REQUEST FOR PROPOSALS (RFP) TRIENNIAL PERFORMANCE AUDIT FOR THE MADERA COUNTY TRANSPORTATION COMMISSION Prepared By: Madera County Transportation Commission 2001 Howard Road, Suite 201 Madera, California 93637 (559) 675-0721 (559) 675-9328 fax www.maderactc.org SEPTEMBER 2014 RFP DEADLINE: October 31, 2014 by 5:00 PM Postmarks not accepted
Table of Contents I. GENERAL INFORMATION... 1 A. SCOPE... 1 B. SELECTION SCHEDULE & BUDGET... 2 C. BACKGROUND... 3 II. INSTRUCTIONS TO PROPOSERS... 4 III. SELECTION OF SUCCESSFUL PROPOSER... 7 IV. OTHER REQUIREMENTS... 8 A. METHODOLOGY... 8 B. DELIVERABLES... 9 V. PROJECT SCHEDULE... 9 VI. PROPOSAL SUBMITTAL... 9 VII. ATTACHMENTS... 10 A. ATTACHMENT 1... 10 B. ATTACHMENT 2... 11
I. GENERAL INFORMATION A. SCOPE REQUEST FOR PROPOSALS Triennial Performance Audit The Madera County Transportation Commission (MCTC) is seeking services for the preparation of a triennial performance audit of the regional transportation planning agency (RTPA). MCTC is statutorily required by Section 99246 of the California Public Utilities Code to designate entities other than itself, a county transportation commission, a transit development board, or an operator to conduct a performance audit of its activities. The intent of the RFP is to procure a performance audit of the RTPA for FY 2011-12 through FY 2013-14. The final audit report must be completed by February 12, 2015 and must be conducted in compliance with relevant sections of the Transportation Development Act (TDA). The RTPA further expects that the performance audit conducted will be consistent with the "Performance Audit Guidebook for Transit Operators and Regional Transportation Planning Entities" issued by the California Department of Transportation (Caltrans). Copies of the Guidebook should be obtained by contacting Caltrans, Mass Transportation Program, Office of State Assistance or downloaded from the Caltrans website at http://www.dot.ca.gov/hq/masstrans Regional Transportation Planning Agency's Performance Audit. The consultant will be required to perform the following tasks as part of the audit for the regional transportation planning agency. 1. Determine Compliance with Legal and Regulatory Requirements The consultant will be required to review and determine the RTPA's compliance with the Transportation Development Act (TDA) and related sections of the California Administrative Code. The specific Code Sections for which compliance is to be verified are those specified within the "Performance Audit Guidebook for Transit Operators and Regional Transportation Planning Entities". If the consultant identifies instances of non-compliance, then a finding regarding the non-compliance should be made in the audit report. 2. Follow-Up on Prior Performance Audit Recommendations The consultant will review the most recent prior performance audit for the RTPA and assess the RTPA's implementation of audit recommendations. The auditor will need to make determinations as to whether recommendations which have not been implemented are (a) no longer applicable, (b) infeasible, or (c) should still be implemented. If a prior audit recommendation has not been implemented, but still has merit, the 1
consultant should include the prior audit recommendation in the current audit report. The consultant will evaluate recommendations which have been implemented or are being implemented. For these recommendations, the consultant should assess the benefits provided (or likely to be provided) by the recommendation. Significant accomplishments in implementing prior recommendations should be recognized. 3. Review RTPA Functions The consultant will review each RTPA TDA-related function, consistent with the "Performance Audit Guidebook for Transit Operators and Regional Transportation Planning Entities". The functional review is expected to include interviews with the RTPA's management, staff, and governing board, as well as with operators under the RTPA's jurisdiction. Supplemental interviews with other regional agencies and State or Federal agencies may be appropriate to gather more detailed information about areas of concern. Concerns over inefficient or ineffective RTPA performance may be raised by: RTPA and operator interviews concerning RTPA functions; Documents, such as the Regional Transportation Plan and adopted policies and procedures for evaluating TDA claims; Follow up of prior performance audits; and Review of RTPA compliance with legal and regulatory requirements. B. SELECTION SCHEDULE & BUDGET Proposed Schedule for Consultant Selection (subject to change) 1. RFP issue date September 30, 2014 2. Closing date for proposals October 31, 2014 3. Award Date November 19, 2014 4. Completion of audit report February 12, 2015 Proposals may differ from the proposed schedule for valid, expressed reasons; however, the Commission intends that the consultant will commit an adequate level of staffing and maintain careful organization and communications in order to meet the proposed schedules as well as all purposes and products of the project. The contract for this project may contain a liquidated damages clause for failure to complete work on schedule. Budget 2
The budget for this project is not to exceed $10,000. If the prospective consultant determines that the work called for in this Request for Proposals cannot be carried out according to available funding or the schedule that is set forth in this document is not feasible, the consultant is nevertheless encouraged to submit a proposal specifying clearly the reasons why said funding level or schedule should be altered. C. BACKGROUND MCTC ORGANIZATION: The Madera County Transportation Commission (Commission) is the Regional Comprehensive Planning Agency, Regional Transportation Planning Agency (RTPA), Metropolitan Planning Organization, and the Local Transportation Commission for Madera County designated pursuant to Title 3, Division 3, Chapter 2, Article II, Section 29532 of the California Government Code. The Commission is responsible for the development and adoption of the Regional Transportation Plan and Transportation Improvement Program required by state and federal law. The Commission s role is to foster intergovernmental coordination; undertake comprehensive regional planning with an emphasis on transportation issues; provide a forum for citizen input into the planning process; and to provide technical services to its member agencies. In all these activities the Commission works to develop a consensus among its members with regards to multi-jurisdictional transportation issues. The Commission is organized into a Board of Directors supported by the Transportation Policy Committee and the Technical Advisory Committee. The Commission staff includes an Executive Director, a Fiscal Supervisor, a Regional Planning Supervisor, a Senior Regional Planner, two Associate Regional Planners, and an Office Assistant. There is currently one standing committee -- the Social Services Transportation Advisory Council (SSTAC) which reports through the Technical Advisory Committee. The Commission Board of Directors is comprised of three (3) members of the Madera County Board of Supervisors; two (2) members from the Madera City Council; and one (1) member from the Chowchilla City Council. The Transportation Policy Committee (TPC) has the same membership as the Board with the addition of one (1) person representing the Caltrans District 06 Director. This committee reviews transportation plans and programs prior to action by the Commission, with particular attention to compliance with applicable state and federal planning and programming requirements. The Technical Advisory Committee (TAC) includes the Madera County Road Commissioner, Madera County Planning Director, City of Madera Engineer, City of Madera Planning Director, City of Chowchilla Administrator, and one representative from Caltrans District 06. The TAC reviews staff work conducted pursuant to the 3
Overall Work Program; advises the Commission and TPC on transportation issues; and makes recommendations on planning and programming actions to be taken by the Commission. TAC review is generally focused upon the technical merits of various transportation issues coming before the Commission. II. INSTRUCTIONS TO PROPOSERS Questions on RFP Document All questions relating to the RFP must be submitted in writing to Troy McNeil, Fiscal Supervisor. Madera County Transportation Commission, 2001 Howard Road, Suite 201, Madera, California 93637. Mr. McNeil is the authorized contact person and may be reached at (559) 675-0721. MCTC will prepare an addendum to the RFP as required. Information Requested In order to provide for a uniform evaluation process and to obtain the maximum degree of comparability, it is required that proposals be organized in the manner specified. A. Title Page Show the RFP subject, the name of the proposer s firm, local address, telephone number, name of contact person, and the date. B. Table of Contents Include a clear identification of the material by section and by page number. C. Letter of Transmittal Limit to one or two pages. 1. Briefly state the proposer s understanding of the work to be done and make a positive commitment to perform the work within the time period. 2. State the all-inclusive fee for which the work will be done. 3. Give the names of the persons who will be authorized to make representations for the proposer, their titles, address, and telephone numbers. 4. State that the person signing the letter will be authorized to bind the proposer. D. Profile of the Proposer 1. State whether your firm is local, national, or international. 4
2. State whether the firm is a small business and/or a minority owned firm and why it qualifies for these classifications. A small business is defined as a business with less than $6 million in annual gross receipts averaged for the last three years. 3. State the location of the office from which the work is to be done and the number of partners, managers, supervisors, and other professional staff employed at that office. 4. Describe the range of activities performed by the local office. E. Summary of Proposer s Qualifications 1. Identify the partners, managers, and supervisors who will work on the audit, including staff from other than the local office. Resumes including relevant experience and continuing education for each supervisory person to be assigned to the audit shall be included. 2. Describe recent local and regional office auditing experience similar to the type of audit requested and give the name and telephone numbers of client officials responsible for three of the audits. F. Scope Section Clearly describe the scope of the required services to be provided. 1. Proposer s Approach to the Examination Submit a work plan to accomplish the scope of the audit. The work plan should state the following: a. Start and completion dates b. Time estimates for each significant segment of the work and the estimated hours of each staff level to be assigned. c. That a detailed list of schedules and documentation required by the Contractor will be submitted to MCTC prior to the start of the fieldwork. d. Other appropriate information. 2. Working Papers a. Specify that the working papers will be retained for at least three years (more if necessary) 5
Subcontracts b. Specify that the working papers will be available, if necessary, for examination by authorized representatives of the State Controller s Office, Caltrans Audits & Investigations, and staff of MCTC. G. Compensation State the total hours, the estimated out-of-pocket costs, and the resulting allinclusive maximum fee for the audit that will be done. H. Additional Data As preceding sections only contain requested data, give any additional information considered essential to the proposal in this section. If any subcontractors are to be used, the prospective contractor must submit a description of each person or firm, the work to be done by each subcontractor, and the cost of the work. The prospective contractor shall provide names, addresses, and telephone numbers for at least three clients for whom the prospective subcontractor(s) has performed recent assignments of similar complexity to that proposed in this request. All subcontracts must be approved by MCTC, and no work may be subcontracted without prior approval of MCTC. In addition, the prospective contractor must indicate the cost of any subcontracts and any markup that the prospective contractor plans to take on subcontracts. Disadvantaged Business Enterprise (DBE) Certification If the prospective contractor is DBE certified, proof that the company has been certified shall be included in the proposal. Certification will be from an agency authorized to make such determination; i.e., Small Business Administration, State of California, National Economic Development Administration, City of Madera, Madera County, etc. Insurance During the term of the contract, the Consultant shall pay for and maintain insurance as follows: Errors and omission insurance with coverage of not less than $100,000. Worker s compensation insurance as required by law. Modifications or Withdrawals of Proposal 6
Any proposal received prior to the date and time specified above for receipt of proposals may be withdrawn or modified by written request of the proposer. To be considered, however, the modified proposal must be received by the date and time specified previously. All verbal modifications to these conditions or provisions are void and ineffective for proposal evaluation purposes. Only written changes issued by consultants to the MCTC are authorized and binding. Rejection of Proposals Failure to meet the requirements of the RFP shall be cause for rejection of the proposal. MCTC reserves the option to reject any or all proposals, wholly or in part, received by reason of this RFP. MCTC may reject any proposal if it is conditional, incomplete, or contains irregularities or reflects inordinately high cost rates. MCTC may waive an immaterial deviation in a proposal. Waiver of an immaterial deviation shall no way modify the RFP documents or excuse the proposer from full compliance with the contract requirements if the proposer is awarded the contract. Contract Award The Commission reserves the right to award the triennial performance audit contract to the firm that presents the proposal, which, in the judgment of MCTC, best accomplishes the desired results. This includes, but is not limited to, consideration of the proposer s qualifications and experience, the proposer s understanding of the scope of services, and the estimated fee for services. Award of the contract will be by the Board. Bid opening does not constitute the awarding of a contract. The contract is not in force until it is awarded by the MCTC and executed by the MCTC s designee(s). Attachments Attachments to be included at the end of the proposal are as follows (see attachments herein): Attachment 1: Attachment 2: Title VI Assurance DBE Participation III. SELECTION OF SUCCESSFUL PROPOSER Selection of the successful proposer will be based on information provided in response to the RFP, information provided by former clients for whom work of a similar scope has been prepared, and consideration of any exceptions taken to the proposed contract terms and conditions. The selection committee will screen the proposals to narrow consideration to those firms with qualifications and experience deemed especially qualified for this commission and will determine the list of candidate consultants. The candidates may be requested to meet with the committee prior to final selection. 7
Evaluation considerations include the following: Responsiveness of the proposal in clearly stating the understanding of the work to be performed. Cost, although a significant factor, may not be the dominant factor. Cost is particularly important when all other evaluation criteria are relatively equal. Technical experience of the firm. Experience and professional activities of the proposed firm. Size and structure of the firm. Past performance of the bidder on work previously performed for similar governmental agencies. Proposals submitted by each bidder shall be evaluated separately based on how well each proposal meets the criteria listed on this page: CRITERIA POINTS PROPOSAL: Comprehension of Project 5 Thoroughness of Proposal 10 Meeting RFP Objectives 10 PROPOSER QUALIFICATIONS: Prior Relevant Experience 20 Qualifications of Staff 30 COST: Reasonableness of Cost 25 TOTAL: 100 IV. OTHER REQUIREMENTS A. METHODOLOGY The Consultant will include a detailed description of the proposed methodology to complete the project for Commission approval. The Consultant will allow the Commission the opportunity to review and comment on work at agreed upon intervals. Consultants shall include review schedules in their proposals. 8
B. DELIVERABLES The consultant must provide a copy of a Draft Report to MCTC for review and comment prior to finalization. The report must address each of the performance audit project requirements outlined above, and must be delivered no later than Friday, February 6, 2015. After the RTPA reviews and comments upon the draft, the consultant must prepare a final document and deliver three (3) bound copies of the final written report to the Executive Director of MCTC by Thursday, February 12, 2015. The consultant should be prepared to make oral presentations of the report to the MCTC Policy Board at its regularly scheduled board meeting on February 18, 2014. The Commission prefers that all components of the report be completed in Word and any spreadsheets be completed in Excel worksheets. The report and any deliverables will become the property of the Commission upon completion of the project. All data sources, formulas, procedures and assumptions used shall be documented, referenced and accessible by the Commission. All soft information, data, factors, and assumptions used in carrying out all tasks shall be documented and provided. V. PROJECT SCHEDULE The proposed schedule to complete this project is as follows: ACTIVITY DATE Send out RFP September 30, 2014 Deadline for Proposal Submittal October 31, 2014 Notice to Proceed December 1, 2014 Completion of Draft Report February 6, 2015 Completion of Final Triennial Performance Audit February 12, 2015 VI. PROPOSAL SUBMITTAL Proposals must be submitted in (3) three copies no later than 5:00 P.M., October 31, 2014, and addressed as follows: Madera County Transportation Commission Attn: Troy McNeil, Fiscal Supervisor 2001 Howard Road, Suite 201 Madera, California 93637 9
VII. ATTACHMENTS A. ATTACHMENT 1 TITLE VI ASSURANCE The purpose of Title VI is to ensure that no person in the United States shall, on the basis of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any federal program. The Madera County Transportation Commission, in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally Assisted Programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, minority business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award. 10
B. ATTACHMENT 2 DBE PARTICIPATION Policy: It is the Commission s policy that minority-and-women-owned business enterprises (hereinafter referred to as DBEs) as defined in 49 CFR, Part 23, shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement. DBE Obligation: The recipient (of Federal funds) or its contractor agrees to ensure that DBEs have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all recipients or contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure that DBEs have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of federallyassisted contracts. The following stated dollar amount will be compensation paid to DBE firms certifiable under the provisions of the Department of Transportation s Disadvantaged Business Enterprise Program. $ DBE Participation: $ DBE Participation: Company Company The undersigned hereby certifies that the foregoing statements and information are true and correct. Date: Name of Bidder: By: Title: 11