Request for Proposal (RFP) Independent Audit Services
Department of General Services 3401 CSM Drive San Mateo, California 94402 Telephone (650) 574-6508 FAX (650) 574-6574 Email districtbids@smccd.net
RFP # 86525
February 1, 2006
Independent Audit Services RFP # 86525
Table of Contents
Section I. Section II. Section III. Section IV. Section V. Section VI. Section VII. Section VIII. Appendix I Appendix II Appendix III
Introduction Profile of the District Financial Services Requirements of Accounting Firm Dates and Timeframes RFP Instructions and Requirements Accounting firm’s Specifications (Statement of Work) Accounting firm Profile & Background Pricing Proposal Accounting firm Business Information & Signatory Page References Non-Collusion Affidavit
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Independent Audit Services RFP # 86525
I. Introduction & District Information
The San Mateo County Community College District (SMCCCD) seeks qualified proposals for professional auditing services. The District is initiating a process for the selection of an independent certified public accounting firm to perform annual financial audits from June 30, 2006 to June 30, 2010. As part of this process, we are requesting written responses to this Request for Proposal (RFP). Approximately 42,000 people throughout San Mateo County attend one of the three Colleges of the San Mateo County Community College District. Although the boundaries of the San Mateo County Community College District are the same as those of the County, the District Board of Trustees is independent of County government. County voters elect the five-member Board of Trustees every four years, and that board governs one of the largest and most innovative community college systems in California.
II. Profile of San Mateo CCCD
College College of San Mateo Location 1700 West Hillsdale Boulevard San Mateo, CA 94402 (650) 574-6161 3300 College Drive San Bruno, CA 94066 (650) 738-4100 4200 Farm Hill Boulevard Redwood City, CA 94061 (650) 306-3100 FTES – Full Time Equivalent Students 8,942
Skyline College
6,970
Canada College
4,061
(Note: CSM includes KCSM TV & FM Radio Stations) Cumulative District Statistics Resident FTES Apprenticeship FTES Flex-time FTES Non Resident FTES Employee Groups Faculty (full-time) Faculty (part-time) Administrators Classified Staff Hourly (temps & students) 19,371 144 16 441 Number 414 652 54 326 513 SCT Banner System – Student, Financial, Human
Resources, Grants, General Ledger
Student/Administrative System:
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Independent Audit Services RFP # 86525 Legal Status of District: Bond Funds: Certificates of Participation Funds: Fiscally Accountability Approved by voters on November 2002--$207m and on November 2005--$468 m 2004 C.O.P. $30 m
General Fund Unrestricted for Fiscal 2004-05 Revenues $ 92,388,955 Expenditures $ 89,581,564 Fund Balance $ 9,927,386 General Fund budgeted expenditures for Fiscal Year 2005-06 $100,398,536 Fiscal Year 2004-05 A. Federal Programs ~ 19 programs, $9,032,000 B. State Programs ~ 35 programs, $9,051,000
SMCCCD Contacts
District Chancellor’s Office 3401 CSM Dr. San Mateo, CA 94402 Contact: James Keller Executive Vice Chancellor Kathy Blackwood Chief Financial Officer Raymond Chow Controller Rick Bennett Director of General Services
(650) 358-6790
(650) 358-6869
(650) 358-6742
(650) 358-6752
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Independent Audit Services RFP # 86525
III. Requirements of Accounting firm
SMCCCD will not consider proposals unless the Accounting firm submitting the proposal meets the following criteria: The Auditor must be a properly licensed certified public accounting firm. The Auditor must certify that they will perform the annual District audit in accordance with the highest standards of the accounting profession. The standards include the principles found in generally accepted auditing standards and accounting principles, guidelines issued in the California Community Colleges Budget and Accounting Manual, and standards for audit of governmental organizations, programs, activities, and functions as specified by the General Accounting Office (GAO). The Auditor must have a proven record of accomplishment and quality work. The Auditor must be able to submit the annual audit draft to the District by November 15, 2006 to the District.
IV. Dates and Timeframes (The District reserves the right to change or alter the times and activities):
Release of Request for Proposal (RFP) Deadline for vendors’ submission of proposals Audit Proposal Review Committee screens proposal Audit Proposal Review Committee finalists interview, if necessary Selection of Final Vendor, finalization of contract terms and pricing Approval of contract award by the District’s Board Feb 1, 2006 Feb. 22, 2006, 2 pm. Late Feb., 2006 1st week March, 2006 Feb/March 2006 March 23, 2006
V. RFP Instructions and Requirements
All independent auditors interested in submitting a response to this RFP must submit an email notification to districtbids@smccd.net indicating their intent to respond.
1. General. Auditors must comply with the provisions of these Instructions for
Completion/Submission of the RFP (“RFP Instructions and Requirements”) of the RFP. The failure of an Auditor to comply with the RFP Instructions will result in rejection of the Auditor’s RFP for non-responsiveness.
2. Auditor Qualifications. The District will accept only Proposals submitted by certified public
accounting firm with the relevant experience, qualifications and capacity to meet the needs of SMCCCD.
3. Submission of RFP.
a. Submission of Executed “Hard Copy” and Electronic Files of RFP. Auditors must present three bound copies of the Proposal, plus one unbound copy, in a sealed envelope to the Department of General Services, San Mateo County Community College District located at 3401 CSM Drive, San Mateo, CA 94402 by 2:00 pm on February 22, 2006. Indicate “RFP 86525 Enclosed” on the lower left corner of the envelope.
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b. Digital Submittals Accounting firms shall forward digital submittal to districtbids@smccd.net after 2 pm. on February 22, 2006. Do not submit the digital proposal prior to this date and time. c. Auditor’s Review of District Web Site. The District will post addenda, clarifications, RFP updates/revisions, or replies to specific questions on its website. Prior to submission of a RFP Proposal, all Auditors MUST review materials on this web site (http://www.smccd.net/purchasing) relating to this RFP and must incorporate into their respective RFP Proposals all requirements set forth in this RFP, as the same may be amended by postings on the District’s web site. The District deems all such matters as incorporated into all Vendors’ RFP Proposals. d. RFP Contents. Proposal consists of the following, all of which must be submitted concurrently and executed as required by these RFP Instructions or by the form of document: i. ii. iii. iv. v. Qualifications, section VII, including capabilities form, Pricing Proposal, section VIII, Signed copy of Company Information Page, Appendix I References, Appendix II Non-collusion affidavit, Appendix III.
4. Modifications to Submitted RFP. Auditor submitting a Proposal may modify its submitted
Proposal by written modification actually received by the District’s Department of General Services at or prior to the latest time/date for submission of Proposals. If the submitting firm makes modifications to the submitted RFP, which are not in writing, the District will exclude such modifications from the submitted Proposal.
5. Signature. A responsible officer or employee of the certified public accounting firm must sign
the proposal. An unsigned, but executed Proposal will be rejected for non-responsiveness.
6. Non-Collusion Affidavit. Each certified public accounting firm shall submit with its response a
duly completed and executed form of Non-Collusion Affidavit; the required form of NonCollusion Affidavit is included as Appendix III in this RFP. The failure of a certified public accounting firm to submit the completed and executed form of Non-Collusion Affidavit with its RFP will result in rejection of the Proposal for non-responsiveness.
7. Evidence of Responsibility. Upon the request of the District, a certified public accounting
firm whose Proposal is under consideration shall upon request promptly submit to the District satisfactory evidence showing the certified public accounting firm financial resources, organization, and plant facilities available for the performance of the contract. The failure of such a certified public accounting firm to submit requested materials in a timely manner will result in rejection of the Vendor’s Proposal for non-responsiveness.
8. Modifications to Proposal. The District reserves the right to modify this RFP or any portion
hereof by written Appendix issued to all auditors who have previously obtained this RFP from the District. All Appendix issued by the District pursuant to the foregoing shall be deemed incorporated into the Proposals.
9. Auditor Inquiries. Auditors may request clarifications or make other inquiries concerning this
RFP or the requirements hereof. Accounting firms should direct specific auditing questions regarding the technical portion of this RFP to blackwoodk@smccd.net with a cc to districtbids@smccd.net. Accounting firms should direct process questions regarding this RFP via email to: districtbids@smccd.net. The District will provide all questions and responses electronically to all participating auditors.
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Independent Audit Services RFP # 86525 10. Evaluation of RFP Proposals. A District evaluation committee will review and evaluate all
RFP Proposals on service and price merits. Evaluation criteria will include, but will not be limited to: the experience of the certified public accounting firm in community colleges, the experience of the responsible manager, the professional staff available locally to perform the service the firm’s reputation, the proposed cost of audit services, whether the firm is available during the timetable required, whether the firm has the resources to perform the work within the specified time period, as well as other criteria the District deems appropriate.
11. Award of Contract. Contract award will be to the responsible certified public accounting firm
whose proposal is deemed to be the best proposal and whose proposal best meets the needs of the District. The District will make written notification to unsuccessful certified public accounting firm following its award. Following the selection of the apparent successful certified public accounting firm, the District will enter into negotiations regarding provisions of the Agreement. If the District cannot negotiate a satisfactory contract it may, in its sole discretion, begin contract negotiations with another certified public accounting firm and terminate negotiations with the originally selected certified public accounting firm.
12. References. Provide a formal list of clients for whom the firm has provided auditing services in
the past 2 years. In addition, complete the attached form Appendix II listing a minimum of three community college district references. Indicate the scope of the audits performed for each of the referenced clients. Include the name of the client, address, telephone, email address and name of each client’s manager performing the role of controller as required in Appendix II. Finally, for each community college audit, provide a sample copy of a recent community college district audit.
13. Independent Contractor Status. Contractor hereby agrees that the District has hired the
respondent as an independent contractor and not as an agent or employee of the District. Further, contractor agrees that it has and retains the right to exercise control and supervision of the work and full control over the employment, direction, compensation and discharge of all persons assisting in the work. The contractor takes sole responsibility for wages, including withholding of income taxes, social security taxes and preparation and filing of IRS Form 1099 for each individual furnished to the District under this contract, workers' compensation premiums, compliance with OSHA and all employment-related regulations relating to its employees. In addition, the contractor it will be responsible for its own acts and those of its subordinates, employees and agents during the term of this contract. Contractor agrees that as an independent contractor it is solely responsible for all Federal, State and Local taxes. Finally, the contractor agrees that its officers and employees do not become employees of the District, nor are they entitled to any District employee benefits because of the execution of this contract.
14. Conflict of Interest. No officer, member or employee of the District and no member of its
governing bodies shall have any pecuniary interest, direct or indirect, in this contract or the proceeds thereof. No contractor or member of Contractor's family shall serve on a District board, committee, or hold any such position which either by rule, practice or action nominates, recommends, supervises Contractor's operation or authorizes funding to contractor.
15. Confidentiality. The District defines confidential information as all information disclosed to
contractor that relates to the District's past, present and future activities, as well as activities under this agreement. Contractor will hold all such information in trust and confidence. Upon cancellation or expiration of this Contract, Contractor will return to the District all written or descriptive materials that contain any such confidential information.
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Independent Audit Services RFP # 86525 16. Invoicing
A.
B.
C.
Contractor shall submit an invoice directly to: San Mateo CCCD Attn: Accounts Payable 3401 CSM Dr. San Mateo, CA 94402 Information on the invoice shall include: Purchase Order Number Invoice number Invoice date Payment due date Total invoice amount Payment The District shall issue a check for the total amount of the invoice within thirty (30) working days of the date of receipt of the invoice. Terms are 2%, net 10.
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VI. Scope & Statement of Work
A. Scope of the Audit Services Certified public accounting firms shall submit a proposal to provide the District with audit services for a period not to exceed five (5) years. Said services shall include an audit of all funds of the District, an audit of the San Mateo County Colleges Educational Housing Corporation and San Mateo County Community College District Financing Corporation (a non-profit, non-component unit and tax-exempt organization). The District uses the following funds and account groups: B. Funds Governmental Funds Unrestricted General Fund Restricted General Fund Capital Outlay Projects Fund Child Development Fund Bond Construction Fund Bond Interest Redemption Debt Service Fund Certified of Participation Fund Proprietary Funds Bookstore Fund Cafeteria Fund Self-Insurance Fund Fiduciary Funds Student Financial Aid Trust Fund Associated Students Trust Fund Student Representation Trust Fund Retirement Reserve Fund Other Trust Fund Accounting Groups General Fixed Assets General Long- Term Debt The accounting policies of the District are in conformity with general accepted accounting principles related to governmental units and California Community College Districts. The District recognizes revenues in the accounting period in which they become both measurable and available to finance expenditures of the current fiscal period. Expenditures are recognized in the accounting period in which the liability is incurred, except for interest on long-term debt, which is recognized when due. The District's fiscal year 2004-05 opinion was unqualified as to Fixed Assets. C. Technical Standards Accounting firms shall examine financial records, statements, and prepare audits in compliance with Generally accepted auditing standards;
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Current GASB requirements, as specified in Statements on Auditing Standards published by the American Institute of Certified Public Accountants, Office of Management and Budget Circular A-128 and A-133; The General Accounting Office’s (GAO) Standards for Audit of Governmental Organizations’ Programs, Activities, and Functions, and Standards specified in the California Community Colleges Contracted District Audit Manual.
The audit will also require knowledge of bond and debt compliance audit procedures and audit procedures to satisfy requirements of the State of California and the Internal Revenue Service for 501(c)(3) public entities. The accounting firm shall interpret all laws, regulations, and/or documents referred to herein as the most current laws, regulations, and/or documents relating to audits as specified herein. Furthermore, the Accounting firm shall automatically update its interpretation of all laws and regulations, as required. Conduct comprehensive financial and compliance audits for the District as required by the State of California including, but not limited to, the General, Enterprise, Child Development, Financial Aid, Internal Service, Capital Projects, and Debt Service funds, SMCC Educational Housing Corporation, and SMCCCD Financing Corporation. Attend such meetings with the Audit Proposal Review Committee as may be required. Report on any special areas of emphasis as requested by the Executive Vice Chancellor. Prepare and submit a copy of preliminary audit findings to the District, prior to conducting the exit conference for each of the audits. Conduct an exit conference with Executive Vice Chancellor or designed officers. Attend such meetings with the Board of Trustees and with District staff as may be required during the audit. Prepare written drafts relative to any audit findings and recommendations noted before concluding the field audit work, prior to the exit conferences. Prepare the Return of Organization Exempt from Income Tax (Form 990) and the California Exempt Organization Annual Information Return (Form 199) for the Auxiliary Services SMCCCD, SMCC Educational Housing Corporation, and SMCCCD Financing Corporation. D. Staffing The accounting firm shall assign professional staff as appropriate to the conduct of the audits. The District Controller shall coordinate the activities of the accounting firm and shall be the liaison between the accounting firm and the District. Supervising staff of the accounting firm shall be Certified Public Accountants currently licensed in the State of California. The accounting firm is responsible for the assignment of personnel and shall keep a current Project Organization Chart that indicates the specific personnel assigned to each aspect of the engagement. The firms shall file this document with the District Controller prior to commencement of the field audit work. E. Statements and Reports Reports of examination of financial statements must state the scope of the examination and confirm that the Accounting firm performed the audit in accordance with generally
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accepted auditing standards and must include an opinion as to whether the statements conform to generally accepted accounting principles. Reports of compliance must include a statement that the firm conducted the examination in accordance with applicable auditing standards. The audit report must state whether the examination disclosed instances of significant noncompliance with laws and regulations. The Accounting firm must submit findings of non-compliance or ineligible expenditures with sufficient detail for District administration to be able to understand the findings and implement corrective action. No later than 15 November each year, the accounting firm shall provide: 1. Twenty-five (25) bound copies of the District audit report to the Executive Vice Chancellor, 2. Twenty-five (25) bound copies of the Bond Financial and Performance audit report, 3. Twenty-five (25) bound copies of the KSCM TV and FM Station audit, including audit approval of the Corporation for Public Broadcasting Report, 4. Twenty-five (25) bound copies of SMCC Educational Housing Corporation audit report, 5. Twenty-five (25) bound copies of SMCCCD Financing Corporation audit report, Additionally, the Accounting firms shall submit one (1) electronic PDF copy of each of the audit reports required above to the District Controller. Furthermore, the accounting firm shall file copies of the audit reports with Federal and State agencies, as required. F. Management Letter A separate management letter shall be prepared and submitted for each audit. The management letter shall include a statement of findings and recommendations affecting the financial statements, internal controls, accounting, accounting systems, legality of actions, other instances of noncompliance with laws and regulations, and any other material information. Prior to the submission of the final draft of the management letters, the accounting firm shall meet with the appropriate management and staff of the District to discuss and review the findings. G. Working Papers The accounting firm shall provide the Executive Vice Chancellor with a copy of the recommended adjusting detail entries. The accounting firm shall retain working papers for a period of three (3) years, unless otherwise specified by the District. Such working papers shall be available for review and audit by District staff, representatives of the Federal and/or State governments and other individuals designated by the District. H. Resources Provided by the District Prior Years’ Records Copies of prior years’ financial statements, budgets and copies of prior years’ audit reports are available in the District Business Office. Vavrinek, Trine, Day & Co., LLP has performed the District’s financial audits since 1996. Staff Assistance The District shall assign appropriate staff to assist the accounting firm by providing required information and explanations. The accounting firm is to identify in its engagement letter the level of District staff assistance anticipated.
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Working Space The District shall provide the accounting firm with working space for the audit staff. The firm shall direct requests for space required to conduct the audit directly to the District Controller. The request shall include an estimate of the amount of space needed, special telecommunications needs, and the time the space will be required. District Closing The District financial records are typically final closed by August 1 of each year. The District requires the Accounting firm to conduct interim field audit work in May, with final fieldwork in September.
VII.
Accounting Firm Profile & Background
The person authorized to execute the contract on the part of the accounting firm must sign the Accounting Firm Information and Signatory Form located in Appendix I. Indicate the names of the persons authorized to make representations on the part of the accounting firm including their titles and telephone numbers in Appendix I. Further, please complete the following form below to describe your firm and its capabilities thoroughly.
1. Letter of Transmittal Interested firms should summarize their understanding of the work required by the District and explain why you believe your firm is best qualified to conduct the District’s audit engagement. a. Provide a general description of the firm’s approach to the audit. b. Provide an overview of the firm’s capabilities and pastexperience in auditing public 501(c)(3) colleges or universities, including California Community College Districts, Measure B Bonds, Certificates of Participations, Non-Profit Housing and Financing Corporations and in preparing the required Federal and State tax returns.
2. Capabilities Describe your company’s history and general capabilities to deliver high quality professional auditing services. Include at a minimum the following: a. Length of time your firm has been in existence. b. Total number of employees at your firm, c. List average age and years of experience your audit team has in auditing, d. List staff turnover rates, e. Size of your customer base, f. Annual Revenue, g. Geographical area. State whether the firm is local, regional, national, or international, h. Describe the firm’s knowledge and experience in audits involving GASB 34/35, financial aid, federal grants, contracts, and OMB Circular A-133 audits, i. Describe the range of activities performed that will performed by the office assigned SMCCCD (i.e., auditing, tax, accounting, management services).
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3. Staffing. Indicate the name and position of the person who will manage the audit services as specified in this RFP. a. Provide a brief resume of the manager’s background, training, and experience. b. Specifically discuss the manager’s experience in managing audits of the size and scope of the audit as specified herein. c. Discuss this office’s experience in auditing computerized systems, including the number and classifications of personnel skilled in computer related audit services. d. Indicate the names of the supervising accountants who the firm will assign to the audits. e. Provide a list of the levels, titles, licenses, and a copy of the resumes of other accountants who will perform services under the contract. f. Include a job description that describes the types of experience, background, and training required for each of the classifications proposed. 4. Conflict of Interest Disclose any personal or business relationship your firm has with the District, or with any of the Board Members or officers of the District. 5. Litigation Describe any litigation or professional disciplinary action that might adversely affect the firm’s ability to carry out a multiyear audit engagement. 6. Publications. Provide a listing of publications of the firm relative to higher education. 7. Sample Community College Audits. Provide current samples of audit reports and management letters prepared for those districts in the last two years. 8. Audit Timetable Include a proposed audit time schedule. 9. Additional Information If the accounting firm desires to present additional information, respondent should present such additional information in this section of the RFP. If there is no additional information present, indicate, “There is no additional information to present” below.
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VIII.
Pricing Proposal
Cost of Services State the maximum annual (not to exceed cost for the District audit, the San Mateo County Colleges Educational Housing Corporation audit, the San Mateo County Community College District Financing Corporation audit and Bond Performance/Financial audit for the first year of services and for each of the four (4) years thereafter. The Accounting firm shall base quotes as specified in this section upon the scope of the work specified herein. Identify separately the maximum annual cost of reimbursable expenses (travel, administrative, printing, etc.) for each of the audit years. The District understands that if the scope of the work is increased and/or decreased, the maximum costs as proposed will be adjusted upwards and/or downwards as appropriate. The supporting data for the maximum cost of the audit services shall include the number of staff assigned, by level, the estimated maximum number of hours assigned to each of the firm’s staff, and the hourly rate applicable to each level of staff assigned. Compensation Respondents should state: 1. Total audit hours detailed by partner, senior manager, manager, field supervisor and other staff. 2. Hourly rate detailed by partner, senior manager, manager, field supervisor and other staff. 3. The maximum “not to exceed” figure for each of the five years denoted in the chart below.
Independent Audit Services Pricing
Company Name: Proposal for fiscal year: The District Audit: District Financial Auxiliary Services KCSM TV & FM Bond Audit: Performance Financial Non-Profit Corporation Audit: Housing Corp. Financing Corp. Reimbursable Expenses 2005-06 2006-07 2007-08 2008-09 2009-10
Total
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Accounting Firm Information & Signatory Page
Company Name: ________________________________________________ Business Address: _______________________________________________ Telephone: _____________________ Fax: ________________________
Appendix I
Email: ______________________Web Site:________________________ Type of Firm: Corporation: _____ Proprietorship: _____ Partnership: ______ Joint Venture: ______ Other (please describe): ___________________________ Business License Number: _____________________________________ Number of years in business under firm name: _____________________ Full names of firm’s owners (> 10% ownership), officers and managing employees: Has the firm changed its name within the past 3 years? YES NO If yes, provide former name(s): ______________________________________________________ Have there been any recent (within the last three years) changes in control/ownership of the firm? YES NO If yes, explain. Have officers or principals of the firm ever had their business license suspended or revoked for any reason? YES NO If yes, please explain. Name and title of person completing responsible for submission of this RFP and the responses to this questionnaire: Name & Title: ______________________ Signature: ________________________ Date: ___________________________ Phone: _______________________ Email: _________________________
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Appendix II Reference Chart
References
Please provide a listing of Community Colleges who have previously used your auditing services (minimum 3 Colleges or Districts). In this listing, please provide the following information: a. Name of the College # 1: b. Web Address c. Contact name with phone, address, fax, and email. d. Dates and scope of audits performed.
a. b. c. d.
Name of the College # 2: Web Address Contact name with phone, address, fax, and email. Dates and scope of audits performed.
a. b. c. d.
Name of the College # 3: Web Address Contact name with phone, address, fax, and email. Dates and scope of audits performed.
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Appendix III NON-COLLUSION AFFIDAVIT
STATE OF CALIFORNIA COUNTY OF ______________________
I, __________________________________, being first duly sworn, deposes and says that I am (Typed or Printed Name) the ________________________ of _____________________________________, the party submitting (Title) (Vendor Name) the foregoing RFP Proposal (“the Vendor”). In connection with the foregoing RFP Proposal, the undersigned declares, states and certifies that:
1. The RFP Proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization or corporation. 2. The RFP Proposal is genuine and not collusive or sham. 3. The auditor has not directly or indirectly induced, or solicited any other auditor to put in a false or sham RFI, and has not directly or indirectly colluded, conspired, connived, or agreed with any other auditor or anyone else to put in sham RFI, or to refrain from submitting this RFP.
communication, or conference with anyone to fix the RFP price, or that of any other auditor, or to fix any overhead, profit or cost element of the RFP price or that of any other auditor, or to secure any advantage against the public body awarding the contract or of anyone interested in the proposed contract.
4. The auditor has not in any manner, directly or indirectly, sought by agreement,
5. All statements contained in the RFP Proposal and related documents are true. 6. The auditor has not, directly or indirectly, submitted the RFP price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any person, corporation, partnership, company, association, organization, RFP depository, or to any member or agent thereof to effectuate a collusive or sham RFP.
Executed this ____ day of ___________, 20__ at _________________________________. (City, County and State) I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. By: _________________________________ Title: ________________________________
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