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REQUEST FOR PROPOSALS FOR CONSULTANCY SERVICES FOR PROVISION OF GRANTEES INTERNAL AUDIT – AAS/RFP/007/2020

1.0 Background/Overview

The African Academy of Sciences (The AAS) is a non-aligned, non-political, not-for-profit pan African organisation whose vision is to see transformed lives on the African continent through science. The AAS’s tripartite mandate is recognising excellence through the AAS’ highly prestigious fellowship, Affiliates and award schemes, providing advisory and think tank functions for shaping Africa’s Science, Technology and Innovation (STI) strategies and policies and implementing key Science, Technology and Innovation programmes addressing Africa’s developmental challenges.

Vision:

Transformed lives through science.

Mission:

Leverage resources through research excellence and thought leadership for sustainable development.

2.0 Objectives

The objective of this engagement is to:

· Assess the design/design and operating effectiveness of key controls established by management at the programme to support the achievement of the key objectives of the AAS;

· Assess the design and operating effectiveness of key controls in place to ensure timely and accurate reporting to AAS;

· Review the governance, risk management and oversight mechanisms and controls established by the Lead organizations in relation to Partner institutions and adherence to grant conditions; and

· Undertake transaction testing to gain assurance that the programmes are following the grant terms and conditions.

3.0 Scope of work

The AAS has awarded a total of USD 107M grants to 210 programmes spread across all the 5 African regions. The programmes are within Research Institutions, and they work with a consortium of other African research Institutions which range from 1 to 8 partners per programme. The Programmes have been under implementation for a period of 1 to 5 years since the year 2015. We are seeking provision of an internal audit service to audit the programmes on a risk-based approach, the programmes will be audited on a need basis as scheduled by the AAS.

Summary of scope will include but not limited to key controls of each programme within the following processes:

· Governance, Risk Management and Oversight;

· Key Financial, Operational and IT controls;

· Asset Management;

· Budgeting and forecasting;

· Financial Reporting to AAS; –

· Management, Monitoring and Oversight of Partner institutions; and

· Transaction testing to confirm compliance with grant conditions.

4.0 Key Tasks/Deliverables:

The Auditor should:

i. Address specific requirements issued.

ii. Obtain sufficient audit evidence to substantiate in all the materials respects of the accuracy of the information provided.

iii. Obtain understanding of internal controls, assess control design and perform tests of internal control effectiveness and transaction testing.

iv. Complete a report providing an opinion on the control environment of the programme tested identifying any risks/issues that require rectification.

5.0 Proposal Submission Guidelines

Proposals from bidders should include the following elements:

a) A covering letter introducing the submission

b) Detailed CVs of the consultant(s) outlining the relevant skills and experience

c) Five references from organizations with whom you’ve worked on similar projects outlining these past project deliverables and results;

d) Proposed approach (methodology) to the assignment, including the use of in country offices, where appropriate.

e) Include confirmation that there are no conflicts in performing this work, or if there are how these would be managed;

f) Certificate of Corporation **

g) Current business licenses

h) Valid VAT and PIN Certificate

i) Current valid Tax Compliance Certificate from relevant Revenue Authority

j) Financial capability of the Company – submit the latest 2 year audited financial statements

k) Consultant(s) are encouraged to include any additional information they believe demonstrates added value for the AAS within the scope of this assignment.

l) Please note that at this point, we do not require financial proposal.

6.0 Consultant profile

The Consultant should demonstrate skills and knowledge in the following:

i. The audit firm should be registered with professional Accountancy Body (ICPAK) or a similar body.

ii. The Organization must be Pan-African based.

iii. Demonstrate effectiveness in conducting audit, evaluation or investigation with donor funded projects.

iv. Prior work experience in undertaking similar engagements.

v. Knowledge of quantitative and qualitative evaluation and review methods with preference for candidates with demonstrated practical experience in application of these methods.

vi. The audit team must have appropriate professional qualifications and suitable experience with International Standards of Auditing including experience in auditing similar funded grants and projects. The Key audit team will comprise of at least:

  1. An audit manager with at least 10 years’ experience in auditing and with a sound knowledge of donor-financed projects. In addition, he/she should be a member of a recognized accountancy professional body;
  2. A team leader with relevant qualifications in auditing/accounting or equivalent with a minimum of 5 years’ experience in auditing; and
  3. An auditor with adequate experience and professional qualifications

7.0 Evaluation Criteria

The following is a summary of the rated criteria and weightings for the evaluation of proposals. Firms who do not meet the minimum threshold score will not proceed to the next stage of the evaluation. Successful consultants will be shortlisted and invited for an interview.

Response will be evaluated based on the following criteria: **

Criteria

Score

Section 1: Mandatory Documents

a) Company Profile

b) Financial capability of the Company – submit the latest 2 year audited financial statements

c) Copy of Certificate of Corporation

d) Copy of VAT/PIN Registration Certificate

e) Current valid Tax Compliance Certificate from Kenya Revenue Authority

f) Copy of current Trade License.

NB: All the mandatory documents must be provided for the firm to be considered for Technical evaluation in Section 2 below

Mandatory

Section 2: Technical Evaluation

Adequacy of the proposed work plan, milestones, outcomes, deliverables and methodology in responding to the terms of reference.

40%

Specific experience of the consultant related to the assignment and successful outcomes (Provide evidence of having undertaken similar assignments in the last 5 years)

30%

Qualifications and competence of the key staff for the assignment

30%

Total

100%

8.0 Other Terms and Conditions

This document is the property of the AAS and contains proprietary and confidential information. Recipients may use or reproduce the information detailed within this document and any other supporting information only to provide a response to this RFP.

The AAS makes no commitment to any consultant/service provider unless a contract has been awarded and signed by both parties. the AAS reserves the right to cease this exercise at any time. During the period of this activity, no contact should occur between any members of the supplier’s staff and any member of The AAS staff in relation to this exercise other than through the designated contact points as detailed within this RFP. It is however recognized that pre-existing relationships if any, shall be respected.

8.1 Non-Disclosure and Confidentiality

Consultants should be aware that inappropriate publicity could have a serious effect upon the AAS’s business. The information contained within this document or subsequently made available to the consultant is deemed confidential and must not be disclosed without the prior written consent of The AAS unless required by law.

How to apply

Instructions on the Proposal Submission Process

(a) The RFP document may be downloaded from the AAS website on www.aasciences.ac.ke/tenders

(b) Proposals to be submitted strictly via email to [email protected] and marked as follows on the subject line: AAS/RFP/007/2020 – RFP for Consultancy Services for Grantees Internal Audit’**

(c) Deadline for submission of proposals is Friday, 12th June 2020 at 1700hrs (East African Time)

(d) Request for clarifications to be sent to [email protected] by COB 29th May 2020.

(e) At any time before the proposal submission deadline, The AAS may amend this RFP. The amendments shall be uploaded on the AAS website www.aasciences.africa and will be binding on interested bidders. If the amendment is substantial, the AAS may extend the proposal submission deadline to give the participating vendors reasonable time to incorporate the amendment(s) into their proposals. **

(f) Kindly encrypt your proposal with a password and share the password within 24hrs after the tender closing date

NB: ANY PROPOSAL THAT IS NOT PASSWORD ENCRYPTED WILL BE AUTOMATICALLY DISQUALIFIED

Primary RFP Contact

Procurement Office

The African Academy of Sciences Headquarters,

8 Miotoni Lane, Karen

P.O. Box 24916, Nairobi, Kenya

Telephone: +254 208 060 674 / 709 158 130 / 709 158 100

[email protected]

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