Request for proposals financial and Compliance Audits



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REQUEST FOR PROPOSALS
Financial and Compliance Audits


June, 2011




Rebecca Mitchell, C.P.M.

Director of Acquisition Management

rmitchell@cherokee.org

CHEROKEE NATION

P.O. Box 948

Tahlequah, OK 74465

(918) 453-5215
TABLE OF CONTENTS

I. Introduction


II. Summary
III. Background
IV. Contractor’s Acknowledgements
V. General Information and Conditions
VI. Cherokee Nation Indian Preference Policy
VII. Instructions for Preparation of Proposals
A. Technical Proposal
B. Cost Proposal
Attachment A: General Audit Information
Attachment B: Cherokee Nation Businesses
Attachment C: Cherokee Nation Entertainment LLC
Attachment D: Tsa-La-Gi Village Apartments
Attachment E: Cherokee Nation Gaming Commission
Attachment F: Cherokee Nation Industries
Attachment G: Will Rogers Downs, LLC
Attachment H: Aerospace Products S.E., Inc.
Attachment I: Cherokee CRC, LLC
Attachment J: Cherokee Nation Businesses, LLC

(Blended Component Units of CNB)


Attachment K: SAMPLE Contract

INTRODUCTION
The Cherokee Nation is the federally recognized government of the Cherokee people and thereby has sovereign status granted by treaty and law. Tribal sovereignty is the right to self-governance. It is essentially the right to decide issues which affect the good of the population; to design and implement programs in response to specific needs of the population; and, to establish goals for the improvement of the organization’s ability to achieve program objectives. The seat of tribal government is the W.W. Keeler Complex near Tahlequah, Oklahoma, capital of the Cherokee Nation. The Cherokee tribal registry lists more than 230,000 citizens, and half approximately live in the 14-county jurisdiction of the Cherokee Nation.

SUMMARY
The Cherokee Nation is receiving proposals from well-qualified firms to perform financial and compliance audits. The contract award will be for three (3) years with an option for the Cherokee Nation to renew the contract annually for up to two (2) additional years. Contract award and renewals will be subject to availability of funds and satisfactory delivery of services. The contract will contain a cancellation clause in favor of the Cherokee Nation.
The audits will consist of services to the Cherokee Nation, Cherokee Nation Businesses and majority-owned subsidiaries, and the Tsa-La-Gi Apartments in Sallisaw, Oklahoma as follows:
1) Single audit report (OMB Circular 133 compliance) for Cherokee Nation, and audit of the Nation’s Comprehensive Annual Financial Report;

2) Financial audit for Cherokee Nation Entertainment and regulatory compliance audit for Nation Indian Gaming Commission;

3) Financial audit for Will Rogers Downs and regulatory compliance audit for the State of Oklahoma and Oklahoma Horse Racing Commission;

4) Financial audit of Cherokee Nation Businesses;

5) Financial audit of Cherokee Nation Industries;

6) Financial audit of Cherokee CRC;

7) Financial audit of Aerospace products S.E.;

8) Financial audit of two additional CNB component units;

9) Compliance audit of the Nation’s HUD 202 Housing project Tsa-La-Gi Apartments.
Copies of the Request for Proposal may be downloaded from the Cherokee Nation bid website www.cherokeebids.org under the Cherokee Nation procurements icon. Copies may also be requested from Rebecca Mitchell, C.P.M, Director of Acquisition Management, Cherokee Nation, at rmitchell@cherokee.org.
The Cherokee Nation reserves the right to determine a proposal in terms of meeting RFP requirements. The Cherokee Nation reserves the right to accept or reject any and all proposals received and to negotiate with offerors regarding the terms of their proposal or parts thereof. The Cherokee Nation reserves the right to award a contract in the best interests of the Cherokee Nation.
All questions, correspondence and communication regarding this RFP must be directed to Rebecca Mitchell at rmitchell@cherokee.org. Contact with other employees of the Cherokee Nation in relation to this RFP is prohibited, and may result in disqualification of the offerors proposal.

BACKGROUND
The Cherokee Nation is the sovereign Tribal Government of the Cherokee people and functions within the framework of the Cherokee Constitution adopted in 1975. The jurisdiction is in 14 counties of Northeastern Oklahoma and is headquartered in Tahlequah, Oklahoma. The fiscal year begins on October 1 and ends on September 30. The government is composed of three branches, Executive, Legislative and Judicial. The Cherokee Nation has approximately 2,800 employees and receives funding from some 29 funding sources that includes funding from federal agencies, state agencies, corporate and private funding sources, enterprise activities, various land and lease operations and trust funds. As of 2010, the Cherokee Nation has adopted GASB Statement No. 34, The Nation has 5 discretely presented component units and one blended component unit. In addition, the Nation operates a HUD section 202 apartment project which requires a separate audit. A complete listing of compent units can be found in the Nation’s FY2010 Comprehensive Annual Report (CAFR) at the following weblink:
http://www.cherokee.org/Docs/Org2010/2011/3/24227Fiscal_Year_Ended_Sept_30_2010_-_V2.pdf
The following entities are included in this Request for Proposals:
The first component unit is the Cherokee Nation Businesses, LLC. (CNB), a 100% owned tribal corporation which was created on June 16, 2004, to provide “decision support” services and strategic coordination to the Nation and to act as a holding company for certain Cherokee Nation investments in business enterprises. A listing of CNB’s majority owned component units can be found in Attachment J.

Tsa-La-Gi Village Apartments, a 90-unit apartment property, is owned and operated by Cherokee Nation and located in Sallisaw, Oklahoma. Tsa-La-Gi Village Apartments has been shown in previous audits as an enterprise fund used to account for the operations of the Nation’s federally subsidized low-income housing apartment complex.


Cherokee Nation Economic Development Trust Authority (CNEDTA), a Community Development Financial institution, is certified by the U.S. as a mechanism to promote economic development. Its mission is to provide opportunities for income generation through economic development, to provide loans for business creation/expansion, and to provide loans to qualified individuals whom have traditionally been denied through conventional lending sources. It is accounted for in the special revenue governmental fund for FY2011.
The above entities are are to be included in the audit proposal.. Attachments A-J have detailed descriptions of entities to be included in the audit proposal.
Further information may be found in the Attachments to this RFP.

CONTRACTOR’S ACKNOWLEDGEMENTS
By submitting a proposal in response to this RFP, the Contractor understands, represents and acknowledges that:

* All information provided by, and representations made by, the Contractor in the proposal are material and important and will be relied upon by the Nation in awarding any contract;

* No employee of the Nation has an ownership interest in the business or is an employee of the business;

* The price and amount of this proposal have been arrived at independently and without consultation, communication or agreement with any other Contractor or potential Contractor;

* Neither the price nor the amount of this proposal have been disclosed to any other firm or person who is a Contractor or potential Contractor, and they will not be disclosed on or before the proposal submission deadline specified in the cover letter of this RFP:

* No attempt has been made or will be made to induce any firm or person to refrain from submitting a proposal on this solicitation, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal;

* The proposal is made in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal;

* To the best knowledge of the person signing the proposal for the Contractor, the Contractor, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation by any governmental agency and have not in the last four (4) years been convicted or found liable for any act prohibited by federal, state, local or tribal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract;



* To the best of the knowledge of the person signing the proposal for the Contractor and except as otherwise disclosed by the Contractor in its proposal, the Contractor has no outstanding, delinquent obligations to any federal, state, local or tribal entity, including but not limited to, any tax liability.

GENERAL INFORMATION AND CONDITIONS
The Cherokee Nation will receive proposals from well-qualified firms to perform financial and compliance audits for the benefit of the Cherokee Nation as per the scope of work and terms and conditions contained in this Request for Proposal. The contract will contain a cancellation clause in favor of the Cherokee Nation. The Cherokee Nation reserves the right to award to more than one firm. The Cherokee Nation will make this Request for Proposal and the successful bidder’s proposal a part of the contract.
All correspondence and questions regarding this Request for Proposal and requests for additional information must be directed to Rebecca Mitchell, C.P.M., Director of Acquisition Management, Cherokee Nation, at rmitchell@cherokee.org. No interpretation of the meaning of the Request for Proposal will be made to any Contractor orally. No telephone inquiries please. A copy of this Request for Proposal will be posted on the Cherokee Nation bid website www.cherokeebids.org under Cherokee Nation procurements icon. All questions regarding this RFP must be directed to Rebecca Mitchell, Cherokee Nation at rmitchell@cherokee.org no later than 5:00 p.m., Monday, July 11, 2011. The Nation anticipates responding to any questions submitted on or before 5:00 p.m., Monday, July 18, 2011. Responses to any questions that may be posed or updates and/or addendums issued during the RFP process will be posted on the Cherokee Nation bid website www.cherokeebids.org under Cherokee Nation procurements. It is the responsibility of each bidder to monitor the Cherokee Nation bid website www.cherokeebids.org for information posted regarding this Request for Proposal. Failure of any Contractor to receive any such addendum or interpretation shall not relieve such Contractor from any obligation under their proposal as submitted. All addenda so issued shall become part of the contract documents. No contact should be made with any Cherokee Nation personnel regarding this RFP other than to the individual named above.
Each proposal must be submitted in a sealed envelope bearing on the outside the name of the proposing firm and the name of the project for which the proposal is submitted. If forwarded by mail, the sealed envelope containing the proposal must be enclosed in another envelope addressed as specified above. Proposals will be accepted until 5:00 p.m., Monday, July 25, 2011. Three copies of the proposal should be submitted. Proposals must be sealed and designated as “RFP – Financial Audits – DO NOT OPEN”. Proposals may be mailed to the attention of Rebecca Mitchell, C.P.M., Director of Acquisition Management, Cherokee Nation, P.O. Box 948, Tahlequah, Oklahoma, 74465, or may be hand delivered to Ms. Mitchell at the Cherokee Nation Financial Resources Building, located at 17665 S. Muskogee Avenue, Tahlequah, Oklahoma, 74464, which is approximately 3.5 miles south of Tahlequah on Highway 62. Any proposal received after the time stated above will not be considered.
Term: The contract award will be for three (3) years with an option for the Cherokee Nation to renew the contract annually for up to two (2) additional years. Contract award and renewals will be subject to availability of funds and satisfactory delivery of services. The contract will contain a cancellation clause in favor of the Cherokee Nation.
Indian Preference: Preference will be given to Cherokee-owned firms, Other Indian-owned firms, and Major Cherokee Employers as certified by the Cherokee Nation Tribal Employment Rights Office (TERO), P.O. Box 948, Tahlequah, Oklahoma, 74465. Proof of current certification must accompany all proposals. To receive points during the evaluation process for Indian preference, the bidder must demonstrate they will control, direct and perform at least 51% of the Scope of Services.
In addition, by submitting a proposal in response to this RFP, the Contractor agrees to the following:
The Cherokee Nation shall to the greatest extent feasible give preference in the award of contracts to Indian organizations and Indian-owned economic enterprises. All contracting is required to comply with procedures for selection of Contractors and Sub-contractors as set forth in the Cherokee Nation Tribal Employment Rights Office, Resolution No. 84-50 and Ordinance Section No. 4.8 which provides for preference to Indians in the awarding of contracts, as well as the Cherokee Nation Acquisition Management Interim Policies and Procedures (January - 1997). All work to be performed under any contract is also subject to Section 7(b) of the Indian Self-Determination Act.
Section 7(b) states:
Any contract, subcontract, grant, or subgrant pursuant to this act, the Act of April 16, l934 (48 Stat. 596) as amended, (the Johnson-O'Malley Act) or any other Act authorizing federal contracts with or grants to Indian organizations or for the benefit of Indians, shall require to the greatest extend feasible;
1) Preference and opportunities to training and employment in connection with the administration of such contracts or grants shall be given to Indians; and

2) Preference in the award of subcontracts and subgrants in connection with the administration of such contracts or grants shall be given to Indian organizations and to Indian-owned economic enterprises as defined in Section 3 of the Indian financing Act of l974 (88 Stat. 77).


Modification of Proposals: Any offeror may modify his proposal at any time prior to the scheduled closing time for receipt of proposals, provided such communication is received in writing by the Cherokee Nation prior to the closing time.
Withdrawal of Proposals: Any proposal may be withdrawn prior to the above scheduled due date. Any proposals received after the date and time specified shall not be considered. No Contractor may withdraw a proposal within 30 days after the actual due date. Any Contractor may modify their proposal at any time prior to the scheduled closing time for receipt of proposals, provided such communication is received in writing by the designated contact person for this Request for Proposal prior to the closing time. No public bid/proposal opening will be held. All proposals will be submitted based on the information contained in this Request for Proposal. Unless a specific note is made to the contrary, we will assume each Contractor’s proposal conforms to the specifications contained herein. All deviations to any part of these specifications must be submitted in writing and clearly identified. Any deviation deemed to be significant by the Nation will disqualify the proposal. Failure by Contractors to identify any such deviation(s) will not in the future accrue to the disadvantage of the Nation in any manner.
Subcontractors or Joint Ventures: Where two or more offerors desire to submit a single response to this RFP, they should do so on a prime-subcontractor basis rather than as a joint venture or informal team. The Nation will contract only with the Contractor and expects the Contractor to perform the work. Should the Contractor propose to employ a Subcontractor, the request must be made in writing to the Nation. The Nation must approve in writing any person, firm or party proposed by the bidder to award a subcontract. The Nation, in giving such acceptance, assumes no responsibility in connection with the terms of the Subcontractor and their performance will be the responsibility of the Contractor. All Contractors who determine a need for subcontracting must state so in the initial proposal.
Cost of Submitting Proposal: All costs in connection with the preparation and submission of this proposal will be paid by the Contractor. All proposals submitted in response to this RFP become the property of the Nation.
Confidentiality: It is understood any information submitted to the Contractor by the Nation in respect to this Request for Proposal embodies certain proprietary information and is loaned to the Contractor on a confidential basis. Any information acquired at the Nation or otherwise relating to processes belonging to the Nation incorporated into this Request for Proposal shall be kept confidential. The Contractor agrees not to use in any unauthorized manner or communicate to others any such confidential items without the prior written consent of the Nation and will undertake such measures as are necessary to require its employees and all approved Subcontractors or Joint Ventures to maintain complete confidentiality.
Debarment: By submitting a response to this Request for Proposal, the Contractor certifies to the best of their knowledge and belief that the Contractor, the firm, or any of its principals are not presently debarred, suspended, or proposed for debarment by any federal, state, local or tribal entity. This certification is a material representation of fact upon which reliance was placed when making award. If it is later determined the Contractor rendered an erroneous certification, in addition to other remedies available to the Nation or its entities, the Nation may terminate the contract resulting from this Request for Proposal for default.
Verification of Scope of Work: Each Contractor must inform themselves fully of the Scope of Work and all terms and conditions in this Request for Proposal. Failure to do so will not relieve a successful Contractor of his obligation to carry out the provisions of this contract. All applicable laws and ordinances, and the rules and regulations of all authorities having jurisdiction over this project shall apply to the contract throughout, and they will be deemed to be included in the contract the same as though written out in full. Insofar as possible, the offeror, in performing work under this contract, will employ such methods or means as will not cause any interruption of or interference with the work of the Cherokee Nation.
Insurance Requirements:

The Contractor shall purchase and maintain such insurance as will protect the Nation against any and all claims and demands arising from the execution of the contract. The Contractor shall maintain the following types of insurance and limits:


Before performing contractual services on the behalf of or for the Cherokee Nation, compliance with the following insurance requirements must be verified:
** Provide an original Certificate of insurance naming the Cherokee Nation as a certificate holder and additional insured with respect to general liability, automobile liability, and builders risk policies, as their interest may appear with respect to the operations defined in this proposal packet. The certificate shall reflect that coverage has been placed with an AM Best Rated Carrier of at least A IX and will contain the following information for each required coverage:

  1. Type of insurance

  2. Policy number

  3. Effective date

  4. Expiration date

  5. Limits of Liability (this amount is usually stated in thousands)

  1. Thirty day notice of cancellation, except ten-day cancellation clause will apply for nonpayment of premium.

** Required Coverages:

1) Worker's Compensation and Employer's Liability:

Limits of Liability:

Bodily Injury by Accident: $100,000 each accident

Bodily Injury by Disease: $500,000 policy limit

Bodily Injury by Disease: $100,000 each employee

Oklahoma Statute requires Worker's Compensation coverage for anyone with one (1) or more employees. Contractor’s worker’s compensation policy shall include a waiver of subrogation in favor of Cherokee Nation of Oklahoma.


2) General Liability:

Coverages:

Commercial (including products/completed operations). In addition to the additional insured endorsement, the commercial general liability policy shall also include a waiver of subrogation in favor of Cherokee Nation of Oklahoma.

Limits of Liability:

Bodily Injury and Property Damage Combined: $1,000,000

(each occurrence)


3) Automobile Coverage:

Vehicles Covered:

All Autos

Hired Autos

Non-owned Autos

Limits of Liability:



Bodily Injury and Property Damage Combined: $1,000,000
NOTE: The Contractor shall either: (1) require each of his subcontractors to procure and to maintain during the life of his subcontract, identical insurance for the type and in the same amounts as specified above, or (2) insure the activities of all subcontractors in his own policy. Each subcontractor policy must also name Cherokee Nation as an additional insured with respect to general liability and auto liability.
Governing Laws and Contract: The Cherokee Nation will make this Request for Proposal and the successful Contractor’s proposal a part of the contract. This Request for Proposal and any subsequent contract shall be construed under the laws of the United States and where applicable, the Cherokee Nation. Nothing in this Request for Proposal, any subsequent documents or contract shall be construed as a waiver of limitation upon the Nation’s sovereign immunity. To the extent this statement is found to be inconsistent with any other language in this Request for Proposal or any subsequent document or contract, this statement shall control. This statement shall survive the completion or termination of any subsequent contract. By submitting a proposal in response to this Request for Proposal, the Contractor agrees to these terms and conditions. In the event of any dispute which may affect this Agreement, the Contractor agrees the Agreement shall be governed by the laws of the United States, and where applicable, the laws of the Cherokee Nation. The Cherokee Nation will make the final decision on the contract format to be utilized for any award(s) under this procurement.
Nation’s Right to Inspect: The Nation reserves the right to inspect and investigate thoroughly the establishment, facilities, equipment, business reputation and other qualifications of the Contractor and any proposed Subcontractors and to reject any proposal irrespective of price if it shall be administratively determined that the Contractor is deficient in any of the essentials necessary to assure acceptable standards of performance. The Nation reserves the right to continue this inspection procedure throughout the life of the contract that may arise from this RFP.
Evaluation Process: An Evaluation Committee of qualified persons will evaluate each proposal received. As part of the evaluation process, the Committee reserves the right to direct Acquisition Management to contact responding parties with questions regarding the proposal. The Committee reserves the right to schedule presentations with prospective Contractors. Contractors may be asked to provide additional data or oral discussion for the purpose of addressing identified concerns or questions in the proposal, clarify any ambiguities, and discuss aspects of the cost and/or delivery of services. The Committee may make such investigations as they deem necessary to determine the ability of the Contractor to perform the work, and the Contractor shall furnish to the Committee all such information and data for this purpose as may be requested.
Technical Evaluation: Each technical proposal that is timely received will be independently evaluated in accordance with the Evaluation Criteria in this Request for Proposal.
Cost/Price Evaluation: After review of all technical proposals, cost/price proposals shall be reviewed primarily in terms of relation to technical proposals. The technical appraisal of proposed prices should focus on the level of system services and the necessary support resources under the contract requirements.
Pre-Award On-Site Visit: Prior to award of a contract, the Cherokee Nation reserves the right to conduct a pre-award survey of any offeror under consideration to confirm any part of the information furnished by the offeror, or to require other evidence of interim system managerial, financial, technical, and other capabilities which is determined by the Cherokee Nation to be necessary for the successful performance of the contract. The Cherokee Nation may solicit from all available sources additional experience data concerning an offeror’s past performance and will consider such information in its evaluation. Offerors should refer also to section regarding Qualifications of Offerors.
Award Without Discussion: Negotiations may be conducted with offerors whose proposals are in the competitive range; however, the Cherokee Nation reserves the right to award a contract on the basis of initial proposals submitted without negotiation and without a call for best and final offers. Award of an initial contract will not obligate the Cherokee Nation to exercise any contractual option. Prior to exercising any option, the Cherokee Nation will make a determination that:

Funds are available

The requirement covered by the option fulfills an existing need of the Cherokee Nation

The exercise of the option is the most advantageous method of fulfilling the Cherokee Nation’s need, price and other factors considered. Failure to exercise an option(s) shall not obligate the Cherokee Nation to pay any charges other than the contract price including exercised options.


Oral or Written Presentation: Oral or written presentations supporting the written proposal for this effort may be requested during the selection process. Offerors may be asked to provide additional data or oral discussion for the purpose of addressing identified deficiencies in the technical proposal, clarify any ambiguities, and discuss aspects of the cost proposal. After these presentations, offerors may be requested to submit revisions or a best and final offer. The date of final receipt of such offer will be common to all offerors. The Technical Proposal Evaluation Team will reassess each proposal and prepare a supplemental report to the Director of Acquisition Management, who, after consideration of the report, shall select the proposal, which offers the best combination of technical merit and related costs.
Notification of Award - All offerors will be notified by letter when their proposal is no longer considered for award.
Term of Contract - The contract period shall begin from the date of award through September 30, 2013, with options for renewal as follows:
Fiscal Year 2011 October 1, 2010 to September 30, 2011

Fiscal Year 2012: October 1, 2011 to September 30, 2012

Fiscal Year 2013: October 1, 2012 to September 30, 2013

Fiscal Year 2014: October 1, 2013 to September 30, 2014

Fiscal Year 2015: October 1, 2014 to September 30, 2015





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