NEWBERGSCHOOL DISTRICT 29J

714 East Sixth Street

Newberg, OR 97132

(503) 554-5011 Fax (503) 537-3237

REQUEST FOR PROPOSALS

AUDIT SERVICES

February 20, 2013

The purpose of this Request for Proposals (Solicitation) is to obtain competitive Offers from qualified individuals or Firms (Proposers) interested in the provision of Audit Services.

Proposers must submit an Offer pursuant to the terms and conditions of this Solicitation to the Director of Finance and Operations, or designee, at 714 East Sixth Street, Newberg, OR97132 PRIOR to the Closing (due date and time):

SOLICITATION CLOSING March 8, 2013 2:00 PM PST

Offers will be opened and recorded. The number of Offers received, the identity of Proposers, or the contents of any Offer will not be disclosed to the public until all Offers have been evaluated, negotiations completed if required, and a recommendation for Award has been published.

Solicitation documents may be viewed and/or obtained at the address above.

This solicitation provides Proposers with sufficient information to enable them to prepare and submit an Offer for consideration by the District to satisfy the needs as outlined in the Statement of Work (page 9). This solicitation includes the following sections and enclosures:

SECTION I - INSTRUCTIONS TO OFFERORS...... 1

SECTION II - RESPONSE AND EVALUATION...... 5

SECTION III - STATEMENT OF WORK...... 9

Enclosures......

Offer Cover...... 13

References...... 14

Attachment 1 - Client Prepared Work Papers...... 15

Attachment 2 - Fund Types...... 16

Staffing Matrix...... 17

Questions and comments regarding this solicitation must be directed to the undersigned at 503-554-5004.

Sincerely,

Nathan Roedel

Director of Finance and Operations

SECTION I - INSTRUCTIONS TO OFFERORS

AUDIT SERVICES

SECTION CONTENTS

Clause

1.INTRODUCTION...... 1

2.SOLICITATION REVIEW...... 1

3.OFFER...... 1

4.OFFER PREPARATION...... 1

5.OFFER SUBMISSION...... 2

6.PRE-PROPOSAL CONFERENCE...... 2

7.ADDENDA...... 2

8.MODIFICATION OR WITHDRAWAL...... 2

9.RECEIPT, OPENING, AND RECORDING OF OFFERS...... 2

10.LATE OFFERS, WITHDRAWALS, OR MODIFICATIONS...... 2

11.MISTAKES BY PROPOSER...... 2

12.AWARD...... 3

13.NOTICE OF INTENT TO AWARD...... 3

14.OFFER REJECTION...... 3

15.PROTEST, CHANGE, CLARIFICATION...... 3

16.AGGRIEVED PROPOSER...... 4

17.OFFER COSTS...... 4

  1. INTRODUCTION. This Solicitation is issued pursuant to ORS 279B.060. Definitions for the capitalized terms in this Solicitation can be found in the Rules. The Rules are available for review on the State Website The term “District” throughout this Solicitation means the NewbergSchool District, the term Proposer means the Person or Firm that submits an Offer in response to this Solicitation, and the term Provider means the Proposer(s) awarded a Contract as a result of this Solicitation.
  1. SOLICITATION REVIEW. Proposers must carefully review this Solicitation and are responsible for knowing and understanding the terms and conditions included in or applicable herein. Unless defects, ambiguities, omissions, or errors are brought to the District's attention within five (5) work days prior to the Closing, protests or appeals based on such defects, ambiguities, omissions, or errors received after issuance of the Notice of Intent to Award (NIA) may not be favorably considered.
  1. OFFER. A Proposers submission in response to this Solicitation is an offer to enter into a Contract. By Signing and returning the Offer, the Proposer acknowledges it has read, understands and agrees to be bound by the terms and conditions herein. The Offer is a “firm offer,” and must be held open by the Proposer for the District’s acceptance for sixty (60) days. The District’s Award of a Contract constitutes acceptance of the Offer and binds a Provider to the Contract. The Proposer must not make its Offer contingent upon the District’s acceptance of any terms or conditions (including Specifications) other than those contained in this document.
  1. OFFER PREPARATION. Failure to submit Offers in accordance with the provisions of this Solicitation shall be grounds to declare the Offer as non-Responsive. Proposers must:
  2. Submit a completed Proposal (an Offer in accordance with Section II). Proposers shall complete and use the enclosed "Offer Cover" as the first sheet of its submission.
  3. Provide the District with all required or requested documents and descriptive literature;
  4. Initial any corrections or erasures to their Offer;
  5. Identify (on the Offer Cover sheet) that the Proposer is a “resident Proposer,” as defined in ORS 279A.120(1);
  6. Provide (on the Offer Cover sheet) certification of nondiscrimination in obtaining any required subcontractors in accordance with ORS 279A.110(4); and
  7. Provide (on the Offer Cover sheet) Written acknowledgment of receipt of all Addenda if issued.

  1. OFFER SUBMISSION.
  2. To ensure proper identification and handling, Offers must be submitted in a sealed envelope marked with the Proposers name and address and the RFP AUDIT SERVICES in large block letters on the lower left corner.
  3. Offers must be mailed or hand delivered to 714 East Sixth Street, Newberg, OR97132. Facsimile Offers will not be accepted.
  4. The District is not responsible for Offers submitted in any manner, format or to any delivery point other than as required.

1

  1. Proposers are solely responsible for ensuring that the District receives their Offer at the required delivery point prior to Closing.
  1. PRE-PROPOSAL CONFERENCE. A non mandatory pre-proposal conference is conducted to explain the Solicitation requirements, to provide information, or to conduct site inspection. The conference will allow Proposers an opportunity to address deficiencies, defective specifications, or other Solicitation concerns. The purpose is to identify and resolve issues that have the potential of generating an Award protest. Statements made by District representatives at the pre-Solicitation conference shall not change the Solicitation unless the District confirms such statements with a Written Addendum.
  1. ADDENDA.
  2. The District may change this Solicitation only by Written Addenda.
  3. To be responsive, Proposers must provide written acknowledgment of receipt of all Addenda on the provided Offer Cover.
  4. The District shall issue Addenda to all known plan holders by email and shall be posted on the District

website

  1. Proposers are responsible for making inquiry as to any addenda issued. Proposers should frequently check with the District regarding Addenda until the Closing, (i.e., at least once weekly until the week of the Closing).
  2. At its discretion, the District may extend the Closing to allow Proposers time to analyze and adjust to changes.
  1. MODIFICATION OR WITHDRAWAL. A Proposer may modify or withdraw its Offer in Writing only prior to Closing. Modification or withdrawal must be marked and delivered as described in paragraph five above. A Proposer may also deliver its modification or withdrawal in person or by Fax at 503-537-3237. Proposers are responsible for ensuring that the District receives its modification or withdrawal. Modification or withdrawals must be prepared and submitted on the Proposer’s letterhead, signed by an authorized representative of the Proposer.
  2. Modifications. Must state that the modification amends and supersedes the prior Offer.
  3. Withdrawals. When in person the Proposer must present appropriate identification and evidence of authority satisfactory to the District. The District must void any date and time stamp mark.
  1. RECEIPT, OPENING, AND RECORDING OF OFFERS.
  2. The District must officially record the time and date of each Offer and any modification upon receipt. The Districts’ official bid time clock is located in the lobby of the District Office at 714 East Sixth Street. In the event an Offer is too large to be time stamped a separate piece of paper will be time stamped and attached to the Offer or the envelope will be marked by hand with the date and time received.
  3. The District shall not be responsible for the premature opening or failure to open an Offer that is not properly addressed and/or identified.
  4. Offers will be opened and recorded. The number of Offers received, the identity of Proposers, or the contents of any Offer will not be disclosed to the public until all Offers have been evaluated, negotiations completed if required, and a recommendation for award has been published.
  1. LATE OFFERS, WITHDRAWALS, OR MODIFICATIONS. Any Offer received after Closing is late. A Proposer's request for withdrawal or modification of an Offer received after Closing is late. The District shall not consider late Offers, withdrawals or modifications except as permitted in MISTAKES below. The District reserves the right to consider Offers that have been delayed or mishandled by the District.
  1. MISTAKES BY PROPOSER. The District shall carefully consider whether to permit waiver, correction or withdrawal of Offers for certain mistakes. The District must not allow a Proposer to correct or withdraw an Offer for an error in judgment. The District must reject any Offer in which a mistake is evident on the face of the Offer and the intended correct Offer is not evident or cannot be substantiated from documents accompanying the Offer. If mistakes in an Offer are discovered after Opening, but before Award of the Contract, the District may:
  2. Waive, or permit a Proposer to correct, a minor informality; a matter of form rather than of substance that is evident on the face of the Offer, or an insignificant mistake that can be waived or corrected without prejudice to other Proposers.
  3. The District may correct a clerical error if the error is evident on the face of the Offer, or other documents submitted with the Offer, and the Proposer confirms the District’s correction in writing.
  4. The District may permit a Proposer to withdraw an Offer based on one or more clerical errors in the Offer.
  1. AWARD.
  1. Award in part or in whole is contingent upon available funding. In the event adequate funds are not appropriated and allocated by the School Board the District reserves the right to cancel any Solicitation at no penalty.

1

  1. If awarded, the District shall award a Personal Services Contract only to the Responsible Proposer that submits the most Advantageous of those submitted, and that meets the minimum technical requirements and all of the requirements of Section II.
  2. The District may award by item, groups of items or the entire Offer.
  3. The District may Award multiple Contracts if beneficial to the District for adequate availability, delivery, service, competition, pricing, product capabilities, or other factors deemed significant by the District. This notice of Multiple Awards does not preclude the District from awarding a single Contract.
  4. The District may award a Contract for parts of the Solicitation for which acceptable Offers have been received.
  5. The District may award all or none of the Offers if the evaluation shows an all or none Award to be the most Advantageous or in the best interest of the District.
  6. The District may reject all or part of Offers and may issue a new Solicitation on the same or revised terms, conditions and Specifications.
  1. NOTICE OF INTENT TO AWARD. The District must provide writtenNIA to all Proposers at least five (5) days before the award of a Contract, unless the District determines that circumstances require prompt execution of the Contract. The NIA will be sent by email and posted on the District website The District's Award must not be final until the latter of the following: Five (5) Days after the date of the NIA, or until the District provides written response to all timely filed protests denying the protest(s) and affirming the Award.
  1. OFFER REJECTION.
  2. The District may reject any Offer:
  3. When the rejection is in the best interest of the District.
  4. When the Offer is contingent upon the District’s acceptance of terms and conditions (including Specifications) that differ from the Solicitation.
  5. When the Offer takes exception to terms and conditions (including Specifications) set forth in the Solicitation.
  6. That fails to meet the Specifications of the Solicitation contained herein.
  7. That is submitted late.
  8. Not in substantial compliance with the Solicitation or with all prescribed public procurement procedures.
  9. Not in compliance with ORS 279B.120, 279B.130, 279A.105.
  10. When the Proposer is non-Responsible pursuant to ORS 279B.110.
  11. The District may reject all Offers based upon the following criteria:
  12. As set forth in ORS 279B.100. The District must notify all Proposers of the rejection, along with the reasons for rejection.
  13. The content of or an error in the Solicitation or the Procurement Process unnecessarily restricted competition for the Contract.
  14. The price, quality or performance presented by the Proposers are too costly or of insufficient quality to justify acceptance of any Offer.
  15. Misconduct, error, or ambiguous or misleading provisions in the Solicitation threaten the fairness and integrity of the competitive process.
  16. Causes other than legitimate market forces threaten the integrity of the competitive process. Such as collusion, corruption, and/or inadvertent or intentional errors in the Solicitation.
  17. Any other circumstance indicating that awarding the Contract would not be in the public interest.
  1. PROTEST, CHANGE, CLARIFICATION. Proposers may request changes or clarification to, or protest, the terms and conditions and/or the specifications of this Solicitation:
  2. Questions. All questions regarding this Solicitation must be submitted in writing to the attention of the District Business Manager. No oral questions will be accepted other than at the pre-Solicitation conference. All questions received prior to the deadline will be answered by Addenda.
  3. Change, Clarification, Protest. A prospective Proposer may protest the Procurement Process or the Solicitation Document as set forth in ORS 279B.405(2). Proposer written comments shall include:
  4. A detailed statement of the legal and factual grounds for the change, clarification, or protest;
  5. A description of the resulting prejudice to the Proposer; and
  6. A statement of the form of relief requested or any proposed changes to the contract terms and conditions or specifications.
  7. Delivery. Written questions, changes, clarification, or protest must be faxed to (503) 5373237 or hand delivered to the attention of Business Office, 714 East Sixth Street, Newberg, OR.
  8. Deadline. Questions, changes, clarifications, or protests must be received by the District by noon five (5) days prior to the Closing.

1

  1. Response. All Proposers will be provided notice of the Districts determination (i.e., entirely rejects or agrees with) in a written addenda to any questions, changes, clarification or protest. The District reserves the right to cancel the Solicitation if cancellation is in the best interest of the public.
  2. Protesters must exhaust all administrative remedies before seeking judicial review.
  1. AGGRIEVED PROPOSER.
  2. A Proposer may protest the Award of a Contract, or the Intent to Award a Contract if:
  3. The Proposer is adversely affected because the Proposer would be eligible for Award of the Contract in the event that the Protest were successful; and
  4. The reason for the Protest is that:

(1)All higher scoring Offers are non-Responsive;

(2)The District has failed to conduct the evaluation of Offers in accordance with the criteria or processes described in the Solicitation;

(3)The District’s evaluation of Offers or the District’s subsequent Intent to Award is otherwise in violation of the provisions of ORS 279A or 279B.

  1. Protests must be made in Writing and shall specify the grounds for the Protest.
  2. The aggrieved Proposer must serve all other Proposers with notice of its appeal to allow for rebuttal.
  3. The District must not consider a Protest submitted after 12:00 Noon on the fifth (5) day after the date of the Notice of Intent to Award.
  4. The District must issue a Written Disposition of the Protest in a timely manner. The District’s Director of Finance and Operations has the authority to settle any protest. If a Protest is not settled by the Director of Finance and Operations, the Superintendent, or designee, has the authority to resolve the Protest. If the District upholds the Protest, in whole or in part, the District may in its sole discretion either Award the Contract to the successful protestor or cancel the Solicitation.
  5. Proposers must exhaust all administrative remedies before seeking judicial review.
  1. OFFER COSTS. The District is not liable for any costs incurred by the Proposer in its Offer preparation.

1

SECTION II - RESPONSE AND EVALUATION

AUDIT SERVICES

SECTION CONTENTS

Clause

1.INTRODUCTION...... 5

2.OFFER FORMAT...... 5

3.OFFER CONTENT...... 5

4.EVALUATION OF OFFERS...... 7

5.SOLICITATION SCHEDULE...... 8

  1. INTRODUCTION. This section prescribes the mandatory submission format for the presentation of an Offer in response to this Solicitation. The purpose of the submission format is to ensure uniformity of the information from each Proposer and to aid in clear understanding and evaluation of each Offer.
  1. OFFER FORMAT.
  2. Proposers must submit an ORIGINAL and five (5) copies of its Offer.
  3. To facilitate filing, Offers should be stapled in the upper left corner. Notwithstanding the copies required in 2.a., the District will, additionally, accept proposals on digital media.
  4. Brochures or other promotional presentations beyond that sufficient to present a complete and effective Offer are not desired. Elaborate art work, expensive paper or binders are not necessary.
  5. Concise and direct answers are encouraged. The response should be limited to 15 pages. The Offer Cover sheet and the staffing matrix (which have been provided), resumes and any sample work products requested are not included in this limit.
  6. Failure to submit Offers in accordance with the provisions of the Solicitation document shall be grounds to declare the Offer non-responsive. Failure to provide any information requested in the Solicitation may result in rejection of the Offer.
  1. OFFER CONTENT. Proposers shall present an Offer, and submit all attachments as required, in the order listed:
  2. Management Summary and Firm Profile.
  3. Briefly state the Firm's understanding of the engagement and the audit schedule.
  4. State the names of the persons who will be authorized to make representations for the Firm, their titles, addresses, telephone numbers and e-mail addresses.
  5. State that the Firm meets standards of independence as defined by generally accepted auditing standards/the U.S. General Accounting Office's Government Auditing Standards (2011).
  6. Indicate whether the Firm is local, regional, national, or international in the scope of its practice.
  7. Indicate the address of the Firm's home office.
  8. State the number of partners, managers, supervisors, seniors, and other professional staff employed at the local office.
  9. Submit a copy of the report on the Firm's most recent external quality control (peer) review, with a statement whether that quality control review included a review of specific government engagements.
  10. Describe the range of activities performed by the local office such as auditing, accounting, tax service, or management consultation services.
  11. Experience with Municipal Engagements.
  12. Provide the name, title, and State Board of Accountancy Municipal Audit roster number for the partner, manager, and incharge accountant who would be assigned to this financial audit.
  13. Identify current governmental audit clients, including school districts, that are comparable in size to or larger than NewbergSchool District handled by the local office.
  14. For Governmental audit clients, please indicate how many years the Firm has been the auditor and specify the applicable years.

1