NORTHWEST FLORIDA WATER MANAGEMENT DISTRICT REQUEST FOR PROPOSALS ("RFP") DISTRICT INSPECTOR GENERAL/INTERNAL AUDIT SERVICES RFP #12-002 The Northwest Florida Water Management District, 81 Water Management Drive, Havana, Florida 32333, will receive sealed proposals, to perform Inspector General duties and internal audit services in a contractual capacity as the District's Inspector General, until 2:00 P.M. ET on June 12, 2012. Interested parties may obtain a copy of the complete RFP package at the above address, by calling (850) 539-5999, by visiting the State of Florida Vendor Bid System website at: http://vbs.dms.state.fl.us/vbs, or by visiting the District s website at www.nwfwmd.state.fl.us. All proposals must conform to the instructions in the Request for Proposals. The proposal opening is open to the public. Provisions will be made to accommodate the handicapped (if requested) provided the District is given at least 72 hours advance notice. All responses must comply with applicable Florida Statutes. 1
Table of Contents Part I GENERAL INFORMATION PAGE 1-1 Definitions 3 1-2 Purpose 3 1-3 Issuing Office, Date and Location of Opening 3 1-4 Request for Proposal 3 1-5 Contract Awards 3 1-6 Development Costs 4 1-7 Inquiries 4 1-8 Timetable 4 1-9 Delays 5 1-10 Submission and Withdrawal 5 1-11 Addenda 6 1-12 Equal Opportunity 6 1-13 Oral Presentations 7 1-14 News Releases 7 1-15 Insurance 7 1-16 Public Entity Crimes 7 Part II DESCRIPTION OF NORTHWEST FLORIDA WATER MANAGEMENT DISTRICT 8 Part III SCOPE OF SERVICES 9 Part IV_INSTRUCTIONS FOR PREPARING PROPOSALS 4-1 Rules for Proposals 10 4-2 Acknowledgment 12 4-3 Proposal Format 13 4-4 Vendor Checklist 14 Part V EVALUATION OF PROPOSALS 5-1 Evaluation Criteria 15 2
GENERAL INFORMATION PART I 1-1 DEFINITIONS For the purpose of this RFP, "respondent" shall mean contractors, vendors, consultants, respondents, organizations, firms or other persons submitting a response to this RFP. 1-2 PURPOSE This RFP provides guidelines for the submission of proposals for the project entitled: District Inspector General - Internal Audit Services. Pursuant to the provisions of 373.079(4)(b)2., the Northwest Florida Water Management District must employ an Inspector General who must have the qualifications prescribed and perform the applicable duties of state agency inspectors general as provided in s. 20.055, Florida Statutes. 1-3 ISSUING OFFICE, DATE AND LOCATION OF OPENING Division of Administration Northwest Florida Water Management District 81 Water Management Drive Havana, Florida 32333 Hereinafter referred to as the "District". THE DISTRICT MUST RECEIVE ALL PROPOSALS BY 2:00 P.M. ET ON JUNE 12, 2012 1-4 REQUEST FOR PROPOSALS The District solicits proposals to select a person or firm to perform the duties of Inspector General for a contract period up to 6 years renewable on an annual basis. 1-5 AWARDS The District anticipates entering into a contract with the respondent who submits the proposal judged by the District to be most advantageous. The District anticipates awarding one contract that is in its best interest. The respondent understands that this RFP does not constitute an agreement or a contract with the District. An official contract or agreement is not binding until proposals are reviewed and accepted by appointed staff, approved by the Governing Board and the contract or agreement is executed by both parties. 3
The District reserves the right to reject any and all proposals, to negotiate with highly qualified respondents, to waive any informalities of a minor nature, and to solicit and re-advertise for other proposals. Mistakes clearly evident on the face of the proposal documents, such as computation errors, may be corrected by the District. All proposals are subject to the approval of the Northwest Florida Water Management District Governing Board at a duly noticed Board meeting. Notice of a contract award shall be posted in the office of the Agency Clerk, the State Vendor Bid System and the District s website. Failure to file a protest within the time prescribed in Section 120.57(3), Florida Statutes, shall constitute a waiver of the proceedings under Chapter 120, Florida Statutes. 1-6 DEVELOPMENT COSTS Neither the District nor its representatives shall be liable for any expenses incurred in connection with the preparation of a response to this RFP. Respondents should prepare their proposals simply and economically, providing a straightforward and concise description of the respondents' ability to meet the requirements of the RFP. 1-7 INQUIRIES The District encourages interested parties to contact the District to discuss this RFP. Jean Whitten, Project Manager, will receive questions concerning this RFP at (850) 539-5999, from 8:30 A.M. to 5:00 P.M. ET weekdays, from the date of this release through June 12, 2012. The District will provide written answers to substantive questions in the form of an addenda. If issued, the District will post written addenda on the State of Florida Vendor Bid System and the District s website at least seven calendar days before the proposal opening date. All respondents should contact the District or visit the website at least seven days before the proposal opening date to ascertain whether any addenda have been issued. 1-8 TIMETABLE The District and respondents shall adhere to the following schedule in all actions concerning this RFP. A. On May 31, 2012 the District issues the RFP. B. From May 31, 2012 to June 12, 2012, the District will receive and answer inquiries (received by telephone and/or by mail). C. The District must receive the proposals by the 2:00 P.M. ET opening time on June 12, 2012. D. From opening time the District will review and qualify the proposals on a timely basis. E. The Governing Board will evaluate the proposals during a presentation by District staff at the Governing Board meeting to be held on June 28, 2012 at the District headquarters. 4
F. The District may enter into a contract after conducting negotiations and obtaining appropriate Governing Board direction. 1-9 DELAYS The District may delay scheduled due dates if it is to the advantage of the District to do so. The District will post all changes in scheduled due dates by written notice posted on the State of Florida Vendor Bid System website at: http://vbs.dms.state.fl.us/vbs, and the District s website at www.nwfwmd.state.fl.us. 1-10 SUBMISSION AND WITHDRAWAL The District will receive proposals at the following address: Northwest Florida Water Management District Attn: Agency Clerk 81 Water Management Drive Havana, Florida 32333 Please be advised that mail delivery to the District is not always by 2:00 p.m. ET. For deliveries via courier service, please use the address below: Northwest Florida Water Management District U.S. Highway 90 West, 3 miles North of I-10 at Midway To facilitate processing, the face of the envelope shall state in capital letters: "SEALED PROPOSAL (INTERNAL AUDIT SERVICES - DISTRICT INSPECTOR GENERAL) TO BE OPENED JUNE 12, 2012, 2:00 P.M. ET AT THE HEADQUARTERS OF THE NORTHWEST FLORIDA WATER MANAGEMENT DISTRICT." The envelope shall also include the respondent's return address. Envelopes received but not properly marked may not be considered. Respondents shall submit three copies of the proposal in a sealed, opaque envelope marked as noted above. The respondent may submit the proposal in person, by courier, or by mail. THE DISTRICT MUST RECEIVE ALL PROPOSALS BY 2:00 P.M. ET ON JUNE 12, 2012. The District cautions respondents to assure actual delivery of mailed or hand delivered proposals directly to the District's Division of Administration prior to the deadline set for opening. Telephone confirmation of timely receipt of the proposal may be made by calling (850) 539-5999 and asking for the Agency Clerk before the proposal opening time. Proposals received after the established deadline will not be considered. Receipt of a proposal by any District office or personnel other than the District receptionist or the Division of Administration does not constitute "delivery" as required by this RFP. 5
A respondent may withdraw a proposal by notifying the District in writing at any time prior to the opening. Respondents may withdraw proposals in person or through an authorized representative. Respondents and authorized representatives must disclose their identity and provide a signed receipt for the proposal. Proposals, once opened, become the property of the District and will not be returned to the respondents. Upon opening, proposals become "public record" and shall be subject to public disclosure consistent with Chapter 119, Florida Statutes. Respondents must invoke the exemptions to disclosure provided by law in the response to the RFP by providing the specific statutory authority for the claimed exemption, identifying the data or other materials to be protected, and stating the reasons why such exclusion from public disclosure is necessary. Proposals will be made available for inspection at the time the District posts notice of its decision or intended decision concerning contract awards, or ten (10) working days after the proposal opening, whichever is earlier. 1-11 ADDENDA If revisions become necessary, the District will post the written addenda on the State of Florida Vendor Bid System website at: http://vbs.dms.state.fl.us/vbs, and the District s website at www.nwfwmd.state.fl.us. All addenda issued by the District will include a receipt form which must be signed and included with any proposals that are submitted to the District. In the event multiple addenda are issued, a separate receipt for each addendum must be included with the proposal at the time it is submitted to the District. 1-12 EQUAL OPPORTUNITY The District recognizes fair and open competition as a basic tenet of public procurement. Respondents doing business with the District are prohibited from discriminating on the basis of race, color, creed, national origin, handicap, age or sex. It is the policy of the District to ensure that qualified respondents wishing to participate in the procurement process have the maximum opportunity to compete and perform on District contracts. The District encourages participation by minority and women business enterprises (MBE/WBE) and requests MBE/WBEs to submit evidence of such certification with their proposals. For further information on certification as a minority business enterprise, prospective respondents may contact the Florida Department of Management Services, Division of Purchasing. An entity or affiliate who has been placed on the discriminatory vendor list may not submit a bid, proposal, or reply on a contract to provide any goods or services to a public entity; may not submit a bid, proposal, or reply on a contract with a public entity for the construction or repair of a public building or public work; may not submit bids, proposals, or replies on leases of real property to a public entity; may not be awarded or perform work as a contractor, supplier, subcontractor or consultant under a contract with any public entity; and may not transact business with any public entity. 6
1-13 ORAL PRESENTATIONS At its discretion, the District may require any respondent to make an oral presentation of the proposal. These presentations provide an opportunity for the respondent to clarify the proposal for the District. The District will schedule any such presentations. 1-14 NEWS RELEASES The respondent should obtain the prior approval of the District for all news releases or other publicity pertaining to this RFP or the service, study or projects to which it relates. 1-15 INSURANCE The respondent, if awarded a contract, shall maintain insurance coverage reflecting the amounts and conditions specified. In the event the respondent is a governmental entity or a self-insured organization, different insurance requirements may apply. Misrepresentation of any material fact, whether intentional or not, regarding the respondent's insurance coverage, policies or capabilities may be grounds for rejection of the proposal and rescission of any ensuing contract. 1-16 PUBLIC ENTITY CRIMES "A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit bids on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under a contract with any public entity, and may not transact business with any public entity in excess of the threshold amount provided in Section 287.017, for CATEGORY TWO for a period of 36 months from the date of being placed on the convicted vendor list." 7
DESCRIPTION OF NORTHWEST FLORIDA WATER MANAGEMENT DISTRICT PART II The Northwest Florida Water Management District (NWFWMD) is an Independent Special District created by State under chapter 373 it is one of five Water Management Districts. The District stretches from the St. Marks River basin in Jefferson County to the Perdido River in Escambia County. Sixteen counties lie within the Northwest Florida Water Management District. They include Bay, Calhoun, Escambia, Franklin, Gadsden, Gulf, Holmes, Jackson, Leon, Liberty, Okaloosa, Santa Rosa, Wakulla, Walton and Washington counties and the westernmost portion of Jefferson County. The District has four public office facilities strategically located to provide convenient access to the public within its 16 county area. The Headquarters office is located in Midway (US highway 90, 3 miles north of I-10) and field offices are located in Marianna, Tallahassee, and Crestview. In addition to the public access field offices, working facilities are located in Youngstown and Milton. A nine member Governing Board appointed by the Governor and confirmed by the Florida Senate, guides District activities. Board members serve four-year terms without compensation and may be reappointed. An Executive Director oversees the District staff that includes hydrologists, geologists, biologists, engineers, planners, foresters, land managers and various administrative personnel. The Northwest Florida Water Management District has 115 authorized full time positions. In addition, the District employs approximately 15 part time students. Included in the 115 positions are twelve senior management positions filling classified positions of Bureau Chief (7), Division Director (4) and Executive Director (1). The General Counsel and Inspector General functions are provided through contractual services. All fulltime employees participate in the Florida Retirement System. The Northwest Florida Water Management District s fiscal year begins October 1 and extends through September 30. The budget process includes statutorily required Public Hearings on the proposed budget and millage rates and the adoption of the Budget by a Resolution of the Governing Board. In addition to the traditional budget, presented and adopted in compliance with s. 200.065 (millage), s. 189.418 (special districts) and s. 373.536 (water management district budget process), the District is required, pursuant to s. 373.536(5)(a), to submit a tentative budget to the Governor s Office and Legislature on August 1 in a standard format. 8
SCOPE OF SERVICES PART III The Northwest Florida Water Management District is soliciting the services of a qualified person or firm to serve as the District's Inspector General on an independent contract basis, not to exceed 175 hours for Fiscal Year 2011-12 and 350 hours per District fiscal year thereafter for internal audit services. In addition, on an as needed basis, the Inspector General will receive complaints and carryout the investigative duties and responsibilities required under s. 20.055 (6), F.S (Whistle-blowers Act). The Fiscal Year 2011-12 Fiscal year audit must be complete no later than December 7, 2012. Work papers will be shared with the District s financial audit firm. The contract can be renewed on an annual basis for 5 additional years and maybe terminated in writing by either party. An appropriately worded "Engagement Letter" may serve in lieu of a contract document. The selected firm/individual must possess the following qualifications pursuant to 20.055(4), Florida Statutes: (a) (b) (c) A bachelor's degree from an accredited college or university with a major in accounting, or with a major in business which includes five courses in accounting, and 5 years of experience as an internal auditor or independent post-auditor, electronic data processing auditor, accountant, or any combination thereof. The experience shall at a minimum consist of audits of units of government or private business enterprises, operating for profit or not for profit; or A master's degree in accounting, business administration, or public administration from an accredited college or university and 4 years of experience as required in paragraph (a); or A certified public accountant license issued pursuant to chapter 473 or a certified internal audit certificate issued by the Institute of Internal Auditors or earned by examination, and 4 years of experience as required in paragraph (a). Specific activities will be determined by an annual audit plan developed by the selected firm/individual (District Inspector General) and coordinated with District staff and the Governing Board. The Governing Board may direct other audit related activities to be performed as designated on a case by case basis. 9
INSTRUCTIONS FOR PREPARING PROPOSALS PART IV 4-1 RULES FOR PROPOSALS A. COMPLIANCE All proposals must comply with applicable Florida Statutes, laws and rules. B. ENVELOPE REQUIREMENTS One copy of each proposal must be submitted in a sealed opaque envelope. The face of the envelope shall state in capital letters: "SEALED PROPOSAL (INTERNAL AUDIT SERVICES - DISTRICT INSPECTOR GENERAL) TO BE OPENED June 12, 2012, 2:00 P.M. EST AT THE HEADQUARTERS OF THE NORTHWEST FLORIDA WATER MANAGEMENT DISTRICT." C. DELIVERY RESPONSIBILITIES The District cautions respondents to assure actual delivery of mailed or hand delivered proposals directly to the District's Division of Administration prior to the deadline set for opening. Telephone confirmation of timely receipt of the proposal may be made by calling (850) 539-5999 and asking for the Agency Clerk before the proposal opening time. Proposals received after the established deadline will not be considered. Proposals by telegram, telephone or fax will not be acceptable. The Northwest Florida Water Management District is located in the Eastern Time Zone, approximately three (3) miles west of Interstate 10 on U.S. Highway 90 at Midway. Please be advised that mail delivery to the District is not always by 2:00 P.M. ET. D. DISTRICT FORMS When included, all proposals shall be submitted on forms supplied by the Northwest Florida Water Management District. E. CONFLICT OF INTEREST The award hereunder is subject to Chapter 112, Florida Statutes. All respondents shall disclose with their proposal the name of any officer, director, board member or agent who is also an employee of the State of Florida, or any of its agencies. Further, all respondents shall disclose the name of any state employee or any board member or employee of the District who owns directly or indirectly an interest of ten percent (10%) or more in the respondent's firm, subsidiaries or branches. 10
F. TAX EXEMPT The District is not subject to Florida sales tax or to any federal excise taxes on all sales made directly to the District, and neither shall be included in the proposal price. Tax exemption forms will be supplied to the successful respondent upon request. G. TRANSPORTATION Any transportation or other charges incurred in the delivery of the product or service as specified must be included in the price. H. COSTS All costs whether direct or indirect which will be ultimately paid by the District must be included in the price. Any indirect, overhead, profit margin or other such costs, however named, which are reflected as a percentage figure must also be identified in a dollar amount and included in the proposal price. The anticipated contract award will be a deliverable based payment contract to be negotiated between the District and awarded Contractor. 11
4-2 ACKNOWLEDGMENT I, the undersigned, having read all parts of this Request for Proposals, PROPOSAL NUMBER 12-002, and having a comprehensive understanding of all provisions, rules, requirements, restrictions, etc. contained herein, agree to same and respectfully submit the proposal contained herein. Authorized Signature Position or Title Typed Name of Above Signature Agency or Company The Agency Clerk of the Northwest Florida Water Management District may reject unsigned proposals. N. Jean Whitten, Agency Clerk Northwest Florida Water Management District 12
4-3 PROPOSAL FORMAT If you are interested in serving as the Northwest Florida Water Management District's Inspector General, conducting internal audit functions for the District, please provide the following information in as succinct a format as possible: a) name, and business address (must be physically located within a daily working distance commute to the District headquarters); b) information on the principal; 1. Formal qualifications 2. Experience 3. Number of principal and support staff c) information on staff designated to conduct the internal audit functions for the District; 1. Individual's Name 2. Formal qualifications 3. Experience d) an indication of the current and projected workload of your firm as it relates to your ability to perform internal audit functions and complete assignments in a timely manner; e) a list of pertinent references, including names, addresses and telephone numbers; f) evidence if you are a Minority Business; g) evidence of meeting the minimum qualifications as required in chapter 20.055, F.S., h) any other materials or information that might assist the District in evaluating your qualifications. 13
4-3 VENDOR CHECK LIST Please review this checklist to ensure that you have properly followed the instructions. Many Bids and Proposals are rejected due to the respondent simply failing to comply with required preparation and submission requirements. Did you submit your response on forms found in the invitation package (if forms were provided and required)? Have you performed a final review of your response to ensure you included all required documentation? Have you verified all amounts to ensure that they are complete and accurate? Have you provided evidence of your Minority Business status, if applicable? Vendor Registration Form provided. Have you signed the Acknowledgment form on page 12 and included it in your package? IS YOUR ENVELOPE PROPERLY MARKED? See Page 5 of the RFP for further details. Most rejected proposals are caused by the respondent failing to properly mark their package. All incoming correspondence is opened when received unless properly marked for a specified opening date and time. If your proposal is opened prior to the designated date and time, it cannot be considered. Have you selected the method of shipping that will ensure that your proposal will arrive before the deadline. Proposals received after the date and time specified will not be considered. 14
EVALUATION OF PROPOSALS PART V Priority consideration will be given to firms/individuals with prior experience in the audit of Special Districts created under Chapter 189, F.S. and the specific requirements of Chapter 373, F.S. Price will not be the sole or predominant factor in the evaluation of the proposals to assure that highly qualified firms/individuals receive consideration. Once determined qualified, evaluation of the submitted proposal materials will be conducted by the Governing Board of the Northwest Florida Water Management District using the criteria listed below: a) Qualifications of principal & personnel (20%) b) Experience (20%) c) Ability to furnish the required services based on timing and staff availability (15%) e) Hourly rate(s) (total hours shall not exceed 350 hours per fiscal year) (10%) f) Location in relation to headquarters (15%) g) References (15%) h) Minority Business Designation (5%) 15