" RFPI RT 1 C A - S 106 1 2016-17

Request for Proposal(RFP)

For Appointment of Concurrent Auditor forDistrict Health Societies (DHS), State HealthSociety for Audit of all programmes underNHM including NUHM & NCDs

(Amended for the Year 2016-17)

[2016-17]

Concurrent Audit (State & DHS) 2015-16

Request for Proposal (RFP)for Concurrent Auditor:tate Health Society and Di trict Health Society, Chhattisgarh seeks to invite Proposal from interested entities

(C rCWA firms) meeting the minimum eligibility criteria for providing their services for the concurrent audit forthe financial year 2016-17 of District Health Societies of the State implementing various programs under the ationalHealth Mission.

Proposal are invited for Balod, Balodabazaar, Balrampur, Ba tar, Bemetara, Bizapur, Bilaspur,Dantewada, Dhamtari, Durg, Gariyaband, Janjgir, Jashpur, Kanker, Kawardha, Kondagaon, Korba, Koriya,Mahasamund, Mungeli, Narayanpur, Raigarh, Raipur, Rajnandgaon, Sukma, Surajur, and Sarguja.

Apart from above a separate Proposal i invited for State Office (Including implementing agency) ReferAnnexure-I for list of ag ncies.

The detail about the background of the auditee, the units to be covered in the audit, scope of work, terms ofreference, and the eligibility criteria for sel ction of the C.A.fICWA firms are given in the following paragraphs.

Terms of Reference (ToR)

Section I - Background

• ational Health I sion HM) of the Mini try of Health & Family Welfare was launched on 12th April, 2005by the Go ernrnent of India to impro e medical facilitie in all the rural area in the country. The RHM seeks toprovide acce ible, affordable and quality health care to the rural population, especially the vulnerable sections. Italso eek to reduce the Maternal Mortality Ratio (MMR) in the country from 407 to 100 per 1,00,000 live births,Infant Mortality rate (IMR) from 60 to 30 per 1000 live birth and the Total Fertility Rate (TFR) from 3.0 to 2.1within the 7 year period of the Mis ion.

2. One of the vi ion of the Mi ion i to increa e public spending on health from 0.9% to 2-3% of GDP, with theirnpro ed arrangement for community financing and risk pooling. The NHM has provided an umbrella under\ hich the exi ting Reproductive and Child Health Programme (RCH) and various National Disease ControlProgramme DCPs) ha e been repo itioned.

3. At present the following Schern come under the National Rural Health Mission:

A. HM-RCH Flexible Pool:

• RCH Flexible Pool.• Mi ion Flexible Pool.• Routine Immunisation.• Pulse Polio Irnrnuni ation

ational 100 Control Programme.

B. National Urban health Mi ion (NUHM).

C. Flexible Pool for Communicable Disease:• ational Vector Borne Disease Control Programme VBDCP)

Revised ational Tuberculosis Control Programme (R TCP)ational Leprosy radication Programme (NLEP)

Integrated Disease urveillance Project (10 P)

•••

D. Flexible Pool for on-Communicable Disea e, Injur & Trauma:• ational Programme for Control of Blindne s (NPCB)• National Mental Health Programme (NMHP)• National Programme for Health Care of the Elderly PHCE)• ational Programme for Prevention and Control of Deafness• ational Tobacco Control Programme (NTCP)

PPCD)

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• ational Oral Health Programme OHP)• ational Programme for Prevention and Control of Cancer, Diabetes, Cardiovascular Diseases and

troke PCDCS)• Other ew Initiative under on-Communicable Disease Injuries and Trauma

4. Institutional and Funding Arral1gements:

For the implementation of the above programmes an MOHFW has required the creation of an Integrated HealthSociety at State and Di trict levels (registered as a legal entity at the State and District under the national or StateSociety Regi tration Act). This i against the earlier arrangement of having distinct legal units (societies) for eachprogram! cherne. uch integrated tate Health Society ( H ) works in close coordination with the Directorate ofHealth & Family Welfare and District Health Societie (DHS) work in coordination with the District Collectorand District CMO. Program implementation is done through its District Chief Medical Officer's office, Blocks,ornrnunity Health entre ( H s), Primary Health Centre (PHC), Sub- Centre (SCs), Rogi Kalyan

Sarnities/Jeevan Deep Samitie (JDS) and Village Health & utrition Sanitation Committees. Certain activitiesmay be managed at the State level uch as drug procurement, lEe, civil works, training u ing specialized entitiessuch as IEC Bureau, PWD, the Directorate of Health & Family Welfare, Directorate Ayush, Directorate MedicalEducation, Medical College, tate Health Resource Centre (SHRC), State In titute of Health & family Welfare( IHFW), Emergency Medical Response Services (EMR through GVK), Municipal Corporations etc. for theurban health components. In addition funds are also relea ed to NGOs and private entities under public privateparticipation arrangement. Funds routed through State/Di trict treasury under the head Direction &Admini trations of GOI. Therefore, the auditing of all above entitie is to be done those who receive the HM/non- HM fund. The above Ii t i only indicative and not exhaustive. Fund relea ed by SHS/DHS to variousagencies are to be audited whether it i m ntioned in thi document or not.

Funding & Accounting A rr angements:

Funds for the variou program are transferred to the tates from the Government of India in the form of Grants-in-Aid to H on the ba i of re pective State Programme Implementation Plan (SPIPs) and approved AnnualWork Plans which are prepared on the ba is of District Health Action Plan (DHAP) of each of the districts in thetate. Under the umbrella of the integrated SHS/DHS each program has eparate bank accounts, maintaineparate book of account and other financial record a per the requirement of each program and also submiteparate financial activity reports at varying frequencie to the re pective monitoring unit in MOHFW (GOl). Thetate PIP for the FY 2015-16 \ a approved R 965.66 crores (Including R 97.00 crores Infrastructure &

maintenance. grant Treasury route fund) against which the provisional expenditure around Rs 530 crores(Excluding Infra tructure & maintenance grant Treasury route). The State PIP for FY 2016-17 shall be (Rs850.00+ 150.00) Rs. 1000.00 crores approx.

5. Financing by Development Partners / Donors: orne of the programs are upported by development partnersuch a the World Bank, DFID, U FPA, European Union, GFATM etc for which grant! credit agreements havebeen entered into by Gol with the respecti e development partners. Compliance with specific fiduciaryrequirements of the development partner will additionally need to be reported by the auditors. Copies of thelegal agreement and other project documents will be provided to the auditors.

Section II

Objective of AuditIn the initial years of the launch of ational Health Mission HM), the Mission has con olidated a discernibleamount of financial and accounting proce se . It ha built onto the framework put in place by programme likeR H-II & R TCP and ha provided a dependable structure for these processes to operate upon, The main reason ofthi development can be attributed to the fact that the Mis ion rather than being just prescriptive was alive to thegaping requirement of management professional in the health sy tern. The lateral infusion of professionals in theState & District Programme Management Support nits (PM s) has helped to a large extent in streamlining thefinancial and accounting proce se .

2. However, as the Mi ion i gaining momentum with ever spiralling activities under a highly decentralizedframework of implementation, the processes, e pecially the qualitati e part of it, are coming under increa ed

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pressure. With more and more fund going to the ub-District level entities like block, PHCs, Sub-Centres, ASHA& YHSC, the reporting a pect from these levels have acquired gargantuan proportion. ot only the quantum ofreporting ha incr ased, the number of financial transactions at the grassroots Ie els ha gone up significantly due toprogramme like Janani Suraksha Yojana, JSSK, Compensation for Sterilization, untied fund, Rogi Kalyan Sarnities,etc. Variou reviews by Financial Management Group (FMG) and independent observers have pointed out that thequality of account keeping and accuracy of financial reports are not up to the mark in many tates. The problem inot only confined to District level but manifests itself even at the State Health Society level, where at many placeseither the book of accounts are not available at all or their quality is not up to the mark. Even if the book ofaccount are maintained, advances remain unadjusted for a long time without their trailing or they are being reportedas expenditure. The annual tatutory audit by Chartered Accountant firm can highlight the e is ues but cannot do thehandholding to correct the maladies. The finance and accounts per onnel appointed in SPMSUs and DPMSUs areprimarily re pon ible for these aspects. But it is felt that they may be provided with technical support in putting thehou e in order, at least in the initial years.

3. To tackle the abo e i ue, it ha accordingly been decided that the mechani m of concurrent audit may beimplemented at tate level and in all the Districts under HM covering all the programmes under the ational HealthMi ion. The concurrent Audit of SHS, District Health Society (DH ), Block and the Other agencies like PWD,RE ,Jila Panchaya, Others etc. The SHS auditor shall be appointed by the State office and DHS Auditor shallbe appointed by the "espective District (For the F.Y. 2016-17 there shall be 27 District ).

The objective of Concurrent Audit is focus of the initiative will be to see that:

a. Accuracy is en ured in maintenance of books of account and the e are maintain on a timely basis;

b. dvances are tracked, followed up and settle on a priority ba i

c. xclude advances being shown as expenditure in the FM R ;

d. Bring accuracy to the monthly/quarterly Financial Monitoring Report based on books of accounts;

e. Ensure voucher/evidence based payment to improve tran parency;

f. Enable timely and accurate subrni ion of financial MI to the management;

g. Improve the accuracy and timel ines of financial reporting from tate, Di t & ub-District levels; and

h. Improve the internal control systems in the ociety.

I. The quarterly audit of State Health Society will have the following attributes:

J. The field visits to the Di trict / Block will be covered under the audit, the focus on institutions belowDistrict level will increase under monthly /quarterly audit;

A number of sub-District entitie like Block CHC/PHC, PHC, RK ,Sub-Centre, in the same order of priority, maybe elected by the State / District Health Society for field vi it of the monthly / quarterly audit parties and incorporatethe observations in their audit report

Financial Statements:

The Auditor shall submit the monthly financial Statement. A format of such financial statements and relevantschedules showing the details of report of all the programme is given at appendix-A

Section III - Minimum Eligibility Criteria:

Eligibility Criteria for the State Office and its Implementing Agencies:

SN Minimum Criteria RemarksI. The C firm rnu t be empanel led with C & AG For the F.Y. 2015-16 or 2016-17

2. The firm must be registered with ICAIIICWAI -

3. Turnover of the CA/ICW A firm (Average annual in last three yrs.) Minimum Rs.50 Lacs4. Minimum Number of Partners Minimum 5 Partners"5. No. of Years of Firm Existence(M inimum) 5 Years6. No. of assignments: (Experience of audit of Externally / Internally 4

Aided Projects / Social ector Projects (Other than Audit of CharitableInstitutions & NGO ) in the la t 5 years

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* For the purpose of counting number of partner, Partner who joins after 01-01-2016 will not be considered.

Any firm not qualifying the above minimum criteria need not apply a their proposal shall be summarilyrejected.Supporting Documents for Eligibility Criterion: Following supporting documents must be submitted bythe firm along with the technical propo al:

A. For S. No. I above, the firm must submit an atte ted copy of Certificate ofC&AG.B. For S. 0.2,4 & 5 the firm must submit a copy of the latest con titution certificate from ICWAVlCAI.C. For S. No.3, the firm must submit audited financial statements for la t three financial years (2014-

15,2013-14,2012-13).D. For S. 0.6 the firm must submit appointment letters from organization.E. The firm or any partners of the firm hould not be black listed by any PSUs or Govt. Co. or any other

organisation in re pect of any assignment or behaviour. [Self attested affidavit on Rs.I00/- stamp paper tobe given ill this regard by the authorised person of the firm].

F. Latest Income Tax return of the Firm duly acknowledged by the IT Department.G. Firm mu t have Head office in Chhattisgarh and one branches in Raipur.H The Firm must Deposit Rs 500/- only (R . Five Hundred Only) (non refundable) towards tender

processing fees and Rs 20,000/- only (R Ten thousand only) (refundable after completion of project)as EMD by way ofDD in favour of "State Health Society Chhattisgarh", payable at Raipur.

Eligibility Criteria for the District Health Societies:

SN Minimum Criteria RemarksI. The CA firm must be empanel led with C & AG For the F.Y. 2015-16 or 2016-17

2. The firm must be registered with ICAVICW AI -3. Turnover of the CA/ICWA firm (Average annual in last two yrs.) Minimum RS.1 0 Lacs4. Minimum Number of Partners Minimum 3 Partner*5. No. of Years of Firm Existence(M inirnurn) 2 Years6. No. of assignments: (Experience of audit of Externally 1 Internally 2

ided Projects 1 Social ector Projects (Other than Audit of CharitableIn titutions & GOs) in the la t 2 years

* For the purpose of counting number of partner, Partner who joins after 01-01-2016 will not be considered.Any firm not qualifying the above minimum criteria need not apply as their propo al shall be summarilyrejected.Supporting Documents for Eligibility Criterions: Following upporting document mu t be submitted bythe firm along with the technical proposal:

A. For . No. I above, the firm mu t ubmit an attested copy of Certificate ofC&AG.B. For . o. 2,4 & 5 the firm mu t ubmit a copy of the latest con titution certificate from ICWAVICAI.

For . 0.3, the firm mu t ubrn it audited financial tatements for last two financial years (2014-15,2013-14).

D. For . 0.6 the firm mu t ubrnit appointment letter from organization.E. The firm or any partner of the firm should not be black Ii ted by any PSU or Govt. Co. or any other

organisation in re pect of any a signrnent or behaviour. {Self attested affidavit 011 Rs.I00/- stamp paper 10

be given in litis regard by lite authorised person of the firm}.F. Latest Income Tax return of the Firm duly acknowledged by the IT Department.G. Firm must have Head office in Chhattisgarh and one branches in respective district.H. The Firm must Deposit R 500/- only (Rs. Five Hundred Only) (non refundable) towards tender

processing fees and Rs 20,000/- only (Rs Ten thousand only) (refundable after completion of project)as EMD by way of DD in favour of "District Health Society, District Chhattisgarh", payableat 'name of the di .trict were you want 10 submit your proposal'

Coverage:State Office and its implementing agencies:

1. The State Concurrent Auditor should ensure coverage of implementing agencies (Specified in Annexure-Dand the con olidated report is to be prepared ba ed on District Concurrent Audit' reports & Institution audit

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report which will be prepared by State Concurrent Auditor comprising the Part A, B, C, & 0, Florousis andCDs and any other funds given from MOHFW any funding agency.

Coverage:District Offices:

I. The District Concurrent Auditor should ensure coverage of all the di tricts, Block and the consolidatedreport is to be prepared based on block Concurrent Audit' report comprising the Part A, B, C, & 0,Florou i and CD and any other fund gi en from tate Health Society to Districts Health Society.

Terms of appointment of the AuditorState office Level:

• At the State office level, the concurrent auditor appointed once can be retained / reappointed for_amaximum total term of tv 0 financial year's i.e. current year and next year on the basis of auditor'sperformance review.

• Audit hould be conducted on monthly basis of state office and quarterly basis of its implementingagencie . It will be re ponsibility of the auditor to prepare financial statements on monthly, quarterlyand annual basis a the ca e may be. Along with thi , quarterly con olidated financial statement willhave to be prepared on the basis of di trict concurrent auditor report and state office report

• State concurrent auditor will have to file Quarterly TO and VAT return on the basis data provided bystate office on or before due date.

• There i no bar on the auditor from applying for the audit of a different district along with the state,pro ided it does not exceed the 03 di tricts including state as one unit, Firm who is already havingaudit assignment for any di trictls that will be considered for calculating for the overall number of auditassignment.

• If any firm applies for a di trictls for the financial year 2016-17 of which it was auditor for any previousyear then tate Health ociety (SHS) reserves the right for allotment of marks of financial and technicalevaluation on the basis of previous year/s performance.

• Validity of Tender document will be for 6 months from opening of tender.

• It may be noted that a record of the team hall be maintained at the facility visited and team has tocollect a certi ficate of their attendance giving their name, de ignation and date of visit etc. from the headof that facility.

• In case of delay ubrnission of audit report 15% of monthly fee will be deducted as penalty. (Refer Keytime line).

District Level:

• At the Di triet office level, the concurrent auditor appointed once can be retained / reappointed foramaximum total term of two financial year's i.e. current year and next year on the basis of auditor'sperformance review.

• It will be respon ibility of the auditor to prepare financial statements on monthly, quarterly and annualbasis as the ca e may be.

• In the financial year 2016-17 audit will be conducted monthly ba is at district level including its blocks.

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Coverage of all the blocks will be as per follows:-

Month (In Any Quarter) Coverage of the BlocksIn First Month Minimum 40% of all the blocksIn Second Month Further 40% of all the blocksIn Third Month Further 20% of all the blocks

• Quarterly TDS return of District Health Society will be submitted by concurrent auditor timely on orbefore due date.

• There is no bar on the auditor from applying for the audit of a different district along with the state,provided it does not exceed the 03 di tricts including state as one unit. Firm who is already havingaudit assignment for any districtls that will be considered for calculating for the overall number of audita signrnents

• If any firm applie for a di trictls for the financial year 2016-17 of which it was auditor for any previousyear then District Health ociety I State Health Society (SHS) reserves the right for allotment of marksof financial and technical evaluation on the basis of previous yearl performance.

• Validity of Tender document will be for 6 months from opening of tender.

• It may be noted that a record of the team hall be maintained at the facility visited and team has tocollect a certificate of their attendance giving their name, designation and date of visit etc. from the headof that facility.

• In ca e of delay submission of audit report 15% of monthly fees will be deducted as penalty. Refer Keytime line).

Kev TimelinesTI k r I' I d b dl d . db Ite 'ey line mes w uc 1 nee to ea lere to are summarize e ow:

Activity State Agencies District BlocksInFirstMonth- Minimum40% ofalltheblocks

Carrying out concurrentMonthly Quarterly Monthly InSecondMonth-Further40% ofalltheblocks

audit InThirdMonth- Further20% ofalltheblocks

Preparation of financialMonthly Quarterly Monthly Quarterly

statement

15th of next 15th of the 25th of

Submission of Audit Report month next the nextmonth month

(Hard & Soft Copies) by from end from end from end25th of the next month from

Auditor to HSI of theof the of the

end of the respective quarterDHS/Agencics respecti e re pective re pectivemonth quarter month

Consolidation Annual Not Annual Not RequiredRequired

arne of block with its district i attached with Annexure-IT.Format for Reports is attached with Annexure-Ill.

Non-Eligibility for Concurrent Audits:

1. ubletting award of audit work to the other Firms other than to who allotted will not beentertained. uch cases if brought into notice/found at any point of time before/after selectionthe concerned firms will be deferred from bidding process for next 3 years and contract will becancelled with penalty.

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2. The firms who were auditors for last 2015-16 and did not follow the rules of last's yearRFP or did not visit the blocks of distri~ts properly or did not submit the audit reporttimely, SHS/DHS reserve right to not to entertain the bid of such firm.

Section IV - Guidelines for SUbmitting the Proposals:A. General Guidelines:

Firm are required to ubmit the proposal (RFP) (in two separate & sealed cover/envelops) duly writing on Topa proposal for & Last date a per the guidelines and formats detailedout in the following para:

I. The original and all copies of the Technical Propo al hall be placed in a sealed envelope clearly marked''TECHNICAL PROPOSAL" Similarly, the original Financial Proposal shall be placed in a separate sealedenvelope clearly marked "FI ANCIAL PROPOSAL" followed by the name of the assignment, and with awarning "Do NOT OPEN WITH TI-IE TECH ICAL PROPOSAL." The envelope containing the Technical andFinancial Propo al hall be placed into an outer envelope and ealed. This outer envelope shall bear thesubmission address, reference number and title of the As ignment, and be clearly marked "Do NOT OPEN,EXCEPT I PRE E CE OF THE STANDING COMMITTEE FOR AUDIT". The Society shall not beresponsible for rni placement, 10 ing or premature opening if the outer envelope is not sealed andlor markeda stipulated. Thi circum tance may be ca e for Proposal reje tion. If the Financial Proposal is not submittedin a separate ealed envelope duly marked a indicated above, this will constitute grounds for declaring theProposal non-re ponsive.

II. Association with Other firms & Quality Assurance: Only ingle firm is eligible to apply. Associationwith other firms or Joint venture of two or more firms are not allowed.

Ill. The interested firm hould submit the propo al form with the re pective District Health Society office forwhich they intend to do the Audit work. The Chief Medical & Health Office (CM&HO) of the respectiveDi trict hall e aluate the Technical propo al and finalize the same for opening of financial bids of eligiblefirm . The CM&HO hall be the appointing authority of concurrent Auditors. And the same proce willfollow when applying for state level.

IV. The firm shall give an undertaking that the team member' are proficient in the State's officiallanguage (both oral and written).

v. Single Proposal: A firm should submit only one proposal for one Di trict. If a firm ubmits or participates inmore than one proposal at one place, all uch propo als shall be di qualified. However, a firm can submit themultiple proposal for multiple location (viz more than one Di trict / and/ or/ State) but in any case the firmhould not be assigned the work of more than maximum 03 Di tricts (including State unit). Firm who isalready having audit a ignment for any districtls that will be considered for calculating for the overallnumber of audit assignment.

VI. All agencies must comply with the Technical Specification, General Conditions and Format/Requirementsfor Technical and Financial propo al.

VII. The Technical Proposal hall be marked "ORIGI AL" or "COpy" a appropriate. All required copies of theTechnical Proposal are to be made from the original. If there are di crepancies between the original and thecopie of the Technical Propo al the original governs.

VIII. Financial proposal ubmitted by the firm should be valid for 6 month from the date of submission of thepropo al by the firm.

IX. Each page, Form, Annexure and Appendice of the Technical and Financial Propo al rnu t be signed by theAuthorised ignatory of the firm. All blank pace in the financial propo al must be filled in completelywhere indicated, either typed or written in ink.

x. Di trict Health Society / State Health Society (SHS) reserves the right to accept or reject anyapplication without giving any explanation and change the evaluation criteria as per its requirementsin the interest of the organisation.

Xl. The proposal shall be submitted to Office of Chief Medical Officer in particular district for Districtlevel and Office of Mission Oir'ector for state level. The technical evaluation and all selection proceshall be done bv office of the Chief Medical & Health Officer in particular district & % MissionDirector, Raipur for state level proposal separatelv.

B. Technical Propo al:

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I. Letter of Transmittal ( Form T-J)II. Details of the Firm along with Details of Partners (Form T-2, T-2A),

III. Brief of the relevant experience (Form T-3),

C. Financial Proposal:

I. The financial bid shall be submitted a per Form F-J.II. Percentage (or proportion) of funds involved/turnover shall not be ba

ELIGIBILITY CRITERIA & TECHNICAL EVALUATION:I. Eligibility criterion of the firm hall be based on the variou criterion a gl en in the table below. The

technical propo al evaluation hall be ba ed on the following parameters.

for quoting the audit fee.

I.

o.

Qual ification of KeyProfessionals staff,os of qualified,

semi qualified staff,o of year experience

in Govt sector andExistence of firmsHQ in the District.

Ba is Max( laic Mark

officc!Disl,;clOffice)

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) Existence of the firm (8 marks).Finns existing 5 10 7 year = 5 marks,Finns existing 8 10 10 year = 8 marks,Finns existing more than 10 year = 10 marks,

For District office:3 to 5 panner = 3 marks6 10 8 panners = 5 marks8 to 10 panners = 8 marksII or more partners = 10 marks for

IFcNFICWA & ACNAl

Particular

Number of Full TimeFellow/ AssociatePartners associatedwith the firm

2.

Turnover of thefirm (A verageannual in la tthree/two financialyrs.)

5/3*

Evaluation Criterion

For state office',5 10 10 partner = 3 marksI I to 15 partners = 5 marks16 to 20 partners = 8 marks21 or more partners = 10 marks for FCNFICW A& ACNAICWA

..,.J.

No. of as ignrnents:Experience of auditin relation to ocialSector. **

Minimum For state office', For District office:

Rs. 50 Lakhsll 0 2050 10 70 Lakh= 10 marks 10 10 25 Lakh= 10 marks

Lakh 71 10 100 Lakh = 15 marks 26 10 40 Lakh = 15 marksAbove 100 Lakh = 20 marks above 40 Lakh = 20 arks

For slate office', For District office"Assignments 4 to 8 = 5 marks, Assignments 2 to 5 = 5 marks,

4/2 10Assignments 9 to 15 =8 marks Assignments 6 to 9 = 8 marks,Assignments more than 15 = 10 As igmnents more than 9 = 10

4.

For SlaiCoffice:·

50

I) Qualified Key Professionals slaff(!O Marks)CNlCW A staff 3 10 5= 3 marksCNlCW A staff 6 108=-1 marksCNICW A staff 9 10 II = 6 marksCNlCW A staff II or more = 10 marks

For Districi office>

I) Qualified Key Professionals staff (10 larks)CNlCWA staff I 102= 3 marksCNlCWA srafT3t04=4 marksCNlCWA staff 4 10 5= 6 marksCNlCW A stafT 6 or more = 10 marks

) Semi qualified stafTInter] NI WAJlM.Com/MBA.Fin) (5 1arks)No of tafT2to 5 = I markso ofstafT6to 10 = 2 markso of staff 111015 = 3 markso of staff more than 15 = 5 marks

3) No of year experience in GO\1 sector (5 Marks).No of year experience in GoY! I 10 3= 2o of year experience in GoY! 4 10 7= 3o of year experience in GoY! more than 7 = 5

~) No of year experience ill 1'11,\1 sector (10 "larks). ) No of year experience in NHM sector (10 Marks),o of year experience on 11M2 10 5= 5 0 of year experience in HM I 103= 5o of year experience on HM more than 8= I0 0 of year experience in HM more than 3= I0

~) Existence of the firm (8 marks).Finns existing 2 to 4 year = 5 marks,Finns existing 5 10 8 year = 8 marks,Finns existing more than 7 year = 10 marks,

~) Firm having Branch Office I HQ in the District12 Marks).

Head Office within Dist = 12 marksBranch office within Oist = 8 marks

~) mi qualified staffInter] NlCWAl/l\l.Com IIlA·Fin) (5 'Iarks)

o of taff 5 10 10 = I marksNo of stafT II 10 15 = 2 marksNo of stafT 16 10 20 = 3 marksNo of staff more than 20 = 5 marks

~) No of year cxpcricn c in Covt sector (5 Marks),No of year experience in GoY! 3 to 10= 2No of year experience in G0\1 II 10 15= 3No of year experience onG0\1 more than 15 = 5

6) Firm hnving Branclo Office IIIQ in State12 Marks).

Head Office within Stale = 12 marksBranch office within State = 8 marks

• * For the purpo e of counting number of partner, Partner who joins after 01-01-2016 will not be

considered.

• **Counting will be done according to party wi e and not year wise.

• For semi qualified/qualified taffa proof(mark sheet/certificate) should be attached with the bid.

II. The firm must achieve at lea t 65% of the marks to qual i fy on techn ical parameters for the Purpose of the

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audit of District Health ociety, State head Quarter as the case may be.III. In ca e after the technical evaluation, if no bidding firm gets the minimum 65% marks than top three

firms are to be taken into consideration for financial bid.IV. If there are onlv one or two firms than they may be considered.

Section V - Selection Process of the Auditor:

The firm must achieve at lea t 65% of the marks to qualify on technical parameters for the purpose of the audit of andDistrict Health Societies or State Health Society. In ca e after the technical evaluation, if no bidding firm gets theminimum 65% marks than top three firms are to be taken into consideration for financial bid. If there only one or twofirm than they may be considered.

A two- tage procedure hall be adopted in evaluating the propo al . The selection will be done using Quality cumost Ba ed Selection (Q B ) proces . 70% weight age would be given to the Technical evaluation and 30% weight

age \ ould be given to the financial bid. :

First Stage:

I. Only Technical Proposal hall be opened fir t for all the firms.II. Thereafter, a technical evaluation hall be carried a per the evaluation parameters provided in the

"Eligibility Criteria & Technical Evaluation" section.III. The technical proposal scoring at least 65% of the mark shall be considered a "Qualified on Technical

Parameter ". A Proposal shall be rejected at this stage if it does not respond to important aspects of the RFP,and particularly the Terms of Reference or if it fails to achieve the minimum technical score (i.e. at least65%)

Second Stage:

I. Financial proposal shall be opened only for those firms \ ho have Qual ified on Technical Parameters (i.e.ecured at lea t 65% of maximum mark on evaluation criteria). Financial Proposals of the firms which havenot qualified on technical parameter hall be returned unopened after the completion of selection process.

II. Quality cum Cost Based (QCBS) process shall be followed as under:Once the Technical points have been allotted and finalised 70% of uch points shall be allotted to theresp ctive bidding firm and after opening of the Financial Bid the amount of quoted Audit Fee shall bementioned against the respective C.A./ICW A firms. 100 Marks shall be allotted to the firm quoting theminimum Financial Bid and the rest will be awarded points on proportionate ba is.

Award of Contract:On completion of selection proce ,the firm elected shall be eligible for award of the contract of audit of DHS. Thefirm hould execute a Contract with the District Health Society (DH ) / H within I week of the award. The firmshall enter in to an agreement with the DH & HS.

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Form T-l

Letter of Transmittal

To,Mi ion Director / Chief Medical OfficerH /Di trict Health Society,ame & Address of State

Dear Sir,

We, the undersigned, offer to provide the audit services for [Name of State Health Society] in accordancewith your Expression of Interest dated [Insert Date]. We are hereby submitting our Proposal, which includes thiT chnical Proposal, and a Financial Propo al sealed under a separate envelope.

We are submitting our Proposal in association with: [Insert a list with full name and address of eachassociated Consultant]

We hereby declare that all the information and statement made in this Proposal are true and accept that anymisinterpretation contained in it may lead to our disqualification.

The prices quoted by u in the Financial Proposal (Form F-I) are valid till six months from the date ofsubmission of the quotation. We confirm that this proposal will remain binding upon us and may be accepted by youat any time before the expiry date.

Price have been arrived independently without con ultation, communication, agreement or under tanding(for the purpo e of re tricting competition) with any competitor.

We agree to bear all co t incurred by us in connection with the preparation and subrnis ion of the propo aland to bear any further pre-contract costs.

We under tand that tate Health Society [Insert Name of the State] is not bound to accept the lowest or anyproposal or to give any rea on for award, or for the rejection of any proposal.

I confirm that I have authority of [Insert ame of the CA. Firm] to submit the proposal and to negotiate onits behalf.

Yours faithfully,

( )

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Form T-2

Details of the Firm along with Details of Partners for the audit of the accounts of District HealthSociety

Status of the Firm Partner hiP!L-- __ -' Sole Proprietor

(a) ame of the firm (in Capital letters)

(b) Address of the H ad Office

(Please also give telephone no.

and e-rnail address)

(c) PA o. of the firm

2. ICAIITCWAI Registration 0. Region ame _

Region Code o.

3. Date of constitution of the firm:(a)

(b) Date ince when the firms ha a full time FCA/FICWA

4. Full-time Partners of the firm

S. No. Year of continuous association with the firm Number of Number ofFCAIFICWA ACAIAICWA

(a) Le s than one year

(b) 1 year or more but less than 5 years

(c) 5 year or more but less than 10 years

(d) 10 year or more but less than 15 years

() 1 5 year or more

Note: Please attach the latest copy of Firm' Con titution Certificate issued by ICAI/ICWAI.

5. umber of Part time Partners if any,

6. umber of Full time Chartered Accountant

7. umber of audit staff employed full-time with the firm

(a) Articles/Audit Clerk

(b) Other Audit Staff (with knowledge of book _

Keeping and accountancy)

(c) Other Profe sional taff (Please specify) _

8. umber of Branche if any (Please mention ------------Places & locations):

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9. Whether the firm is engaged in any internal

or External audit or any other services

Providing to any Govt. Company/Corporation

YeslNo

or co-operative institution etc.

If 'yes', details may be given as per form T-3.

10. Whether the firm is implementing quality control

Policies and procedures designed to ensure

that all audit are conducted in accordance with

Yes 0

11.

tatements on Standard Auditing Practices.

(If yes, a brief note on the procedure adopted i to be enclo ed)

Whether there are any court/arbitration/any

other legal case against the firm

(If yes, give a brief note of the ca e indicating it percent statu)

Ye 0

Undertaking

I1We do hereby declare that the above mentioned in formations are true & correct and I/We also undertake

to abide the terms & condition of the contract and would make compliance of term laid-down in the

contract if executed by u with the tate COY A.

Oat:

Place:

ignature of Partner

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Form T-2A

Criteria Details RemarksI. No. of partners - FCA/FICWA/ACAIAICWA2. Years of experience-

Partner A + Partner B + Partner C + Partner D +.......

.., Years of Partners association with the firm-,).

Partner A + Partner B + Partner C + Partner D + .4. No. of Staff -

I. QualifiedII. Semi Qualifiediii. Others

5. Nature of experience(giving Turnover/Project Co tI Years of experience ofthe entities/projects audited)I. RCH audit

II. Go t. Social Sector Audit

iii. Other Social Sector Audit

6. No. of Branches7. Total turnover of the firm in last three years

ote: I. CA/ICWA firms will also provide their latest Certificate of Firm Constitution issued by ICAIIICWAI andtheir latest Income Tax Return duly acknowledge by IT Department. Firms not able to provide these two documentswill not be considered.

Name of the Member:I

I Signature withIdate:

Details of Firms, Partners, Branches, Turnover etc

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Form T-3

Brief of Relevant Experience:

A. Experience of audit in relation to Externally Aided projects/ Social Sector Projects (Excluding theaudit of Charitable Institutions and NGOs).

s. Name of the Grant-in-aids Type/Nature Scope & Duration of Proof 0f the letter of Work oro. uditee hand led of the of Coverage Completion A ignment awarded by the

Organization auditee Assignment of the of Auditee Organization (PIorgan ization assignment Assignment attach a copy of the letter)

B. Experience of audit in Commercial Sector/PSUs etc.

s. Name of the Turnover of Type/Nature Scope & Duration of Proof of the letter of Work oro. Auditee the uditee of Coverage Completion Assignment awarded by the

Organization organ ization Assignment of the of Auditee Organization (PIassignment Assignment attach a copy of the letter)

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Form F-l

FORMAT FOR FINANCIAL BID(For State & District level Auditors)

Item or Activity Total Amount (in Rupees)

AUDIT FEE (Inclu ive ofTA/DA, ervice Tax and Both in Numeric and in Words.cess on Service tax, a per the break up mentionedbelow) Rs. 1-

(Rupees ).

Breakup oUlle Audit Fee quoted above must be provided as per following format: *

S. NO. Particulars Amount

I Audit of District Headquarter of DHS and otherstate I Dist level implementing units

2 Audit of Consolidated Financial Statement ofSHS / District Health Societies.

3 Service Tax

4 TA/DA

5 Others, if any

TOTAL

* To be arri ed ba ed on the estimated man days for each category of staff proposed for the assignment.

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