PROFESSIONAL SERVICES TASK ORDER
TASK ORDER FY24-01 Citywide Risk Assessment
Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below.
CONTRACT NO. C21179340
OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE)
1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340 1B. TASK O RDER NO.: FY24-01
2. CONSULTANT NAME: Baker Tilly US, LLP
3. PERIOD OF PERFORMANCE: START: November 1, 2023 COMPLETION: June 30, 2024 4 TOTAL TASK ORDER PRICE: $35,000
BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT: TBD
5. BUDGET CODE_______________
COST CENTER________________
COST ELEMENT______________
WBS/CIP__________
PHASE__________
6. CITY PROJECT MANAGER’S NAME & DEPARTMENT:
Greg Tanaka, Chair of the City Council’s Policy and Services Committee
7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A)
MUST INCLUDE:
SERVICES AND DELIVERABLES TO BE PROVIDED
SCHEDULE OF PERFORMANCE
MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount)
8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A
I hereby authorize the performance of the
work described in this Task Order.
APPROVED:
CITY OF PALO ALTO
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
I hereby acknowledge receipt and acceptance of
this Task Order and warrant that I have
authority to sign on behalf of Consultant.
APPROVED:
COMPANY NAME: ______________________
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F Councilmember Tanaka
8/28/2023
Council member Greg Tanaka
Baker Tilly US, LLP
City Auditor
8/29/2023
Adriane D. McCoy
Attachment A
DESCRIPTION OF SCOPE OF SERVICES
Introduction
Attachment A, the Description of Scope of Services, contains the following four (4) elements:
Services and Deliverables To Be Provided
Schedule of Performance
Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables
Baker Tilly’s approach to conducting the Citywide Risk Assessment involves four (4) primary steps:
Step 1: Project Planning & Management
Step 2: Information Gathering
Step 3: Analysis
Step 4: Reporting
Step 1 – Project Planning & Management
This step includes those tasks necessary to solidify mutual understanding of the risk assessment scope, objectives, deliverables, and timing as well as ensuring that appropriate client and consultant resources are available and well-coordinated. Tasks include:
Finalize project design – The first project activities will be to:
o Identify communication channels and reporting relationships and responsibilities of project staff
o Review and confirm project timelines
o Review and confirm deliverables
Arrange logistics/administrative support – Matters to be addressed include schedules for interviews and data collection, contact persons in the departments, any other logistical matters, etc.
Conduct kick-off meeting with key project stakeholders
Step 2 – Information Gathering
This step involves gathering information, through various means, that will enable the project team to understand the various risks facing the City. Tasks include:
Request and review background information – the project team will develop an information request(s) in order to obtain various background information from the City. The request will include, but not be limited to:
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F o Strategic plan(s)
o Financial reports, including the most recent City Budget and Comprehensive Annual Financial Report (CAFR)
o Operational policies and procedures
o Municipal code
o Consulting reports
o Other relevant information and reports
Conduct interviews with City Council and management
o Risk assessment interviews, aimed at understanding City functions and identifying risks, will be conducted with City Council members as well as department and division
Conduct a risk assessment survey, if necessary
Conduct research into key risks in order to identify relevant information to assess risks
Overall, the project team will consider the risk categories including:
Strategic
Financial
Technology
Human Capital
Operational
Reputational
Economic
Compliance
Step 3 – Risk Analysis
In Step 3, the project team will develop a risk assessment consisting of auditable areas (also referred to as an audit or risk universe). The risk assessment will be prepared in consideration of the following risks types:
Environment, Strategy, and Governance – risks that have an organization wide impact and are not subject to a specific department or function (e.g., ethics) Significant Projects and Initiatives – risks associated with large projects (e.g., capital projects, technology implementation) or City initiatives (e.g., employee engagement initiative).
Function Specific Risks – risks associated with a specific department or function (e.g., procurement policy compliance)
The project team will assess the likelihood and impact of potential adverse events in order to quantitatively score each auditable area for purposes of prioritizing audit activities.
Step 4 – Reporting
In Step 4, the project team will finalize the draft Risk Matrix and prepare a draft Risk Assessment Report. The project team will ask for input (general completeness, risk scoring) on the Risk Matrix from key project stakeholders. Upon finalization of the Risk Matrix, the project team will finalize the Risk Assessment Report.
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F
Deliverables:
The following deliverables will be prepared as part of this engagement:
Risk Assessment Report
Presentation of Results to City Council (note that this may be combined with presentation of the Task 2 Annual Audit Plan)
Schedule of Performance
Anticipated Start Date: November 1, 2023
Anticipated End Date: June 30, 2024
Maximum Compensation Amount and Rate Schedule
The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $35,000. The not-to-exceed budget is based on an estimate of 200 total project hours, of which 20 are estimated to be completed by the City Auditor.
Reimbursable Expenses
We plan to complete all work remote including all interviews and documentation review. If at any point the City and Baker Tilly mutually determine it will be beneficial to perform a portion of the work on-site, we will submit an estimate of our reimbursable expenses for the City’s approval prior to traveling to Palo Alto.
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F
PROFESSIONAL SERVICES TASK ORDER
TASK ORDER FY24-02 Annual Audit Plan
Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below.
CONTRACT NO. C21179340
OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE)
1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340 1B. TASK O RDER NO.: FY24-02
2. CONSULTANT NAME: Baker Tilly US, LLP
3. PERIOD OF PERFORMANCE: START: November 1, 2023 COMPLETION: June 30, 2024 4 TOTAL TASK ORDER PRICE: $10,500
BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT: TBD
5. BUDGET CODE_______________
COST CENTER________________
COST ELEMENT______________
WBS/CIP__________
PHASE__________
6. CITY PROJECT MANAGER’S NAME & DEPARTMENT:
Greg Tanaka, Chair of the City Council’s Policy and Services Committee
7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A)
MUST INCLUDE:
SERVICES AND DELIVERABLES TO BE PROVIDED
SCHEDULE OF PERFORMANCE
MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount)
8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A
I hereby authorize the performance of the
work described in this Task Order.
APPROVED:
CITY OF PALO ALTO
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
I hereby acknowledge receipt and acceptance of
this Task Order and warrant that I have
authority to sign on behalf of Consultant.
APPROVED:
COMPANY NAME: ______________________
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F Council member Greg Tanaka
Councilmember Tanaka
8/28/2023
Baker Tilly US, LLP
8/29/2023
Adriane D. McCoy
City Auditor
Attachment A
DESCRIPTION OF SCOPE OF SERVICES
Introduction
Attachment A, the Description of Scope of Services, contains the following four (4) elements:
Services and Deliverables To Be Provided
Schedule of Performance
Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables
Baker Tilly’s approach to preparing the Annual Audit Plan involves two (2) primary steps:
Step 1: Consultation with City Council and Management Step 2: Reporting
Step 1 – Consultation with City Council and Management
The Risk Matrix and Risk Assessment Report will serve as the primary drivers of the Annual Audit Plan. The project team will initiate discussions over Risk Assessment results, potential audit activities, and audit coverage with City Council and Management. The purpose of those conversations will be to understand the priorities of City Council, and to develop a Draft Annual Audit Plan:
The Draft Annual Audit Plan will identify the following components for each audit activity:
Audit activity type – audit or consulting activity
Audit objectives and scope
Anticipated budget – both in terms of hours and budget Anticipated timeline
Step 2 – Reporting
The project team will present the Draft Annual Audit Plan to the City Council in order to obtain input on each potential audit activity. Upon refining the plan, the project team will finalize the Annual Audit Plan for presentation to City Council.
Deliverables
The following deliverable will be prepared as part of this engagement:
Annual Audit Plan
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F Schedule of Performance
Anticipated Start Date: November 1, 2023
Anticipated End Date: June 30, 2024
Maximum Compensation Amount and Rate Schedule
The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $10,500. The not-to-exceed budget is based on an estimate of 50 total project hours, of which 10 are estimated to be completed by the City Auditor.
Reimbursable Expenses
We plan to complete all work remote including all interviews and documentation review. If at any point the City and Baker Tilly mutually determine it will be beneficial to perform a portion of the work on-site, we will submit an estimate of our reimbursable expenses for the City’s approval prior to traveling to Palo Alto.
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F
PROFESSIONAL SERVICES TASK ORDER
TASK ORDER FY24-03 External Financial Auditor
Consultant shall perform the Services detailed below in accordance with all the terms and conditions of the Agreement referenced in Item 1A below. All exhibits referenced in Item 8 below are incorporated into this Task Order by this reference. The Consultant shall furnish the necessary facilities, professional, technical and supporting personnel required by this Task Order as described below.
CONTRACT NO. C21179340
OR PURCHASE ORDER REQUISITION NO. (AS APPLICABLE)
1A. MASTER AGREEMENT NO. (MAY BE SAME AS CONTRACT / P.O. NO. ABOVE): C21179340 1B. TASK O RDER NO.: FY24-03
2. CONSULTANT NAME: Baker Tilly US, LLP
3. PERIOD OF PERFORMANCE: START: July 1, 2023 COMPLETION: June 30, 2024 4 TOTAL TASK ORDER PRICE: $15,000
BALANCE REMAINING IN MASTER AGREEMENT/CONTRACT TBD
5. BUDGET CODE_______________
COST CENTER________________
COST ELEMENT______________
WBS/CIP__________
PHASE__________
6. CITY PROJECT MANAGER’S NAME & DEPARTMENT:
Greg Tanaka, Chair of the City Council’s Policy and Services Committee
7. DESCRIPTION OF SCOPE OF SERVICES (Attachment A)
MUST INCLUDE:
SERVICES AND DELIVERABLES TO BE PROVIDED
SCHEDULE OF PERFORMANCE
MAXIMUM COMPENSATION AMOUNT AND RATE SCHEDULE (as applicable) REIMBURSABLE EXPENSES, if any (with “not to exceed” amount)
8. ATTACHMENTS: A: Task Order Scope of Services B (if any): N/A
I hereby authorize the performance of the
work described in this Task Order.
APPROVED:
CITY OF PALO ALTO
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
I hereby acknowledge receipt and acceptance of
this Task Order and warrant that I have
authority to sign on behalf of Consultant.
APPROVED:
COMPANY NAME: ______________________
BY:____________________________________
Name __________________________________
Title___________________________________
Date ___________________________________
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F Councilmember Tanaka
Council member Greg Tanaka
8/28/2023
Baker Tilly US, LLP
8/29/2023
City Auditor
Adriane D. McCoy
Attachment A
DESCRIPTION OF SCOPE OF SERVICES
Introduction
Attachment A, the Description of Scope of Services, contains the following four (4) elements:
Services and Deliverables To Be Provided
Schedule of Performance
Maximum Compensation Amount and Rate Schedule (As Applicable) Reimbursable Expenses, if any (With “Not To Exceed” Amount) Services & Deliverables
Baker Tilly’s approach to the Office of the City Auditor’s role on the financial audit involves one (1) primary step in FY23:
Step 1: Assistance in Managing the Financial Audit
Step 1 – Role in Managing the Financial Audit
In FY23, the project team will assist in managing the financial audit and presenting financial audit results to the Finance Committee and to the City Council, in accordance with municipal code.
Deliverables:
Legislative documents will be prepared to present the financial statements and reports prepared by an external auditor to the Finance Committee
Schedule of Performance
Anticipated Start Date: July 1, 2023
Anticipated End Date: June 30, 2024
Maximum Compensation Amount and Rate Schedule
The not-to-exceed maximum, inclusive of reimbursable expenses (as summarized below) for this Task is $15,000. The not-to-exceed budget is based on an estimate of 40 total project hours, of which 40 are estimated to be completed by the City Auditor.
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F Reimbursable Expenses
Baker Tilly anticipates planning one on-site fieldwork week. Given this possibility, Baker Tilly could incur reimbursable expenses for this Task.
The not-to-exceed maximum for reimbursable expenses for this Task is $3,250.
The following summarizes anticipated reimbursable expenses:
Round-trip Airfare – $1,000
Ground Transportation (car rental or Uber/taxi) - $400 Hotel accommodation - $1,500 (4 nights)
Food and incidentals – $350
DocuSign Envelope ID: 64EC69FD-9F22-4E31-A074-737EA405F27F