SOLICITATION NOTICE
R -- SSAE-16 Type I Audit and Report
- Notice Date
- 3/10/2011
- Notice Type
- Combined Synopsis/Solicitation
- NAICS
- 541211
— Offices of Certified Public Accountants
- Contracting Office
- Equal Employment Opportunity Commission, Office of the Chief Financial Officer, Acquisition Services Division, 131 M Street, NE, 6th Floor, Washington, District of Columbia, 20507, United States
- ZIP Code
- 20507
- Solicitation Number
- RFQ0026-11
- Point of Contact
- Anthony R Price, Phone: (202) 663-4218
- E-Mail Address
-
anthony.price@eeoc.gov
(anthony.price@eeoc.gov)
- Small Business Set-Aside
- Total Small Business
- Description
- This is a combined synopsis/solicitation for commercial items/services prepared in accordance with the format in Federal Acquisition Regulation (FAR) Part 12, Subpart 12.6, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation. Quotations are being requested and a written solicitation will not be issued. This solicitation is being issued as a Request for Quotation (RFQ) No. 0026-11, and is in accordance with Federal Acquisition Regulation (FAR) Part 12.6, Acquisition of Commercial Items. This solicitation document and incorporated provisions and clauses are those in effect through FAC 2005-48, effective January 31, 2011. This solicitation is set-aside for small business. The North American Industry Classification System (NAICS) Code for this requirement is 541211. The Small Business Size Standard is 8.5 million dollars. The U.S. Equal Employment Opportunity Commission (EEOC), Revolving Fund Division has a requirement for a contractor to provide a SSAE-16 Type I Audit and Report. The Government contemplates the award of a Firm-Fixed Price (FFP) contract. SCHEDULE OF SUPPLIES AND SERVICES. The quotation package shall include the following line items in a written quotation: Contract Line Item Number (CLIN) 0001, Base Year - SSAE-16 Type I Audit and Report - Quantity 1 year (see requirement specification below), Unit Price $_______, Total Price for Base Year for CLIN 0001 $________. OPTION PERIODS: CLIN 0002, Option Year 1 - SSAE-16 Type I Audit and Report - Quantity 1 year (see requirement specification below), Unit Price $_______, Total for CLIN 0002 $________; CLIN 0003, Option Year 2 - SSAE-16 Type I Audit and Report - Quantity 1 year (see requirement specification below), Unit Price $_______, Total for CLIN 0003 $_______. Total Price for Base Plus Option Years CLINs 0001 through 0003 $ ________. I. INTRODUCTION The US Equal Employment Opportunity Commission (EEOC) enforces the Federal laws prohibiting job discrimination in both the private and federal sectors--Title VII of the Civil Rights Act, as amended, the Age Discrimination in Employment Act, The Genetic Information Nondiscrimination Act of 2008 (GINA), The Americans with Disabilities Act Amendments Act of 2008, the Equal Pay Act, Title I and Title V of the Americans with Disabilities Act, Section 501 and 505 of the Rehabilitation Act, and the Civil Rights Act of 1991. EEOC also provides oversight and coordination of all Federal equal employment opportunity regulations, practices and policies. The EEOC - Revolving Fund Division (RFD) was created to broaden the EEOC's education, outreach and technical assistance programs by providing fee-based programs to EEOC stakeholder groups. The RFD (d.b.a The EEOC Training Institute), hereinafter referred to as the INSTITUTE, generates its revenue from the fee-based products and services offered to Federal, State, and Local government and Private employers and employees. The INSTITUTE offers a wide range of products and services to include seminars, webinars, courses and conferences and on-site customer-specific training programs. KINSAIL Corporation is the service provider for the INSTITUTE's Payment and Registration System. EQUINIX is KINSAIL's data provider. In addition, EQUINIX is the data provider for the Agency's financial system (Momentum). EQUINIX has a valid SAS 70 Type 2 audit, KINSAIL does not have a valid SAS 70 Type 2 audit. Therefore, the audit will be limited to KINSAIL Corporation operations as it relates to the INSTITUTE's payment and registration system. II. BACKGROUND The INSTITUTE has a requirement for a contractor to conduct a Statement of Standards for Attestation Engagements (SSAE-16) Type I audit on KINSAIL Corporation's internal controls of the INSTITUTE's Payment and Registration System and to provide the INSTITUTE with a copy of the SSAE-16 report. The Agency is seeking this report for one base year and 2 one year option periods. The INSTITUTE is required to monitor and control all financial transactions and to ensure that the funds received by the INSTITUTE reconcile with both U.S. Treasury and the EEOC's financial system. In addition, the INSTITUTE is required to monitor controls of systems and procedures for handling personal information and to ensure that this information is properly safeguarded. KINSAIL is responsible for all payments and registration forms for EEOC training events. KINSAIL receives payment and registration documents from attendees by fax, mail or electronically via the INSTITUTE website. The INSTITUTE accepts payments by check, credit card, or purchase order. Purchase orders are only accepted from Federal, State or Local government agencies. The SSAE-16 Type I report needs to focus on KINSAIL's internal control systems related to the processing of both on-line and paper registration forms and payments received by mail, fax and/or phone and KINSAIL's system related to the invoice of purchase orders which was described above. III. PURPOSE AND OBJECTIVE The SSAE-16 Type I Report is used to fulfill the EEOC's OMB A-123/FMFIA requirements to assess the adequacy of KINSAIL's internal controls and to meet the requirements of EEOC's annual financial statement audit. The annual audit requires a report prepared under the professional standards of the American Institute of Certified Public Accountants (AICPA) SSAE-16 Type I report for KINSAIL which, as previously stated, is a service provider to the INSTITUTE at the EEOC. This SSAE-16 Type I report is considered an integral and necessary part of the EEOC's annual financial statement audit. IV. SCOPE OF WORK Contractor will perform a SSAE-16 Type I audit to assess the adequacy of the internal controls of KINSAIL, LLC as it relates to the EEOC's RFD program and operation. In addition, the contractor will provide a copy of the audit report to EEOC which includes an auditor's opinion on the internal controls as they relate to the control objectives relevant to the services provided by KINSAIL. EQUINIX is KINSAIL's data provider under this contract and EQUINIX is also the data provider for the EEOC Momentum system administered by National Business Center/Department of Interior (NBC/DOI). EQUINIX has a current SAS70 Type II audit; therefore the scope of this SSAE-16 Type I audit shall be limited to KINSAIL's operations using the carve-out clause within the SSAE guidelines. This work shall be performed in strict compliance with all rules and regulations of the American Institute of Certified Public Accountants (AICPA) rules and standards established by Statement on Standards for Attestation Engagement (SSAE) 16, for a Type I report. The lead auditor must be a Certified Public Accountant (CPA). A SSAE-16 Type I report provides an opinion of the internal controls as they relate to the control objectives relevant to the services provided by a third party vendor (KINSAIL). A SSAE-16 Type I report determines whether such controls were placed in operation as of a specified date in time and would be acceptable for use in the Fiscal Year requested. The Type I Report is made up of 3 major areas, per the SSAE No. 16 Guidance: A. A description of the service organization's system prepared by KINSAIL (the service organization being audited). KINSAIL will need to prepare a description of the control objectives that are in place and being tested at their organization, as it relates to the process that is being reviewed for use by the INSTITUTE. This will describe the process and how the control objectives tie in to each other and the process as a whole, giving the INSTITUTE an overview of what and how, at a high level, their data will be handled. B. A written assertion by KINSAIL's management about whether, in all material respects, and based on suitable criteria: 1. The description of the service organization's system fairly presents the service organization's system that was designed and implemented as of a specified date. 2. The controls related to the control objectives stated in the description were suitably designed to achieve those control objectives as of the specified date. KINSAIL's Management will need to prepare a written assertion attesting to the fair presentation and design of controls. C. A service auditor's report that expresses an opinion on the matters in B1and B2. 1. The contractor performing the testing will need to review KINSAIL's assessment of the design of controls and attest to the validity of KINSAIL's opinion. The auditors will examine the control objectives and control activities in place at KINSAIL's office and verify they are, in fact, designed as KINSAIL noted. This is where the auditors will obtain a representative sample (per Generally Accepted Auditing Standards) of control activities and objectives to support each control activity and express the result of their testing. 2. The reports must provide the auditor's assessment concerning the controls systems at KINSAIL that affect the security, availability, and processing integrity of the KINSAIL system to process users' data and the confidentiality and privacy of the information processed by the service organization. This includes: o The processing of financial data which would include but not be limited to cash, checks, credit cards, and government purchase orders. o The handling and safe-guarding all financial and personal information on Training Institute attendees. The SSAE-16 Type I Report must be provided to the EEOC each Fiscal Year (FY) no later than (NLT) June 30th. It will cover the current Federal Fiscal Year. V. WORK TO BE PERFORMED: A. Pre-Audit Field Work includes: - The contractor sends the auditee (KINSAIL) auditor a Prepared by Client (PBC) list, according to the established Generally Accepted Auditing Standards (GAAS), which consists of documents and other deliverables that must be prepared prior to commencement of the SSAE-16 Type I fieldwork that will be valid for the current fiscal year of the Federal Government. - The contractor conducts field work according to standards established by Auditing Standards Board (ASB) and holds an in-depth meeting with the KINSAIL (the service organization being audited) to discuss findings. - Preparation of the initial draft report begins, with collaborative effort from KINSAIL, ultimately leading to the generation of final SSAE-16 Type I Service Auditor's report. - Final closing meeting between contractor, and EEOC to discuss final SSAE-16 Service Auditor's Report. - Additionally, the report must be able to cover the requirements for the EEOC annual audit for SSAE-16 reports for the Fiscal Year. B. The audit report must include the following components: - Section One - Independent Service Auditor's Report (a.k.a. The Auditor's Opinion Letter). - Section Two - The service organization's description of controls, including a description of the service organization and its services. This section also includes a description of the control environment, risk assessment process, general and application controls, monitoring procedures and information and communication systems overview. User control considerations are also inserted into the description of controls in order that user organizations are aware of controls for which they are responsible as a user of the service. - The SSAE-16 requires the service auditor to assess whether management of KINSAIL has used suitable criteria in: • Preparing the description of the service organization's system. In making this assessment, the service auditor should determine if the criteria includes, at a minimum, management's description of the service organization's system; • Presents how the service organization's system was designed and implemented, including (if applicable): (1) the types of services provided; (2) the classes of transactions processed; (3) the procedures within both automated and manual systems by which services are provided and by which transactions are initiated, authorized, recorded, processed, corrected (as necessary), and transferred to the reports and other information prepared for user entities; (4) the related accounting records and supporting information involved in initiating, authorizing, recording, processing, and reporting transactions; (5) how the service organization's system captures and addresses significant events and conditions (other than transactions); (6) the process used to prepare reports and other information for user entities; (7) the specified control objectives and controls designed to achieve those objectives, including complementary user entity controls contemplated in the design of the service organization's controls; and (8) other aspects of the service organization's control environment, risk assessment process, information and communication systems, control activities, and monitoring controls that are relevant to the services provided. • Includes relevant details of changes to the service organization's system during the period covered by the description (as in the case of a type 2 report); and does not omit or distort information relevant to the service organization's system, while acknowledging that the description of the service organization's system is prepared to meet the common needs of a broad range of user entities and their auditors. • Evaluates whether controls were suitably designed to achieve the control objectives stated in management's description. In making this assessment, the service auditor should determine if the criteria include, at a minimum, whether Kinsail has identified the risks that threaten the achievement of the control objectives stated in its description of the service organization's system; and identifies controls that would, if operating as described, provide reasonable assurance that those risks would not prevent the control objectives stated in the description from being achieved. - Section Three - Other information provided by management of the service organization, such as management's response to testing exceptions. This unaudited section of the report is optional and does not appear in all reports. C. The SSAE-16 Type 1 Report must provide an independent auditor's opinion on KINSAIL's control systems based on the requirements of the SSAE. The report must provide a description of KINSAIL's control environment including the control objectives and processes currently implemented by KINSAIL. In addition, the auditor's report must include recommendations on controls and processes for future implementation. VI. KEY PERSONNEL The contractor shall provide a qualified person who will be designated as key to perform all requirements specified within this RFQ. The lead auditor must be a Certified Public Accountant (CPA) with experience auditing Federal government agencies or Federal government contractors. The lead auditor has 3 or more years experience performing SAS 70 or SSAE -16 audits for Federal agencies or Federal contractors who perform services for the Federal agencies. Before changing an individual identified as Key, the contractor shall notify the Contracting Officer no later than ten (10) business days before the change and shall submit written justification (including the name and qualifications) of the proposed substitute. The proposed substitute shall possess qualifications equal to or superior to those of the key person being replaced. The contractor shall not substitute key personnel without written consent from the Contracting Officer. VII. PERIOD OF PERFORMANCE The period of performance is from the date of contract award through a 12 month base period with 2 one year option periods. VIII. OPTION TO EXTEND THE TERM OF THE CONTRACT A. The Government may extend the term of this contract by written notice to the Contractor no later than thirty (30) days before the end of the contract period; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension. If the Government exercises this option, the extended contract shall be considered to include the option clause. B. The total duration of this contract, including the exercise of any options under this clause, shall not exceed 36 months. IX. PLACE OF PERFORMANCE The place of performance for the resultant contract shall be at the contractor site. X. DELIVERABLES Two printed copies of the final signed copy of SSAE-16 Type I report and a PDF copy of the report are to be delivered to the EEOC Not Later Than (NLT) June 30, 2011 for the base year and June 30th of each of the subsequent option year. The SSAE-16 must be signed by a Certified Public Accountant (CPA). XI. PAYMENT AND BILLING Method of Payment Pursuant to FAR Clause 52.232-33, Entitled, "Payment By Electronic Funds Transfer-Central Contractor Registration (Oct 2003)", the Government's method of payment for work authorized is by electronic funds transfer. Invoice Instructions The contractor shall submit one complete invoice each month which addressed the work performed. Each invoice shall contain, at a minimum, the following information: the contract/order number, invoice number and a description of services performed. The invoice will be considered to be the date that a proper invoice is received by the payment office. The contractor shall submit the original invoice to the following address: National Business Center EEOC Processing Attn: TBD 7301 W. Mansfield Avenue Mail Stop D-2735 Denver, CO 809235-2230 Telephone Number (TBD) The contractor shall submit a duplicate invoice to the COTR at the following address: U.S. Equal Employment Opportunity Commission Revolving Fund Division 131 M Street, N.E. Rm. TBD Washington, DC 20507 Attn: TBD Telephone Number (TBD) XII. CONTRACT ADMINISTRATION INFORMATION ******is appointed as the Contracting Officer Technical Representative (COTR). The COTR is not authorized to make commitments or change any of the terms and conditions from the contract resulting from this RFQ. *Note: The COTR under the resulting contract vehicle shall be designated at the time of award. Your quotation in response to RFQ0026-11 is due on Thursday, March 17, 2011, by 10:00 a.m. Submission must be sent to the following mailing address: U. S. Equal Employment Opportunity Commission, Acquisition Services Division, 131 M Street, N.E., Room 4SW20A, Washington, DC 20507, ATTN: Anthony Price, Contracting Officer. A quotation submitted electronically, (via e-mail) to anthony.price@eeoc.gov will be accepted. Questions regarding this request for quotation should be submitted to Anthony Price, Contracting Officer, via e-mail at anthony.price@eeoc.gov. Telephone inquiries or responses are not acceptable. The deadline for submission of questions regarding RFQ0026-11 is Monday, March 14, 2011, at 10:00 a.m. The Government will not reimburse interested parties for any cost associated with responding to this business opportunity. All responsible sources may submit a quotation which shall be considered by the EEOC. The anticipated contract award date is on or before March 30, 2011. Notice: The prospective contractors must be registered in the Central Contractor Registration (CCR) database prior to award of the resulting contract. Registration is free and can be completed on-line at http://www.ccr.gov. Basis for Award: Award will be made to the quoter determined to be the Best Value to the Government, using the Lowest Price Technically Acceptable (LPTA) approach. Evaluation factor for award: The EEOC will use the following factors to evaluate quotes. Quotations will be rated on a go or no-go basis using the following LPTA factors: Technical Capability, Key Personnel, Availability of Dates and Past Experience. Factor 1: Technical Capability - Contract Requirements: Standard: QUOTER's quotation must meet the procurement requirements outlined in the combined synopsis/solicitation. QUOTER's quotation response must meet the certifications of the SSAE-16 requirements issued by the International Auditing and Assurance Standards Board (IAASB). All quoters's shall provide evidence that they meet the acceptable IAASB certifications with their quotation response. Standard: Factor 2: Key Personnel Requirements: Standard: The quoter must provide evidence, such as resume(s), a vita or other professional documentation which describes the experience for each person listed as key personnel. Quotations responses will be evaluated on the experience of the lead auditor. The lead auditor must be a Certified Public Accountant (CPA) with experience auditing Federal government agencies or Federal government contractors. The lead auditor has 3 or more years experience performing SAS 70 or SSAE -16 audits for Federal agencies or Federal contractors who perform services for the Federal agencies. Resumes, vita or professional experience documentation must be limited to two pages for each individual listed as key personnel for this contract. Factor 3: Availability of dates: Standard: Quotation response will be evaluated on the ability of the quoter to provide the required services during the period of performance and issue the audit report NLT the requested date (June 30, 2011). The quoter must confirm that they can perform the required audit and submit the required report for the base year and all option years of the contract listed in the SOW. Factor 4. Past Experience: Standard: The quoter must provide evidence that it has successfully performed a minimum of three (3) references of past experience for the same or similar projects awarded within the past three (3) years. Information for each reference shall include the following: 1. Name and address of government agency or other non-government client; 2. Name, title and telephone number of Contracting Officer or point of contact; 3. Name, title and telephone number of client's program or project manager, if applicable; 4. Contract number, period of performance, and dollar value of contract, and 5. Description of services provided. XIII. EVALUATION OF PRICE Once the quotes have been determined to be technically acceptable, award will be based on lowest price, inclusive of the option years. XIV. EVALUATION OF OPTIONS Except when it is determined in accordance with FAR 17.206(b) not to be in the Government's best interests, the Government will evaluate quotations for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation of options will not obligate the Government to exercise the option(s). The provisions at 52.212-1, Instructions to Offerors-Commercial Items applies to this solicitation. The provision at 52-212-2, Evaluation-Commercial Items applies to this solicitation. The quoter shall include a completed copy of the provisions at 52.212-3, Offeror Representations and Certifications-Commercial Items with his/her quote. The website for providing this information and from which a copy can be printed is https://orca.bpn.gov/. FAR clauses 52.212-4, Contract Terms and Conditions-Commercial Items, is incorporated by reference. Clause 52.217-9, Option to Extend the Term of the Contract; Clause 52.219-6, Notice of Total Small Business Set-Aside, Clause 52.222-3, Convict Labor, Clause 52.222-19, Child Labor Cooperation With Authorities and Remedies, Clause 52.222-21, Prohibition of Segregated Facilities, Clause 52.222-26, Equal Opportunity, Clause 52.222-36, Affirmative Action for Workers with Disabilities, Clause 52.222.50, Combating Trafficking in Persons, Clause 52.225-13, Restrictions on Certain Foreign Purchases, Clause 52.232-33, Payment by Electronic Funds Transfer- Central Contractor Registration, Clause 52.233-3, Protest After Award, Clause 52.233-4, Applicable Law for Breach of Contract Claim, are incorporated by reference in accordance with FAR 52.212-5, Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items. To obtain the above provision/clauses in full text, please visit https://www.acquisition.gov/far/index.html. Method of Payment: Electronic Funds Transfer (EFT).
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- Place of Performance
- Address: Contractor Site, United States
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