RFI_Audit_Services_final.pdf

Solicitation Number:

RFI-523-16-001

Notice Type:

Sources Sought Synopsis:

Added: November 18, 2015

The U.S. Agency for International Development's Mission to Mexico (USAID/Mexico) is conducting market research to identify potential sources capable of providing audit services to its implementing partners as required by their awards. USAID/Mexico maintains a list of qualified audit firms that USAID/Mexico implementing partners must use for their audit requirements as found in this web link:

https://www.usaid.gov/ads/policy/500/591maa.

Interested qualified parties are asked to fill out the form found below to demonstrate their interest and qualifications. If accepted, the interested parties will become part of a list of approved audit firms that USAID/Mexico’s Implementing Partners are required to use for their audits. Audit firms who are not on this list cannot be used by

USAID/Mexico’s Implementing Partners.

If accepted the following declaration will be signed:

DECLARATION:

I/We, the undersigned, by completing this document, make the following declarations:

1. I/We will perform all USAID audits and/or agreed-upon procedures engagements in accordance with U.S. Government Auditing Standards issued by the U.S. Government Accountability Office.

2. I/We will comply with all requirements in the Guidelines for Financial Audits Contracted by Foreign Recipients.

3. I/We understand that no USAID funds may be used to pay for audits that are not completed in accordance with the Guidelines.

In this regard, I/we undertake to correct any instances of noncompliance with the Guidelines noted by the RIG.

This notice is not a solicitation or call for proposals. Any proposals submitted in response to this request will not be considered. USAID will not pay for information submitted nor will it reimburse costs incurred by individuals or entities that elect to https://www.usaid.gov/ads/policy/500/591maa respond to this request for information (RFI). All costs associated with responding to this RFI will be solely at the respondent's expense. USAID is not obligated to utilize submitted information or issue a solicitation or approve any additional audit firms as a result of this request. USAID is not obligated to procure any of the services described herein, nor should the release of this RFI be construed as such a commitment on the part of USAID.

Individuals or entities capable of providing audit services are asked to submit the below “Request for Eligibility to Perform USAID Audits” form completed in English and signed by digital transmission (scanned) to: mexicooaamaillist@usaid.gov. In the subject line of the email you must put: AUDIT Firms RFI Number RFI-523-16-001.

This sources sought shall remain open until it is officially closed. Submitted forms will be evaluated as they are received.

This notice does not obligate USAID to award a contract, or otherwise pay for the information provided in response to this request. USAID reserves the right to use information provided by respondents for its purposes. Respondents are advised that USAID is under no obligation to acknowledge receipt of the information received or provide feedback to respondents with respect to any information submitted. Any information submitted in response to this "sources sought" notice is voluntary. The issuance of this request shall not restrict the Government's ultimate acquisition approach, if any. Not responding to this RFI does not preclude participation in any future solicitation, if any is issued.

This request for information is issued solely for the purpose of conducting market research in accordance with FAR Part 10.

If you have any questions regarding this RFI, please contact the following email address: mexicooaamaillist@usaid.gov.

Sincerely, Control Number: 2015-0163

G. Michael Junge Contracting Officer USAID/Mexico mailto:mexicooaamaillist@usaid.gov mailto:mexicooaamaillist@usaid.gov

REQUEST FOR ELIGIBILITY TO PERFORM USAID AUDITS

The information in this questionnaire will be used to determine whether your firm is qualified to perform financial audits of grants/loans made by USAID. Criteria are weighted to indicate their relative importance.

A. BACKGROUND INFORMATION (No Point score for section A):

Please provide the following information:

1. Firm’s Name

2. Address

3. Telephone Numbers

4. Fax Numbers

5. Name and Title of Principal Contact

6. Email address of Principal Contact

7. Brief history of the firm, including the number of years that the firm has been in operation and the nature of its practice.

B. UNDERSTANDING OF WORK TO BE PERFORMED

1. Audit Objectives and Scope of Work (Total Point Value: 7)

Describe your understanding of the work to be performed under the audit requirements of USAID.

2. Required Reports (Total Point Value: 7) Describe your understanding of the reports required under USAID programs.

3. Internal Quality Control Process (Total Point Value: 3) Describe your understanding of the internal quality control process for USAID audits.

4. Relationships and Responsibilities (Total Point Value: 3)

Describe your understanding of your relationships and responsibilities under the USAID programs.

5. Terms of Performance (Total Point Value: 2)

Describe your understanding of the terms of performance under the USAID programs.

6. U.S. Government Auditing Standards (Total Point Value: 3) Describe your understanding of these standards for financial audits.

7. International Standards on Auditing of IFAC (Total Point Value: 3) Describe your understanding of these standards for financial audits.

C. EXPERIENCE WITH TYPE OF WORK TO BE PERFORMED POINTS

1. General Accepted Auditing Standards of the AICPA (Total Point Value: 7)

Describe the experience your firm has had in using generally accepted auditing standards of the AICPA. Provide a list of clients or jobs performed.

2. U.S. Government Auditing Standards (Total Point Value: 7)

Describe the experience your firm has had using these Standards. Provide a list of clients or jobs performed according to the Yellow Book.

3. International Standards on Auditing of IFAC (Total Point Value: 7)

Describe the experience your firm has had using these Standards. Include a list of clients or jobs performed according to IAS.

4. Writing audit reports in English (Total Point Value: 7)

Describe your experience in writing audit reports in English. Provide a brief description of experience in writing audit reports in English, i.e.: clients, types of report/jobs or assignments.

5. Experience in auditing international and national governmental and Non-governmental organizations (Total Point Value: 7)

D. PROFESSIONAL COMPETENCE POINTS

1. Affiliation with an International audit firm (Total Point Value: 4)

Describe the nature of your affiliation with an international audit firm (i.e., partnership or representative) and whether partners in your firm have authority to use the letterhead and signature of the international firm in the audit report.

Also describe what type of support the international firm provides to your office. Finally, specify the number of years the affiliation has existed. (Attach a copy of the agreement with the international firm.)

2. List of clients (Total Point Value: 4)

Provide a list of your clients. Provide a full list of clients indicating their business activity or classified by nature, i.e.: financial audit, governmental, non-for-profit, multinational, referred clients, consultation or attestation.

3. Number, type and education of profession staff (Total Point Value: 9)

Complete the schedule shown below and attach resumes of your key staff.

Also, provide other comments concerning your professional staff that you may want to make.

Number of Staff with

Category No.

of Staff

Professional Certification (Specify)

Master’s Degree

Four-Year University Degree in Accounting

Degree Other

Secondary School Degree

Partners

Directors

Managers

Supervisors

Sr. Auditors

Jr. Auditors

Editors

Secretaries

Total

4. Internal Quality Control System (Total Point Value: 4)

Describe your firm’s Internal Quality Control system (the purpose of such a system is to provide reasonable assurance that your firm (1) has established and is following adequate audit policies and procedures and (2) has adopted and is following applicable auditing standards).

5. External Quality Control Review (Total Point Value: 5)

Describe your firm’s program of External Quality Control Review. Such a review should determine that (1) the Firm’s internal quality control system is in place and operating effectively, and (2) established policies and procedures and applicable auditing standards are being followed in the audit work.

6. Continuing Professional Education Program (Total Point Value: 5)

Describe your program of Continuing Professional Education (CPE) and complete the following schedule. Average Hours of CPE Per Year, Last Year Ended MM/DD/20XX, Total CPE, CPE in U.S. Government auditing

7. Access to specialized services (Total Point Value: 2)

Describe what arrangements your firm has made to obtain any required technical assistance, and legal and management advisory services.

E. INDEPENDENCE (Total Point Value: 4)

Factors that could limit your independence to perform objective audits of governmental and non-governmental organizations in your country. Please summarize the firm’s policies and procedures related to Independence .

F. * DECLARATIONS

I/We, the undersigned, by completing this document, make the following declarations:

1. I/We will perform all USAID audits and/or agreed-upon procedures engagements in accordance with U.S. Government Auditing Standards issued by the U.S. Government Accountability Office.

2. I/We will comply with all requirements in the Guidelines for Financial Audits

Contracted by Foreign Recipients.

3. I/We understand that no USAID funds may be used to pay for audits that are not completed in accordance with the Guidelines. In this regard, I/we undertake to correct any instances of noncompliance with the Guidelines noted by the RIG.

Full Name Designation Date

Total Points 100