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 Ycar 2016-17)

[2016-17]

Concurrent Audit (State & DHS)2016-17

Request for Proposal (RFP)for Concurrent Auditor:tate Health ociety and District Health Society, Chhattisgarh seeks to invit Propo al from interested entitieII W firms) meeting the minimum eligibility criteria for providing their ervices for the concurrent audit for

the financial year 2016-17 of District Health ocietie of the State implementing variou programs under the ationall lealth I Ion.

Propo al are invited for Baled, Balodabazaar, Balrampur, Ba tar, Bemetara, Bizapur, Bilaspur,Dantewada, Dhamtari, Duro, Cariyaband , Janjgir, Jashpur, Kanker, Kawardha, Kondagaon, Korba, Koriya,Mahasamund, Mungeli, Narayanpur, Raigarh, Raipur, Rajnandgaon, ukrna, urajur, and Sarguja.

Apart from above a separate Propo al i invited for State Office (Including implementing agency) ReferAnnexlI.-e-! for list of agencies.

The details about the background of the auditee, the units to be covered in the audit, scope of work, term ofreference, and the eligibility criteria for selection of the C.A.lICWA firms are given in the following paragraph.

Terms of Reference (ToR)

Section I - Background

• larional Health issron HM) of the ~ini try of Health & Family Welfare was launched on Iz" April, 2005by the Government of India to improve medical facilities in all the rural ar a in the country. The RHM eek toprovide acce ible, affordable and quality health care to the rural population, e pecially the vulnerable ections. Italso seeks to reduce the Maternal Mortality Ratio (MMR) in the country from 407 to 100 per 1,00,000 live births,Infant Mortality rate (lMR) from 60 to 30 per 1000 live births and the Total Fertility Rate (TFR) from 3.0 to 2.1within the 7 year period of the Mission.

2. One of the vi ion of the Mis ion i to increa e public pending on health from 0.9% to 2-3% of GDP, with theimproved arrangement for community financing and risk pooling. The NHM has provided an umbrella underwhich the exi ting Reproductive and Child Health Programme (RCH) and variou ational Di ea e ControlProgramme 0 P) have been repositioned.

3. At pre ent the following chernes come under the ational Rural Health Mission:

HM-RCH Flexible Pool:

• RCH Flexible Pool.• Mis ion Flexible Pool.• Routine lmrnunisation.• Pulse Polio lmrnunisation• National IDD Control Programme.

B. ational Urban health Mission (NUl 1M).

C. Flexible Pool for Communicable Di ea e:• ational Vector Borne Disease Control Programme (NVBDCP)

R vi ed ational Tuberculo i Control Programme (RNTCP)ational Leprosy Eradication Programme (NLEP)

Integrated Disease Surveillance Project (lD P)

•••

D. Flexible Pool for on-Communicable Disea e, Injury & Trauma:• ational Programme for Control of Blindne (NPCB)• ational Mental Health Programme ( MHP)• ational Programme for Health are of the Elderly PHCE)• ational Programme for Prevent ion and Control of Deafness PP D)• ational Tobacco Control Programme TCP)

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• ational Oral Health Prograrnm IOHP)ational Programme for Prevention and Control of Cancer, Diabete , Cardiovascular Diseases andtroke PCD )

Other ew Initiative under Non-Comrnunicable Disease Injuries and Trauma

•

•

4. Illstitlitional and Funding Arrangements:

For the implementation of the above programme an MOHFW has required the creation of an Integrated Healthoci ty at tate and Di trict level (rcgi stered a a legal entity at the State and Di trict under the national or tateociety Regi tration Act). This i against the earlier arrangement of having distinct legal units (societies) for each

program/ cheme. Such integrated tate Ilealth ociety ( H ) works in close coordination with the Directorate ofHealth & Family Welfare and Di trict Ilealth ocieties (DH ) work in coordination with the District Collectorand District CMO. Program impl mentation is done through it District Chief Medical Officer's office, Block,Community Health Centres (CH s). Primary Health Centre (PHCs), ub- entre (Cs), Rogi Kalyanarnitie /Jeevan Deep Samities (JDS) and Village Health & utrition Sanitation ornmittees. Certain acti itie

may be managed at the tate level uch a drug procurement, IEC, civil works, training u ing specialized entitieuch as IEC Bureau, PWD, the Directorate of Health & Family Welfare, Directorate Ayu h, Directorate MedicalEducation, Medical College, tat Ilealth Resource entre (SHRC), State Institute of Health & family Welfare( IHFW), Emergency Medical Re ponse ervices (EMR through GVK), Municipal orporations etc. for theurban health components. In addition funds are al 0 relea ed to NGOs and private entities under public privateparticipation arrangement. Fund routed through State/District treasury under the head Direction &dmini trations of GOI. Therefore, the auditing of all above entitie i to be done those who receive the HM

Inon- HM fund. The above list is only indicative and not exhaustive. Funds relea ed by H IDHS to ariouagencie are to be audited whether it is mentioned in this document or not.

Funding & Accounting Arrangements:

Funds for the variou programs are transferred to the State from the overnment of India in the form of Grants-in-Aid to H on the basis of re pcctix c tate Programme Implementation Plan (SPIP ) and approved AnnualWork Plan \ hich are prepared on the ba i of District Health Action Plans (DHAP) of each of the districts in thetate. nder the umbrella of the integrated HS/DHS each program ha eparate bank account, maintaineparate books of accounts and other financial records as per the requirements of each program and also submiteparate financial activity reports at varying frequencies to the respective monitoring unit in MOHFW (GOl). TheState PIP for the FY 2015-16 wa appro ed Rs 965.66 crore (Including Rs 97.00 crore Infrastructure &maintenance. grant Treasury route fund) again t which the provisional expenditure around Rs 530 crores(Excluding Infra tructure & maintenance grant Trea ury route). The tat PIP for FY 2016-17 hall be (Rs850.00+ 150.00) R . 1000.00 crore approx.

S. Financing by Development Partners 1 Donors: Some of the program are upported by development partnersuch as the World Bank, DFID, U FPA, European Union, GFATM ctc for which grant! credit agreements havebeen entered into by Gol with the respective development partners. Compliance with pecific fiduciaryrequirements of the development partners will additionally need to be reported by the auditors. Copies of thelegal agreements and other project document will be provided to the auditor.

Section II

Objective of AuditIn the initial years of th launch of National Ilealth Mission (NHM), the Mi ion has consolidated a discernibleamount of financial and accounting processe . It ha built onto the framework put in place by programme likeRCH-II & R TCP and has provided a dependable structure for these proce e to operate upon. The main rea on ofthis development can be attributed to the fact that the Mi ion rather than being ju t pre criptive wa alive to thegaping requirement of management professional in the health system. The lateral infu ion of professional in thetate & District Programme Management Support nit (PM Us) has helped to a large extent in streamlining the

financial and accounting proce e.

2. However, as the Mi ion i gaining momentum with ever spiralling activitie under a highly decentralizedframework of implementation, the pro sses. especially the qualitative part of it, are coming under increa ed

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pressure. With more and more funds going to the ub-District level entities like blocks, PHCs, Sub-Centres, ASHA& VH ,the reporting a pects from the e level have acquired gargantuan proportions. ot only the quantum ofreporting ha increased, the number of financial tran actions at the gra root I els has gone up significantly due toprogramme like Janani Suraksha Yojana, J 1<.,Compensation for terilization, untied funds, Rogi Kalyan amities,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 States. The problem isnot only confined to Di trict level but manifests it elf even at the State Health Society level, where at many placeeither 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 unadju ted for a long time without their trailing or they are being reporteda expenditure. The annual statutory audit by hartered Accountant firm can highlight these issues but cannot do thehandholding to correct the maladies. The finance and account per onnel appointed in SPMSUs and DPM Us areprimarily re pon ible for these aspects. BUI it i felt that th y may be provid d with technical support in putting thehou e in order, at least in the initial year.

3. To tackle the abo e is ue, it has according] been decid d that the mechanism of concurrent audit may beimplemented at State level and in all th Di tri .ts under NHM co ering all the programme under the ational HealthMis ion. The concurrent Audit of H , District Ilealth ociety (DHS), Blocks and the Other agencie like PWD,RE ,Jila Panchaya, Others etc. The liS auditor hall be appointed bv the State office and DHS Auditor shallbe appointed by the respective Dist.-icts (For the F.Y. 2016-17 there shall be 27 District ).

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

a. Accuracy is ensured in maintenance or book of account and these are maintain on a timely ba

b. Advances are tracked, followed up and cttle on a priority basis;

c. Exclude advances being hown as expenditure in the FMRs;

d. Bring accuracy to the monthly/quarterly Financial Monitoring Reports based on book of account;

e. Ensure voucher/evidence ba ed payment to improve transparency;

f. Enable timely and accurate ubrnission of financial MIS to the management;

g. Improve the accuracy and timelinc of financial reporting from tate, Di t & sub-Di trict levels; and

h. Improve the internal control sy tern in the society.

I. The quarterly audit of tate Health ocicty \ViII have the following attribute:

J. The field i it to the Districts / Blo k \ViII be covered under the audit, the Iocu on institutions belowDistrict level will increa e under monthly /quarterly audit:

A number of ub-District entities like Block IIC/PHC, PHC, RKS, Sub-Centre, in the arne order of priority, maybe selected by the State / District Health ociery for field visit of the monthly / quarterly audit partie and incorporatethe ob ervations in their audit report

Financial Statements:

The Auditor shall ubmit the monthly financial Statements. A format of uch financial taternents and relevantschedules showing the detail of report of all the programme is given at appendix-A

Section III- Minimum Eligibilitv Criteria:

Eligibility Criteria for the State Office and its Implementing Agencies:

S~ Minimum Criteria RemarksI. The CA firm mu t be empanclled \\ ith C & AG For the F.Y. 2015-16 or 2016-17

2. The firm must be registered with ICAIlICWAI -.., Turnover of the CA/ICWA firm (A verage annual in last three yrs.) Minimum Rs.50 LacsJ.

4. Minimum Number of Partner Minimum 5 Partners*5. No. of Year of Firm Existence(M inirnurn) 5 Years6. No. of assignments: (Experience of audit of Externally / Internally 4

Aided Projects / Social Sector Project (Other than udit of hariiableIn titution & NGOs) in the last 5 year

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* For the purpo e 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 Criterions: Following upporting documents must be submitted bythe firm along with the technical proposal:

A. For . o. I above, the firm rnu t submit an attested copy of Certificate ofC&AG.B. For S. o. 2,4 & 5 the firm rnu t ubmit a copy of the latest constitution certificate from rCWAlIICAI.c. For S. 0.3, the firm must ubm it audited financial statements for last three financial years (2014-

15,2013-14,2012-13).D. For . 0.6 the firm mu t ubrnit appointment letters from organization.E. The firm or any partner of the firm hould not be black listed by any P or GoV!. Co. or any other

organisation in respect of any as ignrncnt or behaviour. [Self attested affidavit 011 Rs.I00/- stamp paper tobe given ill this regard by the autlioriseil person of tlie firm].

F. Lat t Income Tax return of the Finn duly acknowledged by the IT Department.C. Firm must have at lea tone hrallch ill hhatti garh.f-f. The Firm mu t Deposit Rs 500/- only (R . Five Hundred Only) (non refundable) towards tender

processing fee and Rs 20,000/- only (Rs Twenty thousand only) (refundable after completion ofproject) as EMD by way of OD in favour of "State Health ocicty Chhatti garh", payable at Raipur.

Eligibility Criteria for the District Health Societie

SN Minim um Criteria RemarksI. The CA firm must be ernpancllcd \\ ith C & AG For the F.Y. 2015-16 or 2016-17

2. The firm must be registered \\ ith ICA I1ICWAI -,.,

Turnover of the CA/ICWA firm (Average annual in last two yrs.) Minimum Rs.I 0 LacsJ.

4. Minimum Number of Partners Minimum 3 Partner*5. No. of Year of Firm Exi tcncct Minirnum) 2 Years6. No. of assignments: (Experience of audit of Externally / Internally 2

Aided Project / ocial ector Projects (Other than ud it of ImitableInstitutions & GOs) in the last :2 year

* For the purpo e of counting number of partner, Partner who join aft I' 01-01-2016 will not be considered.Any firm not qualifying the above minimum criteria need not apply a their propo al hall be urnrnarilyrejected.Supporting Documents for Eligihility riterions: Following upporting document must be submitted bythe firm along with the technical proposal:

A. For S. o. I above, the firm must ubmit an attested copy of Certificate ofC&AG.B. For S. No. 2,4 & 5 the firm mu t submit a copy of the late t con titution certificate from ICWAIIICAI.C. For . No.3, the firm mu t submit audited financial statements for last two financial years (2014-

15,2013-14).D. For S. 0.6 the firm mu t ubmit appointment letters from organization.E. The firm or any partners of tile firm hould not be black listed by any PSU or GoV!. Co. or any other

organisation in respect of any a signment or behaviour. [Self attested affidavit on Rs.I00/- stamp paper tobe given in this regard by the auth orlsed person of the firm],

F. Latest Income Tax return of the Finn duly acknowledged by the IT Department.G. Fiml must have at lea tone hranch in Chhattisgarh.H. The Firm must Deposit Rs 500/- only (Rs. Five Hundred Only) (non refundable) towards tender

processing fees and Rs 20,000/- only (R Twenty thousand only) (refundable after completion ofproject) as EMD by way of OJ) in favour of "District Health Society, District Chhattisgarh",payable at 'name of the district lrere vou want to submit your propo ·01'

Coverage:State Office and its implementing agencies:

1. The State Concurrent Auditor should nsure coverage of implementing agencies (Specified in Annexure-Dand the con olidated report i to be prepared based on District Concurrent Audits' reports & Institution audit

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report which will be prepared by State oncurrent Auditor compri ing the Part A, B, C, & 0, Florousis andCDs and any other funds given lrom MOHFW any funding agency.

Coverage:District Offices:

I. The District Concurrent Auditor hould en ure coverage of all the district, Blocks and the con olidatedreport i to be prepared based 011 block Concurrent Audits' report cornpri ing the Part A, B, C, & 0,Florousis and CDs and any other fund given from State Health Society to Di trict Health Society,

Terms of appointment of the AuditorState office Level:

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

• Audit should be conducted 011 monthly basis of state office and quarterly basis of its implementingagencies. It will be re ponsibility of the auditor to prepare financial statements on monthly, quarterlyand annual basis a the ca c may be. Along with thi , quarterly con olidated financial statement willhave to be prepared on the basis of district's concurrent auditor report and tate office report

• tate concurrent aud itor wi II hav to fi Ie Quarterly TDS and VAT return on the basis data provided bytate office on or before 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 trict including state a one unit, Firm who is already havingaudit assignment for any di trictl that will be considered for calculating for the overall number of auditassignments.

• If any firm applies for a districi/s for the financial year 2016-17 of which it was auditor for any previousyear then State Health Society ( HS) rc crves the right for allotment of marks of financial and technicalevaluation on the basis of previou year! performance.

• Validity of Tender document \\ ill b 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, de ignation and date of visit etc. from the headof that facility.

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

District Level:

• At the Di trict office level, the concurrent auditor appointed once can be retained I 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 responsibility of the auditor to prepare financial statements on monthly, quarterly and annualbasis as the case may be.

• In the financial year 2016-17 audit will be conducted monthly basis at di trict level including its blocks.

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Coverage of all the blocks \\ iII be a per follow :-

Month (In Any Quarter) Coverage of the mocksIn First Month Minimum 40% of all the blocksIn Second Month Further 40% of all the blocksIn Third r-.lonth Further 20% of all the blocks

• Quarterly TO return of District llealth 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 di trict along with the state,provided it doe not exceed the 03 di tricts including tate a ne unit. Finn who is already havingaudit assignment for any d ist rietl that wi II be considered for ca Icu lating for the overall number of aud itassignments

• If any firm applies for a disirict/s for the financial year 2016-17 of which it was auditor for any previouyear then District Health Society I tate Health Society (SH ) re erves the right for allotment of markof financial and technical evaluation on the basis ofpreviou yeaI'I performance.

• Validity of Tender document \\ ill be for 6 month from opening of tender.

• It may be noted that a record of the team shall be maintained at the facility visited and team ha tocollect a certificate of their auendan e gi ing their name, designation and date of visit etc. from the headof that facility.

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

Kev TimelinesTI k hi I b \I . db Ile ey time Illes w IC1 neee to c ae ierec 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 is" of the 25th of

Submission of Audit Report month next the nextmonth month(Hanl & Soft Copies) by from endfrom end from end

25th of the next month fromAuditor to SHS I of" the

of the of theend of the respective quarter

D HSI Agencies rc pectivere pective re pectivemonthquarter month

Con olidation Annual Not Annual Not RequiredRequired

ame of block with its districts is auachcd with Annexure-IT.Format for Report is attached \\ ith AnJlcxurc-11T.

Non-Eligibility for COIlClI "ren t lid its:

I. Subletting award of audit work to the other CA Firms other than to who allotted will not beentertained. Such cases i I' brought into notice/found at any point of time b fore/after selectionthe concerned firms will be lefcrrcd [rom bidding process for next 3 year and contract will becancelled with penalty.

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2.RFP or did not vi it the hlock of di trict properlv or did not ubmit the audit reporttimely, SHS/DHS rescn'c J'ight to not to entertain the bid of uch firm.

Section IV - Guideline for Su bmitting the Proposal:A. General Guidelines:

Firms are required to submit the proposal (RFP) (in two eparate & ealed cover/envelops) duly writing on Topa propo al for & La t date a per the guidelines and formats detailedout in the following para :

I. The original and all copies 01' tile Technical Propo al shall be placed in a sealed envelope clearly marked"TECH 'ICAL PROPO AL" 'imilarJy. the original Financial Proposal hall be placed in a separate sealedenvelope clearly marked "FINANCIAL PROPOSAL" followed by the name of the assignment, and with awarning "Do NOT OPEN WITII 'rur; TECIINICAL PROPOSAL." The envelope containing the Technical andFinancial Propo al hall be placed into an outer envelope and sealed. This outer envelope shall bear theubrni ion addre ,reference number and title of the As ignment, and be clearly marked "Do NOT OPEN,Ex EPT I PRESE CE OF TilE STANDING COMMITTEE FOR AUDIT". The Society shall not bere pon ible for mi placement, 10 ing or premature opening if the outer envelope is not sealed and/or markeda stipulated. This circumstance may be ca e for Proposal rejection. If the Financial Proposal is not submittedin a separate ealed envelope duly marked as indicated above, this will constitute grounds for declaring theProposal non-respon ive.

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

III. The intere ted firm hould ubmit the proposal form with the respective District Health Society office forwhich they intend to do the Audit work. The Chief Medical & Health Office (CM&HO) of the re pectiveDi trict hall evaluate the Technical proposal and finalize the same for opening of financial bids of eligiblefirm. The CM&HO hall be th appointing authority of concurrent Auditors. And the same process willfollow when applying for tate level.The firm shall give an undertaking that the team members are proficient in the State's officiallanguage (both oral and written).

v. ingle Proposal: A firm should submit only one proposal for one District. If a firm submits or participates inmore than one propo al at one place. all such propo als shall be disqualified. However, a firm can submit themultiple proposals for multiple locations (viz more than one Districtsl and/ orl State) but in any ca e the firmhould not be assigned the work of more than maximum 03 Districts (including State unit). Firm who i

already having audit assignment for any di trictl that will be considered for calculating for the overallnumber of audit assignment.

VI. All agencies must comply with the T chnical p cification, General Condition and Format/Requirementfor Technical and Financial proposal.

VII. The Technical Propo al hall be marked "ORIGINAL" or "COpy" as appropriate. All required copies of theTechnical Proposal are to be mad from the original. If there are discrepancie betw en the original and thecopies of the Technical Proposal. the original governs.

VIII. Financial proposal ubrnitted b:- the firm hould be valid for 6 month from the date of ubmission of theproposal by the firm.

IX. Each page, Form, Annexure and ppcndice of the Technical and Financial Proposal must be igned by theAuthorised signatory of the firm. All blank pace in the financial propo al mu t be filled in completelywhere indicated, either typed or \\ riucn in ink.

x. District Health Society I tate Health ociety ( H ) rc crvcs the right to accept or reject anyapplication without giving any ex planation and change the evaluation criteria as per its requirementsin the interest of the organisation.

XI. The proposal shall be submitted to Office of Chief Medical Officer in particular district for Districtlevel and Office of Mis ion Dircctor for tate level. The technical evaluation and all selection proceshall be done by office of thc Chief 1edical & Health Officer in pal,ticular district & % MissionOil'ector, Raipur for tate levcl propo al separatelv,

B. Technical Proposal:

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I. Letter of Transmittal ( Form T-I)II, Details of the Firm along with Detai Is of Partner (Form T-2, T-2A),

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

C. Financial Proposal:

I. The financial bid shall be submitted as per Form F-l.II. Percentage (or proportion) of fund involved/turnover shall not be basis for quoting the audit fee.ELIGIBILITY CRITERIA & TECIINICAL EVALUATION:I. Eligibility criterion of the firm shall be ba ed on the various criterion as given in the table below. The

technical proposal evaluation shall be based on the following parameters.

SI.No.

Qualification of KeyProfessionals staff,os of qualified,

semi qualified staff,o of year experience

in Govt sector andExistence of firmHQ in the District,

Basis(SIal"

oflic{'/l>i,11 if IOfli,,')

laxMarks

10

) Firm hnving Uranch Officc z l l Q in Stale12,\l:1rks).

I Icad Office within State = 12 markslh.uich office within Stale = 8 marks

Particulars

Number of Full TimeFellow/ AssociatePartners as ociatedwith the firm

5/3 *

Evaluation Criterion

For stare office"5 10 10 panner = 3 marksI I 10 15 partners = 5 marks16 10 20 partners = 8 marks21 or more partners = 10 nun ks for FCNFICWA& ACNAICWA

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

FCAIFICWA & ACAlAJ

2.

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

MuunuuuRs 50 I ,,~h, II

Lakh20

For slate office',50 10 70 Lakh= 10 marks71 10 100 Lakh = 15 marksAbov e 100 Lakh = 20 marks

For District office',10 to 25 Lakh= 10 marks26 to 40 Lakh = 15 marksabove 40 Lakh = 20 arks

..,J.

No, of as ignmentExperience of auditin relation to SocialSector. * *

412 10

For slale office·Assignments 4 to 8 = 5 markv,Assignment 9 to 15 =8 markAssignments more than I: = 10

For Dislricl office',Assignments 2 to 5 = 5 marks,Assignments 6 to 9 = 8 marks,Assignments more than 9 = 10

4.

I) i\u of year experience in "'11.\1 sector (10 I\larks), ~) No of year experience in NHI\I sector (10 Marks),No of ycar experience in Nil 1 2 to 5= 5 0 of year experience III HM I to 3= 5No ofyear experience in Nllillmore than 8=10 0 of year experience in HM more than 3=10

For Sl~\lc omcc'-

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I) Oll:"ilie" Key Profcssiouuls sl:!CC(IO I\larks)etvl WA starr 3 10 5= 3 m:nksCNICWA staff e to 8=4 m .rr ksCNICWA staff 9 to 11= 6 marksCNICWA staff II or more 10 marks

or Dislrict office',

) Semi qualified stuffIlIlcrICA/lCWAI/I\I.Com/~IIIA·Fill) (5 Marks)».:0 of staff 5 to 10= I marks».:0 of ,Iaff II 10 15 = 2marbNo of'staff 1610 20 = 3 111ar~,IIof staff more than 20 = 5 marks

~) o of ycnr experience in GO\ I sector (5 larks).o of year experience 111GO\ 1 .1 10 10= 2o of year expenence m G,I\ I I I 10 15= 3o of year experience in GO\1 more than 15 = 5

5) bi>1,'nce of the fir-m (8 marks).l-u'nt-, existing 5 to 7 year = 5 marks,Fmn ...existing 8 to 10 year =. marks,I'IrIIlS existing more than 10 year = 10 marks,

I) Qualified Key Professionals staff (10 I\larks)CNlCW A staff I 10 2= 3 marksCAlICW A staff 3 104= 4 marksCAlICW A staff 4 to 5= 6 marksCAlICWA staff S or 1110re= 10 marks

~) Semi qualified taffInterlCAlICWAl1 I.Com/MI3A·Fin) (5 I\larks)

o of sraff' z to 5 = I markso of staff Sto 10 = 2 markso of staff II to 15 - 3 marks001' staff more than 15 = 5 marks

~) '0 of yea r experience in Govt sector (5 Marks),o of year experience in GoY! I to 3= 2o of year experience in GoY! 4 to 7= 3o of year experience in GoY! more than 7 = 5

5) Existence of the firm (8 marks).Finns existing 2 to 4 year = 5 marks.Finns existing 5 to 8 year = 8 marks,Finns existing 1110rethan 7 year = 10 marks.

p) Firm having Branch Office IIIQ in the District121\1:lrks).

!lead Office within Dist = 12 marksBranch office within Dist = 8 marks

• * For the purpose of co un ling number of partner, Partner who join after 01-01-2016 will not beconsidered,

• **Counting will be done a cording to pan)' wise and not year wise.• For semi qualified/qualified siaffa proof (mark sheet/certificate) should be attached with the bid.

II. The firm must achieve at lea t 65% of the marks to qualify on technical parameters for the Purpose of the

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audit of Di trict Health Society. State head Quarter as the case may be.III. In case 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 onlY one or two firms than thc\' may be considercd.

Section V - Selection Process of the uditor:

The firm must achieve at lea t 65% of the marks to qualify on technical parameter for the purpose of the audit of andDistrict Health ocietie or State Health Society. In case after the technical evaluation, if no bidding firm gets theminimum 65% mark than top three finns arc to be taken into consideration for financial bid. If there only one or twofirms than they may be considered.

two-stage procedure hall be adopted in evaluating the proposals. The election will be done using Quality cumCo t Based Selection (QCBS) process. 70'% wcight agc would be given to the Technical evaluation and 30% weightage would be given to the financial bid. :

First Stage:

I. Only Technical Proposals shall be opened first for all the firms.II. Therea fter, a technical eva lua t iOI1 sha II be carried as per the evaluation parameters provided in the

"Eligibility riteria & Technical Evaluation" ection.III. The technical proposal scoring at lea t 65% of the marks shall be considered as "Qualified on Technical

Parameters". A Proposal hall be rejected at this stage if it does not re pond to important a pects of the RFP,and particularly the Term of l{ef'crel1ce or if it fail to achieve the minimum technical score (i.e. at least65%)

Second Stage:

I. Financial proposals shall be opened only for those firm who have Qualified on Technical Parameters (i.e.ecured at least 65% of maximum mark 011evaluation criteria). Financial Proposals of the firms which havenot qualified on technical parameters shall be returned unopened after the completion of election process.

II. Quality cum Cost Based (Q f3S) process shall be followed a under:Once the Technical point hav c been allotted and finali ed 70% of such points shall be allotted to there pective bidding firm and after opening of the Financial Bid the amount of quoted Audit Fee shall bementioned against the respectix e .i\'/ICWA firm. 100 Marks shall be allotted to the firm quoting theminimum Financial Bid and the rc t will be award d points on proportionate ba i .

Award of Contract:On completion of selection proce , the firm selected I)(III be eligible for award of the contract of audit ofDHS. Thefirm hould execute a Contract with the District Health. ociety (DHS) / SHS within 1 week of the award. The firmshall en! r in to an agreement with the I)IIS & H .

10

Form T-l

Letter of Transmittal

To,Mission Director / Chief Medical OfficerHS / District Health Society,ame & Address of State

Dear ir,

We, the under igned, offer to provide the audit service for [ ante of State Health Society] in accordancewith your Expre ion of Interest dat d [/I/sert Date]. We are hereby submitting our Proposal, which includes thisTechnical Propo ai, and a Financial Propo al sealed under a separate envelope,

We are ubmitting our Proposal in association with: [Insert a list with full name and address of eachassociated Con u/tant]

We hereby declare that all the information an I tatements made in this Proposal are true and accept that any1111 interpretation contained in it may lend to our di qualification,

The prices quoted by u in the Financial Propo al (Form F-I) are valid till six months from the date ofubmis ion of the quotation. We confirm that this proposal will remain binding upon us and may be accepted by you

at any time before the expiry date,

Price have been arrived indcp .ndcntly without consultation, communication, agreement or understanding(for the purpo e ofre tricting competition) with any competitor.

We agree to bear all co t incurred by 1I in connection with the preparation and submission of the proposaland to bear any further pre-contract COSh.

We under tand that State Health .ocicty [Insert Name of the State] is not bound to accept the lowest or anypropo al r to give any rea on for award, or for the rejcct ion of any proposal.

I confirm that I have authority or I Insert Name of the CA. Firlll] to submit the proposal and to negotiate onit behalf.

Yours faithfully,

)

II

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 Partnershipl __ ---' Sole Proprietor

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

(b) Addr ss of the Head Office

(Please also give telephone no.

and e-mail address)

(c) PAN o. of the firm

2. I AI/ICWAI Registration I 0. Region ame _

Region Code o.

(a) Date of constitution 01' the firm:

(b) Date since when the firms has a full tirn FCAIFICWA

4. Full-time Partners of the firm

S. No. Years of continuou a sociation with the firm Number of Number ofFC FICW ACAIAICWA

(a) Le s than one year

(b) 1 year or more but less than ,- years

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

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

(e) 1 5 year or more

ote: Please attach the latest copy or Firm's Constitution Certificate issu d by ICAVICW AI.

5. umber of Part time Partners if any,

6. umber of Full time Chartered Accountant

7. Number of audit staff employed full-rim with the firm

(a) Articles/Audit Clerks _

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

Keeping and accountancy)

(c) Other Professional taff {Plea e pecify) _

8. Number of Branches if any (PI ease mention -------------Places & locations):

12

9. Whether the firm is engaged ill any internal

or External audit or any other ITICCS

Providing to any Govt. Compnny/Corporation

or co-operative institution etc.

Yes 0

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

10. Whether the firm i implementing quality control

Policies and procedure designed to en ure

that all audit are conducted in accordance with

Ye 0

tatements on Standard Auditing Practices.

(I f yes, a brief note on the proccdur adopted is to be enclo d)

II. Whether there are any c urt arbitration/any

oth r I gal ca e against the linn

(If yes, give a briefnote olthc case indicating it percent tatu)

Ye 0

Undertaking

I1W do h reby declare that the ab \'C mentioned in formation are true & correct and I /We also undertake

to abide the t rm & condition or the contract and would make complianc of terms laid-down in the

contract if executed by u with the 'tate ' OV .

Date:

Place:

ignature of Partner

13

Form T-2A

Criteria Details RemarksI. No. of partners - FCA/FIC\\'r\IACAIAICW A2. Years of experience-

Partner A + Partner B + Partner C Partner 0 +.......

.., Years of Partners a oci.uiun with the firm -J.Partner A + Partner B -,- Partner C + Partner 0 + .

4. No. of Staff-I. QualifiedII. Semi Qualifiediii. Others

5. Nature of experience(giving Turnover/Project n,t Y cars of experience ofthe entities/projects audited)I. RCH audit

tl. Govt. Social Sector f\l~t

iii. Other Social Sector f\l~

-6. No. of Branches -7. Total turnover of the Ii rrn ill last three years

ote: I. CA/ICWA firms will <1"0 prov ide their latest Ccrtificate of Firm Constitution issued by ICAIIICWAI andtheir latc t Income Tax Return dlll~ acknowledge by IT Department. Firm n 1 able to provide these two documentswill not be con idered.

Name of the Member: I I Signature withIdate:

Details or Firms, Partners, Branches, Turnover etc

14

Form T-3

Brief of Relevant Experience:

A. Experience of audit in rcla t io n to Externally Aided projects/ Social Sector Projects (Excluding theaudit of Charitable Institurious aud NGO ).

S. Name of the Grant-in-aids I Type/Nature Scope & Duration of Proof of the letter of Work orNo. Auditee handled of tile or Coverage Completion Assignment awarded by the

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

II

-

B. Experience of audit in Couuucrcial Scctor/P Us ctc.

S. arne of the Turnover or Type/Nature Scope & Duration of Proof of the letter of Work oro. Auditee the Auditec or Coverage Completion Assignment awarded by the

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

-I

-\

15

Form F-l

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

Item or Activity Total Amount (in Rupees)

AUDIT FEE (Inclu ive ofTA/i)A. crvice Tax and Both in Numeric and in Words.cess on Service tax, a per the break lip mentionedbelow) R. 1-

(Rupees J.

Breakup oUlle Audit Fee {(uoted f1hOI'eIIIlIst he provided as per [ol/olVillg [ormat:*

S. NO. Particu Iars Amount

1 Audit of District l lcadquarter of DIIS and otherstate I Dist level illlpiclllentinR Llni~

2 Audit of Consolidarcd financial Statement ofSHS I District Health Socicti~.

., Service Tax)

4 TA/DA

5 Others, if any

TOTAL

* To be arrived based on the estimated 111,lnday for each category of staff propo ed for the assignment.

16