2006 PAC Audit Roster RFP Draft 071206

Suzakaj

Informations

• Publié par: Unyu
• Nombre de lectures: 43
• Langue: English

Extrait

ATTACHMENT A ONCALL ROSTER FOR PERFORMANCE AUDITS SCOPE OF WORK

The Sound Transit Board has established the Performance Audit Committee to conduct independent performance audits of a variety of aspects of Sound Transit’s work.This is a Request for Proposals from qualified consultants to submit their Proposals to perform performance audits in selected areas for the Performance Audit Committee.Sound Transit does not guarantee selection of any firm for a specific area of work and consultants may submit Proposals for multiple areas of work, based on Proposals.Selected consultants will be included on a roster to perform oncall performance audits on a task order basis.Sound Transit may select one or more consultants, with or without interviews in accordance with the selection criteria noted in this Request for Proposals.For purposes of this solicitation, “consultant” means any combination of individuals, firms, joint ventures, or primesubconsultants qualified to perform the requested scope of work.Each individual, firm, or consultant included as a principal in the proposal must have prior experience performing public sector audits. Sound Transit’s goal for the outcome of these performance audits is to determine if a particular area of work is in general compliance with Sound Move, Sound Transit policies and procedures, and other requirements as applicable to the area being audited.The Auditor will evaluate the area of work and report on its effectiveness and efficiency along with the level of compliance to applicable requirements of Sound Transit and other governing regulations.In order to achieve these goals, the Auditor will provide to Sound Transit an objective performance audit in accordance with Government Auditing Standards (Yellow Book), current revision as issued by the U.S. Comptroller General.While the Yellow Book will be used as a framework for the Audit Plan, the Auditor will be requested to use judgment, experience and other available references to establish the basis for conducting these audits.Specifically, the Auditor shall reference Federal Transit Administration (FTA), Code of Federal Regulations (CFR) standards federal, state, or municipal regulations as necessary to further define a benchmark for expectations which result in a finding or strong recommendation.Each performance audit will identify those activities and programs that should be strengthened, those that should be abandoned, and those that need to be redirected or other alternatives that need to be explored. The Auditor is expected to provide accurate, reliable, evidencebased assessments, findings, and recommendations, ensuring all audit criteria or performance standards, findings and conclusions, and advice for improvement are well founded and supported. The Auditor will welcome and respond to any comments, suggestions or queries from the Sound Transit Performance Audit Committee.The Auditor will, wherever possible, offer sound, practical suggestions for improving performance.Performance audits will be planned so the audit will be performed in an effective and efficient manner. An Outline Audit Plan will be prepared for the audit describing: the desired Outcomes of the Performance Audit Committee will be addressed How during the Audit process;  Ascope that clearly focuses the extent, timing and nature of the audit;  Howthe Auditor will develop and present reasonable, attainable, and relevant criteria as a basis for developing observations; and

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audit program setting out the nature, timing and extent of planned audit procedures. An Planned procedures will address all objectives and significant risks that have been identified.  Achecklist of key topics to be examined and sample interview questions. The Auditor will monitor the progress of audits to ensure objectives are being achieved efficiently and effectively. The audit plan and methodologies will be revised as necessary during the course of the audit.The Auditor will communicate openly throughout an audit with management responsible for the matters under review by:  Meetingwith management at the start of an audit to establish a communication plan for the audit, to discuss the terms of the audit assignment, including the objective and scope of work, and to discuss the audit plan including the audit criteria or performance standards to be used; with management during the audit to discuss observations, analysis and interim Meeting conclusions, and invite comments and explanations;  Endeavoringto resolve, at an early stage (before drafting the audit report) differences of opinion of facts, interpretation of facts or conclusions to be drawn from them; and  Meetingwith management to discuss the draft report, including observations, analysis, conclusions, recommendations and the audit opinion. A report will be prepared, based on the audit information obtained, and presented to members of the Performance Audit Committee, setting out the facts, findings, and conclusions of each objective and the audit opinion.The report will:  Includethe objectives, scope, and methodologies used;  Communicatethe audit results, including findings, conclusions and recommendations, as appropriate;  Includea reference to compliance with generally accepted government auditing standards and other reference documents used as the basis for a finding, recommendation, or observation; the views of responsible officials and if applicable, the nature of any privileged Include and confidential information omitted; well documented, easy to understand and free from vagueness or ambiguity. Be Management will be provided with an opportunity to include their responses within the report. A complete record of the Auditor’s work will be retained.The audit record will show the following:  Informationcollected used for its collection Procedures  Sourceof the information  Consultantswho carried out the work of the work Date issue and detailed audit objective to which the information relates The The Auditor will identify the information on which performance measurement was based including recommendations for benchmarks and the process for defining and monitoring indicators. Where information is available on inputs, processes and outputs, the Auditor will

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make calculations on the organization’s economy, efficiency and effectiveness.Comparisons of actual performance will be made against the targets set or against other similar organizations. Trends in performance over a period of time will be identified. The Auditor will assess the following when evaluating the goals and objectives of the Audit to determine if:  Policyobjectives and performance targets are defined in quantifiable terms against which actual performance can be measured. terms consist of one or more measures, which reflect the successful achievement Those of what is being undertaken.  Measuresreflect industry standards and best practices. about actual performance is reasonably available or capable of being Information obtained to enable it to be measured. performance measures are adequate for the scope of Sound Transit’s operations. The Supervision and Monitoring of Audit Teams Audits must be carried out in a timely, comprehensive, and costeffective way.The Auditor is responsible for the daytoday management of his/her audit team and the performance audit work, including the supervision and training of staff.Regular progress meetings will be held between the audit team and the Performance Audit Committee or its designee(s). Full examinations will not be allowed to become openended and will be timebound, aiming to complete the fieldwork within the agreed timeframe.Prior to auditing peripheral areas that are not included in the negotiated Scope of Work, the Auditor will submit recommendations to the Performance Audit Committee who will determine whether or not the recommended area will be audited. Itis anticipated that a typical performance audit would require 30 to 60 days of work and the final report could be delivered 90 to 120 days after NTP. Each audit will initiate with an audit entrance meeting notice that should define the scope and objectives of the audit.When the likely outcome of the performance audit becomes clear, the audit team will prepare draft of the report for submission to the Performance Audit Committee and brief the committee on the content and meaning of this draft.This draft will show the proposed structure and content of the report and summarize the main issues that were addressed, together with the provisional conclusions. When approved by the Performance Audit Committee, the draft will form the basis for drafting of the detailed final report. Specific areas to be audited are included as tasks in the detailed Scope of Work.

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ATTACHMENT B DETAILED SCOPE OF WORK Consultants may submit Proposals to perform performance audits in any or all of the following areas; A. Financial B. TransitOperations C. EngineeringDesign & Construction D. TransitPlanning Audits will be performed at the direction and on a schedule as determined by the Performance Audit Committee.Audits will be assigned by task order based on a specific scope of work statement issued by the PAC.The individual audit work plan including budget, and schedule will be negotiated individually for each task order. Currently, audits are proposed for the following subject areas;  Planning& Scoping for I90 East Link & Economy of North Sounder Commuter Rail Operations Efficiency and Development of Third Party Agreements Structure DELIVERABLES Each audit will include the following essential elements; 1. AuditPlan 2. AuditChecklist 3. AuditSchedule including Milestones for completion of key tasks 4. Regularlyscheduled progress reports to include written information and meetings with the Performance Audit Committee – estimated at 3 to 4 meetings per audit 5. DraftReport to include findings and recommendations, prepared in accordance with the guidelines of the GAO Yellow Book. 6. Reportingon conformance to applicable FTA, federal, state, or other guidelines. 7. Reportingon efficiency, economy, and effectiveness of Sound Transit practices relative to other transit agencies that may be used as benchmarks for performance or as references to industry standards. 8. FinalReport to be issued after draft presentation to the Committee and subsequent acceptance of such draft report, generally within 120 days after noticetoproceed.

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ATTACHMENT B PRICING FORM

This section shall be completed and submitted as part of the Quote. Please refer to the Evaluation Criteria and Submittal Requirements section for more details. An hourly rate and extended price, as applicable, shall be offered for each labor category.Each hourly rate shall be multiplied by the estimated quantity of hours to calculate an extended price for each line item. Sound Transit reserves the right to correct obvious mathematical errors and to correct the extended price and total price accordingly. In case of discrepancy between the unit and extended prices, unit prices shall govern. Hourly rates will remain in effect for the term of the Contract. Itemize direct hourly rates, overhead, and fee.Include projected travel expenses separately under Other Direct Costs.Any Other Direct Costs (ODCs) will be paid at cost and must be approved by Sound Transit prior to incurring such costs. Prices shall remain firm and fixed for the duration of the contract. Failure to complete Position Title, Estimated Hours, Hourly Rate, Extended Price, and Total Quote Price for key applicable personnel categories may render the Quote nonresponsive. The hours specified herein are estimates for evaluation purposes only.Actual hours required to complete the tasks in this Contract may vary.If Sound Transit’s actual requirements do not result in the quantities listed as estimated, that fact shall not constitute the basis for an equitable price adjustment.Sound Transit reserves the right to increase or decrease the number of hours at the unit prices indicated.Award of a Contract does not provide a guarantee of any work. Having carefully examined the Contract Documents for these services as prepared by Sound Transit, as well as the availability of labor, we propose to provide the services identified in the Contract Documents for the hourly rates set forth below. By signing and submitting a Quote, Consultant agrees to all of Sound Transit’s standard terms and conditions as specified in this Quotation. 1. OVERALLSOUND MOVE AND GOALS/PERFORMANCE MEASURES Sub ect:Effectiveness and EfficiencEstimated FullExtended Price Position Title:Hours Burdened Hourly Rate* {insert item}{#} $$ {insert item}{#} $$ {insert item}{#} $$ QUOTE PRICE for Item #1$

Audit of Regional Express Operations Issued October 15, 2003

Attachment B 1

RFQ No. RTA\{Procurement No.}

2. PERFORMANCEOF DEPARTMENT’S SCOPE Sub ects:Estimated FullExtended Price Position Title:Hours Burdened Hourly Rate* {insert item}{#} $$ {insert item}{#} $$ {insert item}{#} $$ QUOTE PRICE for Item #2$ 3. ADMINISTRATIONAND MANAGEMENT Sub ect:Monitorin Imlementation EstimatedFull ExtendedPrice Position Title:Hours Burdened Hourly Rate* {insert item}{#} $$ {insert item}{#} $$ {insert item}{#} $$ QUOTE PRICE for Item #3$ 4. Sub ects:Estimated FullExtended Price Position Title:Hours Burdened Hourly Rate* {insert item}{#} $$ {insert item}{#} $$ {insert item}{#} $$ QUOTE PRICE for Item #4$ TOTAL QUOTE PRICE Items 14$ * Must include direct labor cost, overhead, profit and travel expenses.

Audit of Regional Express Operations Issued October 15, 2003

Attachment B 2

RFQ No. RTA\{Procurement No.}

SIGNED this _________ day of ________________________ , 20________. Firm: Address: City/Zip: Telephone: FaxNo.: Federal Tax ID Number:State of Incorporation: By:  SignaturePrint Name Title:

Audit of Regional Express Operations Issued October 15, 2003

Attachment B 3

RFQ No. RTA\{Procurement No.}