REQUEST FOR PROPOSALS

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REQUEST FOR PROPOSALS Provision of External Quality Assessment Services Office of Audit and Investigation United Nations Development Programme October, Section 1. Letter of Invitation October 28,
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REQUEST FOR PROPOSALS Provision of External Quality Assessment Services Office of Audit and Investigation United Nations Development Programme October, Section 1. Letter of Invitation October 28, 2016 Subject: RFP for Provision of External Quality Assessment Services of Internal Audit Function, OAI 2016 Dear sir/ Madam, The Office of Audit and Investigations (OAI), United Nations Development Programme (UNDP) hereby invites you to submit a Proposal for the External Quality Assessment (QA) of its Internal Audit Function. This RFP includes the following documents: Section 1 This Letter of Invitation Section 2 Instructions to Proposers (including Data Sheet/Description of Requirements) Section 3 Terms of Reference Section 4 Proposal Submission Form Section 5 Documents Establishing the Eligibility and Qualifications of the Proposer Section 6 Technical Proposal Form Section 7 Financial Proposal Form Section 8 Template of Contract for Professional Services, including General Terms and Conditions Your offer, comprising of a Technical and Financial Proposal, in separate sealed envelopes (one outer and two inner envelopes) plus the soft copy of the Technical Proposal sent to should be submitted in accordance with Section 2. You are kindly requested to submit your sealed envelopes of proposals to UNDP to the following address: United Nations Development Programme One United Nations Plaza, DC1. Room # 423A Attention: Ms. Fatma Ngum Marked with: RFP/UNDP/OAI External Quality Assessment of the Internal Audit Function of OAI. For technical proposal sent to please also marked with RFP/UNDP/OAI External Quality Assessment of the Internal Audit Function of OAI. The Proposal should be received by UNDP no later than 3:30 p.m. New York time, 12 December Your Proposals must be expressed in English language and valid for a minimum period of 120 days. Should you require further clarifications, kindly communicate with the contact person identified in 2 the attached Data Sheet as the focal point for queries on this RFP. UNDP looks forward to receiving your Proposal and thanks you in advance for your interest in UNDP procurement opportunities. Yours sincerely, Helge Osttveiten. Director, OAI, UNDP 3 Section 2: Instruction to Proposers A. GENERAL 1. UNDP hereby solicits Proposals in response to this Request for Proposal (RFP). Proposers must strictly adhere to all the requirements of this RFP. No changes, substitutions or other alterations to the rules and provisions stipulated in this RFP may be made or assumed unless it is instructed or approved in writing by UNDP in the form of Supplemental Information to the RFP. 2. Submission of a Proposal shall be deemed as an acknowledgement by the Proposer that all obligations stipulated by this RFP will be met and, unless specified otherwise, the Proposer has read, understood and agreed to all the instructions in this RFP. 3. Any Proposal submitted will be regarded as an offer by the Proposer and does not constitute or imply the acceptance of any Proposal by UNDP. UNDP is under no obligation to award a contract to any Proposer as a result of this RFP. 4. UNDP implements a policy of zero tolerance on proscribed practices, including fraud, corruption, collusion, unethical practices, and obstruction. UNDP is committed to preventing, identifying and addressing all acts of fraud and corrupt practices against UNDP as well as third parties involved in UNDPactivities. (See y_english_final_june_2011.pdf and https://popp.undp.org/_layouts/15/wopiframe.aspx?sourcedoc=/undp_popp_document_li BRARY/Public/PSU_Procurement%20Overview_Ethics%20and%20Fraud.docx&action=default for full description of the policies). 5. In responding to this RFP, UNDP requires all Proposers to conduct themselves in a professional, objective and impartial manner, and they must at all times hold UNDP s interests paramount. Proposers must strictly avoid conflicts with other assignments or their own interests, and act without consideration for future work. All Proposers found to have a conflict of interest shall be disqualified. Without limitation on the generality of the above, Proposers, and any of their affiliates, shall be considered to have a conflict of interest with one or more parties in this solicitation process, if they: 5.1 Are or have been associated in the past, with a firm or any of its affiliates which have been engaged UNDP to provide services for the preparation of the design, specifications, Terms of Reference, cost analysis/estimation, and other documents to be used for the procurement of the goods and services in this selection process; 5.2 Were involved in the preparation and/or design of the programme/project related to the services requested under this RFP; or 5.3 Are found to be in conflict for any other reason, as may be established by, or at the discretion of, UNDP. 4 In the event of any uncertainty in the interpretation of what is potentially a conflict of interest, proposers must disclose the condition to UNDP and seek UNDP s confirmation on whether or not such conflict exists. 6. Similarly, the Proposers must disclose in their proposal their knowledge of the following : 6.1 That they are owners, part owners, officers, directors, controlling shareholders, or they have key personnel who are family of UNDP staff involved in the procurement functions and/or the Government of the country or any Implementing Partner receiving services under this RFP; and 6.2 All other circumstances that could potentially lead to actual or perceived conflict of interest, collusion or unfair competition practices. Failure of such disclosure may result in the rejection of the proposal or proposals affected by the non disclosure. 7. The eligibility of Proposers that are wholly or partly owned by the Government shall be subject to UNDP s further evaluation and review of various factors such as being registered as an independent entity, the extent of Government ownership/share, receipt of subsidies, mandate, access to information in relation to this RFP, and others that may lead to undue advantage against other Proposers, and the eventual rejection of the Proposal. 8. All Proposers must adhere to the UNDP Supplier Code of Conduct, which may be found at this link: B. CONTENTS OF PROPOSAL 9. Sections of Proposal Proposers are required to complete, sign and submit the following documents: 9.1 Proposal Submission Cover Letter Form (see RFP Section 4); 9.2 Documents Establishing the Eligibility and Qualifications of the Proposer (see RFP Section 5); 9.3 Technical Proposal (see prescribed form in RFP Section 6); 9.4 Financial Proposal (see prescribed form in RFP Section 7); 9.5 Contract for Professional Services, including General Terms and Conditions (see prescribed form in RFP Section 8); 9.6 Proposal Security, if applicable (if required and as stated in the Data Sheet (DS nos. 9 11), see prescribed Form in RFP); 9.7 Any attachments and/or appendices to the Proposal. 10. Clarification of Proposal 10.1 Proposers may request clarifications of any of the RFP documents no later than the date indicated in the Data Sheet (DS no. 16) prior to the proposal submission date. Any request for clarification must be sent in writing via courier or through electronic means to the UNDP address indicated in the Data Sheet (DS no. 17). UNDP will respond in writing, transmitted 5 by electronic means and will transmit copies of the response (including an explanation of the query but without identifying the source of inquiry) to all Proposers who have provided confirmation of their intention to submit a Proposal UNDP shall endeavor to provide such responses to clarifications in an expeditious manner, but any delay in such response shall not cause an obligation on the part of UNDP to extend the submission date of the Proposals, unless UNDP deems that such an extension is justified and necessary. 11. Amendment of Proposals 11.1 At any time prior to the deadline of Proposal submission, UNDP may for any reason, such as in response to a clarification requested by a Proposer, modify the RFP in the form of a Supplemental Information to the RFP. All prospective Proposers will be notified in writing of all changes/amendments and additional instructions through Supplemental Information to the RFP and through the method specified in the Data Sheet (DS No. 18) In order to afford prospective Proposers reasonable time to consider the amendments in preparing their Proposals, UNDP may, at its discretion, extend the deadline for submission of Proposals, if the nature of the amendment to the RFP justifies such an extension. C. PREPARATION OF PROPOSALS 12. Cost The Proposer shall bear any and all costs related to the preparation and/or submission of the Proposal, regardless of whether its Proposal was selected or not. UNDP shall in no case be responsible or liable for those costs, regardless of the conduct or outcome of the procurement process. 13. Language The Proposal, as well as any and all related correspondence exchanged by the Proposer and UNDP, shall be written in the language (s) specified in the Data Sheet (DS No 4). Any printed literature furnished by the Proposer written in a language other than the language indicated in the Data Sheet, must be accompanied by a translation in the preferred language indicated in the Data Sheet. For purposes of interpretation of the Proposal, and in the event of discrepancy or inconsistency in meaning, the version translated into the preferred language shall govern. Upon conclusion of a contract, the language of the contract shall govern the relationship between the contractor and UNDP. 14. Proposal Submission Form The Proposer shall submit the Proposal Submission Form using the form provided in Section 4 of this RFP. 6 15. Technical Proposal Format and Content Unless otherwise stated in the Data Sheet (DS no. 28), the Proposer shall structure the Technical Proposal as follows: 15.1 Expertise of Firm/Organization this section should provide details regarding management structure of the organization, organizational capability/resources, and experience of organization/firm, the list of projects/contracts (both completed and on going, both domestic and international) which are related or similar in nature to the requirements of the RFP, and proof of financial stability and adequacy of resources to complete the services required by the RFP (see RFP clause 18 and DS No. 26 for further details). The same shall apply to any other entity participating in the RFP as a Joint Venture or Consortium Proposed Methodology, Approach and Implementation Plan this section should demonstrate the Proposer s response to the Terms of Reference by identifying the specific components proposed, how the requirements shall be addressed, as specified, point by point; providing a detailed description of the essential performance characteristics proposed; identifying the works/portions of the work that will be subcontracted; and demonstrating how the proposed methodology meets or exceeds the specifications, while ensuring appropriateness of the approach to the local conditions and the rest of the project operating environment. This methodology must be laid out in an implementation timetable that is within the duration of the contract as specified in the Data Sheet (DS nos. 29 and 30). Proposers must be fully aware that the products or services that UNDP requires may be transferred, immediately or eventually, by UNDP to the Government partners, or to an entity nominated by the latter, in accordance with UNDP s policies and procedures. All proposers are therefore required to submit the following in their proposals : a) A statement of whether any import or export licences are required in respect of the goods to be purchased or services to be rendered, including any restrictions in the country of origin, use or dual use nature of the goods or services, including any disposition to end users; and b) Confirmation that the Proposer has obtained license of this nature in the past, and have an expectation of obtaining all the necessary licenses, should their Proposal be rendered the most responsive Management Structure and Key Personnel This section should include the comprehensive curriculum vitae (CVs) of key personnel that will be assigned to support the implementation of the proposed methodology, clearly defining the roles and responsibilities vis à vis the proposed methodology. CVs should establish competence and demonstrate qualifications in areas relevant to the TOR. In complying with this section, the Proposer assures and confirms to UNDP that the personnel being nominated are available for the Contract on the dates proposed. If any of the key personnel later becomes unavailable, except for unavoidable reasons such as death or medical incapacity, among other possibilities, UNDP reserves the right to consider the proposal non responsive. Any deliberate substitution arising from unavoidable reasons, 7 including delay in the implementation of the project of programme through no fault of the Proposer shall be made only with UNDP s acceptance of the justification for substitution, and UNDP s approval of the qualification of the replacement who shall be either of equal or superior credentials as the one being replaced Where the Data Sheet requires the submission of the Proposal Security, the Proposal Security shall be included along with the Technical Proposal. The Proposal Security may be forfeited by UNDP, and reject the Proposal, in the event of any or any combination of the following conditions: a) If the Proposer withdraws its offer during the period of the Proposal Validity specified in the Data Sheet (DS no. 11), or; b) If the Proposal Security amount is found to be less than what is required by UNDP as indicated in the Data Sheet (DS no. 9), or; c) In the case the successful Proposer fails: 16. Financial Proposals i. to sign the Contract after UNDP has awarded it; ii. to comply with UNDP s variation of requirement, as per RFP clause 35; or iii. to furnish Performance Security, insurances, or other documents that UNDP may require as a condition to rendering the effectivity of the contract that may be awarded to the Proposer. The Financial Proposal shall be prepared using the attached standard form (Section 7). It shall list all major cost components associated with the services, and the detailed breakdown of such costs. All outputs and activities described in the Technical Proposal must be priced separately on a one to one correspondence. Any output and activities described in the Technical Proposal but not priced in the Financial Proposal, shall be assumed to be included in the prices of other activities or items, as well as in the final total price. 17. Currencies All prices shall be quoted in the currency indicated in the Data Sheet (DS no. 15). However, where Proposals are quoted in different currencies, for the purposes of comparison of all Proposals: a) UNDP will convert the currency quoted in the Proposal into the UNDP preferred currency, in accordance with the prevailing UN operational rate of exchange on the last day of submission of Proposals; and b) In the event that the proposal found to be the most responsive to the RFP requirement is quoted in another currency different from the preferred currency as per Data Sheet (DS no. 15), then UNDP shall reserve the right to award the contract in the currency of UNDP s preference, using the conversion method specified above. Proposals submitted by two (2) or more Proposers shall all be rejected if they are found to have any of the following : a) they have at least one controlling partner, director or shareholder in common; or 8 b) any one of them receive or have received any direct or indirect subsidy from the other/s; or c) they have the same legal representative for purposes of this RFP; or d) they have a relationship with each other, directly or through common third parties, that puts them in a position to have access to information about, or influence on the Proposal of, another Proposer regarding this RFP process; e) they are subcontractors to each other s Proposal, or a subcontractor to one Proposal also submits another Proposal under its name as lead Proposer; or f) an expert proposed to be in the team of one Proposer participates in more than one Proposal received for this RFP process. This condition does not apply to subcontractors being included in more than one Proposal. 18. Documents Establishing the Eligibility and Qualifications of the Proposer The Proposer shall furnish documentary evidence of its status as an eligible and qualified vendor, using the forms provided under Section 5, Proposer Information Forms. In order to award a contract to a Proposer, its qualifications must be documented to UNDP s satisfaction. These include, but are not limited to, the following: a) That, in the case of a Proposer offering to supply goods under the Contract which the Proposer did not manufacture or otherwise produce, the Proposer has been duly authorized by the goods manufacturer or producer to supply the goods in the country of final destination; b) That the Proposer has the financial, technical, and production capability necessary to perform the Contract; and c) That, to the best of the Proposer s knowledge, it is not included in the UN2253/2015 List or the UN Ineligibility List, nor in any and all of UNDP s list of suspended and removed vendors. 19. Joint Venture, Consortium or Association If the Proposer is a group of legal entities that will form or have formed a joint venture, consortium or association at the time of the submission of the Proposal, they shall confirm in their Proposal that : (i) they have designated one party to act as a lead entity, duly vested with authority to legally bind the members of the joint venture jointly and severally, and this shall be duly evidenced by a duly notarized Agreement among the legal entities, which shall be submitted along with the Proposal; and (ii) if they are awarded the contract, the contract shall be entered into, by and between UNDP and the designated lead entity, who shall be acting for and on behalf of all the member entities comprising the joint venture. After the Proposal has been submitted to UNDP, the lead entity identified to represent the joint venture shall not be altered without the prior written consent of UNDP. Furthermore, neither the lead entity nor the member entities of the joint venture can: a) Submit another proposal, either in its own capacity; nor b) As a lead entity or a member entity for another joint venture submitting another Proposal. The description of the organization of the joint venture/consortium/association must clearly define the expected role of each of the entity in the joint venture in delivering the requirements of the RFP, both in the Proposal and the Joint Venture Agreement. All entities that comprise the joint venture shall be subject to the eligibility and qualification assessment by UNDP. 9 Where a joint venture is presenting its track record and experience in a similar undertaking as those required in the RFP, it should present such information in the following manner: a) Those that were undertaken together by the joint venture; and b) Those that were undertaken by the individual entities of the joint venture expected to be involved in the performance of the services defined in the RFP. Previous contracts completed by individual experts working privately but who are permanently or were temporarily associated with any of the member firms cannot be claimed as the experience of the joint venture or those of its members, but should only be claimed by the individual experts themselves in their presentation of their individual credentials. If a joint venture s Proposal is determined by UNDP as the most responsive Proposal that offers the best value for money, UNDP shall award the contract to the joint venture, in the name of
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