quality and Value: Making the Most of CRMA
Your Investment Manager
In maintaining the trust of the people and businesses • 8+years of experience performing risk
of Corpus Christi,it is incumbent upon the City to advisory services
spend your budget wisely.At the same time,when it
comes to such a strategic initiative as an efficiency •
Extensive experience with business
assessment,you can't afford to sacrifice quality for process improvement and internal
cost-effectiveness.Weaver offers the peace of mind control consulting
that comes from knowing you can have both. • Recent clients include Del Mar College,
the City of Houston and Houston-
Galveston Area Council
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 7
ybp�
weaver
As a firm,quality is built into every Weaver w
engagement from the very beginning.The City will U AdvisoryServices staff of approximately
benefit from our commitment to thoughtful Z pp y
< 70 professionals
planning,attentive follow-through and attention
to detail.To ensure we're maintaining the highest Dedicated public sector practice with
standards possible,we undergo an independent Q
peer review every three years.We have received i 20+ professionals
the highest possible rating on every peer review
completed to date. Lu Assurance and advisory services for
U more than 100 government entities
As individuals,our professionals are recognized for11.1
z
their insight and ability to conduct both complex Municipal clients for whom Weaver has
and relatively straightforward assessments,and w provided advisory services include:
they regularly author papers and present at
various industry conferences.To make the most of w • City of Houston
these resources while remaining cognizant of your • City of Dallas
need for cost-effectiveness,we take a function-
specific approach—staffing the right resources as • City of Arlington
the right times,based on the tasks at hand.With
this approach,the City will have access to • City of Denton
professionals at all levels of the organization, and • City of Bryan
will benefit from a scalable yet cost-efficient team
that can adjust as needed should your needs • City of McKinney
change over time.
• City of Georgetown
• City of Greenville
NATIONAL AND LOCAL RANKINGS
lits,, #5 Largest San Antonio Accounting Firms I San Antonio Business Journal
6BES7 #13 Largest Austin AccountingFirms Austin Business Journal
NBEST g
'FIRMS #6 Largest Accounting Firms in Texas I Houston Business Journal
#14 Largest Houston-Area Public Accounting Firms I Houston Business Journal
%TOP 2014 Top 50 Firms I INSIDE Public Accounting
•54
FIIRRMS 2014 BEST of the BEST Firms I INSIDE Public Accounting
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 8
weaver
Assurance.Tax.Advisor
Profile and Qualifications
Risk Advisory Services
Weaver's Advisory Services practice is made up of approximately 70 dedicated professionals who focus entirely on
providing Risk and IT Advisory Services,with a strong focus on the public sector.
Our Risk Advisory Services team is recognized for breadth and depth of experience in all phases of risk management,
from internal control evaluations over individual processes to complete enterprise risk management.We will
leverage our years of experience performing similar services for a wide variety of public and private sector clients to
provide URS with insightful services and recommendations that support strategic objectives and overall mission.
Underlying our portfolio of work is our experienced team,which stays at the forefront of the industry through ongoing
certifications.Some of the numerous certifications held by our Risk Advisory Services professionals include:
• Certified Public Accountant(CPA)
• Certified Internal Auditors (CIA)
• Certification in Risk Management Assurance (CRMA)
• Certified Fraud Examiner(CFE)
• Certified Information Technology Professional (CITP)
• Certified Information Systems Auditors (CISA)
Maintaining active leadership roles and participating in key professional organizations enables us to ensure our
recommendations remain relevant,and in step with ongoing best practices and changes in industry trends.Key
participation includes:
• The Institute of Internal Auditors
• The American Institute of Certified Public Accountants
• Baker Tilly International Governance, Risk and Compliance Committee
• National Association of Corporate Directors
• Association of Certified Fraud Examiners
• AICPA Information Management and Technology Assurance Executive Committee—National Committee
• Information Systems Audit and Control Association (ISACA)
CERTIFICATIONS AND AFFILIATIONS
CRMAC (1.
PA •Certifed Certification in — -A
Internal Auditor Risk Management Assurance
~� CEN
C Certified Information Systems Auditor' s
i CISSP'
Ir.csncn Certrkaw, 0 Certt6e111 [tonal Madam
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 9
weaver
Assurance•Tax•Advisory
Municipal and Related Experience
Understanding the City's Topical Areas and Divisions
As the matrix below illustrates, Weaver has a broad range of experience that aligns directly with the key topical
areas and divisions detailed in the City's RFP.
TOPICAL AREAS DIVISIONS
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1 O ti a if U _ a 3 Q Q c aP (! C� U J
City of Dallas X X X X X X X
City of Houston X X X X X x X _
City of McKinney X x X x X x X X
City of Arington X I X X
City of Denton X ' x x x X X
City of Georgetown X X X X , X X X X X X
City of Bryan X �X ' X X _
City of Greenville I X
North Central Texas Council of
Governments X X ' X X x X X X X
Austin Community College X X XX X
Cancer Prevention Research Institute
of Texas X X X X x
Irving LSD X X ' X X x _
Western Refining X X I x X
Consumer Credit Counseing X x I x ..Dallas Production X x I x x X x
TexPac ksduskies X ' x. x X X
Experience with Municipal Clients
City of Houston
Weaver has provided a wide array of advisory services to the City of Houston since 2009,including internal control
evaluations for procurement, payroll, and asset disposal (warehouse, inventory,and accounts receivable)
departments.Our internal financial control evaluation of the City's Procure-to-Pay processes included processes and
procedures associated with the procurement,accounts payable and procurement card functions.We also
evaluated the City's payroll processes,including elements such as the creation of new employee records,
monitoring of employee time, payroll issuance and removing terminated or retired employees from the record.
City of Georgetown
At the City of Georgetown, Weaver has performed a wide-ranging operational assessment of the airport and one of
the City's billing systems.Our assessment included analysis of reporting to the city council and development and
reporting of key performance indicators over such functions as A/P,A/R,staffing,inventory,financial reporting and
purchasing,among others.
City of Denton
Over the past six years,both our Risk Advisory and IT Advisory team have assisted the City of Denton in solving issues
related to risk management and the implementation of a new financial Enterprise Resource and Planning system.
Weaver has performed risk assessment,internal audit and business process improvement services across many
different departments at the City.
Weaver and Tidwell,L.L.F
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•rax•Advisory
City of McKinney
Since 2009,Weaver has performed a risk assessment,then evaluated and made recommendations to improve
business processes related to utility billing, cash collections and handling,construction in progress,purchasing,hotel
tax, and financial reporting.
City of Dallas
Weaver performed financial and IT controls work for the City of Dallas through 2009 and internal control reviews and
evaluation of effective use of SAP within each process.In this project, Weaver evaluated compliance with policies
and procedures and internal controls across 28 departments for processes including revenue,cash collections,
accounts receivable and IT controls.
Additional Related Experience
Austin Community College (ACC)
Weaver performed a risk assessment across the college in 2014.As the outsourced internal auditor for ACC, Weaver
plans and executes risk-based audits over financial,operational and IT areas.Specific focus on compliance with
external and internal requirements is considered in each internal audit.Audit areas included financial aid,cash
handling,payroll,construction and HR. Following the risk assessment and internal audit,Weaver worked with ACC to
develop an effective grants management and monitoring program over state and federal grants. Finally,Weaver
performed organizational and staffing assessments over ACC's delivery of IT services to the entire college.
North Central Texas Council of Governments
Weaver performed a risk-based evaluation of the design of internal controls over five financial and operational
processes,including payroll, A/P,A/R,cash management and grants.Weaver provided evaluation of internal
controls and internal and external compliance,including a risk and fraud analysis,segregation of duties analysis,
and provided recommendations to improve the effectiveness,scalability and efficiency of the processes.
Houston-Galveston Area Council (HGAC)
Weaver has performed several engagements to help HGAC assess and control a wide variety of processes and
associated risks,from grant compliance to internal control reviews. For example,after Hurricane Ike (2010-2011),
Weaver verified the eligibility of recipients for state and federal emergency relief funds and later audited the
reimbursements.The goal of the project was to ensure that recipients were not receiving compensation from
multiple agencies (FEMA or private insurance) for the same loss. In addition to the disaster relief grants,Weaver has
audited subrecipients of other grants HGAC distributes,such as employment block grants.Weaver examines those
recipients' eligibility and the legitimacy of charges. Finally,we perform the annual reimbursement audit of HGAC's
workplace continuation grants.
Cancer Prevention Research Institute of Texas (CPRIT)
In 2014, Weaver developed a comprehensive grant monitoring program for the agency to address some very public
concerns.The program included a risk assessment of grantees and designed grant and grantee monitoring
procedures.The program also included development of internal and external trainings for the agency as well as a
fraud,waste and abuse reporting plan. Following the completion and implementation of that grants monitoring
program, Weaver was contracted to perform ongoing internal auditing services;so far in 2015,we have audited
grants management as well as cash management and expenditures.
Western Refining
Weaver was initially engaged to develop and manage Western's Compliance Week event.The company soon
sought consulting on compliance issues regarding issues identified in-house,then expanded their efforts to creating
strategic programs to proactively identify potential issues prior to them causing an impact. Weaver professionals act
as thought leaders and subject matter advisors with regard to Western's strategic compliance program
management,and also perform specific projects as requested to address compliance gaps or issues where
resolution is owned by the internal compliance department.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
wAssuroeance•Tax ver,
isor
Engagement Team
Team Organization
The success of an engagement is directly tied to the talent and experience a firm brings;Weaver offers a team of
deeply experienced risk advisory professionals who have hands-on experience. Our teams are marked by continuity,
cross-functional communication, leadership and stability—all important factors for any engagement team to be
effective.
The engagement team for the City will be organized as follows:
City of Corpus Christi
Engagement Team Organization
Alyssa G. Martin,CPA
Engagement Partner
Neha Patel,CPA, CISA Dan Graves,CPA Adam Jones
IT Advisory SME Advisory Senior Manoger Organizational Consultant
Tom Winson,CPA Brandon Tanous,CIA, CFE, Brian Thomas,CISA, CISSP,
Data Winson,AnalyticCPA SME CGAP, CRMA QSA
Risk Advisory Manager IT Advisory SME
Josh Velazquez,CPA
Risk Advisory Senior Associate
Advisoryassociates and in-house subject latter advisors support all aspects of the engagement
As the organization chart indicates,as needed the team will be supported by Weaver's Advisory Services group.The
professionals in this group have a broad range of industry knowledge and advisory experience.Having ongoing
access to this experience enables us to offer a fully customized team that can adjust dynamically and quickly based
on changing needs over time. Leveraging this experience, along with ongoing access to our in-house subject matter
advisors,enhances our ability to provide innovation,thought-leadership and insight throughout the engagement.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•Tax•Advisory
Team Qualifications
Engagement Team Leadership
Alyssa G. Martin, CPA, MBA I Partner-in-Charge, Advisory Services
Alyssa will serve as the engagement partner for the City.In this role,she will serve as your single
point of contact,and provide overall guidance and oversight throughout the engagement.
Alyssa has more than 25 years of experience in public accounting,including 17 years of internal
control process risk management. Her practice emphasis is in operational analysis,risk
management,internal audit,quality assurance reviews,fraud prevention,IT audit,business
management consulting,strategic planning and technology consulting.
Alyssa has several years of experience working directly with both municipalities and large private
sector organizations alike,and understands the organizational,risk management and compliance
needs of multi-departmental,complex environments. Recent municipal clients for which Alyssa
has led advisory engagements include the cities of Houston, Georgetown, Dallas, Denton,
McKinney, Arlington, Bryan and Irving. Her other recent internal audit and risk advisory clients
include Del Mar College,CPRIT,Austin Community College and North Central Texas Council of
Governments.Alyssa has performed numerous engagements with state,county and local
government entities,as well as many complex, multi-departmental Fortune 500 clients.
Alyssa is licensed to practice as a Certified Public Accountant in Texas.From chairing the Baker
Tilly International Governance Risk and Compliance Committee to membership in key accounting
and advisory associations (including AICPA,TSCPA, IIA,and CFE), Alyssa remains at the forefront
of industry trends and best practices.She is a sought-after speaker and author,having published
and presented more than a dozen times in the past two years.
Daniel Graves, CPA I Senior Manager, Advisory Services
Dan will serve as the engagement manager for the City.
He is a highly experience senior manager with more than 10 years of experience in public
accounting,including eight years of internal control process and IT risk management.His practice
areas of emphasis include business management and process improvement,internal control
consulting,internal audit,risk assessment, IT audit,fraud prevention and technology consulting-
with a strong focus on public-sector entities. Recent public-sector engagements managed by
Dan include Del Mar College;the cities of Houston,Georgetown and Arlington; Austin Community
College;CPRIT;Texas Council for Developmental Disabilities; North Central Texas Council of
Governments; East Texas Council of Governments and the Texas Municipal Retirement System.
Dan is licensed to practice as a certified public accountant in the state of Texas.He is an active
member of multiple professional and industry organizations,including the Institute of Internal
Auditors,and earned a Bachelor of Business Administration from Hardin-Simmons University.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•Tax•Advisory
Brandon Tanous, CIA, CFE, CGAP, CRMA [ Manager, Risk Advisory Services
Brandon has more than eight years of experience in internal audit,with a focus on public-sector
agencies.He has extensive experience with business process improvement,internal control
evaluation,risk management,fraud detection,grant and contract monitoring and business
management consulting.
Brandon's recent clients have included Del Mar College,the City of Houston, the Texas
Commission on Environmental Quality,the Texas Department of Public Safety and Texas Children's
Hospital. He also has experience conducting quality assessment reviews for organizations such as
the Texas Department of Agriculture and Texas Guaranteed Student Loan Corporation.
Recognized by Internal Audit Magazine as one of 2013's Top 20 under 30, Brandon holds
numerous industry certifications,is active in a number of industry and professional organizations,
and is a frequent presenter and author.He earned a Masters of Public Administration and a
Bachelor of Public Administration from Texas State University.
Josh Velasquez, CPA I Associate, Risk Advisory Services
Raised in Corpus Christi, Josh has five years of advisory experience,with a practice emphasis on
business process improvement, internal control evaluations, grant and compliance monitoring,risk
assessment and regulatory compliance.Josh's clients have included Del Mar College,the City of
10, Houston, Austin Community College and Western Refining.Josh is a Certified Public Accounting
a< Y 9 9
and a member of the Institute of Internal Auditors.He earned a Masters of Accountancy from
Texas A&M University at Corpus Christi and a Bachelor of Business Administration in accounting
from Texas State University.
Weaver and Tidwell,LLP
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 14
weaver).
Assurance.Tax•Advisory
Subject Matter Advisors
Adam Jones I Organizational Consultant
rib)
Adam consults for Weaver's advisory practice groups,helping both public and private organizations
' to improve their organizational structures, management,regulatory compliance and information
technology.He has nearly two decades of experience in Texas state government,including nine
ikr' years serving as Deputy Commissioner and Chief Operating Officer of the Texas Education Agency
g� (TEA).Adam chaired the agency's Fraud, Risk Assessment and Compliance Committee,the
oversight body for the internal audit function. He helped lead Weaver's engagement for CPRIT and
Austin Community College,as well as performing an organizational assessment for the Consumer
Credit Counseling Service of Dallas.
Adam brings vast experience in organizational management,and is a frequent,sought-after
speaker and author on managerial topics,as well as an experienced and effective group facilitator
and trainer. He graduated with a master's degree in public policy from Duke University and a
bachelor's degree in economics from the University of Texas at Austin.
Brian Thomas, CISA, CISSP, QSA I Partner, IT Advisory Services
...4 Brian has more than 17 years of experience in management consulting and risk advisory services.
With experience managing teams delivering IT-focused solutions such as SOC reporting,system
integration, information security,SOX assistance,IT audits,and IT project management, Brian brings
diverse knowledge and technical skills to his clients. His responsibilities currently include the
management and development of Weaver's IT advisory practice and he is involved in all aspects of
the business. Brian led IT controls assessment and process improvement projects at the cities of
Houston and Denton as well as Austin Community College.
Brian frequently speaks and publishes articles on the subject of information security and related
subjects. He is a member of the American Institute of Certified Public Accountants IT Executive
Committee's SOC Reporting Task Force and a member of the IM Advisory Council at the McCombs
School of Business of The University of Texas at Austin.He graduated with a master's degree and a
bachelor's degree in civil engineering from the University of Texas at Austin.
Neha Patel, CPA, CISA I. Partner, IT Advisory Services
0 Neha has more than 12 years of experience in public accounting and internal audits,with an
emphasis on governance,risk and compliance projects;recent projects have included Del Mar
it College and the City of Bryan.Neha specializes in SOC audits, IT audits and other technology
consulting. Neha currently develops Weaver's SOC reporting methodology and leads the firm's
practice in delivering IT audit solutions for financial institutions.She has extensive experience leading
outsourced and co-sourced internal audit engagements across multiple industries,including the
public sector and financial services. Neha is an active participant in numerous industry associations,
including ISACA,the Institute of Internal Auditors and Texas Bankers Association. A Corpus Christi
native, Neha earned a master's degree in professional accounting and a bachelor's degree in
accounting with a minor in management information systems from the McCombs School of Business
at the University of Texas at Austin.
Tom Winson, CPA I Manager, Weaver Analytics
As leader of the Weaver Analytics practice,Tom is able to extract usable information from
a °' mountains of raw data.At clients such as the City of Cedar Hill,the Texas Municipal Power Agency
707_ and North Texas Municipal Water District,his work has helped uncover waste and abuse such as
duplicate payments,fraudulent vendors and errors in payroll.Tom has eight years of experience in
- public accounting;he earned a Bachelor of Electrical Engineering degree from the University of
South Florida and a Master of Accounting from the University of Texas at Arlington.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•Tax•Advisory
Project Approach
Assessment of Key Topical Areas
Weaver's approach for assessing the effectiveness and efficiency of processes for the five significant topical areas
consists of four key phases:
Information
Planning * :: Fieldwork ", Reporting
Gathering41.
Planning
The first step in any Weaver engagement is to develop a structured plan.We'll meet with City and Department
management to enhance our understanding of your objectives, finalize the scope, and develop a mutually-
agreeable schedule,including fieldwork timing and deliverable dates.This plan will serve as both a communication
and monitoring tool,and will help facilitate a smooth engagement.
Information Gathering
Weaver will work with the Department to evaluate the effectiveness of design of significant processes in the
identified topical areas of focus.We will gather key pieces of information to assist with gaining an understanding of
existing procedures processes as they actually occur in their current"as-is" state. Initial information requested may
include,but not be limited to:
• Policies and procedures (centralized and departmental)
• Flowcharts
• Employee desk reference guides
• Departmental and city-wide organization charts
• Standard forms and checklists
• List of standard reports
Additional documentation and information may also be requested as needs dictate during the fieldwork stage.
Fieldwork
Weaver will provide an integrated,objective and disciplined assessment of the effectiveness and efficiency of the
Department's processes.At a high level,the assessment will include:
• Identifying key process controls and control gaps
• Identifying project management inefficiencies and barriers
• Identifying processes and procedures for standardization
• Eliminating redundancies, bottle-necks, manual or paper-laden procedures
• Minimizing dependencies and unnecessary hand-offs
• Increasing reliability of the execution steps
• Identifying areas for automation and/or outsourcing
• Simplifying work flow
• Eliminating non-value added activities
• Analysis and analytics of transactions to identify trends and indicators of high-volume periods
• Identifying policy/procedure inconsistencies with business processes
Specific activities performed for each topical area are described in greater detail below.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•Tax•Advisory
Organization and Support of Financial Services w
Weaver will assess the Department's organizational - ORGANIZATIONAL AND STAFFING
structure to identify any opportunities to improve a ASSESSMENTS
operational effectiveness, better align structural CL
components and ensure appropriate support from the IT Weaver performed an organizational
Department.To start,we will review the organizational LL1
charts,both at the Department and City-wide level,to U assessment for Austin Community
determine optimal reporting structures and supervisor-to- Z College,focused on the methods,
staff ratios, and identify any opportunities for improved CLstaffing and structure the College uses
efficiency as a result of structural/reporting changes.We'll w to deliver IT services across the entire
also compare the Department's reporting structure toX organization.
those of other Texas cities of a similar size and complexity w
to determine how the Department compares with regard After identifying strengths and growth
to organizational structure,staffing levels,complexity and areas, Weaver made
reporting structure.The job duties and responsibilities of recommendations to guide ACC in
personnel who interact and support Financial Services, improving those processes.We
such as the Utility Billing Office's Functional and Technical
continue to work with the college,
Analysis will be evaluated to understand and determine consulting and advising on ways ACC
where those functions should best be positioned within the
City.Where opportunities for reorganization are identified, can improve its processes and
we'll perform a high-level cost-benefit analysis to provide structures to deliver services more
context for the recommended changes. effectively and efficiently.
To determine whether the level of technical IT support for Additional clients for whom Weaver has
the Department is sufficient,we will review the volume of performed organizational and staffing
service calls to MIS from the Financial Services,and assessments include:
evaluate the reasonableness and consistency of the
response and resolution times as well as identify any • City of Houston
repetitive or chronic issues.
• City of Dallas
• City of McKinney
• North Central Texas Council of
Governments
• Western Refining
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 17
weaver*
Assurance.Tax•Advisory
Staffing Levels Sample Knowledge-Skills-Ability Evaluation Matrix
Leveraging the knowledge gained during Kllowinig.•lu•s AOA•y E.lust ,M9•n•
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Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 18
weaver.
Assurance•Tax•Advisory
Financial Services Policies and Procedures, Process Flow and w
Charting ,_ FINANCIAL SERVICES POLICIES
Weaver will review the existing financial policies and procedures to 0 AND PROCEDURES, PROCESS
determine if the policies and procedures contain sufficient detail c, FLOW AND CHARTING
and guidance for City employees to execute the tasks and duties uu
of their job function.We will also determine if the City's policies U For the City of Houston, Weaver
align with industry best practices and regulatory requirements,such Z provided comprehensive financial
as city ordinances and other state regulatory requirements. w policies and processes services,
including:
w
We will also review process flowcharts and any process X • Review of the City's existing
documentation of the Financial Services major functional areas to w eciand processes
identify any missing documentation,documentation that lacks
sufficient detail to effectively carry out the processes,and any • Development of new City-wide
processes or flowcharts that are out-of-date or redundant. financial policies
Upon identification of the areas for improvement,we will make • Training departmental staff for
recommendations for the City to be able to create or modify alignment/compliance with
existing documentation to have a complete set of process revised or new policies and
documentation. procedures
Additional representative clients
—.__.__...--_____---_----- include:
P.csrd Usage
• City of Denton
a...•� ,,, ,; a,.... • North Central Texas Council of
( }"
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ID Section cn�y Standard Operating Procedure
Administrative Policy Documentation
1 Time Management
L1 Work Schedule
111 Creating a SAP Payroll Area X
1.1.2 Creating and update the SAP Pay Calendar X
Creating a New Work Schedule:New Kronos
1.1.3 Group,Pattern,Shift X
_._... 1.1.4 Assigning a Work Schedule to an employee X
1.15 Changing an employee's work schedule
1.1.5.a SAP Work Schedule Change
1.1.5.b Classified:Work Schedule Changes
11.4 Creating a New Pay Code X
City Admin.Policy 2-4-Electronic ///���`
1.2 Time Entry Timekeeping Polity ` )v
1.2.1 Time Entry �(`
1.2.1.a Timesheet Collection and Correction Entry
1.2.2 Positive Pay-Non-exe
1.2.1.a Timesheet Collection and Correction Entry
1.2.3 Exception Re RI -Exempt
1.2.1.a Timesheet Collection and Correction Entry
12.4 Tea E loyee-Time Entry
1.2.4.a Phase Down Time Entry V001
1.3 Timesheet Approval X
1.4 Absence City Admin.Policy:3-11-Absence
1.3.1.a Attendance Reporting
HFD Attendance Absence Leave and
1.4.1.b Overtime Recording V001
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
w�e.averi
Financial Performance Reporting w
Weaver will work with Department
management to identify any existing Key CAFR PREPARATION
Performance Indicators (KPIs),and evaluate c
whether they: w Weaver has 11 members on the GFOA Special Review
w Committee that evaluates CAFRs for eligibility with
• Effectively inform staff(and U Certificate of Achievement program requirements—
management) about efficient w more than any other firm in the state.
Department operation CL
• Properly align with City/Department Ll-i Our public sector practice currently performs financial
goals and strategy w
audits for more than 40 entities that receive the GFOA
• Are clearly defined and calculated LL Certificate of Achievement for Excellence in Financial
• Are consistently measured Reporting.
• Clearly define the City's criteria of
good financial performance Whenever possible,we also leverage automation for
Weaver will work with the Department to ease of CAFR preparation. For example,Weaver
create/modify timely and relevant KPIs for Analytics, an internal data analytics team that focuses
City personnel who are responsible for on the control environment,assisted Irving ISD with
management and operations. We will also implementing data analytics to more efficiently ana
benchmark these KPIs against our own effectively manage the high volumes of raw data
extensive knowledge of Texas municipalities required to compile the District's CAFR.Through a
and against established benchmarking data focus on operational compliance in conjunction with
to determine how the City's financial automated data acquisition and analysis,we were
performance compares to other Texas cities able to provide the District with added insight and
of similar size and complexity.
improved efficiencies.
CAFR Preparation This breadth of experience means we have a
Weaver will interview key Department staff comprehensive understanding of the processes, best
involved with the City's CAFR preparation to practices, risks and benchmarks associated with CAFR
develop an understanding of the current preparation.
process.We'll examine the estimated work
effort prior to the implementation of INFOR,
as well as the post-implementation work
effort to determine any inconsistencies or inefficiencies.Using the institutional COMPREHENSIVE ANNUAL
knowledge of our public-sector practice in conjunction with research into For the Fiscal Year
validated benchmarks for comparable cities, we'll determine metrics for how Ended July 31,2013
other comparable cities prepare their CAFR, and benchmark the City against FINANCIAL REPORT
those metrics.Based on our assessment of the complexity of the cop PUS CHRIS,
City's CAFR and the associated work effort for fi°°f ,' rFOr +
completion,we'll identify any opportunities for ;API4S
automation—including the use of data analytics tools or
the acquisition of CAFR software—as well as the cost-
benefit analysis of such automation. o�""^• ' y _ ,
-T Ter
•
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 20
weaver
Assurance•Tax•Advisory
Approach for Evaluating Divisional Operations
Weaver will perform an independent,objective and disciplined internal control evaluation for the following divisions:
• Utility Billing Office
• Purchasing
• Warehouse
• Accounts Payable
• Accounts Receivable/Collections
• Accounting
• Payroll
• Grants
• Cash Management
• Central Cashiering
UNDERSTANDING INTERNAL CONTROL
Internal control is defined as a process effected by an entity's board of directors,management and other
personnel and designed to provide reasonable assurance regarding the achievement of objectives in the
following categories:
• Effectiveness, efficiency,scalability, and automation of
operations oQa _,, Q
• Reliability of financial reporting
• Compliance with applicable laws and regulations
Control Environment
The COSO 2013 framework identifies five components of control
that need to be in place and integrated to ensure the
achievement of each of the above objectives. Weaver evaluates . '
the control environment to ensure it adheres to the following key trolActly
principles,as defined by COSO:
lnformat on&Com unication
• Demonstrates commitment to integrity and ethical values
• Exercises oversight responsibility 9 P Y Mon"toringActiirities
• Establishes structure, authority and responsibility
• Demonstrates commitment to competence
• Enforces accountability
We will identify and map control gaps and provide specific recommendations for improvement,as well as high-level
benchmarking.As applicable,we'll also make recommendations for potential outsource opportunities based on a
high-level cost/benefit analysis that examines:
• Estimated internal operating costs including staffing requirements
• Estimated fees for identified outsourcing opportunities,as applicable
• Estimated savings related to improved efficiencies and enhanced processes
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 21
weaver jos-
Assurance.Tax•Advisory
There are three key phases to our internal control
evaluation approach: J
,� MUNICIPAL DIVISIONAL OPERATIONS
oeWeaver provides advisory services for
Walkthroughs Reporting 0- nearly a dozen municipalities in Texas.
Lu
For example, since 2009 Weaver has
Z assisted the City of Houston with a
variety of projects related to internal
Information Gathering control reviews, IT controls and data
Weaver will meet with selected Department X analytics. We performed three advisory
individuals to enhance our understanding of w projects for the City's Department of
an internal control issues related to the in-scope Administrative and Regulatory Affairs
processes.If needed,we will request additional (ARA):internal control reviews over
information to determine the full scope of the evaluation. surplus inventory in 2008-2009, including
identifying process and control gaps
Performing Walkthroughs and and weaknesses within internal
Evaluate Existing Internal Controls processes relating to Asset Disposal;
Weaver will perform walkthroughs to identify parking in 2010; and payroll,
existing internal controls,and evaluate risks where procurement and A/P processes since
controls are weak or non-existent.The number of 2013.Weaver also performed HUD
walkthroughs performed will be determined based on regulatory compliance consulting for
meeting discussions and information obtained during the the Housing the City Auditor in 2011. In
initial planning and information gathering stages. addition,Weaver's IT advisory group
During this stage of the engagement,we will determine has provided IT advisory services
whether all risks have relevant controls and whether including ACL data analytics and other
conflicting duties are segregated. We will also consider techniques for analyzing electronic files
the scalability of each process and control,identifying for specific trends.
possible opportunities for automation that could improve Additional recent municipal and
future reliability and efficiency. regional advisory clients include:
Based on the results of this evaluation,we will work with • City of Dallas
management to determine practical ways of closing any
gaps identified and researching potential automation. • City of Denton
Identified control points will be documented in a risk- • City of Irving
control matrix (please refer to the sample on the • City of Bryan
following page),which will include:
• City of Arlington
• Alignment of processes to risks and controls • City of McKinney
• Numbering of each control identified for each
process • City of Greenville
• Identification of IT-dependent controls
• Identification of"key" controls • City of Georgetown
• Town of Addison
During this stage, Weaver will also identify opportunities
for potential outsourcing of Department functions, • North Central Texas Council of
including a high-level cost-benefit analysis. Governments
• East Texas Council of Governments
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 22
weaver
Assurance•Tax•Advisory
Developing Recommendations and Reporting
Reporting Based on our walkthroughs,we will prepare and propose recommendations to improve existing
policies and procedures,and strengthen controls in place.All recommendations will be prioritized
based on the risk associated with each finding. In addition,our final report will compare your results with other major
Texas cities and provide cost-benefit analysis where proposed recommendations include automation or outsourcing.
Depending on the type and extent of findings,our recommendations may include suggestions for improvements
that will help streamline processes,ensure compliance with regulatory requirements,reduce fraud risk, and improve
the reliability,efficiency and transparency of the Department's processes and procedures.We will prioritize our
recommendations to assist you with constructing a go-forward plan to address the recommendations with a
structured,methodical approach.
Sample Points for Consideration
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Ongoing Communication
Weaver takes a proactive, "no surprises” approach for all advisory engagements,with a focus on timely,continuous
communication.Whenever we identify a potential issue,we will immediately bring it to your attention,seek your
feedback and ask about any relevant circumstances.We will also meet with you on a regular basis to:
• Ensure that we have a solid understanding of your systems and processes
• Facilitate a constructive exchange about work in progress and related issues
• Provide technical updates and discuss how they affect your organization
• Answer your questions about both technical and strategic issues
• Learn about changes in your business strategies
• Understand your overall satisfaction to date
We commit to all our clients to live up to all of our agreements and promises,whatever that takes.This commitment,
combined with a focus on attentive, personal service has distinguished us from our competitors and sustained our
growth for decades.
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness -
weaver
Assurance•Tax•Advisory
Cost Proposal
At Weaver,we pride ourselves on offering the capabilities of a much larger firm at a reasonable cost.With our
streamlined operations,we can provide the knowledge and experience you need,combined with a personal touch
and individual attention.We feel our pricing reflects a level of quality—as well as a commitment to ongoing
collaboration—that is unmatched by many of our competitors.
Our quality level is directly correlated to the level of understanding and hands-on experience our team brings.Your
team will be made up of experienced professionals who have focused their careers on providing Risk Advisory
Services—including having direct experience with clients of a similar size and structure as the City.With this level of
experience and focus comes insight and technical knowledge,which allows us to serve you in a holistic way,
working with you to provide valuable recommendations so you can make informed decisions about the future.
Estimated fees for our services are provided below:
ESTIMATED ESTIMATED
HOURS PRICE
Organization and Support of FIN Services 120 $18,000
Staffing Levels 180 $27,000
FIN Policies,Procedures, Process Flow and Charting 100 $15,000
FIN Performance Reporting 80 $12,000
CAFR Preparation 110 $16,500
Divisions
Utility Billing Office 160 $24,000
Purchasing 150 $22,500
Warehouse 100 $15,000
Accounts Payable 120 $18,000
Accounts Receivable 80 $12,000
Accounting 80 $12,000
Payroll 120 $18,000
Grants 120 $18,000
Cash Management 80 $12,000
Central Cashiering 100 $15,000
Subtotal 1,700 $255,000
Travel(not to exceed) $20,000
Total 1,700 $275,000
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 24
weaver,.
eave r
Assurance.Tax•Advisory
Appendix A: Resumes
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 25
weaver
Assurance•Tax•Advisory
Alyssa G. Martin, CPA
Dallas Executive Partner
Partner, Advisory Services
Professional Experience
• More than 25 years of experience in public accounting,including 17 years of internal control process risk
management
• Practice emphasis in managing and performing internal control and process improvement consulting
• Implements,directs and monitors internal control,internal audit,regulatory compliance and process
improvement engagements and compliance projects
• Evaluates business processes and internal controls and evaluation of IT General Computer Controls for
public companies, private firms and government agencies
• Experience managing large,complex engagements from 1,000 to 3,000 hours
• Manages and perform risk assessment for various private and governmental entities covering specific
financial,operational and IT areas
• Experience performing reviews of policies and procedures and evaluation of internal controls for nonprofit,
education,government and service industries
• Variety of industry exposure to include higher education,financial services,oil and gas, manufacturing,
professional services,state and regional agencies and school districts
• Works with companies on special procedures related to testing of fiduciary accounts
Representative Client Experience
• City of Houston • Employees Retirement System of Texas
• City of Dallas • North Texas Tollway Authority
• City of Denton • Texas Council for Developmental Disabilities
• City of Arlington • Texas Municipal Retirement System
• City of McKinney • Western Refining
• City of Bryan • Cancer Research Prevention Institute of Texas
• City of Irving • Texas Military Department
• City of Georgetown • Tarrant Regional Water District
• North Central Texas Council of Governments • Baptist General Convention of Texas
• Austin Community College • Tarrant County College District
• Del Mar College • Higher Education Servicing Corp.
• East Texas Council of Governments • Abilene Christian University
• Houston-Galveston Area Council • Dallas Production
Professional Involvement and Recognition
• Chair, Baker Tilley International Governance Risk and Compliance Committee
• Board Member, Institute of Internal Auditors, North American Board—Publications Committee and Ester
Sawyer Award Committee
• Audit Committee and Board Member,Texas Society of Certified Public Accountants (TSCPA)
• Trustee,Accounting Education Foundation,TSCPA
• Advisory Committee member, Internal Audit Education Program (IAEP), University of Texas at Dallas
• Executive Advisory committee, Accounting and Information Management Area, University of Texas at
Dallas' School of Management
• Member, American Institute of Certified Public Accountants (AICPA)
• Member,Texas Society of Certified Public Accountants (TSCPA), Dallas Society
• Member, National Association of Corporate Directors
• Member, Institute of Internal Auditors (IIA), Dallas and Fort Worth chapters
• Member, Information Systems Audit and Control Association, Dallas and Fort Worth chapters
• Member,Association of Certified Fraud Examiners
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weaver
Assurance•Tax•Advrsory
Alyssa G. Martin, continued
Recent Publications and Presentations
• "The Audit Committee in an Uncertain World,"Internal Auditor, August 2015
• "Implementing COSO 2013 Internal Control-Integrated Framework,"Today's CPA,July 2015
• "Contract and Compliance Monitoring-Building a Successful Program," Weaver Public Sector CPE,August
2015
• "Get More Out of Your Risk Assessment" IIA Austin CPE,September 2014
• "Fraud, Risk and Internal Control," Weaver Public Sector CPE,August 2014
• "Coordinating Fraud Risk Assessment with Enterprise Risk Management," IIA San Antonio CPE, April 2014
• "Audit Communication Skills for Success," IIA Austin CPE, February 2014
• "Demystifying Enterprise Risk Management,"TSPCA Dallas Chapter Convergence,May 2013
• "A Refocused Internal Audit Function Adds Value Throughout the Organization," Internal Auditing,
January/February 2013
• "Getting Fit,"Midstream Business,January 2013
• "Key Considerations when Using Third Party Technology Audits," IIA Dallas Super Conference,October 2012
• "Fraud Prevention," IIA San Antonio Chapter,September 2012
• CEO monthly advisory column "Management Matters," Dallas Business Journal,2008 to present
Education and Certifications
• Certified Public Accountant,Texas
• Bachelor of Business Administration, Accounting, University of Texas at Dallas
• Master of Business Administration, University of Texas at Dallas
• Currently meets continuing professional education required by the Texas State Board of Public Accountancy
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 27
weaver
Assurance•Tax•Advisory
Daniel Graves, CPA
Senior Manager, Advisory Services
Professional Experience
• More than 10 years of experience in public accounting,including eight years of internal control process and
IT risk management
• Specialized emphasis in the practice areas of business management and process improvement, internal
audit,internal control consulting, IT audit,fraud prevention,Sarbanes-Oxley compliance and technology
consulting for public and private sectors
• Specialty industry experience:government,financial institutions, oil and gas, manufacturing and professional
services companies
• Experience in managing complex engagements in excess of 2,000 hours
• Experienced in managing of projects that include evaluating controls in complex IT environments with
multiple applications and databases; network infrastructure and security;evaluating existing accounting
systems for business and system requirements;evaluating and recommending software for existing systems;
and coordinating software developers, management,and business end-users to customize and integrate
software packages
• Experienced in performing IT General Control Reviews and testing of application controls
Representative Client Experience
• City of Houston • Texas Municipal Retirement System
• City of Georgetown • Texas Council for Developmental Disabilities
• City of Arlington • Tarrant Regional Water District
• North Central Texas Council of Governments • Abilene Christian University
• Austin Community College • Tarrant Community College District
• Del Mar College • Frisco Independent School District
• East Texas Council of Governments • Rockwall Independent School District
• Cancer Prevention Research Institute of Texas • TexPac Industries
• Employees Retirement System of Texas • Dallas Production
Professional Involvement and Recognition
• Member, Institute of Internal Auditors
• Member,Texas Society of Certified Public Accountants
• Member,Council of Petroleum Accountants Societies
• Member, American Institute of Certified Public Accountants
Recent Publications and Presentations
• "Contract and Compliance Monitoring—Building a Successful Program," Weaver Public Sector CPE,August
2015
• " Construction Management—Monitoring Risk through Times of Growth,"Texas School District Accounting
and Auditing Conference,2015
• "Evaluating Digital and Manual Segregation of Duties: Using IDEA to Ensure Appropriate Access Across All
Functions,"Third North American IDEA User Conference,2012
Education and Certifications
• Certified Public Accountant,Texas
• Bachelor of Business Administration, Hardin-Simmons University
• Currently meets continuing professional education required by Generally Accepted Government Auditing
Standards and Texas State Board of Public Accountancy
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 28
weaver
Assurance•Tax•Advisory
Brandon Tanous, CIA, CFE, CGAP, CRMA
Manager, Risk Advisory Services
Professional Experience
• More than eight years of experience performing risk assessments and internal audits, particularly within the
public sector
• Career focus on internal control evaluation,business process improvement,internal audit,fraud detection,
risk management,grant and contract monitoring and business management consulting
• Performed internal audits of Texas state agencies to meet the expectation of the State Auditor's Office
(SAO)
• Experienced in training and mentoring both audit and client staff in principles and techniques of internal
audit and risk management
• Understands IT security issues and compliance requirements of HIPAA and Sarbanes-Oxley
• Experienced in managing projects that require evaluating controls in complex environments,including
heavily regulated entities with extensive processes;organizational governance;business management and
process improvements;internal control design and effectiveness;risk identification and management;
development of benefit-cost analyses;and developing customized recommendations to meet the needs of
the organization
• Skilled in collaborative methods and both internal and external communications to ensure that everyone
involved in an audit—including management—stays fully apprised of progress and findings
• Experienced in conducting internal fraud,waste and abuse investigations; quality assurance reviews of
internal audit departments; and designing and developing performance evaluation methodologies for
complex entities
Representative Client Experience
• Del Mar College
• City of Houston
• Houston-Galveston Area Council
• Texas Commission on Environmental Quality
• Texas Department of Public Safety
• Texas Children's Hospital
Professional Involvement and Recognition
• Member, Institute of Internal Auditors (IIA)
• Member, Association of Certified Fraud Examiners (ACFE)
• Committee Member, IIA Learning Solutions Committee
• "Top 20 Under 30,"Internal Audit Magazine,2013
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 29
weaver
Assurance•Tax•Advisory
Brandon Tanous, continued
Recent Publications and Presentations
• "Stop Acting Like Auditors," IIA Austin Chapter,2013 and IIA International Conference,2015
• "Perfecting Your Audits and Client Relations," International Law Enforcement Auditor's Association Annual
Conference,2013
• "Risk and Control Self-Assessment in Your Organization,"Texas State Auditor's Office Conference,2013
• "Assurance Continuum and Internal Controls," IIA Southern Regional Conference, Austin,Texas,2012
• "High Plains Grifter"with Dr.Carolyn Conn and Katie Houston,case study in the ACFE Bribery and Corruption
Casebook,2012
Education and Certifications
• Certified Internal Auditor(CIA)
• Certified Fraud Examiner(CFE)
• Certified Government Auditing Professional (CGAP)
• Certification in Risk Management Assurance (CRMA)
• Graduate, Internal Audit Leadership Development Program,Texas State Agency Internal Audit Forum
• Bachelor of Public Administration,Texas State University
• Masters of Public Administration,Texas State University
• Currently meets continuing professional education required by Generally Accepted Government Auditing
Standards,the Institute of Internal Auditors,and the Association of Certified Fraud Examiners
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 30
weaver
Assurance•Tax•Advisory
Josh Velazquez, CPA
Associate, Risk Advisory Services
Professional Experience
• Five years of experience in internal auditing
• Experienced with risk assessments,including interpreting and processing distributed questionnaires from
subject matter experts and conducting interviews to prioritize and translate risk into risk ratings/mappings
between various business components and segments
• Experience with Sarbanes-Oxley (SOX) tests of design and effectiveness(both IT and financial controls)
• Experience with business process improvement,including developing flowcharts and documenting
processes to analyze where gaps (and risks) potentially reside,and generating detailed narratives for
current and future state processes
• Experience with development of tools to monitor regulatory compliance as well as compliance with internal
policies and rules
• Experienced with governmental and nonprofit grant monitoring audits
Representative Client Experience
• Del Mar College
• City of Houston
• Austin Community College
• Clayton Williams Energy
• Team Industrial Services
• Western Refining
• LDR Holdings Corp.
Professional Involvement and Recognition
• Member,The Institute of Internal Auditors
• Member,Texas Society of Certified Public Accountants (TSCPA)
Education and Certifications
• Certified Public Accountant (CPA)
• Bachelor of Business Administration (BBA), Accounting—Texas State University
• Masters of Accountancy(MAcc)—Texas A&M University—Corpus Christi
• Currently meets continuing professional education required by Generally Accepted Government Auditing
Standards and Texas State Board of Public Accountancy
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 31
weaver
Assurance•Tax•Advisory
Adam Jones
Organizational Consultant
Professional Experience
• Nearly 20 years of experience in Texas state government
• Three years of experience with Weaver, advising a variety of private and public clients on issues related to
management,organizational effectiveness,information technology,and regulatory or compliance issues
• Led organizational assessments for numerous public-sector clients,including local governments and
nonprofit agencies
• First location leader for Weaver's Austin advisory practice,and leader of the firm's state government industry
practice
• Engagement director of a large-scale forensics investigation at El Paso Independent School District
• Served as the Chief Operating Officer of the Texas Education Agency (TEA) from 2003-2012, managing total
state and federal appropriations of over$23 billion and an administrative budget of over$135 million
• Responsible for budget, accounting,contracting and procurement,school finance,financial audits,grants
administration,agency services,human resources,organizational effectiveness and training,and
information technology
• Chaired the Fraud, Risk Assessment and Compliance Committee,which oversees the internal audit function
at the TEA
• Administered the Foundation School Program,the state aid program for Texas public schools,in addition to
over$6 billion in targeted financial and state grants
• Responsible for state financial audits of independent school districts and charter schools
• Completely rebuilt the TEA school finance organization through aggressive recruitment,succession planning
and the mentoring of emerging managers
• Expert knowledge of the state appropriations process,managed the development of the agency budget
and strategic plan for all legislative sessions from 2005-2011;responsible for representing TEA before all
legislative budget committees from 2003 through 2012
• Significant experience with engaging and building relationships with elected officials,staff and agency
executives,along with an understanding of the nuances of the Texas legislative,administrative rulemaking
and procurement processes
• Executive sponsor and visionary leader of the Texas Student Data System project that was designed to
deliver timely and actionable student-level data to Texas educators
• Envisioned and implemented the TEA Management Effectiveness Series,an agency-specific nine-course
curriculum for managers that resulted in significant gains in the agency's supervision construct scores on the
state's Survey of Employee Engagement
Representative Client Experience
• City of Houston
• Consumer Credit Counseling Service of Greater Dallas
• Austin Community College
• Cancer Prevention and Research Institute of Texas
• El Paso Independent School District
• Texas A&M University
• Texas Department of Insurance
• Texans for Education Reform
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 32
weaver
Assurance•Tax•Advisory
Adam Jones, continued
Professional Involvement and Recognition
• Director,Texas Charter School Finance Commission,2015-2017
• Vendor Advisory Committee,Texas State Agency Business Administrators Association
• Business Executive Leadership Committee for Data Center Services,Texas Department of Information
Resources 2009-2012
• Awarded five TEA Center for Digital Government Best of Texas awards between 2003 and 2011
• Board of Directors (ex-officio),Texas Department of Information Resources,2005-2007,2009-2011
• Advisory Board,Center for Digital Government:Texas CIO Academy,2010 and 2011
• Visionary Council,Government Technology Conference Southwest,2005,2006, 2007 and 2008
• Member,Texas Association of State Systems for Computing and Communications
Recent Publications and Presentations
• "The Engaging Leader:the key to building relationships,teams and organizational strength," Austin Institute
of Internal Auditors,September 9,2014
• "Politics, Petroleum and Propositions: Public Sector Perspectives for Fiscal 2014," opening general session,
Weaver Public Sector CPE Day,September 17,2013
• "Contracting for Best Value:A Policy White Paper" (with Cindy Reed),Texas Conservative Coalition
Research Institute,April 2013
• "Post-traumatic Layoff Syndrome,"AICPA Corporate Finance Insider,June 2012
Education and Certifications
• Master of Arts, Public Policy, Duke University
• Bachelor of Arts, Economics, University of Texas at Austin
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 33
weaver
Assurance•Tax•Advisory
Brian Thomas, CISA, CISSP, QSA
Partner, IT Advisory Services
Professional Experience
• More than 17 years of experience providing management consulting and risk advisory services
• Significant experience managing project teams delivering IT-focused solutions at Fortune 500 clients
including internal controls services, IT audits,project management services,information security assessments
and implementation reviews focusing on enterprise systems
• Partner-in-charge of Weaver's IT Advisory Services practice:responsible for all aspects of the business
including recruiting, personnel development, business development, methodology and quality control
• Experienced at helping clients with software selection including key business requirements definition,vendor
identification, RFP development,proposal evaluation and vendor management
• Security related experience primarily includes the management of information security studies performed on
behalf of internal audit departments;types of studies have involved perimeter security and architectural
reviews,assessments of the information security management system (using ISO 27001/27002),as well as
internal and external vulnerability assessments including wireless networks
• Internal controls experience includes both advisory services in support of management assessments and
support of external audit teams,including four Fortune 500 organizations
• ERP experience includes pre/post-implementation assessments and internal control configuration
evaluations of SAP, PeopleSoft,JD Edwards,Oracle,Sage 500,Microsoft Dynamics,various other industry-
specific ERP solutions and custom-built systems
• Thorough understanding of leading practice guidance and regulatory compliance requirements,including
HIPAA,GLBA, FFIEC,COBIT, ITIL, NIST, ISO 27000 series and more
• Industry experience includes technology,consumer electronics, upstream oil and gas,and utilities (power
generation and transmission)
• Previous work experience includes nearly six years in KPMG's Risk Advisory Services practice and three years
in PricewaterhouseCoopers Management Consulting Services practice
Representative Client Experience
• City of Houston • Tarrant Regional Water District
• City of Bryan • Texas A&M University
• Austin Community College • Employees Retirement System of Texas
• Texas Department of Insurance • Texas Lottery Commission
• Texas Municipal Power Authority
Professional Involvement and Recognition
• Member, International Information Systems Security Certification Consortium (ISC2)
• Member, Information Systems Audit and Control Association (ISACA), Houston chapter
• Member, Institute of Internal Auditors (IIA), Houston chapter
• SOC Task Force,AICPA ITEC
• Board Member, AFCOM, Houston chapter
• Paul Bear Bryant Awards Committee, American Heart Association
• TeXchange,Sponsorship Committee Member
• IM Advisory Council,McCombs School of Business, University of Texas
Education and Certifications
• Certified Information Security Auditor(CISA)
• Certified Information Systems Security Professional (CISSP)
• Payment Card Industry(PCI) Qualified Security Assessor(QSA)
• Master of Science,Civil Engineering Project Management,The University of Texas at Austin
• Bachelor of Science,Civil Engineering,The University of Texas at Austin
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness
weave).
Assurance•Tax•Advisory
Neha Patel, CPA, CISA
Portcer, IT Advisory Services
Professional Experience
• More than 13 years of experience in public accounting; previous work experience includes nearly five years
in Ernst&Young's Technology&Security Risk Services practice
• Firm leader in the IT aspects of Governance, Risk and Compliance (GRC) including:SOC audits, FDICIA/SOX,
FFIEC IT audits and other technology consulting
• Industry experience includes:financial services,oil and gas,technology, manufacturing and health care
• Experience in utilizing the COBIT framework (versions 4.1 or 5) to develop a governance system or conduct
an IT risk assessment across an organization
• Extensive experience in the execution and reporting for SOC 1 and SOC 2 engagements including
significant project management related to the identification of control objective areas,testing over control
design and operation and report writing
• Subject matter expert and methodology leader for SOC reporting within the firm since 2011
• Methodology and training leader for SOC reporting across the firm
• Serves as project manager on in support of FDICIA/SOX compliance testing over IT processes,including
financial institutions ranging from$1 to$5 billion in assets
• Practice lead in performing IT FFIEC compliance for financial institutions ranging from$500 million to$1 billion
in assets
• Thorough understanding of how the COBIT framework and the FFIEC IT booklets can be utilized to execute
various IT audits,including IT risk assessments,information security audits, application implementation
(pre/post),and/or data privacy
• Significant experience managing teams delivering IT-focused solutions,including Sarbanes-Oxley assistance
services, IT audits and reviews focusing on enterprise systems for energy companies
• Internal audit experience includes risk assessment, audit planning, execution and reporting
• Developed internal audit programs to evaluate IT general controls,segregation of duties within critical
financial applications, disaster recovery plans and testing,and application implementation programs.
Extensive testing over general computer controls and application controls within financial transaction
processing systems,document scanning repositories,loan origination systems and core general ledger
systems
Representative Client Experience
• Del Mar College • Texas Municipal Power Authority
• City of Houston • Tarrant Regional Water District
• City of Bryan • Employees Retirement System of Texas
• Texas A&M University • Texas Lottery Commission
• Texas Department of Insurance
Professional Involvement and Recognition
• Member,Texas Society of Certified Public Accountants (TSCPA)
• Board Member, Information Systems Audit and Control Association (ISACA), North Texas chapter
• Member, Institute of Internal Auditors (IIA)
Education and Certifications
• Certified Public Accountant,Texas, Louisiana,Mississippi
• Certified Information Systems Auditor
• Master in Professional Accounting,The University of Texas at Austin
• Bachelor of Business Administration, Accounting and Management Information Systems,The University of
Texas at Austin
• Currently meets continuing professional education required by the Texas State Board of Public Accountancy
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 35
,te
weaver tr
Assurance•tax•Advisory
Tom Winson, CPA
Manager, Weaver Analytics
Professional Experience
• Eight years of public accounting experience as an external auditor
• Five years of experience in computer aided audit tools (CAAT) such as ACL in an external audit
• Three years of experience in developing ACL analytics scripts to detect fraud,waste and abuse
• Industry experience in real estate,government, manufacturing/distribution and power industry
Representative Client Experience
• City of Wylie
• City of the Colony
• North Texas Municipal Water District
• City of Cedar Hill
• Highland Park ISD
• Irving ISD
• Texas Municipal Power Agency
Professional Involvement and Recognition
• Member, American Institute of Certified Public Accountants (AICPA)
• Association of Certified Fraud Examiners (ACFE)
Education and Certifications
• Certified Public Accountant,Texas
• Master of Accounting, University of Texas at Arlington
• Bachelor of Electrical Engineering, University of South Florida
• Currently meets continuing professional education required by Texas State Board of Public Accountancy
Weaver and Tidwell,L.L.P
Proposal for Assessment of the Financial Services Department Efficiency&Effectiveness Page 36
Service Agreement for the Assessment of the Efficiency and Effectiveness of the Financial
Services Department-Request for Proposal Event No. 62
EXHIBIT C
MODIFIED SCOPE AND COST
Both parties agree to the following modifications to the Scope of Work specified in Section 3
of the Scope of Work:
• Modify question 1c in the section addressing "Organization and Support of Financial
Services" which asks "Is the Utility Billing Office (UBO) properly structured within the
organization and the right structure within UBO? Is there a case to be made for
including the Utility Billing Office in the Finance Department (or as a separate
department)." Strike the last sentence asking "Is there a case to be made for including
the Utility Billing Office in the Finance Department (or as a separate department).
• Modify questions 2d and 2e in the section addressing "Staffing Levels" to be limited to
assessing pay, classification and qualifications for only those key positions as designed
by the City, not to exceed eight individual positions.
Except for the two modifications above, Weaver and Tidwell, L.L.P. (aka Weaver) is expected to
provide answers to all questions specified in the Scope of Work portion of the Request for
Proposal.
Both parties agree to the following modifications to the Project Approach specified by
Weaver in their August 17, 2015 "Proposal for Assessment of the Efficiency and Effectiveness
of the Financial Services Department":
• Weaver is not expected to perform the "Knowledge Skills Assessment (KSA) as specified
in their approach to assessing staffing levels;
• Weaver is not expected to review all Departmental job descriptions and compare them
against individual employee qualifications;
• With regard to policies and procedures, Weaver will review City policies for
reasonableness and completeness;
Exhibit C Page 2 of 3
• With regard to developing recommendations to improve the internal control structure
of the divisions in Financial Services, or to answer the specific questions for each division
as outlined in Question 6 of the "Scope of Work", Weaver will provide, at a minimum,
high-level recommendations to improve the internal control structure. However, in-
depth root-cause and cost-benefit analysis will be condensed as budget allows. If
additional work is needed beyond the estimated hours to more fully evaluate control
gaps identified, or to perform root cause or cost-benefit analysis, the additional hours
required for this work must be requested and explicitly approved by the City.
Both parties agree that the "Updated Cost Proposal" included in this Exhibit C replaces the
initial cost proposal provided by Weaver in their proposal submitted August 17, 2017.
Exhibit C Page 3 of 3
•
Updated Cost Proposal
The updated cost proposal below reflects the scope revisions proposed by the City.The scope,as revised,limits the
Staffing Level evaluation to key positions,as defined by the City,eliminates the analysis of the placement of the
Utility Billing Office in the evaluation of the Organization and Support of FIN Services,and only allows for a review of
City policies for reasonableness and completeness.Additionally,the analysis of the Divisions will be limited to the
identification of controls and control gaps.
We will provide,at a minimum,high-level recommendations to improve the internal control structure of the Divisions.
However,an in-depth root-cause and cost-benefit analysis will be condensed,as budget allows. Further evaluation
of control gaps or performance of root-cause and cost-benefit analysis will require additional hours,of which must
be requested and approved by the City.
Estimated fees for our services ore provided below:
ESTIMATED ESTIMATED
HOURS PRICE
Organization and Support of FIN Services 100 $15,000
Staffing Levels -------- 100 $15,000
FIN Policies,Procedures,Process Flow and Charting 60 $9,000
FIN Performance Reporting 80 $12,000
CAFR Preparation 110 $16,500
Divisions
Utility Billing Office 100 $15,000
Purchasing 100 $15,000
Warehouse 100 $15,000
Accounts Payable 100 $15,000
Accounts Receivable 80 $12,000
Accounting 80 $12,000
Payroll 100 $15,000
Grants 100 $15,000
Cash Management 80 $12,000
Central Cashiering 100 $15,000
Subtotal 1,390 $208,500
Travel(not to exceed) $20,000
Total 1,390 $228,500