2021-0113-FIN Internal Audit Services

Agency: Santa Fe County
State: New Mexico
Level of Government: State & Local
Category:
  • R - Professional, Administrative and Management Support Services
Opps ID: NBD14263126323331094
Posted Date: Dec 29, 2020
Due Date: Jan 18, 2021
Source: Members Only
RFP 2021-0113-FIN Internal Audit Services
RFP 2021-0113-FIN Internal Audit Services

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RFP No. 2021-0113-FIN/CW
SANTA FE COUNTY
FINANCE DIVISION
REQUEST FOR PROPOSALS
INTERNAL AUDIT SERVICES
RFP NO. 2021-0113-FIN/CW
NM Commodity Code: 91804 and 94620
January 2021
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RFP No. 2021-0113-FIN/CW
TABLE OF CONTENTS
PAGE NO.
I. ADVERTISEMENT.............................................................................................................4
II. CONTRACT INTRODUCTION & OBJECTIVES ............................................................5
A. PURPOSE OF THIS REQUEST FOR PROPOSAL .....................................................5
B. SCOPE OF WORK ........................................................................................................5
C. QUALIFICATIONS ......................................................................................................6
D. INSURANCE REQUIREMENTS.................................................................................6
E. PROCUREMENT MANAGER .....................................................................................7
F. DEFINITION OF TERMINOLOGY .............................................................................8
III. CONDITIONS GOVERNING THE PROCUREMENT...................................................10
A. SEQUENCE OF EVENTS .........................................................................................10
B. EXPLANATION OF EVENTS ..................................................................................11
C. GENERAL REQUIREMENTS ...................................................................................14
1. Acceptance of Conditions Governing the Procurement.......................................14
2. Incurring Cost ......................................................................................................14
3. Prime Contractor Responsibility .........................................................................14
4. Subcontractors .....................................................................................................14
5. Amended Proposals .............................................................................................14
6. Offerors Rights to Withdraw Proposal...............................................................14
7. Proposal Firm Offer.............................................................................................15
8. Disclosure of Proposed Contents ........................................................................15
9. No Obligation ......................................................................................................15
10. Termination .........................................................................................................15
11. Sufficient Appropriation .....................................................................................15
12. Legal Review.......................................................................................................16
13. Governing Law ....................................................................................................16
14. Basis for Proposal ................................................................................................16
15. Contract Terms and Conditions ...........................................................................16
16. Contract Deviations .............................................................................................16
17. Offeror Qualifications .........................................................................................16
18. Right to Waive Minor Irregularities ....................................................................17
19. Change in Contractor Representatives ................................................................17
20. Notice ..................................................................................................................17
21. County Rights......................................................................................................17
22. Right to Publish ...................................................................................................17
23. Ownership of Proposals .....................................................................................17
24. Electronic Mail Address Required ......................................................................17
25. Preferences ..........................................................................................................18
26. Double-Sided Documents ...................................................................................19
27. Living Wage ........................................................................................................19
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RFP No. 2021-0113-FIN/CW
IV. RESPONSE FORMAT AND ORGANIZATION ............................................................20
A. NUMBER OF RESPONSES .......................................................................................20
B. NUMBER OF COPIES ................................................................................................20
C. PROPOSAL FORMAT................................................................................................20
1. Proposal Organization.............................................................................................20
2. Letter of Transmittal ...............................................................................................21
V. EVALUATION CRITERIA and SPECIFICATIONS ......................................................22
A. TIMEFRAME ..............................................................................................................22
B. EVALUATION CRITERIA
1. Introduction .....................................................................................................22
2. Professional Competence and Specialized Experience ...................................22
3. Evidence of Understanding the Scope of Work ..............................................23
4. Past Performance ............................................................................................23
C. COST PROPOSAL .....................................................................................................24
VI. EVALUATION .................................................................................................................25
A. EVALUATION SCORING ........................................................................................25
B. EVALUATION PROCESS..........................................................................................25
APPENDICES
A. Acknowledgement of Receipt Form ............................................................................27
B. Campaign Contribution Disclosure Form ....................................................................28
C. Preference Certificates .................................................................................................31
D. Sample Santa Fe County Agreement ..........................................................................32
E. Offeror’s Attachments ................................................................................................42
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RFP No. 2021-0113-FIN/CW
I. ADVERTISEMENT
Internal Audit Services
RFP NO. 2021-0113-FIN/CW
NM Commodity Code: 91804 and 94620
The Santa Fe County Finance Division is requesting proposals from independent certified public
accountant Offerors to perform internal audit services on a project basis within the various
departments/divisions at the County level.
A completed proposal shall be submitted in a sealed container indicating the proposal title and
number along with the Offeror’s name and address clearly marked on the outside of the container.
All proposals must be received by 2:00 pm on January 18, 2021, at the Santa Fe County
Purchasing Division, 102 Grant Avenue, P.O. Box 276, Santa Fe, NM 87504-0276. To combat the
spread of the recent COVID-19 illness, the submission of Proposals will also be accepted
electronically utilizing DropBox. Please utilize the link to upload your proposal submission.
https://www.dropbox.com/request/1oOumP6cEst1nsgGMwAV
By submitting a proposal for the requested services each Offeror is certifying that it is qualified and
its proposal complies with the requirements stated within the Request for Proposals. All proposals
submitted shall be valid for ninety (90) days subject to action by the County. Santa Fe County
reserves the right to reject any and all proposals in part or in whole
A Pre-Proposal Conference will be held on January 5th at 11:00 am. Attendance at the pre-
proposal conference is not mandatory but strongly recommended. A toll-free teleconference line is
available at 1-877-820-7831; the guest passcode is 445752.
EQUAL OPPORTUNITY EMPLOYMENT: All qualified Offerors will receive consideration of
contract(s) without regard to race, color, religion, sex, national origin, ancestry, age, physical and
mental handicap, serious mental condition, disability, spousal affiliation, sexual orientation or gender
identity.
Request for proposals will be available by contacting Coralie G. Whitmore, Procurement
Specialist, Senior, 102 Grant Avenue, P.O. Box 276, Santa Fe, New Mexico 87504-0276, by
telephone at (505) 986-6337 or by email at cgwhitmore@santafecountynm.gov or on the website
at: http://www.santafecountynm.gov/asd/current_bid_solicitations.
PROPOSALS RECEIVED AFTER THE DATE AND TIME SPECIFIED ABOVE WILL NOT
BE CONSIDERED AND WILL BE REJECTED BY SANTA FE COUNTY.
Santa Fe County Purchasing Division--Advertised: December 27th and 28th, 2020.
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RFP No. 2021-0113-FIN/CW
II. CONTRACT INTRODUCTION & OBJECTIVES
A. PURPOSE OF THIS REQUEST FOR PROPOSAL
Santa Fe County wishes to solicit proposals from qualified CPA firms to provide internal audit
services on a project basis within the various departments/divisions at the County.
B. SCOPE OF WORK
All qualified service providers are invited to submit a proposal. Responders must demonstrate a
capacity to meet the County’s requirements as stated in the RFP No. 2021-0113-FIN/CW.
Offerors are to read and understand the terms, conditions and requirements of the Request for
Proposal.
Overview
The selected firm shall provide services in conformance with AICPA Consulting Standards and/or
the IIA Standards of Internal Auditing. The services performed will include but is not limited to
operational, financial and internal control reviews of systems, functions and programs as directed
by the Santa Fe County Audit Committee and Board of County Commissioners. It is anticipated
that each year an audit plan will be developed addressing any concerns from County Management,
the Audit Committee, or the annual financial audit and be revisited if situations develop in any
year where audit projects may be assigned outside the annual audit calendar.
1. Objectives:
a) To determine whether internal controls over financial and operating data are adequate and
effective to provide reasonable assurance that the financial and operating information is
accurate and reliable.
b) To determine whether internal controls over compliance with laws, regulations, contracts,
grants, policies and procedures are adequate and effective to provide reasonable assurance
that compliance actually occurs.
c) To determine whether internal controls over assets are adequate to provide reasonable
assurance that assets exist and are safeguarded against loss or theft.
d) To determine whether controls over County operations provide reasonable assurance that
County resources are used effectively and efficiently.
e) To determine whether controls over operations and programs are adequate and effective to
provide reasonable assurance that the operations and programs are being carried out as
planned and that the results of operations are consistent with goals and objectives.
2. Deliverables:
a) Perform operational reviews of key business processes to identify deficiencies and
weaknesses and make appropriate recommendations for improvements.
b) Perform compliance reviews to determine if established policies and procedures are being
adhered to for purposes of maintaining an effective internal control environment.
c) Provide recommendations based upon existing “best practice” in instances where policies,
procedures and processes do not exist and/or could be improved upon.
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