CONTRACT NOTICE – NATIONAL

1 Authority Details

1.1

Authority Name and Address

1.2

Address from which documentation may be obtained

As in 1.1

1.3

Completed documents must be returned to:

2 Contract Details

2.1

Title

Internal Audit 2020

2.2

Description of the goods or services required

The existing contract term for internal audit services is due to expire on 31st March 2020 and the Audit Committee is now seeking to tender these services for a period of three years, covering the 2020-21, 2021-22 and 2022-23 financial years.

Company Background

The principal activity of CCDG is to provide careers information, advice and guidance service (including placement into employment, training and education for young people) and the facilitation of education business links. The principal risks identified by the Directors are as follows:

Financial Risks

- Fraud

- Claw back/ceasing of European Funds

- Reduced budget

Failure of critical suppliers/distributors or others

- Cancellation of lease

- Utilities failure

- Computer system failure

Staffing

- Recruitment problems in key areas

- Long term absence

Operational Risks

- Failure to achieve key business targets

- Breach of Health & Safety regulations

- Adverse publicity/reputation

Government Policy Charges

- Making the Connections

- Loss of contracts

- Structural changes

The above risks form the basis of the company's Risk Register which identifies potential risks arising from the operation of the company. These risks are prioritised within a Risk Matrix and provided with a risk profile according to the impact and likelihood of the risk occurring.

The company prepares a list of the preventative measures for each of the risks identified, as well as the contingency measures to reduce the consequences of an incident to a lower risk level and to facilitate recovery in the event of any crisis arising. These measures and controls are incorporated into a Risk Management Strategy.

NOTE: To register your interest in this notice and obtain any additional information please visit the Sell2Wales Web Site at https://www.sell2wales.gov.wales/Search/Search_Switch.aspx?ID=99418.

The buyer has indicated that it will accept electronic responses to this notice via the Postbox facility. A user guide is available at https://www.sell2wales.gov.wales/sitehelp/help_guides.aspx.

Suppliers are advised to allow adequate time for uploading documents and to dispatch the electronic response well in advance of the closing time to avoid any last minute problems.

2.3

Notice Coding and Classification

2.4

Total quantity or scope of tender

Internal Audit

A professional, independent and objective internal audit service is one of the key elements of good governance, as recognised throughout the UK public sector. We are procuring an audit company that will enhance and protect organisational value by providing risk-based and objective assurance, advice and insight CCDG must establish and maintain arrangements for internal audit in accordance with the objectives, standards and practices described in the HM Treasury Public Sector Internal Audit Standards (PSIAS). Our audit approach is to improve the effectiveness of risk management, control and governance processes.

In achieving its objectives, the internal audit service should:-

• identify all systems and controls on which management proposes to rely and plan to review them over a cycle;

• evaluate such systems and controls, identify inappropriate or inadequate controls, and recommend improvements in procedures and practices;

• ascertain that systems and controls have been established and are working to achieve the most economic, efficient and effective use of resources;

• draw attention to any apparently uneconomical or otherwise unsatisfactory results flowing from management’s decisions, practices or policies; and

• liaise with external auditors.

Careers Wales intends that this tendering process complies with good practice relating to the selection and appointment of internal auditors. If you require any additional information please contact Paul Powell by email paul.powell@careerswales.com

3 Conditions for Participation

3.1

Minimum standards and qualification required

Tendering Terms

CCDG reserves the right to reject or disqualify a Tenderer where:

the tender is submitted late, is completed incorrectly, is incomplete or fails to meet the CCDG's submission requirements.

the Tenderer is guilty of serious misrepresentation in relation to its application and / or the process; and / or

the Tenderer contravenes any of the terms and conditions of this tender; and/or

there is a change in identity (including where applicable the make up of consortia), control, financial standing or other factor impacting on the evaluation process affecting the Tenderer;

The disqualification of a Tenderer will not prejudice any other civil remedies available to CCDG and will not prejudice any criminal liabilities that such conduct by a Tenderer may attract.

CCDG further reserves the right to:

cancel the tender process at any stage for any reason;

require a Tenderer to clarify their submission in writing or by means of a clarification meeting and / or provide additional information. (Failure to respond adequately may result in the disqualification of a Tenderer);

amend the terms and conditions of the tender process; and/or

award only part of the contract.

CCDG reserves the right to withdraw from the tendering process at any stage or to vary the scope of the Products required and CCDG shall not be liable to any Tenderer as a result of this action. In the event that the tender process is cancelled no part of the tender submitted shall be returned to the Tenderer.

Tenderers acknowledge and agree by their submission that their tender remains open for acceptance by CCDG for six months from the closing date for receipt of tenders.

Communication

All contact must be made through Paul Powell who will facilitate appropriate contact with other relevant persons. Contact should be made by email to paul.powell@careerswales.com.

Tenderers must not in any way canvass or solicit information from any other employee of CCDG or its agents and / or advisers.

Clarification

Should any Tenderer wish to raise any questions or obtain any further information not contained in the tender or not otherwise publicly available all questions / requests must be submitted to Paul Powell before 5pm on 07/02/2020 to the email address set out above.

If a question or request for clarification or further information is not made by the date referred to above, CCDG reserves the right not to respond but may, at its own discretion, endeavour to respond to the Tenderer and provide the Tenderer with any additional information to which CCDG has access, but CCDG shall not be obliged to comply with any such request and does not accept any liability or responsibility for failure to provide any such information.

CCDG will endeavour to respond to queries within seven working days and will advise Tenderers if a longer response time is required due to the nature of the query.

Tenderers are encouraged to identify issues on which they would like clarification as early as possible in the tendering process and must raise a clarification if any aspect of this tender is not clear to the Tenderer.

Right to Amend

CCDG reserves the right to issue supplementary documentation at any time during the process in order to clarify any issue or amend any aspect of the tender. All such further documentation issued by CCDG during the tendering process shall be deemed to form part of the tender and shall supersede any part of the tender to the extent indicated. CCDG may exercise the option to extend the tender period and postpone the tender return date, in the event that subsequent documentation is issued or for any other reason.

Confidentiality

CCDG and its advisors will keep confidential the tenders and any other information supplied by Tenderers during the tendering process and will use best endeavours to prevent any disclosures by their officers and employees.

Tenderers must be aware that at key stages in the project CCDG may be obliged to disclose detailed information relating to Tenders to relevant monitoring authorities and to make the key project documents available for private inspection by such authorities.

Whilst CCDG will be reasonable as regards the protection of commercially sensitive information, it can only do so in the light of the latest published guidance on this area.

Freedom of Information and Environmental Information Statement

CCDG is subject to The Freedom of Information Act 2000 (“Act”) and The Environmental Information Regulations 2004 (“EIR”).

As part of CCDG’s duties under the Act or EIR, it may be required to disclose information concerning the procurement process or the Contract to anyone who makes a request.

If the Tenderer considers that any of the information provided in their tender is commercially sensitive (meaning it could reasonably cause prejudice to the Tenderer if disclosed to a third party) then it should be clearly marked as "Not for disclosure to third parties” together with valid reasons in support of the information as being exempt from disclosure under the Act and the EIR.

CCDG will endeavour to consult with the Tenderer and have regard to comments and any objections before it releases any information to a third party under the Act or the EIR. However CCDG shall be entitled to determine in its absolute discretion whether any information is exempt from the Act and/or the EIR, or is to be disclosed in response to a request of information. CCDG must make its decision on disclosure in accordance with the provisions of the Act or the EIR and can only withhold information if it is covered by an exemption from disclosure under the Act or the EIR.

Canvassing and non-collusion

Except as specifically authorised by CCDG, Tenderers shall not approach any other Tenderer or member of CCDG’s staff with a view to seeking information in respect of any part of their submission or proposals or attempting to support or enhance their prospects of their tender being selected.

Any collusion between Tenderers, combining of Tenderers or transfer of any equity partner, development manager, advisor or subcontractor from one Tenderer to another may lead to the exclusion of the Tenderers involved at the discretion of CCDG.

Publicity

No publicity regarding the project or the award of the contract will be permitted unless and until CCDG have given express written consent to the relevant communication. In particular, no statements should be made to the press or other similar organisations regarding the nature of any tender, its contents or any proposals relating thereto without prior written consent.

Costs

All Tenderers are solely responsible for their costs and expenses incurred in connection with the preparation and submission of their tender and the tendering process. Under no circumstances will CCDG, or any of its advisers, be liable for any costs or expenses borne by the Tenderer or any of its consortium members, subcontractors or advisers in this process or for any economic loss or other loss of profit incurred by any Tenderer in relation to the project.

Welsh Language

CCDG is committed to promoting and facilitating the use of the Welsh language,

and to not treat the Welsh language less favourably than English in line with the

Welsh Language (Wales) Measure 2011. The successful Bidder should be aware of

the provisions of the Measure and ensure that in implementing the contract the Welsh

language is promoted and facilitated and not treated less favorably than English. (ESSENTIAL)

Compliance with Legislation

Tenderers are deemed to understand fully the processes that CCDG is required to follow under relevant European and UK legislation, particularly in relation to The Public Contracts Regulations 2015

Jurisdiction and governing laws

All aspects of the tendering process shall be governed by and construed in accordance with the laws of England and Wales as applied in Wales and each Tenderer submits to the jurisdiction of the English and Welsh courts.

Disclaimer

None of CCDG, its advisors, or directors, officers, members, partners, employees, other staff, agents or advisers of any such person:

makes any representation or warranty (express or implied) as to the accuracy, reasonableness or completeness of the information in the tender. Any persons considering making a decision to enter into contractual relationships with CCDG following receipt of the tender should make their own investigations and their own independent assessment of CCDG and its requirement for the Products and should seek their own professional financial and legal advice; or

accepts any responsibility for the information in the tender or for its fairness, accuracy or completeness, nor shall any of them be liable for any loss or damage (other than in respect of fraudulent misrepresentation) arising as a result of reliance on such information or any subsequent communication. Only the express terms of any written contract relating to the subject matter of this tender as and when it is executed shall have any contractual effect in connection with the matters to which it relates. Any such contract will be governed by English and Welsh law.

Nothing in the tender or other contract documents is or should be relied upon as a promise or representation as to CCDG's ultimate decisions in relation to this tender.

No oral acceptance by CCDG of any offer or outline submissions within an offer shall be valid or binding on CCDG.

In order to further ensure a fair and competitive process, CCDG requires that all actual or potential conflicts of interest are disclosed, identified and resolved to CCDG ’s satisfaction prior to the submission of Tenders or immediately notified to CCDG in the event that any actual or potential conflict of interest comes to the Tenderer’s attention following the submission of a Tender. In such circumstances CCDG may require further information from Tenderers but reserve the right to disqualify a Tenderer from further involvement.

CCDG reserves the right to exclude Tenderers from the procurement process should actual or potential conflicts of interest be found by CCDG to confer an unfair competitive advantage on one or more Tenderers or to otherwise undermine a fair and competitive procurement process and, following consultation with the Tenderer, such actual or potential conflicts are not resolved to the satisfaction of CCDG.

Tenderers should read these instructions carefully before completing the Tender documentation. Failure to comply with these requirements for completion and submission of the Tender Response may result in the rejection of the Tender. Tenderers are advised therefore to acquaint themselves fully with the extent and nature of the services and contractual obligations. These instructions constitute the Conditions of Tender. Participation in the tender process automatically signals that the Tenderer accepts these Conditions of Participation.

The Tenderer shall not make contact with any other employee, agent or consultant of the Authority who are in any way connected with this procurement exercise during the period of this procurement exercise, unless instructed otherwise by the Authority.

Any Tenderer who:

Fixes or adjusts the amount of its Tender by or in accordance with any agreement or arrangement with any other party; or

Communicates to any other party other than the Client or, as applicable, relevant OCB the amount or approximate amount of its proposed Tender or information which would enable the amount or approximate amount to be calculated (except where such disclosure is made in confidence in order to obtain quotations necessary for the preparation of the Tender or insurance or any necessary security); or

Enters into any agreement or arrangement with any other party that such other party shall refrain from submitting a Tender; or

Enters into any agreement or arrangement with any other party as to the amount of any Tender submitted; or

Offers or agrees to pay or give or does pay or give any sum or sums of money, inducement or valuable consideration directly or indirectly to any party for doing or having done or causing or having caused to be done in relation to any other Tender or proposed Tender, any act or omission, shall (without prejudice to any other civil remedies available to the Client and without prejudice to any criminal liability which such conduct by a Tenderer may attract) be disqualified.

Any Tender received at the designated place after 12 noon on 21/02/2020 may be rejected unless the Tenderer can provide irrefutable evidence that the Tender was capable of being recovered by the due date and time.

After the receipt of Tenders, the client may visit at least one customer reference site of the Tenderer and may seek whether references from any other designated customers which are not visited. All unsuccessful Tenderers will be provided with an “unsuccessful letter” notifying them of the outcome of the evaluation exercise and the name of the successful tenderer/s.

4 Administrative Information

4.1

Type of Procedure

Single stage

4.2

Reference number attributed to the notice by the contracting authority

N/a

4.3

Time Limits

4.5

Language or languages in which tenders or requests to participate can be drawn up

4.6

Tender Submission Postbox

5 Other Information

5.1

Additional Information

Tender Process

The appointment process will be conducted in two stages. Firstly please submit in a format of your choice a response to the following sections:

Section 1: Pricing – 30%

Please state the fixed daily rate that you will charge based on the following criteria:

• Standard day is 7.5 working hours.

• Daily rate must be fully inclusive and include all expenses such as travelling, parking, lunch, equipment, materials and disbursements etc but exclusive of VAT.

• Daily rate must incorporate costs for management/partner time for attending monthly and quarterly meetings and attending the Governance and Audit Committee if required.

• Travelling time shall on no account be paid to the Contractor

Section 2: Quality – 70%

Please provide a response to the following:

1. Relevant experience of working in the public sector – 10% each (total 30%

• Please provide two examples of where you have worked with the public sector

• A statement summarising the benefits of selecting your firm based on your experience in this sector

2. Your Personnel – 10%

Details of the experience of the relevant senior personnel who will be undertaking the audits, including

• Name and qualifications

• Relevant audit experience in the public sector

• Succession planning and steps to ensure staff continuity

3. Audit Approach – 10%

• Details of the general approach your firm intends to take with the audit

• The extent to which the audit is targeted to take account of the nature of Careers Wales including whether a specialist audit approach is to be adopted

4. The Well-being of Future Generations (Wales) Act 2015 – 10%

• The Internal Auditor will need to take into account how they will test our systems to ensure that we comply with the requirements of The Well-being of Future Generations (Wales) Act 2015.

5. Environment – 10%

• Careers Wales Embrace Sustainable Development principles in all aspects of procurement to ensure that environmental, social and economic factors are considered within the framework of value for money’ Please describe how you

• reduce waste to landfill;

• recycle materials;

• reduce water consumption;

• manage business mileage.

Submission Details

emailed tenders will be accepted or via sell2wales site. They should be delivered to the Careers Wales no later than noon on Friday 21st February . Tenders received after this date will not be considered.

All tenders will be reviewed and shortlisted by a panel. Shortlisted organisations will be informed within five days of the Panel meeting. The successful organisations will be invited to make presentations to a Panel in early March 2020. We will issue the criteria for the presentations (which will be based on the original quality questions). The presentation should last not more than 30 minutes. The presentation should address the points referenced in the Quality section of the tender.

This will be followed by a questions and answers session. The meeting is expected to last not more than one hour.

It should be noted that:

1. Careers Wales will not be liable for or pay expenses or losses whatsoever which

may be incurred by any tenderer in the preparation of a submission.

2.. The contract will be awarded based on the following criteria:

Section A Price 30%

The lowest price submitted will be awarded a score of 40 for price alone, with tenderers thereafter being allocated a relative score which will be 40 marks less the percentage difference from the lowest price.

For example lowest price is £500 per day the next lowest is £400 per day the second lowest tender would score 40 – (100/500x100) = 8 = score of 32.

This score will be combined with the quality score to give an overall score for each tenderer.

Section B: Quality 70%

The following marks are allocated to each section:

• Relevant Experience 30 marks

• Your Personnel 10 marks

• Audit Approach 10 marks

• Environment 10 marks

• Well Being of Future Generations 10 marks

The three highest scoring tenderers will be invited to make oral presentations to a panel. Interviews will be used as a method of revisiting existing marks for all answers in section B. The tender will be awarded to the company achieving the highest score out of a maximum 100%.

The scoring methodology

1. Very Good or Fully Compliant Submission -which meets all requirements and is fully explained in comprehensive detail – between 90 to 100% of the marks available

2. Good or Fully Compliant Submission -which meets all the requirements and is explained in reasonable detail between 70% and 80% of the marks available

3. Satisfactory or Compliant Submission -which meets the essential requirements and is explained in adequate detail 50% to 60% of the marks available

4. Weak or Partially Compliant (Minor issues) Submission where some areas falls short of requirements and is poorly explained 30% to 40% of the marks available

5. Un acceptable or Non Compliant (Major issues) Submission which fails to meet requirements and is not explained 10% to 20% of the marks available

The following represents the indicative timescale for the key stages of the tender process.

These dates are subject to change

Issue of Invitations to Tender – 30/01/2020

Receipt of tenders – 21/02/2020

Panel Meeting to be take place early March 2020

Notification of Agreement award – Mid March 2020

Commencement – 01 April 2020

(WA Ref:99418)

5.2

Additional Documentation

5.3

Publication date of this notice