ST. JOHNS RIVER STATE COLLEGE FOUNDATION, INC. 5001 ST. JOHNS AVENUE PALATKA, FLORIDA 32177 (386) 312-4270 REQUEST FOR PROPOSAL THE ST. JOHNS RIVER STATE COLLEGE FOUNDATION, INC. IS ACCEPTING SEALED PROPOSALS FOR THE FOLLOWING: Audit and Tax Services RFP Number: RFP-SJR-FNDN-10-2014 DATE: 10/16/2014 SPECIFICATIONS DOCUMENT INTRODUCTION The St. Johns River State College Foundation, Inc. (the Foundation) was founded in 1970. The Foundation is a not-for-profit 501(c)(3) corporation, incorporated under the provisions of Chapter 617, Florida Statutes, and approved by the Department of State. A direct-support organization as defined by Florida Statutes 1004.70, its purpose is to operate exclusively to receive, hold, invest and administer property and to make expenditures to, or for the benefit of, St. Johns River State College (the College). In conjunction with this purpose, the Foundation supports and fosters the operations, programs and welfare of the College by furnishing financial, advisory and other support directed to aiding the College in serving its students, faculty and administration, and the best interests and welfare of the community of which it is a part. The Foundation is an organization which the District Board of Trustees of St. Johns River State College, after review, has certified to be operating in a manner consistent with the goals of the College and in the best interests of the state. The Foundation has sole responsibility for the acts, debts, liabilities and obligations of the organization. The Foundation Board of Directors manages and conducts the property, business and affairs of the Foundation. The Directors are leaders from Clay, Putnam and St. Johns counties who represent the communities and volunteer their time to promote the vision, mission and goals of the Foundation. 1
INVITATION FOR PROPOSAL The St. Johns River State College Foundation requests submission of proposals from independent certified public accounting firms to provide auditing and tax service to the Foundation for the fiscal years ending March 31, 2015, 2016, and 2017. Respondents who wish to respond to this RFP must provide a sealed submission, identified on the outside with the name of the responding accounting firm and RFP-SJR-FNDN-10-2014, (3) copies of their responses to the Foundation. Responses to this RFP will be accepted until 10:00 a.m. on Thursday, November 6, 2014 by delivery in person or mail addressed to: St. Johns River State College Attention: Julianne Young Purchasing Coordinator 5001 St. Johns Avenue Palatka, FL 32177 It is the sole responsibility of the respondent to deliver his/her proposal to the above address on or before the closing hour and date shown above. Faxed, e-mailed, conditional, and submissions sent after the deadline above will not be considered. Failure of the US mail or a delivery service to deliver a response by the above deadline for receipt shall not constitute an extension to the deadline. All materials received in response to this RFP become the property of the Foundation/College upon receipt in the College Business Office. Questions regarding this RFP may be directed to Mrs. Julianne Young by calling 386-312-4156 or via email julianneyoung@sjrstate.edu Information and notices regarding this RFP will be posted on the web page dedicated to the RFP at http://sjrstate.edu/102014 and respondents are required to consult the web page during the entire RFP process. Results will not be provided by telephone. Advertisements in The Palatka Daily News, The Clay Today, The St. Augustine Record will run at least 1 day in each county during the week of October 6-10, 2014 to announce the RFP process. The Specifications Document for RFP-SJR-FNDN-10-2014 will be available to interested parties on October 16, 2014 and may be downloaded from the web page at http://sjrstate.edu/102014, or by contacting Mrs. Julianne Young at 386-312-4156 or via email at JulianneYoung@sjrstate.edu. Responses received by the above deadline will be opened publicly on Thursday, November 6, 2014, at 10:30 a.m. in Valhalla Hall located in the Administration Building on the Palatka campus. All respondents and the general public are invited and encouraged to attend. A 15 minute allotment of time will be given to the respondents in attendance. 2
QUALIFICATIONS Eligible accounting firms shall meet the following specifications: The firm shall have no obligations or interests that conflict with the best interests of St. Johns River State College. Shall have successfully complied and be currently in conformity with the membership requirements of the Private Companies Practice Section of the American Institute of Certified Public Accountants quality control program (or comparable quality control program) PROOF OF INSURABILITY Firm shall obtain, maintain, and pay for insurance in the categories listed in the insurance schedule during the term of any contract or agreement resulting from this RFP. The insurance coverage in each category shall meet or exceed the minimum limits set forth in the insurance schedule. The insurance shall cover the Firm s entire operations under agreement with the College and shall be effective throughout the effective period of this agreement or any subsequent agreement associated with this bid. It is not the intent of this schedule to limit the types of insurance otherwise required by this RFP or that the Firm may desire to obtain. Proof of insurance at the required levels must be submitted with the RFP response. At the time of RFP award, if awarded, and prior to contract execution, the successful firm shall submit a certificate of insurance at the required levels with St. Johns River State College Foundation included as additional named insured on each policy. Minimum Insurance Requirements Schedule: Workers Compensation: WC Statutory Limits Comprehensive General Liability Insurance: $1,000,000 Each Occurrence $ 100,000 Fire Damage (Any One Fire) $ 5,000 Medical Payments (Any One Person) $1,000,000 Personal and Adv Injury $2,000,000 General Aggregate $2,000,000 Products-Comp/OP Aggregate Automobile Liability for all owned, hired & non-owned autos: $1,000,000 Combined Single Limit (Each Accident) Excess Liability or Umbrella: $1,000,000 3
EVALUATION PROCEDURES The College has established a review committee that will evaluate and select the respondent to be recommended to the Foundation Board for award of a contract to provide investment services from the responses to criteria outlined in the RFP. Consideration will be given to, but not limited to, professional registrations, years of experience, experience with State of Florida Higher Education Facilities and other experience/qualifications that may be relevant to the proposed project. The review will consist of a point formula to score proposals. The evaluators can assign a maximum of one hundred (100) points for each respondent s written response. Based on the average calculated score, the respondent will be ranked highest to lowest with a 100 average score being the highest. Evaluation Criteria: I. Professional Qualifications (0 to 35 Points) Provide the following information as it relates to the proposed project team s qualifications and the project team s staffing: A. Firm name and address B. Name, title, email address, telephone/fax number of Principal to contact C. Address of office to perform work D. Brief resume of key persons, specialists and individual consultants anticipated for this project: 1. Name/title 2. Project assignment 3. Name of firm with which associated 4. Years experience with current firm and years experience with other firms 5. Years experience of key personnel with non profit auditing and tax services 6. Education (degree(s), specialization) 7. Active registrations (year first registered, discipline) 8. Indicate how the quality of staff over the term of the contract would be assured 9. Other experience and qualifications that may be relevant to the project E. Describe the Proposer s range of activities performed by the local office such as auditing and review, accounting and compilation, payroll and tax, and/or management services F. Provide the name of the external quality control review organization of which the Proposer is a member and the Proposer s length of membership; also, state the review organization s planned frequency of peer reviews G. Submit a copy of the report on its most recent external quality control review, with a statement whether that quality control review included a review of specific nonprofit/government engagements 4
II. Personnel Capabilities/References (0-5 Points) A. Provide evidence of the firm s credentials from the State s Department of State and a listing of the firm s personnel to respond to and fulfill the needs of St. Johns River State College Foundation for the contracted services on an annual and/or as needed basis throughout the term of the contract. B. For the firm s office (staff) that will be assigned responsibility for the audit and tax services, list at least three (3) engagements performed in the last five (5) years that are similar to the engagement described in this RFP. These engagements should be ranked on the basis of total staff hours. Indicate the scope of work, date, engagement partners, total hours and the name and telephone number of the principal client contact. III. Methodology (0 40 Points) Provide a description outlining the services to be performed. Such description should at a minimum include: A. Proposer s understanding of the service(s) to be provided; B. Provide a definition of the term generally accepted government auditing standards with clear distinctions between these standards and generally accepted auditing standards for nongovernmental engagements ; C. Proposed software applications to be utilized in the audit preparations; D. Proposer s approach to an annual financial audit, including methodology, nature, timing and extent of audit procedures to be performed E. Proposer shall estimate budgeted hours, time lines and sequence for audit procedures; F. Include a proposed schedule for the audit containing the following milestones (a) interim work plan (b) detailed audit plan (c) fieldwork (d) draft reports; G. Include in a work plan how the firm will achieve audit efficiency through risk based auditing and through the application of technology to the engagement; discuss process by which the firm will communicate issues with College management and audit entities; H. Describe the level of assistance that will be expected from the College or the Collegiate School entity; I. Describe how Proposer meets the independence standards of Government Auditing Standards, United States General Accounting Office (GAO); including, but not limited to, direct and indirect financial interest, and the relationship of the proposed audit team to employees of the audit entity and any of the St. Johns River State College District Board of Trustees; J. Project plan and any other pertinent information. IV. Price Proposal (0 15 Points) Price proposal submitted should contain all pricing information relative to performing the required services as described in this RFP. The total all inclusive maximum price is to contain all direct and indirect costs including all out of pocket expenses. Submitted price proposal should include: A. A not to exceed cost of services being offered for the audits and tax services of each fiscal year; 5
B. Number of hours estimated to complete the required services; hours should be broken down by partner, manager, supervisor, senior staff accountants, etc.; furnish standard billing rates for each of these classes; C. Estimate of any other costs such as mileage, travel, clerical and/or secretarial time, etc; D. College DSO entities will be billed actual hours if less than quoted in the not to exceed price proposal Submit pricing as follows: Auditing and tax service for the fiscal years ending March 31, 2015, 2016, and 2017. NOTE: Compensation will not be the sole or predominant factor used to evaluate and award the proposal. V. Required Documentation/Forms (0 5 Points) All required documents can be found at the following http://sjrstate.edu/102014 A. The prospective company must submit a properly executed RFP Proposal Checklist and Certification Form. B. The prospective company must submit a properly executed Form PUR 7068. C. The prospective company must submit a properly executed Drug Free Workplace Form. D. The prospective company must submit a properly executed Vendor Business Profile Form. E. The prospective company must submit a properly executed IRS Form W 9, Request for Taxpayer Identification Number and Certification. IRS Form W 9. F. Additionally, provide a brief statement of explanation of all past (within past three years), present and pending claims (criminal and civil), lawsuits, judgments and/or insurance claims for errors and/or omissions filed by or against any firm or any principal or individual employed by any firm to be assigned to the current service to be provided. G. Provide documentation of all licenses required by the State of Florida to perform the duties required by the services to be provided with an affirmative statement indicating the accounting firm and all assigned key professional staff are properly licensed to practice in the State of Florida. TERMS AND CONDITIONS A notice of intent to award the RFP will be placed on the web page at http://sjrstate.edu/102014 and is expected no later than 2:00 p.m. on December 4, 2014. Action to approve the award of the RFP is expected at the Foundation Board Meeting to be held January 28, 2015, at the St. Johns River State College, 283 College Drive, Orange Park, Fl 32065. If awarded, the successful respondent will enter into contract with the Foundation within 30 days of award. The Foundation or College is not liable for any costs incurred by any responder in responding neither to this RFP nor for any costs or expenses prior to or outside of a fully executed contract. By submitting a response, the respondent attests that its response is made without prior understanding, agreement or connection with any corporation, firm, or person submitting a response for this RFP and is in all respects fair and without collusion or fraud. Severability: If any provision of this RFP or any agreement or contract resulting from this RFP is contrary to, prohibited by, or deemed invalid by applicable laws or regulations of any jurisdiction in 6
which is it is sought to be enforced, then said provisions shall be deemed inapplicable and omitted and shall not invalidate the remaining provisions of this RFP or any subsequent agreement. Interpretation of the wording of this document shall be the responsibility of the Foundation or College and that interpretation shall be final. Respondents are expected to comply with the true intent of this RFP taken as a whole and shall not avail itself of any errors or omissions to the detriment of the services. Should the respondent suspect any error or discrepancy in the specifications or instructions, the respondent should immediately notify Julianne Young via e-mail at JulianneYoung@sjrstate.edu. In accordance with the Americans with Disabilities Act of 1990, if a special accommodation is required in order to attend the public meeting related to this RFP, contact the Purchasing Coordinator via e-mail at JulianneYoung@sjrstate.edu a minimum of three business days prior to the public meeting. Failure to file a protest within the time prescribed in S. 120.57(3), Florida Statutes shall constitute a waiver of proceedings under Chapter 120. F. S. Protests must be submitted in writing via certified mail to the Purchasing Coordinator, St. Johns River State College, Business Office, 5001 St. Johns Avenue, Palatka, FL 32177 within the prescribed time. The quality, organization and completeness of the response to the RFP is important to the process. At the sole discretion of the College, an incomplete and/or unresponsive RFP will not be considered. Responses must contain a manual signature of an authorized representative in the space provided. Response must be typed or printed in ink. Removal of any part of the proposal may invalidate the response. The award hereunder is subject to the provision of Chapter 112, Florida Statutes. All respondents must disclose with their response the name of any officer, director or agent who is also an employee of the State of Florida or any of its agencies. Any and all Special Conditions that may vary from these General Conditions shall have precedence. The respondents agree to indemnify and save St. Johns River State College, the Foundation, its officers, agents and employees harmless from any and all judgments, orders, awards, costs and expenses, including attorney s fees, and all claims on account of damages to property, including losses thereof, or bodily injury (including death) which may be hereafter sustained by the seller, its employees, or St. Johns River State College employees, or third persons, arising out of or in connection with this contract unless the loss was determined by a court of competent jurisdiction to have resulted from the negligence of the College or its agents or employees. The respondent shall comply with the provisions of Executive Order 11246, September 24, 1965, and the rules, regulations and relevant Orders of the Secretary of Labor. Section 228.2001, Florida Statutes, prohibits discrimination on the basis of race, sex, national origin, marital status or handicap against a student or employee in the State System of Public Education, as defined in Section 228.041, Florida Statutes. In compliance with the Florida Public Entity Crime Statute (Section 287.132, 133) the attached State Form PUR 7068 should be fully executed, notarized and submitted with the response. 7
St. Johns River State College Foundation RFP-SJR-FNDN-10-2014 RFP Checklist and Certification Form RFP Check List: Indicate on the lines below each document included with this form: RFP Checklist and Certification Form (See Appendix A) FORM PUR 7068 - Sworn Statement Regarding Public Entity Crimes (See Appendix B) Drug Free Workplace Form (See Appendix C) Vendor Business Profile (See Appendix D) W9 (See Appendix E) Proof of Insurability Base Proposal: Annual Lump Sum for basic services: $ RFP PRICING PROPOSAL Annual Lump Sum for basic services spelled out: Authorizing Signature: Signature on this form certifies that the undersigned has read and understands the conditions and specifications of this RFP, has included all required documents, and that the firm has the authority, capacity, and capability to perform according to the conditions and specifications of RFP-SJR-FNDN-1012-06. The undersigned further acknowledges that if any information provided by the bidder is found to be, in the opinion of the College, substantially unreliable, the bid response may be rejected. Company Name Address City, State, Zip Telephone Number Authorized Signature Printed Name Title 8
SWORN STATEMENT UNDER SECTION 287.133(3)(a), FLORIDA STATUTES, ON PUBLIC ENTITY CRIMES THIS FORM MUST BE SIGNED AND SWORN TO IN THE PRESENCE OF A NOTARY PUBLIC OR OTHER OFFICER AUTHORIZED TO ADMINISTER OATHS. 1. This sworn statement is submitted to [print name of public entity] By For [print individual s name and title] [print name of entity submitting sworn statement] whose business address is and (if applicable) its Federal Employer Identification Number (FEIN) is (If the entity has no FEIN, include the Social Security Number of the individual signing this sworn statement:.) 2. I understand that a "public entity crime" as defined in Paragraph 287.133(1)(g), Florida Statutes, means a violation of any state or federal law by a person with respect to and directly related to the transaction of business with any business with any public entity or with an agency or political subdivision of any other state or of the United States, including, but not limited to, any bid or contract for goods or services to be provided to any public entity or an agency or political subdivision of any other state or of the United States and involving antitrust, fraud, theft, bribery, collusion, racketeering, conspiracy, or material misrepresentation. 3. I understand that "convicted" or "conviction" as defined in Paragraph 287.133(1)(b), Florida Statutes, means a finding of guilt or a conviction of a public entity crime, with or without an adjudication of guilt, in any federal or state trial court of record relating to charges brought by indictment or information after July 1, 1989, as a result of a jury verdict, nonjury trial, or entry of a plea of guilty or nolo contendere. 4. I understand that an "affiliate" as defined in Paragraph 287.133 (1)(a), Florida Statutes, means: 1. A predecessor or successor of a person convicted of a public entity crime; or 2. An entity under the control of any natural person who is active in the management of the entity and who has been convicted of a public entity crime. The term "affiliate" includes those officers, directors, executives, partners, shareholders, employees, members, and agents who are active in the management of an affiliate. The ownership by one person of shares constituting a controlling interest in another person, or a pooling of equipment or income among persons when not for fair market value under an arm's length agreement, shall be a prima facie case that one person controls another person. A person who knowingly enters into a joint venture with a person who has been convicted of a public entity crime in Florida during the preceding 36 months shall be considered an affiliate. 5. I understand that a "person" as defined in Paragraph 287.133(1)(e), Florida Statutes means any natural person or entity organized under the laws of any state or of the United States with the legal power to enter into a binding contract and which bids or applies to bid on contracts for the provision of goods or services let by a public entity, or which otherwise transacts or applies to transact business 9
with a public entity. The term "person" includes those officers, directors, executives, partners, shareholders, employees, members, and agents who are active in management of an entity. 6. Based on information and belief, the statement which I have marked below is true in relation to the entity submitting this sworn statement. [indicate which statement applies.] Neither the entity submitting this sworn statement, nor any officers, directors, executives, partners, shareholders, employees, members, or agents who are active in the management of the entity, nor any affiliate of the entity has been charged with and convicted of a public entity crime subsequent to July 1, 1989. The entity submitting this sworn statement, or one or more of its officers, directors, executives, partners, shareholders, employees, members or agents who are active in management of the entity, or an affiliate of the entity has been charged with and convicted of a public entity crime subsequent to July 1, 1989. The entity submitting this sworn statement, or one or more of its officers, directors, executives, partners, shareholders, employees, members, or agents who are active in the management of the entity, or an affiliate of the entity has been charged with and convicted of a public entity crime subsequent to July 1, 1989. However, there has been a subsequent proceeding before a Hearing Officer of the State of Florida, Division of Administrative Hearings and the Final Order entered by the hearing Officer determined that it was not in the public interest to place the entity submitting this sworn statement on the convicted vendor list. [attach a copy of the final order] I UNDERSTAND THAT THE SUBMISSION OF THIS FORM TO THE CONTRACTING OFFICER FOR THE PUBLIC ENTITY IDENTIFIED IN PARAGRAPH 1 (ONE) ABOVE IS FOR THAT PUBLIC ENTITY ONLY AND, THAT THIS FORM IS VALID THROUGH DECEMBER 31 OF THE CALENDAR YEAR IN WHICH IT IS FILED. I ALSO UNDERSTAND THAT I AM REQUIRED TO INFORM THE PUBLIC ENTITY PRIOR TO ENTERING INTO A CONTRACT IN EXCESS OF THE THRESHOLD AMOUNT PROVIDED IN SECTION 287.017, FLORIDA STATUTES FOR CATEGORY TWO OF ANY CHANGE IN THE INFORMATION CONTAINED IN THIS FORM. [signature] Sworn to and subscribed before me this day of, 20. Personally known OR Produced identification (Type of Identification) Notary Public - State of My commission expires (Printed typed or stamped Commissioned name of Notary Public) 10
DRUG-FREE WORKPLACE PROGRAM FORM In order to have a drug-free workplace program, a business shall: 1) Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace and specifying the actions that will be taken against employees for violations of such prohibition. 2) Inform employees about the dangers of drug abuse in the workplace, the business s policy of maintaining a drug-free workplace, any available drug counseling, rehabilitation, and employee assistance programs, and the penalties that may be imposed upon employees for drug abuse violations. 3) Give each employee engaged in providing the commodities or contractual services that are under bid a copy of the statement specified in Subsection (1). 4) In the statement specified in Subsection (1), notify the employees that, as a condition of working on the commodities or contractual services that are under bid, the employee will abide by the terms of the statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any violation of Chapter 893 or of any controlled substance law of the United States or any state, for a violation occurring in the workplace no later than five (5) days after conviction. 5) Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation program if such is available in the employee s community, by any employee who is so convicted. 6) Make a good faith effort to continue to maintain a drug-free workplace through the implementation of this section. AS THE PERSON AUTHORIZED TO SIGN THIS STATEMENT, I CERTIFY THAT THIS FIRM,, (Name of Company) ( COMPLIES FULLY/ DOES NOT COMPLY) WITH THE ABOVE REQUIREMENTS. Vendor s Signature Date 11