REQUEST FOR PROPOSALS
AUDITING SERVICES
RFP10-10-11
SANTA CLARA COUNTY OFFICE OF EDUCATION
REQUEST FOR PROPOSAL
FOR
INDEPENDENT AUDIT SERVICES
FOR
SANTA CLARA COUNTY OFFICE OF EDUCATION
NOTICE IS HEREBY GIVEN that the Santa Clara County Office of Education, hereinafter referred to as the SCCOE, will receive up to, but not later than, Tuesday, November 9, 2010 by 3:00 PM, sealed proposals for the award of a contract for independent audit services for the year ending June 30, 2011, with the option on the part of the SCCOE to renew the contract for a period or periods not to exceed a total of four (4) years thereafter.
All proposals shall be submitted in the format specified by the SCCOE. Proposals shall be received in the office of the Purchasing Manager, Santa Clara County Office of Education, 1290 Ridder Park Drive, MC 254, San Jose, CA 95131-2398.
Questions relating to the Terms, Conditions and Instructions of the RFP may be directed to Andy Bursch, Purchasing Manager, at (408) 453-6858. Questions relating to the Statement of Work may be directed to the Controller, Cal Scheid at (408) 453-6896.
Special Notice
There will be a Pre-Proposal conference held at 9:00 AM, Thursday, October 28, 2010, at the Santa Clara County Office of Education, Board Room, 1290 Ridder Park Drive, San Jose, CA 95131-2398. At this time, details of the RFP will be reviewed. See Section 3.10 for further details. It is strongly recommended that all firms attend this conference so that they are familiar with the scope of the bid.
1. INTRODUCTION
This Request for Proposal (RFP) contains specifications and related documents covering independent audit services as specified herein.
This RFP shall not be construed:
1. To create an obligation to enter into a contract on the part of the SCCOE with any audit firm nor
2. To serve as the basis for a claim for reimbursement for expenditures related to the development of a proposal.
Not withstanding other provisions of the RFP, Auditors are hereby advised that this request is an informal solicitation of proposals only. This RFP is not intended to be construed as engaging in formal bidding pursuant to any statute, ordinance, policy or regulation.
2. BACKGROUND INFORMATION
2.1 Overview of the Santa Clara County Office of Education
The SCCOE is the connecting link between 31 local K-12 school districts and four (4) community college districts within the County of Santa Clara and the State Department of Education. The office administers the following programs:
· Student Services – see Section 2.2 for background on this program.
· Instructional Services provides leadership and coordinative services to teachers and administrators of local school districts and county schools. See Section 2.2 for more information.
· Human Resources and Personnel Commission provide fingerprinting services to school districts and the SCCOE as well as handle all required personnel issues.
· District Business and Advisory Services provides support to school districts in various aspects such as cash management, payroll and budget development.
· Internal Business Services provides accounting, payroll and budget development.
· General Services provides purchasing, warehousing and facilities management services.
· Technology Services Center provides various business and educational systems for school districts and the SCCOE.
The office is financed primarily by state apportionments and taxes received from the Santa Clara and Santa Cruz counties. There are also over 100 programs funded via federal, state and local agencies.
2.2 Instructional Services
Regional Occupational Programs
The office coordinates one Regional Occupational Program (ROP) for seven (7) school districts. This South County ROP provides vocational education and training for high school students and adult students annually. Program is staffed with approximately 83% contracted and 17% County Office ROP employees. The 2010-11 budget for this program is approximately $3.3 million.
Migrant Education
This is a federally funded program designed to provide supplementary services to eligible migrant students. Funds for this program are provided through amendments to Title I of the 1965 Elementary and Secondary Education Act. In California, the Migrant Education program is regulated through State Assembly Bill AB1382. The 2010-11 estimated funding for this program is $8.9 million.
2.3 Student Services
Alternative Schools
The SCCOE provides educational programs for students who are under court supervision, or who are not attending regular school for a variety of reasons. School sites include Juvenile Hall, three (3) Institutional Schools and 10 community school sites. The current 2010-11 working budget for this program is approximately $10.6 million.
Special Education
The SCCOE, through the Student Services Branch, provides a variety of instructional programs and services for children and students with severe or low incidence-disabilities from birth through 22 years of age at approximately 179 classrooms within 85 school sites throughout the County. The 2010-11 estimated budget is $95.5 million, including $5.7 million in indirect costs.
The Special Education Local Plan Areas (SELPA) coordinates with five (5) Areas, including the SCCOE, under the Master Plan for Special Education. The 2010-11 budget impacts 21 LEAs, and is approximately $33 million with pass-though revenues of $76 million.
Head Start Program
The office is the grantee for the Santa Clara and San Benito Counties Head Start programs funded by the department of Health and Human Services. The 2010-11 program is funded for an estimated $21.9 million. This program provides preoperative early childhood development for economically and socially disadvantaged and handicapped children.
Parkway Child Development Program
This program aims at promoting the social, emotional, physical and language development of children. The Child Development Fund budget is approximately $8 million for 2010-11.
Environmental Education
The Walden West Science Center provides hands-on science and outdoor education for over 8,500 5th and 6th grade students, as well as programs for K-6 students, summer opportunities, and weekend conferences. Its 2010-11 budget is estimated to be $2.9 million.
2.4 Self-Insurance Plans
The SCCOE has several self-insurance plans. The reserve estimated for the Worker’s Compensation is estimated to be $5.2 million at the conclusion of 2010-11, to meet its GASB 45 OPEB actuarial requirements. The 2010-11 budget and ending balance of the dental, vision, disability, and Medco plans are estimated to be $4.5 million and $2.1 million, respectively.
2.5 Data Processing Applications – Office Budgeting and Accounting
The SCCOE utilizes a computerized Budgeting, Personnel, Payroll, General Ledger Accounting, Accounts Payable, Accounts Receivable/Invoicing and Stores system for County School Service Fund. The office utilizes QSS for G/L, A/P, A/R, PR, HR and warehouse operations. Revenues, encumbrances and expenditures of the County School Service Fund are recorded via terminals. Annually, more than 42,300 A/P warrants, and 2,500 A/R invoices are processed. Approximately 9,500 salary warrants are processed in a batch mode for employees of the Office on an annual basis.
2.6 Finance Corp.
The Santa Clara County Board Of Education has a fully owned subsidiary – The Santa Clara County Board Of Education Finance Corp. This entity issued debt to finance the purchase of the building that houses the SCCOE offices. The SCCOE pays monthly rent to the Finance Corp. This entity is independent of the SCCOE and issues its own financial statements.
2.7 Audit of Other School Districts
The auditors should be prepared to provide annual audit services to any other school district in Santa Clara County as prescribed by Education Code Section 41020 which allows any school district, at its option, to use the services of the SCCOE’s External Auditor. Such services will be itemized and billed to the respective school district(s) at the per hour rate compensation rate applicable to the current audit year and specified in the proposal documents. All hours and charges will require appropriate verification and approval of the school district using the services.
3. INFORMATION AND GENERAL CONDITIONS
3.1 Preparation of Proposal Documents
Three (3) sealed copies of the proposal shall be submitted by no later than 3:00 PM on November 9, 2010. Proposals shall be delivered to the attention of the Purchasing Manager, Santa Clara County Office of Education, 1290 Ridder Park Drive, Mail Code 254, San Jose, CA 95131-2398.
It is the sole responsibility of the person submitting the proposal to see that it is delivered on time. Proposals received after 3:00 PM on November 9, 2010 will be returned to the Auditor unopened.
3.2 Signature
The proposal must be signed in the name of the Auditor and must bear the signature of the person authorized to sign proposals on behalf of the Auditor.
3.3 Completion of Proposals
Proposals shall be complete in all respects as required by the instructions herein. A proposal may be rejected if it is conditional or incomplete, or if it contains alterations of form or other irregularities of any kind. A proposal will be rejected if, in the opinion of the SCCOE, the information contained therein was intended to erroneously and fallaciously mislead the SCCOE in the evaluation of the proposal.
3.4 Erasures
The proposal submitted must not contain erasures, interlineations, or other corrections unless each correction is authenticated by signing, in the margin immediately opposite the correction. The signature should belong to the person signing the proposal.
3.5 Examination of Contract Documents
Auditors shall thoroughly examine the contents of the RFP. The failure or omission of any Auditor to receive or examine any contract document, form, instrument, addendum, or other document shall in no way relieve the Auditor from obligations with respect to this RFP or to the contract to be awarded. The submission of a proposal shall be taken as prima facie evidence of compliance with this Section.
If the Auditor discovers any ambiguity, conflict, discrepancy, omission, or other errors in the RFP, he/she shall immediately notify the SCCOE of the error in writing and request modification or clarification of the document. Clarification shall be given by written notice to all Auditors participating in the RFP, without divulging the source of the request for same. Modifications shall be made by addendum issued pursuant to Section 3.6 below.
If an Auditor fails to notify the SCCOE of an error in the RFP before the date scheduled for submission of proposals, or of an error which reasonably should have been known to him/her, he/she shall submit the proposal at his/her own risk. If the contract is awarded to the Auditor, he/she shall not be entitled to additional compensation or time by reason of the error or its subsequent detection.
3.6 Addenda
The SCCOE may modify this RFP before the date scheduled for submission of proposals by issuance of an addendum to all parties who received the RFP for the purpose of submitting a proposal. Addenda shall be numbered consecutively as a suffix to the RFP reference number. (The first number of an addendum would be RFP10-10-11 A-1.)
3.7 Modification of RFP Response
Auditor may modify his/her proposal after its submission by written notice to the SCCOE of withdrawal and resubmission prior to the date and time specified for receipt of proposals. Modifications will not be considered if offered in any other manner.
3.8 Withdrawal of Proposals
Auditor may withdraw his/her proposal by submitting a written request to the SCCOE at any time prior to the date for proposal submission. Auditor may thereafter submit a new proposal before the proposal submission date. A proposal may not be withdrawn after the proposal submission date.
3.9 Rejection of Proposals
The SCCOE reserves the right to reject any or all proposals received in response to this Request for Proposal or to negotiate separately with any Auditor when it is determined to be in the best interest of the SCCOE to do so.
3.10 Pre-Proposal Conference
A Pre-proposal Conference will be held on Thursday, October 28, 2010, from 11:00 AM to 12:00 Noon at the Santa Clara County Office of Education, Board Room, 1290 Ridder Park Drive, San Jose, CA 95131-2398.
At this Conference, Auditors will be given the opportunity to meet with staff of the SCCOE and to discuss the terms of the RFP. All Auditors who intend to submit a proposal should be in attendance at this Conference.
Written questions received within a reasonable time before the Conference will be answered by the SCCOE at the Conference without divulging the source of the query. The SCCOE will also accept oral questions and will try to answer these questions during the Conference. Questions asked during the Conference that cannot be answered during the discussion will be answered in writing and sent to all auditors attending the pre-proposal conference.
After the Pre-proposal Conference, copies of annual report and budget will be distributed to all attendees. No other individual sessions will be held with any Auditor participating in the Request for Proposal. Questions that may arise after the Pre-proposal Conference should be directed to the attention of Cal Scheid, Controller, Accounting Services, (408) 453-6896. A written summary of any such questions and the answers to the questions will also be sent to all Auditors participating in the Request for Proposal.
3.11 Misunderstandings
The RFP documents will be clarified by the SCCOE upon written request from an Auditor. The County Superintendent’s decision shall be final in any matter of interpretation of the documents.
3.12 Cost of Preparation of Proposals
Costs of developing responses to this RFP are entirely the responsibility of the Auditor, and shall not be chargeable to the SCCOE.
3.13 Award of Contract
It is anticipated that the contract will be awarded within the sixty (60) day period that proposals are required to remain open. If award cannot be made within that time, Auditors will be requested in writing to extend the time period during which the Auditor agrees to be bound by his proposal. Written notification will be made to unsuccessful Auditors.
3.14 Errors in Proposal
Auditors shall be bound by the terms and conditions of their proposals, notwithstanding the fact that errors are contained therein.
3.15 Workers’ Compensation
In accordance with the provisions of Section 3700 of the Labor Code of the State of California, each Auditor shall sign and file with the SCCOE the following certificates before performing the work to be done:
“I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of the code, and I will comply with such provisions before commencing the work to be done under the contract.