ssampsp.orgfinancial management group at the SPO & Accounts officer of the SPO will review the internal audit report submitted by the internal auditor & take further remedial measures

No.MPSP/SS/PO/Internal Auditor 2019-20/Aurangabad/2020-21/1546 dt.05/08/2020

Maharashtra Prathamik Shikshan Parishad

Samagra Shiksha

Request for Proposal

Appointment of an Internal Auditor for Internal Audit

of Accounts of Samagra Shiksha in the Districts of

Maharashtra State for the Financial Year 2019-2020 for

Aurangabad Division in Maharashtra State

Name of Client:

Maharashtra Prathamik Shikshan Parishad, Jawahar Bal Bhawan,

Netaji Subhash Marg, Charni Road, Mumbai 400 004

Telephone : 022-23636314

Maharashtra Prathamik Shikshan Parishad Jawahar Bal Bhavan, Netaji Subhash Marg, Charni Road, Mumbai

Invitation for Proposal- State Project Director, Samagra Shiksha, Maharashtra

Prathamik Shikshan Parishad, Mumbai hereby invites Proposals from the

Chartered Accountant firms empaneled by the Comptroller and Auditor General

of India (CAG) and member of ICAI hereinafter called the C.A.Firms, for the

engagement of audit of accounts Samagra Shiksha (SS), Kasturba Gandhi Balika

Vidyalaya (KGBV) Programme on concurrent basis at the offices of Education

Officer Zilla Parishad of the respective District and Administrative Officer of

Education Board of the Municipal Corporation, Block offices, SMCs, DIECPD,

Regional Academic Authority (RAA), Maharashtra Institute of Education

Planning & Administration (MIEPA) Aurangabad and other implementing offices

in Maharashtra State for the year 2019-20.

1. The RFP document is placed at website https://www.ssampsp.org

Note : Any Queries regarding Procurement please contact Helpdesk

No.: 022-23636314,ext.223/243,

C.A.Firms/Agencies are advised to study this RFP document

carefully before submitting their proposals in response to the RFP Notice.

Submission of a proposal in response to this notice shall be deemed to have

been done after careful study and examination of this document with full

understanding of its terms, conditions and implications.

Prospective C.A.Firms are advised to check the prequalification

criteria before purchase of Proposal. This RFP document is not transferable

and name of C.A.Firms who submits shall be same.

Important Information related to Proposal

No. Item Description

1. Earnest Money Deposit (EMD) Rs.50,000/- (Rs. Fifty

Thousand Only)

2. Document Fees Rs. 3,000/- (Rs. Three

Thousand Only.)

3. Rate Validity Period 90 days from the date of

opening of Financial

proposals

4. Last date for furnishing Security

Deposit to State Project Director,

MPSP, SS Mumbai (By successful

firms)

Within seven working days

from the date of the work

order issued by State Project

Director, MPSP, Mumbai.

5. Security Deposit value 5% of contract value of

successful firms

6. Security period 2 years.

7. Estimated/Minimum Fees 12,38,000/-

8. Submission of proposal Start from 06/08/2020 from 11.00 am at

MPSP, Mumbai

9. Submission of proposal end 21/08/2020 up to 3.00 pm at

MPSP, Mumbai

10. Technical proposals will be opened on 24/08/2020 at 11.30 am at

MPSP, Mumbai

11. Opening of Financial Proposals. Financial Proposals will be

opened only which Proposals

qualified in technical

evaluation.

Samagra Shiksha Maharashtra Prathamik Shikshan Parishad

(SS-MPSP)

2. TERMS OF REFERENCE (TOR)-Appointment of an Internal Auditor

for Internal Audit of Accounts of Samagra Shiksha (SS), Elementary & Rashtriya

Madhyamik Shiksha (RMSA), Kasturba Gandhi Balika Vidyalaya (KGBV)

Programme at the offices of Education Officer Zilla Parishad of the respective

District and Administrative Officer of Education Board of the Municipal

Corporation, Block offices, SMCs, DIECPD, Regional Academic Authority

(RAA), Maharashtra Institute of Education Planning & Administration (MIEPA)

Aurangabad and other implementing offices in Maharashtra State for the year

2019-20.

Background-Maharashtra Prathamik Shikshan Parishad is implementing the

centrally sponsored “Samagra Shiksha (SS)” Project in all Districts of

Maharashtra State.

In the Budget Speech of 2018 of Hon’ble Finance Minister mentioned an

Integrated scheme for secondary education stating that:

“We now propose to treat education holistically without segmentation from pre-

nursery to Class 12”.

In accordance to the aforesaid announcement, a Scheme was envisaged to

treat education holistically without segmentation by merging the centrally

sponsored schemes of Samagra Shiksha (SSA), Rashtriya Madhyamik Shiksha

Abhiyan (RMSA) and Teacher Education (TE). Accordingly, the Scheme has

been developed and launched to form an Integrated Scheme on School Education-

Samagra Shiksha from Pre-school to Senior Secondary schools of the country.

Grant is received form State Government, Central Government and others towards

various primary and secondary educational programs and the same is applied to

the eligible activities implemented through DPO/MNC/BRCs/URCs/CRCs and

SMCs under this programme.

1. Objective-Internal Audit is a control that functions by examining and

evaluating the adequacy effectiveness of other controls throughout the

organizations. The objective of current internal audit is to seek a professional

opinion on the financial position of Samagra Shiksha and KGBV

programme. The internal auditor should also ensure that funds received and

expenditure incurred for the accounting period are in accordance with

financial regulations, procurement procedures and other orders issued from

time to time and that proper accounts are maintained at District Project Office

(DPO), Block Resource Centre (BRCs), Cluster Resource Centre (CRCs) and

School Management committee (SMCs) and KGBV (of SS) if any and at

other implementing offices in Maharashtra State for the year 2019-20.

2. Scope of Work-

The Scope of work shall be as under-The purpose of this Request for

Proposal (RFP) is to seek the services Proposals from the Chartered

Accountant firms empaneled by the Comptroller and Auditor General of

India (CAG) and member of ICAI for the engagement of audit of accounts

Samagra Shiksha, Kasturba Gandhi Balika Vidyalaya (KGBV) Programme,

Teachers Training Programme at the offices of Education Officer Zilla

Parishad of the respective District and Administrative Officer of Education

Board of the Municipal Corporation, Block Offices, SMCs, DIECPD,

Regional Academic Authority (RAA), Maharashtra Institute of Education

Planning & Administration( MIEPA) Aurangabad and other implementing

offices in Maharashtra State for the year 2019-20.

The number of Schools proposed for audit may increase/decrease. The

data of Schools enclosed in RFP (Annexure-2) is as per U-DISE base data.

Expenditure is incurred against various activities approved in the

Annual Work Plan & budget from funds released by Government of India,

State Government and others covering the programme cost. A

statement of expenditure based on actual amounts spent under various

interventions is sent to Government of India. The internal auditor is required

to exercise tests of accounting records, internal checks and control and other

necessary internal audit of the accounts as per general principles. In

conducting the Audit, specific attention should be given to the following:

a) The internal audit activities should include payment audit as well as

independent appraisals for examination and evaluation of adequacy

effectiveness of the financial, operational and control activities of the

programme.

b) The responsibilities of the internal auditors should include reporting on

the adequacy of internal control, the accuracy and propriety of

transactions, the extent to which assets are accounted for and safe

guarded and the level of compliance with financial norms and state

government procedure of all programmes under Samagra Shiksha, and

KGBV.

c) All funds have been used in accordance with the condition of the

relevant financial norms and financial regulations with due attention to

economy and efficiency, and only for the purpose for which the

financing was provided.

d) Generally accepted accounting principles are followed by all entities

that are authorized to incur expenditure under Samagra Shiksha

Programme, and KGBV.

e) Goods, works and services financed have been procured in accordance

with relevant provision of the Procurement Procedure prescribed for the

purpose. Proper documents, namely, purchase orders, tender

documents, invoices, vouchers, receipts, pay bills, T.A. Bills etc. are

maintained and linked to the transactions and retained till the end of the

Programme.

f) All necessary supporting documents, record and accounts have been

kept in respect of all programme expenditure including expenditure

covered by Statement of Expenditure. Clear linkages should exist

between the books of accounts and reports presented to the Government

of India and the State Government.

g) Expenditure incurred under scheme is strictly in accordance with the

financial norms prescribed in the Scheme framework or any other

clarifications issued from time to time. The expenditure

statements/financial statements included in the statement of expenditure

of the relevant period represent a true and fair view or implementation

and operations of the programme at the end of the financial year and of

resources and expenditure for the year ended on that date.

h) Samagra Shiksha funds are used efficiently and economically to the

purpose for which they are intended.

i) Expenditure is incurred with reference to the budget allocation approved

by the project Approval Board. (PAB). In case budget allocation is

exceeded proper re-appropriation duly approved by the competent

authority has been obtained.

j) A review committee consisting of State Project Director, head of the

financial management group at the SPO & Accounts officer of the SPO

will review the internal audit report submitted by the internal auditor &

take further remedial measures on the discrepancies pointed out in

internal audit.

k) Reconciliation of Bank Statements and accounts is regularly carried out

on a monthly basis.

l) The Internal Auditor firm appointed for the audit should be required to

give Audit Certificate, certify the utilization certificate and any other

certificate required from time to time.

m) The audit should cover the accounts of State Implementing Society, all

District project offices, BRCs, URCs, CRCs, KGBV’s, SCERT, Pune,

Director, Education (Primary & Secondary), Pune, DIECPD & ⅓ of

SMC/VECs of each DPO/MC/BRC/URC per year to be covered in

Internal Audit. The details are given in (Annexure-2). The total number

of SMCs covered in audit should be indicated in the audit report. The

particulars of such SMCs will be provided by State Project Director to

the Internal Auditor firm appointed for audit. The Audit report should

clearly indicate coverage of such VEC/SMCs. The separate audit report

of SPO, DPO, BRC, URC, CRC, KGBV, DIECPD, Regional Academic

Authority (RAA), Maharashtra Institute of Education Planning &

Administration (MIEPA) Aurangabad & SMC/VEC shall be submitted

to State Project Director.

n) The Internal Auditor firm appointed for the audit should be required to

give adequate coverage of procurement process and reflection of same

in the audit report, as separate paragraph, as per the format prescribed

in the MHRDs letter No.15/2/2003-SSA(PR), dated 29th September,

2006 on procurement Audit.

o) The Internal Auditor firm appointed for the audit should be required to

certify of only those expenditures, which are supported by expenditure

statements/Utilization Certificates/Vouchers etc. as per the provision of

Para 4.21 of the Manual on Financial Management and Procurement,

and budget allocations for the same exists in the approved AWP&B for

the year 2019-2020. The expenditure certified by the audit should be as

per the sub activity heads under which allocations has been approved by

Project Approval Board.

p) The audit report should include the details of unadjusted outstanding

advances year wise. These should not be certified as expenditure but

shown as advances only.

q) The Internal Auditor firm appointed for the audit should classify the

Audit observation of the District Project Offices/MNCs/Block Resource

Centers/Urban Resource Centers/SMCs/DICPED & Other

Implementing Offices under the category. i) Recovery related, ii)

Irregularity Related, iii) Statutory Compliance & iv) General Paras.

r) The Auditor shall submit necessary details as required by the State

Project Director Office from time to time.

s) Internal Auditor shall examine the monthly report submitted to State

Project Office (SPO) and reconcile the differences if any.

t) Being the Internal Auditor, the auditor will also help the units by

training the Accounts officials and other functionaries for reporting &

preparation of Financial Statements also provide the guidance on

compliances of audit observation without any Additional/Incidental

charges.

u) The Internal auditor will also ensure about tax returns to be filed &

respective tax payments made to concerned authorities.

v) The Internal Auditor should hold entry conference at the time of

commencement of audit & exit conference after completion of audit to

discuss the audit observation and minutes of the same is enclosed along

with the audit report.

w) The Internal Auditor appointed will issue the audit report in the format

prescribed by MPSP, Mumbai in order to have uniformity in the audit

report.

x) During the audit if auditor detects any fraudulent transaction they should

report to the MPSP, Mumbai Immediately along with supporting

documents.

y) The internal Auditor should conduct the audit at respective offices i.e.

at SMCs/BRC/CRC/URC/DICPED/MNC/DPO/SPO.

z) The Internal Auditor should check the grant receipt from the upper unit

& transferred to the Periphery unit also they should do the grant

reconciliation.

• The internal Auditor shall submit the Observation sheet with signed

and seal of concerned Head Master /Officers of

BRC/CRC/URC/MNC/DPO/Other Implementing offices along

with name of the unit ,designation and contact details. For

SMCs/VECs consolidated report is to be summited in along with

the report of DPO/MCs/BRCs/URCs.

• The monthly expenditure Statement submitted by the districts

indicating the approved budget provision and expenditure during

the month, cumulative expenditure against the activity/sub-activity

during the financial year should be reviewed in the internal audit.

• The internal auditor appointed should check & verify that whether

the expenditure is incurred as per the sanctioned budgetary norms

or not.

3. Audit report should consist of :- The Audit Report of the auditors should

consist of the following statements & reports for each implementing units:

a) Audited Trial Balance

b) Audited Receipt & Payment A/c

c) Income & Expenditure account.

d) Audited Balance Sheet

e) Schedules to the Balance-sheet

f) Age-wise report of Advances

g) Checklist duly filled in.

h) Observations & recommendations of auditors

i) Statement of physical verification of fixed Assets/ Stocks duly certified.

j) Bank Reconciliation Statement & MMR of the year ended.

k) Other Schedules to the Balance sheet as appropriate, but which shall

include

• Statement of Fixed Assets in the form of a Schedule,

• Schedule of Loans and Advances (Age-wise analysis)

• Schedule of all cash & Bank Balances (also attach bank

reconciliation statements)

• Program wise Statement of Expenditure

a. Notes on Accounts showing the accounting policies followed

in the preparation of accounts in each unit and any other

significant observation of the auditor.

b. Scheme wise Statement of Expenditure (SoE) & Utilization

Certificates (UCs) as per Form 19-A of GFR 2005; duly tallied

with the Income & Expenditure and expenditure during the

financial year (Fixed Assets which have been shown as

capitalized) to be certified by the auditor.

c. Reconciliation of the expenditure as per the audited financial

statements with the expenditure reported as per MMR & SOE

for the financial year covered by audit period identifying the

variance and the reasons for the same. This should be certified

by the auditor.

d. Risk perceptions of audit Para. (High, Medium & Low)

e. Complied paras of the last report.

f. Persisted paras which are not complied from the last audit

report.

g. Copy of the grant letter.

h. Opening and closing balance of

SMCs/BRCs/CRCs/URCs/MNC/ DPO/Other Implementing

offices under Samagra Shiksha.

i. List of Units audited by the auditor in the form of Annexure

4. Additional Instructions to Auditors:

a) The auditor will specifically mention in the audit report about the

coverage of audit as per scope of work and also will ensure that, the

releases and expenditures are duly separately reflected in financial

statements of each program.

b) Financial Statements and relevant schedules thereto shall be prepared in

accordance with the format.

c) The Auditor shall submit the bill along with consolidated Audit Report

as per the scope of audit. The payments will be made by MPSP, subject

to satisfactory performance after evaluation of the Audit Report by

MPSP, Maharashtra.

d) The auditor shall also append the Checklist wherever necessary.

e) Being the Internal Auditor, the auditor will also help the units by

providing training to the Accounts officials and other functionaries for

reporting & preparation of Financial Statements on the requirements of

audit without any Additional/Incidental charges.

f) The Internal Auditor has to attend the meetings as and when called at

District Offices as well as State Office. To attend meeting like this

C.A.Firmss will not be entitled to pay TA/DA, Boarding & lodging etc.

by MPSP.

g) The quoted fees in a lump sum manner duly filled in the BOQ should be

inclusive of all charges including of tax and consultancy charges.

h) The report not consist the documents as specified in para no 15 & 18

will be treated as incomplete report & against which the MPSP will not

be liable to make the payment of fees.

i) The firm shall give an undertaking that the team members are proficient

in the State’s official language (both oral and written).

j) The Internal Auditor should provide the information, Statement,

Annexure as and when required by the MPSP.

k) The Internal Auditor appointed should provide the audit schedule of the

allotted division to the MPSP, 15 days before commencement of audit.

l) The composition of the team of personnel which the Internal Audit

would propose to provide and the task which would be assigned to each

team member.

m) The Internal Auditor should recommend the list of units for which

special audit is to be carried out by the state level official.

5. Consortium and joint ventures-Consortium, Joint venture, AOP

(Association of Persons), subletting, Sub-contracting and Outsourcing will

not be allowed if it is done considered as violation of terms of reference

(TOR).

6. Completeness of Response- C.A.Firms is advised to study all instructions,

forms, terms, requirements and other information in the RFP documents

carefully. Submission of Proposal shall be deemed to have been done after

careful study and examination of the RFP document with full understanding

of its implications.

The response to this RFP should be full and complete in all respects.

Failure to furnish all information/documents as per technical criteria required

by the RFP documents i.e. as mentioned in Point no.14 of RFP Document or

submission of a proposal not substantially responsive to the RFP documents

in every respect will be at the C.A.Firm’s risk and may result in rejection of

its Proposal and forfeiture of the Proposal /EMD.

7. Proposal Preparation Costs-Paragraph on 11 of TOR & Internal

Auditor: The C.A.Firm shall submit Proposal at their own cost and, State

Project Director, MPSP, Mumbai shall not be held responsible for any cost

incurred by the C.A.Firm. Submission of Proposal does not entitle the

C.A.Firm to claim any cost and rights. State Project Director, MPSP,

Mumbai shall be at liberty to cancel any or all Proposal without giving any

notice.

All materials submitted by the C.A.Firms shall be the absolute

property of Joint Director (Finance), MPSP, Mumbai and no copyright/patent

etc. shall be entertained by Joint Director (Finance), MPSP, Mumbai.

8. Procurement Provisions: All the Terms & Conditions Mentioned in the

Manual on Financial Management & Procurement of Samagra Shiksha and

Government Resolution issued GOM dated 1/12/2016, regarding new

purchase policies shall be applicable to all the C.A.Firms, whether it is

mentioned or not mentioned in this Tender Documents (RFP).

9. State Project Director, Maharashtra Prathamik Shikshan Parishad,

Mumbai`s right to terminate the process- State Project Director,

Maharashtra Prathamik Shikshan Parishad, Mumbai may terminate the RFP

process at any time and without assigning any reason there off. The State

Project Director, Maharashtra Prathamik Shikshan Parishad, Mumbai

reserves the right to amend/edit/add/delete any clause of this Proposal

Document in the interest of MPSP, Maharashtra. However, this will be

informed to all and will become part of Proposal/RFP.

10. Earnest Money Deposit (EMD) & Document Fees-

A. Earnest Money Deposit (EMD)

a) C.A.Firms shall submit, EMD of Rs.50,000/- (Rs. Fifty Thousand

Only) is to be paid through DD Drawn in favour of Samagra

Shiksha Mumbai.

b) The EMD & Document Fees Shall be denominated in Indian

Rupees only. No interest will be payable to the C.A.Firm on the

amount of the EMD.

c) The EMD & Document Fees may be forfeited:

� Once Qualification submitted shall not be withdrawn by any

C.A.Firm upto period of Proposal validity or its extended

period, if any; or

� In case of a successful C.A.Firms, fails to sign the Contract or

to furnish Security Deposit within specified time in

accordance with the format given in the RFP.

� During the Proposal process, if a C.A.Firms indulges in any

such deliberate act as would jeopardize or unnecessarily delay

the process of Proposal evaluation and finalization. The

decision of the State Project Director, Maharashtra Prathamik

Shikshan Parishad, Mumbai regarding forfeiture of the

Proposal Security shall be final & and binding upon

C.A.Firms.

� During the proposal process, if any information is found

false/fraudulent/mollified, then Joint Director(Finance),

Maharashtra Prathamik Shikshan Parishad, Mumbai shall

reject the Proposal and if necessary initiate action.

B. Document Fees-C.A.Firms shall submit, Document Fees of Rs.3,000/-

(Rs. Three Thousand Only) is to be paid through DD Drawn in favour

of Samagra Shiksha Mumbai.

11. Language of Proposal-This Proposal should be submitted in English

language only.

12. Proposal Submission Format-The entire proposal shall be submitted

strictly as per the format specified in this Request for Proposal. Proposal with

deviation from this format shall be rejected.

13. Submission of Quotation-The Quotation should be submitted physically by

the C.A.Firms at Maharashtra Prathmik Shikshan Parishad and Proposal

shall comprise of the following:

A. Technical Proposal-The C.A.Firm shall submit the Technical Proposal.

Technical Proposal should contain following documents.

No. Documents to be submitted Documentary Proof

Required.

1. Minimum 5 Full-Time Fellow

Partners of the firm as on

01.01.2020. Associated for

more than 5 Years.

Copy of establishing legal

identify

2. Part Time Partners if any, as on

01.01.2020.


identity Part Time Partners.

3. Full Time Chartered

Accountant /Cost Accountant

Employees

Undertaking certificate of

CA/CWA Firms on letter head

mentioned no. of full time

CA/CWA employees.

Supported by ICAI/ICWAI

Certificate as on 01.01.2020.

4. Accountant (Audit

Staff/Article/Accounting

Staff) presently working in the

firm.



mentioned no. of Accountant

presently working in the firm.

5. Internal Audit & Statutory

Audit assignment of External

Aided Project of state &

central government

department, Public Sector

Undertaking (Excluding

Banks & Insurance

assignment). Government

department, Public Sector

Undertaking (Excluding

Banks & Insurance

assignment). having fees of

Rs.2,50,000/- P.A. or more

(Excluding GST/Service Tax)

during last 3 years (i.e. F.Y.

2016-2017, 2017-2018 &

2018-2019)

Copies of work order/contract

and completion certificate

mentioning the work

description in detail.


Required.

6. Particulars of Branches Certificate of firm & Firm Card

issued by the ICAI/ICWAI.

7. Details regarding experience of

working in the SSA/RMSA i.e.

Similar Assignment of Internal

Audit during last 3 years (i.e.

F.Y. 2016-2017,2017-2018 &

2018-2019)



mentioning the work

description in detail during last

3 years (i.e. F.Y. 2016-2017,

2017-2018 & 2018-2019)

8. A copy of constitution

certificates of firm issued by

the ICAI/ICWAI containing

inter-alia.

a. Date of formation of the

firms with a full time FCA.

b. Details of partners/Sole

Proprietor/CA/CWA

Employees as on

01.01.2020, date of joining

the firm, date of becoming

FCA, and their other

interest, if any.

Constitution certificate of firm

issued by the ICAI/ICWAI as

on 01.01.2020.

9. A copy of the latest partnership

deed of CA/CWA Firm.

Latest Registered Partnership

Deed

10. Copy of PAN Card Copy of PAN Card

11. A copy of the

acknowledgement of the IT

return of the firm and all full

time partners for the F.Y.

2016-2017,2017-2018 & 2018-

2019 and a copy of

computation of income of full

time partners

A copy of the IT return along

with copy of computation of

income of the firm and all full

time partners and the copy

acknowledgement from I.T.

Department.

12. A Copy of financial statement

of the firm along with

schedules for the F.Y. 2016-

2017,2017-2018 & 2018-2019

Copies of financial statement



2017,2017-2018 & 2018-2019


Required.

13 GST Registration Copy of GST Registration

Certificate in Maharashtra

14 C and AG Empanelment for

the F.Y 2020-2021

1) Copy of C & AG

Empanelment for the for

F.Y. 2020-2021.

2) Copy of C and AG

empanelment as Major

Audit for PSU if any.

15 Details of court

cases/arbitration cases/or any

other case pending against the

firm also the firm or any

partners of the firm should not

be black listed by any PSUs or

Govt. Co. or any other

organisation in respect of any

assignment or behaviour.

Statement showing the details

of court cases/arbitration

cases/or any other case

pending/not pending against

the firm. [Self attested affidavit

on Rs.100/- stamp paper is to

be given in this regard by the

authorised person of the firm]

16 Any other important special

assignments


along with copy of

appointment letter.

17 The composition of the team of

personnel which the CA Firm

would propose to provide and

the task which would be

assigned to each team member.

Team Composition on the

letter head of the firm.

18 Authorization to sign on

behalf of the Firm in the form

of Power of Attorney on

Rs.500/- Stamp Paper Signed

by all the partner of the firm.

Power of Attorney on Rs.500/-

Stamp Paper.

B. Financial Proposal-The C.A.Firm shall submit the Financial Proposal

• BOQ (Bill of Quantity) is attached herewith & same will be

submitted in separate sealed envelope along with Technical

proposal in a bigger envelope.

• C.A.Firm can fill their rates in BoQ given with RFP document for

Aurangabad Region. Also see nature of work for Aurangabad

region in BoQ sheet title.

• Proposal sent by Email/Telex/Telegraphic/Tele-fax Post/Courier

Proposals will be rejected.

• C.A.Firms shall quote the rates excluding taxes (GST Only) but

including all overheads.

14. Proposal Opening-The Proposal will be opened on prescribed date and time

as per State Project Director, Maharashtra Prathamik Shikshan Parishad,

Mumbai as intimated. The C.A.Firm/authorized representatives are invited

to remain present at the time of Technical & Financial Proposal Opening.

Following procedure will be adopted for opening of Proposal. Firstly

information about number of Proposal received will be announced.

a) The technical Proposal will be opened by the Quotation opening

authority to check their validity as per requirements. If any particular

document of any Proposal is either missing or does not meet the

requirements specified, then a note to the effect will be made by the

Proposal opening authority. The Employer will carry out the process of

scrutiny and analysis of various documents/data received in technical

Proposal.

b) The original copy of the Technical Proposal shall be placed in a sealed

envelope clearly marked “TECHNICAL PROPOSAL” Similarly, the

original Financial Proposal shall be placed in a separate sealed

envelope clearly marked “FINANCIAL PROPOSAL” followed by the

name of the assignment, and with a warning “DO NOT OPEN WITH THE

TECHNICAL PROPOSAL.” The envelopes containing the Technical and

Financial Proposals shall be placed into an outer envelope and sealed.

This outer envelope shall bear the submission address, reference number

and title of the Assignment, and be clearly marked “DO NOT OPEN,

EXCEPT IN PRESENCE OF THE OFFICIAL APPOINTED. The MPSP,

Mumbai shall not be responsible for misplacement, delay in submission,

loss or premature opening if the outer envelope is not sealed and/or

marked as stipulated. This circumstance may provide a case for

Proposal’s/ bid’s rejection. If the Financial Proposal is not submitted in

a separate sealed envelope duly marked as indicated above, this shall

constitute grounds for declaring the Proposal non-responsive/ invalid.

c) The financial Proposal of C.A.Firms, who do not pass through technical

Proposal validity requirement, shall not be opened and a note to that

effect will be made.

d) After analysis and scrutiny of the documents with respect to the

requirement of the bidding is over, the Employer shall declare the

outcome of the scrutiny and will open financial Proposal of the

C.A.Firms whose technical Proposal satisfies the qualification criteria.

e) Preliminary scrutiny will be made to determine whether they are

complete, whether any computational errors have been made, whether

required sureties have been furnished, whether the documents have been

properly signed, and whether the proposal are generally in order.

f) State Project Director, Maharashtra Prathamik Shikshan Parishad,

Mumbai may waive any minor informality, nonconformity or

irregularity in a proposal which does not constitute a material

deviation, provided such waiver does not prejudice or affect the relative

ranking of any C.A.Firms.

g) Joint Director (Finance), Maharashtra Prathamik Shikshan Parishad,

Mumbai will determine the substantial responsiveness of each proposal

to the proposal documents. For purposes of these clauses, a

substantially responsive proposal is one which conforms to all the terms

and conditions of the proposal documents without material deviations.

h) If a proposal not substantially responsive, it will be rejected by the Joint

Director (Finance), Maharashtra Prathamik Shikshan Parishad, Mumbai

and may not subsequently be made responsive by the C.A.Firm by

correction of the nonconformity.

i) At the end of the evaluation of the Technical Proposal, Joint Director

(Finance), Maharashtra Prathamik Shikshan Parishad, Mumbai shall

invite C.A.Firms who have qualified for the opening of the Financial

Proposals. The date, time and location of the opening of Financial

Proposal will be informed by State Project Director, Maharashtra

Prathamik Shikshan Parishad, Mumbai.

15. Evaluation Process-

Proposal Evaluation committee

• The Proposal Evaluation Committee constituted by the Joint Director

(Finance), Maharashtra Prathamik Shikshan Parishad, Mumbai shall

evaluate the Proposal.

• The Proposal Evaluation Committee shall evaluate the Technical and

Financial Proposal and submit its recommendation to Competent

Authority whose decision shall be final.

16. Prequalification Criteria-The C.A.Firm shall fulfill all of the following

eligibility criteria: Basic criteria for the Internal Auditor for

participating in Proposal process

a) The firm shall be in existence for at least 10 years practicing Chartered

Accountants/Cost Accountants, registered with ICAI/ICWAI.

b) The firm must have five full time FCA Associated with the firm as on

01.01.2020 from last 5 years.

The firm shall be Partnership firms with five full time FCA.

Partnership concern shall be in continuous practice for the period

of minimum 10 years. Joint Venture & A. O. P. (Association of Persons)

firms are not allowed. The term full time partner/CA employee does not

include those persons [Partner/sole] who are: -

1. Partners in other firms

2. Employed part-time/full-time elsewhere, practicing in their own

name or engaged in practice otherwise or engaged in any other

activity which would be deemed to be in practice under section 2

(2) of the Chartered Accountants Act, 1949.

3. Partners who have earned more professional income from other

sources than their income from the firm.

Similarly, the full time Partner does not include a person who

is a partner in other firms or is employed elsewhere or otherwise

engaged in any other business/activity as mentioned above.

Accordingly, a person who is a partner/employee in another firm

should not apply in his capacity as Full time Partner of the Firm.

c) The firm of chartered accountants/Cost Accountants shall be partnership

concern in continuous practice for the period of minimum 10 years

registered with the ICAI/ICWAI. Joint Venture of firms is not allowed.

d) The firm Must have minimum 40 Skilled Staff

e) The firm must have empaneled with C. & A.G for F.Y.2020-21.

f) The firm should have annual minimum turnover of Rs.60.00 lakh each

year in preceding 3 years i.e. 2016-2017, 2017-2018 & 2018-19.

g) The firm must have experience of working as Internal Audit & Statutory

Audit assignment of External Aided Project of state & central

government department, Public Sector Undertaking (Excluding Banks

& Insurance assignment). Government department, Public Sector

Undertaking (Excluding Banks & Insurance assignment) of which Audit

fees for each Assignment is Rs 2,50,000/- P.A or more (Excluding

GST/Service Tax) in the preceding 3 years i.e. 2016-2017, 2017-2018

& 2018-19.

h) The firm must have Valid GST registration in Maharashtra.

i) The firm must have filed the income tax Returns of preceding 3 years

i.e. 2016-2017, 2017-2018 & 2018-19.

j) The firm should have his Head/Branch office in the Maharashtra region

from last 5 years as on 01.01.2020.

k) The firm should have PAN.

l) Latest Power of Attorney in the name of signing partner to sign on

behalf of the firm given by all the partner in case of Partnership Firm.

m) All the documentary proof of above must be submitted online.

Process of Evaluation

No. Particulars Total

Marks


Marks

1) Experience

(Maximum Marks)

10 4) No. of FCA

Partners(Refer Note 1)

10

More than 15 years 10 More than 7 Nos. 10

10-15 years 7 >5-<=7 nos. 7

For 10 years 5 For 5 nos. 5

2) C and AG

Empanelment eligible

for Major Audit of PSU

for the F.Y 2019-20

3 5) Average Turnover of Last 3 Years (i.e.F.Y.

2016-2017, 2017-2018 &

2018-19.)

More Than Rs 60 Lakh (Maximum Marks)

12

>=120 Lacs 12

> Rs 90 Lacs to <= 120

Lacs

8

3) Accounting Staff

(Article/Audit Staff)

20 > Rs 60 Lacs to <= 90

Lacs

4


Marks


Marks

More than 100 Nos. 20

Between 81-100 Nos. 15 6) a)

b)

c)

Internal Audit &

Statutory Audit

assignment of External

Aided Project of state &

central government

department, Public

Sector Undertaking

(Excluding Banks &

Insurance assignment).

Government

department, Public

Sector Undertaking

(Excluding Banks &

Insurance assignment) having Professional fees

Rs 2.5 Lakh P.a. or More

excluding GST/Service

Tax During last 3 Years

(i.e. F.Y. 2016-2017,

2017-2018 & 2018-19.)

Excluding the

Assignment of

SSA/RMSA as mentioned

in 6(b). (Refer Note 2)

Up To 12 Assignment -

Nil Mark

More than 12

Assignment- 1.5 Mark Per

Assignment i.e. Firm

having 14 assignments

will get 3 marks subject to

Maximum 25 Marks.

25

Between 61-80 Nos. 10 Internal Audit of

SSA/RMSA 5 Mark Per

Assignment If it cover

more than 50% of

Estimated fees (Refer

Note 3) During last 3

Years (i.e. F.Y. 2016-

2017, 2017-2018 & 2018-

2019.) Experience

counted in 6(a) will not be

considered here.

15

40 to 60 Nos. 5 Experience In

Maharashtra SSA/RMSA

during last 3 years If it

cover more than 50% of

Estimated fees (Refer

Note 4) During last 3

Years (i.e. F.Y. 2016-

2017, 2017-2018 & 2018-

2019.)

5

Total Marks 100

Note- 1 : Firm must have at least 5 full times FCA associated with

the firm for more than 5 Years.

Note-2,3 & 4 : Work Completion Certificate issued from Group “A”

Class I officer of Finance & Accounts, to be submitted

along with appointment letters.

a. C.A.Firms who qualify on EMD & Document Fees amount shall be

considered for further Technical evaluation.

b. C.A.Firm shall be evaluated as per prequalification criteria mentioned

as above. The C.A.Firms who fulfill all the prequalification criteria will

qualify for further Technical Evaluation.

17. Financial Proposal Evaluation- Evaluation committee shall evaluates

Financial Proposals of eligible C.A.Firms.

Quality and competence of auditing service shall be considered as the

paramount requirement. The decision of the award of the contract would be

as under:

a) Technical proposals scoring not less than 75 Marks will only be

considered for financial evaluation.

The CA Firm whose proposal did not meet the minimum

qualifying mark of were considered non responsive to the Quotation,

indicating that their financial proposals will be kept unopened. The

MPSP shall simultaneously notify the CA Firm via email that they have

secured the minimum qualifying mark, indicating the date and time set

for opening of financial proposals.

The Financial proposals shall be opened in the presence of the

C.A.Firms representative who chooses to attend. The name of

C.A.Firms, the quality scores, and the proposed price shall be read aloud

and recorded when the financial proposals are opened.

b) The evaluation committee will determine whether the financial

proposals are complete. The financial selection of the successful

C.A.Firms from the technically qualified C.A.Firms will be done by

considering both the price quoted and the technical capability using the

following criteria and weightage.

No. Criteria Maximum Marks

Weightage

Method of Allocating Marks for Combined Score

1. Weighted

score for

financial

bid

30 The C.A.Firm with lowest quote

will be awarded 30 marks and

other C.A.Firms will be awarded

proportionately less marks. e.g.

if the lowest quote is Rs.1.00 lac,

the C.A.Firm quoting this price

will get 30 marks. A C.A.Firm

quoting Rs.1.2 lac will get

(1.0/1.2) x 30 =24.99 marks).

2. Technical

Score

70 The C.A.Firm with maximum

technical score will be awarded

70 marks and other C.A.Firms

will be awarded proportionately

less marks. e.g. if the highest

technical score is 100, C.A.Firm

having this will get 70 marks.

C.A.Firm having technical score

80 will get (80/100) x 70 = 56

marks).

Total 100

\

All marks will be given rounded up to two decimal points. The

C.A.Firm getting the Maximum combined score out of 100 above

specified cut-off score will be short listed for further consideration.

Maharashtra Prathamik Shikshan Parishad, Mumbai will negotiate with

the firm, which ranked highest combined score. For the purpose of

“Weighted Score for Financial Proposal” amount shown as i.e. total

offered amount of 2019-2020 will be consider.

The weighted average score of the financial bid will be

calculated as per the following formula:

Sx= (TxX 0.70) + (CxX 0.30)

Where

Sx= Weighted Average score of the C.A.Firm

Tx= Technical score of the C.A.Firm

Cx= Financial score of the C.A.Firm

c) During negotiations the C.A.Firms must be prepared to furnish the

detailed cost breakup and other clarifications to the proposals submitted

by him, as may be required. If the negotiations with this auditor are

successful, the award will be made to him and all other auditors notified.

1. Please note that the Joint Director (Finance), Maharashtra

Prathamik Shikshan Parishad, Mumbai (MPSP) is not bound to

select any of the firms submitting proposals. Further, as quality is

the principal Selection criteria, the Joint Director (Finance),

Maharashtra Prathamik Shikshan Parishad, Mumbai (MPSP)

does not bind itself in any way to select the firm of lowest price.

2. C.A.Firm has to hold proposal valid for 90 days from the date of

submission without change the personal proposed for the

assignment and your proposed price. The State Project office will

make its best efforts to select auditor firm within this period.

State Project Director will take consent of C.A.Firm can extend

the validity of bid for further 90 days.

3. Please note that cost of preparing a proposal and of negotiating a

contract including visits to State Project Office if any, is not

reimbursable as a direct cost of the assignment.

4. Successful C.A.Firms has to execute the contract & submit the

security deposit @5% of the total amount of the contract value

within 7 days of LOI by way of Performance Bank Guarantee

(PBG) of any Nationalized Bank/Scheduled Commercial Bank in

favor of State Project Director, MPSP, Mumbai.

5. Internal Audit should be conducted immediately from the date of

issue of work order. Internal Audit of SPO, DPO, BRC, CRC,

KGBV (SS), SMCs, Regional Academic Authority (RAA) &

Other Implementing Offices should be completed before and

15.09.2020 and will have to submit report of audit up to

30.09.2020. In case of delay in submission of Final Audit Report

for 2019-2020 after prescribed period. Joint Director (Finance &

Accounts) may recover penalty 0.5% (zero point five percent) per

week for delay period, but maximum upto10% of contract price.

Every 4 days will be considered one week. The Joint Director

(Finance & Accounts) also has right to Blacklist those Auditors

who has not complied with the terms & conditions.

6. In case of audit of schools not conducted in full strength as given in

the work order, 10% penalty will be charged on the total incomplete

no. of schools/other units. C.A.Firms have to start the work

immediately after execution of agreement and should be

completed till 25.09.2019.

7. Please note that the remuneration, which C.A.Firm will receive

from the contract, will be subject to normal tax liability in India.

C.A.Firm may contact the concerned tax authorities for further

information in this regard if required.

8. However, one firm may be allotted subject to maximum 2 Division

at the discretion of MPSP, Maharashtra in case of selection for that

previously allotted division also be considered.

18. Payments:

• 90% payment will be made on submission of Audit Reports & Work

Completion Certificates from District & MNC.

• 10% payment will be made after completion of Statutory Audit of

2019-2020.

19. Period of Contract-The selected C.A.Firms shall be engaged initially for a

period of one year. If found suitable, the services of the C.A.Firms may be

extended on an annual basis for a maximum of further two years. In no case

should a C.A.Firms be entrusted with the internal audit responsibility for a

period exceeding three years. If not found suitable, a new C.A.Firms shall

be selected after following the selection procedure outlined in Para 6.1.7(b)

manual of FMP a fresh.

20. TERMINATION FOR DEFAULT- Joint Director (Finance), Maharashtra

Prathamik Shikshan Parishad, Mumbai may, without prejudice, to any other

remedy for breach of contract, by written notice of default sent to the

C.A.Firm, terminate the contract in whole or in part. if:

The qualified C.A.Firm fails to deliver any or all of the obligations

within the time period specified in the contract or any extension thereof

granted by the Joint Director (Finance), Maharashtra Prathamik Shikshan

Parishad, Mumbai. The qualified C.A.Firm fails to perform any of the

obligations under the contract.

The qualified C.A.Firm becomes bankrupt or otherwise insolvent,

provided that such termination will not prejudice or affect any right of action

or remedy which has accrued to the Joint Director (Finance), Maharashtra

Prathamik Shikshan Parishad, Mumbai.

The Joint Director (Finance & Accounts), MPSP shall have right to

black list those C.A.Firms who do not comply with the Terms &

Conditions/Obligations under the contract regarding this tender.

a) ARBITRATION-All disputes, differences, claims and demands arising

under or pursuant to or touching the contract shall be referred to the sole

arbitrator to be appointed by the Secretary to Government of

Maharashtra, Department of School Education & Sports. This is

notwithstanding the fact that the sole arbitrator may be connected in any

manner with the official process of finalizing the Contract. The award

of the sole arbitrator shall be final and binding on both the parties under

the provisions of the Arbitration and Conciliation Act, 1996 or by

statutory modification re-enactment thereof for the time being in force.

Such arbitration shall be held at Mumbai.

b) STANDARD OF PERFORMANCE-The qualified C.A.Firm shall

carry out the services and carry out its obligations under the contract

with due diligence, efficiency and economy in accordance with

generally accepted norms techniques and practices used in the industry.

The C.A.Firm/ C.A.Firms shall also adhere to professional standards

recognized by international professional bodies. The C.A.Firm shall

employ appropriate advance technology and safe and effective

equipment, machinery, material and methods. The C.A.Firm/C.A.Firms

shall always act in respect of any matter relating to this contract, as

faithful advisors to the Authority and shall, at all times support and

safeguard the Authority legitimate interests in any dealings with the

third party.

c) FORCE MAJEURE-Notwithstanding the Terms & Conditions, the

C.A.Firm shall not be liable for forfeiture of its performance security,

liquidated damages or termination for default, if and to the extent that,

its delay in performance or failure to perform its obligations under the

contract is the result of an event of Force Majeure.

For the purposes of this Clause, ‘Force Majeure' means an event

beyond the control of the C.A.Firm like acts of the Government of

Maharashtra/Joint Director (Finance), Maharashtra Prathamik Shikshan

Parishad, Mumbai either in its sovereign or contractual capacity, war or

revolution, fire, floods, epidemics, quarantine restrictions and freight

embargoes.

If a Force Majeure situation arises, the qualified C.A.Firm shall

promptly notify the Joint Director (Finance), Maharashtra Prathamik

Shikshan Parishad, Mumbai in writing of such a condition and the cause

thereof. Unless otherwise directed by the Joint Director (Finance),

Maharashtra Prathamik Shikshan Parishad, Mumbai in writing, the

C.A.Firm shall continue to perform its obligations under the contract as

far as reasonably practical, and shall seek all reasonable alternative

means for performance not prevented by the Force Majeure event. The

Joint Director (Finance), Maharashtra Prathamik Shikshan Parishad,

Mumbai may terminate this contract, by giving a written notice of

minimum 15 days to the C.A.Firm, if as a result of Force Majeure, the

C.A.Firm is unable to perform a material portion of the services for a

period of more than 30 days.

d) CONFIDENTIALITY-The C.A.Firm (s) and their personnel shall not,

either during the term or after expiry of this contract, disclose any

proprietary or confidential information relating to the services, contract

or the Joint Director (Finance), Maharashtra Prathamik Shikshan

Parishad, Mumbai business or operations without the prior written consent of the

Society.

Sd/-

(Ashwini Joshi, IAS)

State Project Director,

M.P.S.P. Mumbai.

Enclosure:

1. Supplementary Information to Internal Audit. (Annexure–1) 2. Form No.1 to 7.

3. Nos. of unit of each district for Internal Audit. (Annexure–2) 4. Draft agreement under which services will be performed. (Annexure–3) 5. List of documents to be submitted in Technical proposal. (Annexure–4) 6. Check List for review of district project office. (Annexure–5) 7. Bill of Quantity (BOQ)

Annexure– 1

2. Supplementary Information for Internal Audit

1) Proposals should include the following information apart from

mentioned in the Point 14 :

A) TECHNICALP ROPOSAL:

1. Hiring of Auditing Services(Form-1)

2. A brief description of the firm/organization, Name, Address,

Phone/Fax Numbers, E-mail ids, establishment date, registration

with ICAI/ICWAI Registration Numbers PAN, TAN, Service Tax

and partners details, constitution issued by ICAI. (Form-2-A)

3. Details of Non CA/CWA Staff (Form-2-B)

4. Particulars of CA/CWA Firm branches (Form-3)

5. Details of work experience of working with Internal Audit &

Statutory Audit assignment of External Aided Project of state &

central government department, Public Sector Undertaking

(Excluding Banks & Insurance assignment). Government

department, Public Sector Undertaking (Excluding Banks &

Insurance assignment) in preceding 3 years (F.Y. 2016-2017,

2017-2018 & 2018-19) (Form-4).

6. Details of Turnover of CA/CWA Firm (Form-5).

7. Affidavit for members of audit team for all CA/CWA and Non

CA/CWA Staff of audit team (Form-6).

8. Firm Constitution Certificate as on 01.01.2020.

9. Details of empanelment with C&A.G. for F.Y 2019-2020 &

eligible for Major Audit of PSU.

10. EMD & Tender form Fees Receipt.

11. Latest Power of Attorney in the name of signing partner to sign

on behalf of the firm given by all the partner.

12. Details of turnover of 2016-2017, 2017-2018 & 2018-19 with

supplementary evidence of Audited Balance Sheet, Income and

Expenditure Statement.

13. The firm or any partners of the firm should not be black listed by

any PSUs or Govt. Co. or any other organisation in respect of any

assignment or behavior. [Self-attested affidavit on Rs.100/- stamp

paper is to be given in this regard by the authorised person of the

firm]

14. The information submitted along with technical bid should provide

documentary evidence to access its correctness. All other

certificates as per eligibility criteria.

b) FINANCIAL PROPOSALS-The financial proposals should be

furnished as per Annexure-2

2) CONTRACT NEGOTIATIONS-The aim of the negotiation is to reach an

agreement on all points with the Internal Audits and initial draft contract by

the conclusion of negotiation. Negotiations commence with a discussion of

Internal Audit’s proposal, the proposed work plan, staffing and any

suggestions you may have made to improve the terms of reference.

Agreement will then be reached on the final Terms of Reference, the staffing

and the bar chart, which will indicate per personnel, periods in the field

&office, man-months, and reporting schedule.

FORM-1 (Undertaking on the letter head of the firm)

From

……………………………………….. ………………………………………… ………………………………………

…

Sir,

Sub : Hiring of Auditing Services.

I/We……………………………………. Auditor/Auditing firm herewith

enclose Technical &Financial Proposal for selection of my/our firm as auditor

for………………………………….

We undertake that

1) We accept all the terms & condition of this tender documents including the

corrigendum published on time to time.

2) We agree to bear all costs incurred by us in connection with the preparation

and submission of the proposal and to bear any further pre-contract costs.

3) We understand that Joint Director (Finance), MPSP, Maharashtra is not bound

to accept any proposal or to give any reason for award, or for the rejection of

any proposal.

4) We understand that Joint Director (Finance), MPSP, Maharashtra has right to

make changes in the terms & condition of the tender in the interest of the

organization without assigning the reason thereof.

5) In competing for (and if the award is made to us, in executing) the above

contract, we will strictly observe the laws against fraud and corruption in force

in India namely “Prevention of Corruption Act, 1988”.

6) We hereby declare that all the information and statements made in this

Proposal are true & correct.

7) We accept that any misinterpretation contained in it may lead to our

disqualification.

8) We accept that if we fails to submit the documents on e-tender portal in

accordance with the terms & condition of this tender documents, it may lead

to disqualification of the firm.

9) We agree that if we try to influence the tender process by undue practices

which may lead disqualification of the firm.

10) We agree that if we fails to provide the feasible cost break-up of Professional

fees quoted in this tender to the satisfaction of the State Project Director,

MPSP, Mumbai it may lead to disqualification of the firm.

Yours faithfully

Signature …………………

Full name …………………

and address …………………

(CA/CWA Firm)

Note:-This form should be submitted with Technical Proposal.

C:\Users\aarti\Desktop\Request For Proposal\Request for Proposal Aurangabad.docx

38

FORM-2(A)

Firms’ Name ______________________________________________

Details of Full Time Partners of the firm.

C.A./CWA Staff (Partner/Employee):-

No. Name Mention

whether he is Proprietor/Pa

rtner/ Employee

Membershi

p No.

Whether

FCA/ ACA

Date of joining

the firm (fulltime)

Date of

becoming FCA

Station &

Region Where residing at

present

Whether Acknowledgement

of Income Tax Return for the FY

2016-17,2017-18 & 2018-19. attached

Whether has ISA

(Information system Audit) CISA or any

other equivalent qualification (Specify the

qualification)*

1 2 3 4 5 6 7 8 9 10

Note:-

• Certificate of constitution issued by ICAI/ICWAI should be attached with

Technical Proposal.

• This form should be submitted with Technical Proposal.

Signature

…………………


and address ………………

……………………………….

(CA/CWA Firm)


39

FORM-2(B)

NON CA/CWA STAFF No. Name of the

Employee Qualification Date of

Joining Total Experience in

this work

1 2 3 4 5

Note :-

• Certificate of constitution issued by ICAI/ICWAI should be attached with

Technical Proposal.


Signature

…………………



……………………………….

(CA/CWA Firm)


40

FORM-3

Firms’ Name ___________________________________________________

Particulars of

Branches___________________________________________________

No. Station&

which

located

Complete

Address with PIN

Code & Telephone

No.

Name of the

Partner in Charge

of the Branch

Date of

Opening

of the

Branch

Region

Signature

…………………



……………………………….

(CA/CWA Firm)

Note:-

1. Firm Card issued by ICAI/ICWAI should be attached with Technical

Proposal.

2. This form should be submitted with Technical Proposal.

FORM- 4

Firms’ Name __________________________________________________

Details of Internal Audit/Statutory Audit of Government having professional

fees per annum Rs.2,50,000/- or more per Assignment (Excluding

GST/Service Tax) No. Name of the

Client Name of the Assignment

Nature of assignment

Year for which

appointed

Professional Fees Per Annum.

Note :-

• Work order must be submitted with Technical Proposal.


Signature

…………………



……………………………….

(CA/CWA Firm)

FORM-4-A

Firms’ Name __________________________________________________

Details of Internal Audit of SSA/RMSA No. Name of the

Client Name of the Assignment

Nature of assignment

Year for which appointed

Audit Fees Per Annum.

Note:-

a. Work order along with work completion certificate from Deputy/Joint

Director Finance must be submitted with the Technical Proposal.

b. This form should be submitted with Technical Proposal.

Signature

…………………



……………………………….

(CA/CWA Firm)

FORM - 5

Details of Turnover

(Rs. In Lakh)

Year Turnover

2016-2017

2017-2018

2018-2019

Note-This form should be submitted with Technical Proposal.

Signature

…………………



……………………………….

(CA/CWA Firm)

AAFFIDAVIT (on Rs.100/- Stamp Paper)

I (Name of the Person Authorized to Sign on behalf of firm) Partner of

(Name of the firm) undertake that we have Total …………. Number of staff as

mentioned in the Form 2A & 2B as on the date of publishing the tender and they

are proficient in speaking, reading and writing in Marathi Language List has been

enclosed herewith.

Signature of C.A./CWA Firm

Date: Note-It should be submitted for all C.A./CWA /Non C.A./CWA Staff concerned to this audit.

Annexure-2

No. Name of the Division Name of the District District/M.Corporation

1 Aurangabad Aurangabad Aurangabad

Aurangabad M.Corp.

Parbhani Parbhani

Hingoli Hingoli

Jalna Jalna

Beed Beed

Annexure–2 contd.

Maharashtra statement showing:- No. of DPO, MNC, BRC, URC,CRC, KGBV & Government Schools (Year 2019-20)

No. Name of District

DPO MNC No. of BRC/URC No. of CRCs No. of Govt Schools at Elementary level

No. of Govt Schools at Secondary level

Total No. of Govt Schools (Elementary & Secondary)

No. of KGBV

Schools

BRC URC Total Rural Urban Total Rural Urban Total Rural Urban Total Rural Urban Total

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

1 Aurangabad Division

Aurangabad 1 1 9 2 11 128 82 210 1973

115 2088 51 29 80 2024 144 2168 0

Bid 1 0 11 1 12 164 39 203 2379 93 2472 54 22 76 2433 115 2548 3

Hingoli 1 0 5 0 5 68 17 85 815 35 850 28 9 37 843 44 887 1

Jalna 1 0 8 0 8 106 36 142 1459 58 1517 24 15 39 1483 73 1556 7

Parbhani 1 0 9 1 10 86 28 114 1035 57 1092 35 20 55 1070 77 1147 7

Total 5 1 42 4 46 552 202 754 7661 358 8019 192 95 287 7853 453 8306 18

Annexure-3

AGREEMENT

The Copy of Agreement will be provided to the selected CA firm Separately.

Annexure-4

Statement Showing Documents to be submitted to be repeated


Required.

1. Minimum 5 Full-Time Fellow

Partners of the firm as on

01.01.2020. Associated for more

than 5 Years.


identify

2. Part Time Partners if any, as on

01.01.2020.


identity Part Time Partners.

3. Full Time Chartered Accountant

/Cost Accountant Employees



mentioned no. of full time

CA/CWA employees.

Supported by ICAI/ICWAI

Certificate as on 01.01.2020

4. Accountant (Audit

Staff/Article/Accounting Staff)




mentioned no. of Accountant


6. Particulars of Branches Certificate of firm & Firm

Card issued by the

ICAI/ICWAI.

7. Details regarding experience of

working in the SSA/RMSA i.e.

Similar Assignment of Internal

Audit during last 3 years (i.e. F.Y.

2016-2017, 2017-2018 & 2018-

2019)



mentioning the work

description in detail during

last 3 years (i.e. F.Y. 2016-

2017, 2017-2018 & 2018-

2019)

8. A copy of constitution certificates

of firm issued by the ICAI/ICWAI

containing inter- alia.

1. Date of formation of the firms

with a full time FCA.

Constitution certificate of firm

issued by the ICAI/ICWAI as

on 01.01.2020.


Required.

2. Details of partners/Sole

Proprietor/CA/CWA

Employees as on 01.01.2020,

date of joining the firm, date of

becoming FCA, and their

other interest, if any.

9. A copy of the latest partnership

deed of CA/CWA Firm.

Latest Registered Partnership

Deed

10. Copy of PAN Card Copy of PAN Card

11. A copy of the acknowledgement

of the IT return of the firm and all

full time partners for the F.Y.

2016-2017, 2017-2018 & 2018-

2019 and a copy of computation of

income of full time partners

A copy of the IT return along

with copy of computation of

income of the firm and all full

time partners and the copy

acknowledgement from I.T.

Department.

12. A Copy of financial statement of

the firm along with schedules for

the F.Y. 2016-2017, 2017-2018

& 2018-2019

Copies of financial statement



2017, 2017-2018 & 2018-

2019.

13 GST Registration Copy of GST Registration

Certificate in Maharashtra

14 C and AG Empanelment for the

F.Y 2019-2020

1. Copy of C & AG

Empanelment for the for

F.Y. 2019-2020.

2. Copy of C and AG

empanelment as Major

Audit for PSU if any.

15 Details of court cases/arbitration

cases/or any other case pending

against the firm also The firm or

any partners of the firm should not

be black listed by any PSUs or

Govt. Co. or any other


of court cases/arbitration

cases/or any other case

pending/not pending against

the firm. [Self attested

affidavit on Rs.100/- stamp

paper is to be given in this


Required.

organisation in respect of any

assignment or behaviour.

regard by the authorised

person of the firm]

16 Any other important special

assignments


along with copy of

appointment letter.

17 Document Fees and EMD Copy of Demand Draft

18 The composition of the team of

personnel which the CA Firm

would propose to provide and the

task which would be assigned to

each team member.

Team Composition on the

letter head of the firm.

19 Authorization to sign on behalf of

the Firm in the form of Power of

Attorney on Rs.500/- Stamp

Paper Signed by all the partner of

the firm.

Power of Attorney on

Rs.500/- Stamp Paper.

Annexure - 5

CHECK LIST FOR REVIEW OF DISTRICT PROJECT OFFICE

1) Books of Accounts : Ensure the maintenance of the following books of

accounts:

1. Cash book-

• Double entry system

• Separate cash book for each programme

• Separate cash book for each financial year

• Each entry is attested by the DDO

• Closed daily

• Monthly closing balance is tallied with bank account and cash in

hand

2. Ledger-All entries in the cash book shall be entered in the ledger.

3. Journal-Only for adjustment entries.

4. Cheque Issue Register-All cheque issued is entered.

5. Register of remittances made into the Bank

6. Register of advances of all types –

• All advances shall entered and adjustments shall carried out on

receipt of expenditure statement/utilization statement/vouchers

• Advances shall not be outstanding for a considerable period of time.

7. Bank pass book/bank statement

8. Register of bank/demand drafts issued.

9. Bill Register

10. Establishment Register

11. Stock Register: on consumable and consumable articles

12. Register of works

13. Fixed Asset Register

• Enter all items of office equipment (including computer & its

accessories) furniture, fixtures, buildings etc.

• Register of investments.

2) Opening of Bank Accounts Ensure the following

• In nationalized/scheduled/commercial schedule bank

• Joint signatory savings bank account

• In the name of the head of office

3) Bank Reconciliation Statement-Ensure that monthly bank reconciliation

statement is prepared regularly and the closing balance in the cash book is

tallied with the bank pass book/bank statement.

4) Annual Physical Verification-Ensure that Annual verification of stock and

assets is carried out the certificate is endorsed in the Asset Register and Stock

Register.

5) Expenditure-Ensure that :

• Expenditure is limited to the outlays approved by the PAB for the

activities included in the AWP&B and it is not exceeded.

• Supporting vouchers duly linked are available.

• Sanction of the competent authority who has the delegated financial

Powers is obtained.

6) Staffing-Ensure that adequate finance and accounts staff like Accounts

Officer, Accountant and cashier is positioned.

7) Procurement-Ensure that :

• The method of procurement followed is correct.

• The level of procurement is appropriate as per the Manual

• Advertisement in the case of open tender method is notified in national

and regional newspapers.

• Minimum 3 quotations are obtained in case of limited tender method.

• Proper evaluation of the bids is carried out and the evaluation report is

prepared.

• Contract is awarded to the lowest evaluated C.A.Firm

• All tender documents are available for review.

8) Financial Reporting-Ensure that formats prescribed in the Manual are used

invariably for periodic financial reporting and the reports are sent to SPO

regularly in time.

9) Utilization Certificate-Ensure that the utilization Certificates/ expenditure

statements are furnished to SPO in time and the copies of the same are

available on record.

Internal Auditor has to report the State Project Office, Mumbai whether

concerned offices have fulfilled the above referred points or not.

FINANCIAL Proposal

Item Rate BoQ Proposal / Quotation Inviting Authority: State project Director, Maharashtra Prathamik Shikshan Parishad, Mumbai

Name of Work : Appointment of CA Firm for Internal Audit of Account of SS & KGBV in the District of Maharashtra State for the

Financial Year 2019-20 for Aurangabad Division in Maharashtra State.

Dt.--------------

C.A.Firm Name:

Price Schedule

(This BoQ template must not be modified/replace by the C.A.Firm and the same should be uploaded after filling the relevant columns, else

the C.A.Firm is liable to be rejected for these tender C.A.Firms are allowed to enter in C.A.Firm Name and Values only)

No. Region / Office No. of Unit

Yearly Audit Fee (Per unit) (In. Rs.)

Total Audit Fee In Rs.

Aurangabad Divisions

1 District Project Officer (Z.P. & Municipal Corp.) 6

2 Block Resource Center & Urban Resource Center 46

3 Cluster Resource (Urban & Rural) 754

4 1/3rd of School Management Committee (SMC/SDMC)

Government All (Urban & Rural) 2769

5 MIEPA, Aurangabad 1

6 DIET 5

7 Regional Academic Authority (RAA) 1

8 KGBV 18

Total in Figures Rs.

Total in Words Rs.Total in Words Rs.Total in Words Rs.Total in Words Rs.