Auditing Services Enterprise Contract Program

Financial Audits

Designed to ensure revenue and expenditures are fairly and accurately recorded in compliance with the agency's financial reporting standards. This includes but is not limited to verifying that the financial statement and transactions are accurate, complete, valid, consistent, timely, assessing internal controls, analysis of indirect costs and budgets. This could include agreed upon procedures engagements.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• Myers Stauffer LC
• The Compliance Shop

Internal Audits, Internal Control Services, and Risk Assessments

Designed to evaluate the effectiveness of internal controls and the management of procurement risks by identifying, documenting, and testing an agency's internal controls over business processes. This includes but is not limited to procurement procedures, identifying potential areas of fraud or inefficiency, and assessing the overall health of business processes. Internal Control Services include audit remediation and control activity design. Risk assessments focus on identifying areas of concern or mitigation of negative outcomes with internal controls.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• The Compliance Shop

Procurement/Contract Audits

Designed to examine the integrity and performance of the agency's contracts and procurement activities. This includes but is not limited to verifying compliance with state and federal procurement laws and policies, in addition to agency-specific requirements.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• The Compliance Shop

Grant/Federal Program Audits

Designed to ensure that grants programs are administered in accordance with state grant policies, the requirements of the granting agency and federal regulations. Auditors may need to adhere to Yellow Book and/or Single Audit Standards.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• Myers Stauffer LC
• The Compliance Shop

Forensic/Investigative Audits

Designed to investigate allegations of fraud, waste, and abuse within the agency's business processes. Forensic audits can include but are not limited to in-depth investigations to uncover or determine the extent of fraud, waste, or abuse within an agency's business activities.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• Myers Stauffer LC
• The Compliance Shop

Performance/Operational Audits

Designed to assess the efficiency, effectiveness and accuracy of agency business acitivities. These audits can include but are not limited to evaluating whether agency goals were achieved, resources were utilized effectively, and if agency operations deliver the intended outcomes within anticipated timelines.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• The Compliance Shop

Compliance Audits

Designed to ensure that the agency processes are compliant with relevant laws, regulations, policies, and contractual obligations. This includes but is not limited to agreed upon procedures' engagements or conducting control and compliance audits of IT systems to ensure adherence to state federal regulations, focusing on application controls, reporting, cybersecurity, and data governance.

Approved Vendors

• Baker Tilly US LLP
• Berry Dunn
• Clifton Larson Allen LLP
• Eisner Amper LLP
• Myers Stauffer LC
• The Compliance Shop

Transactions up to $100K

For transactions estimated to cost up to and including $100,000.00 (including anticipated amendments), State Agencies and CPV Members must follow the following process:

1. An agency/member must complete and electronically submit an Engagement Request (ER) and Work Order Certification form (Certification not require for CPV Members) to the P/T Unit at the Department of Administration, Office of State Procurement (OSP). The forms must be emailed to PT.Contracts@state.mn.us. If a member does not wish to use the standard ER form, the member may submit a similar originating document providing the same information.
2. OSP will assign a program tracking number and return the originating ER document and certification (state agencies only) with tracking number to the agency/member via email. OSP will identify any required modifications to the ER at this time.
3. Following receipt of the originating ER document and tracking number from OSP, agency/member must submit the document to the pre-identified contractor. The originating ER document will direct the contractor to contact the agency/member within two business days of receipt of the originating ER document or earlier of instructed by the agency/member.
4. Following discussion about the project, including the proposed contractor's duties and cost, the agency/member must create a Work Order Contract (state agencies) or a CPV Work Order Contract (CPV Members) if the agency/member decides to proceed with the project. The work order must thoroughly identify the contractors duties and negotiated costs.
5. Work Order Contracts require the signature of the contractor, agency/member and the Commissioner of Administration. A signature verifying the encumbrance of funds is required for State Agencies. Once signatures from the contractor and agency/member have been obtained, route the Work Order Contract, Engagement Request, and Certification to OSP for review and signature.

Transactions in excess $100K

For transactions estimated to cost up to and including $100,000.00 (including anticipated amendments), State Agencies and CPV Members must follow a competitive process in which a minimum of three contractors in the service category are provided an opportunity to submit a proposal to perform the work.

1. An agency/member must complete and electronically submit a Request for Offers (RFO) and Work Order Certification form (Certification form is not required for CPV Members) to the P/T Unit at the Department of Administration, Office of State Procurement (OSP). The forms must be emailed to PT.Contracts@state.mn.us. (If a CPV member does not wish to use the standard RFO form, the member may submit a similar originating document providing the same information).
2. OSP will assign a program tracking number and review and return the originating RFO document and certification (state agencies only) with tracking number to the agency/member via email. OSP will identify any required modifications to the RFO at this time.
3. Following receipt of the originating RFO document and tracking number from OSP, agency/member shall issue the originating RFO documents to three or more contractors eligible to provide the identified service. If there are less than three contractors eligible to provide the identified service, the Request for Offers must be sent to all the contractors in that category.
4. Following receipt of the above documents from each contractor, the agency/member shall score and evaluate the proposals, applying the state's or CPV member's evaluating criteria. Following the evaluations, the agency/member shall commence negotiations with the highest scoring responder.
5. If negotiations are successful, the agency/member may proceed to create a Work Order Contract (state agencies) or CPV Work Order Contract (CPV members). The Work Order Contract must thoroughly identify the contractor's duties and negotiated cost.
6. Work Orders Contracts require the signature of the contractor, state agency/member and the Commissioner of Administration. A signature verifying encumbrance of funds should also be included. Once all signatures are obtained on the Work Order Contract, the agency member must transmit a copy of the fully-executed work order, originating RFO document and certification (state agencies only) to PT.Contracts@state.mn.us. The contractor should also be sent a copy of the fully executed work order for its file.

Equity Select

Below is the process for transactions estimated to cost up to and including $200,000 (including anticipated amendments):

1. Search the Office of Equity Procurement's (OEP) website to ensure the master contract holder is a Certified Targeted Group, Economically Disadvantaged, or Veteran-Owned business.
2. An agency/member must completed and electronically submit an Engagement Request (ER) and Work Order Certification (Work Order Certification not required for CPV members) to the P/T Unit at the Department of Administration, Office of State Procurement (OSP). The forms must be emailed to PT.Contracts@state.mn.us.
3. OSP will assign a program tracking number and review and return the originating ER document and certification (state agencies only) with tracking number to the agency/member via email. OSP will identify any required modifications to the ER at this time.
4. Following receipt of the originating ER documents and tracking number from OSP, agency/member shall submit the documents to the pre-identified contractor. The originating ER document will direct the contractor to contact the agency/member within two business days of receipt.
5. Following discussion about the project, including the proposed contractor's duties and cost, the agency/member must create a Work Order Contract (state agencies) or CPV Work Order Contract (CPV) members. The Work Order Contract must thoroughly identify the contractor's duties and negotiated cost.
6. Work Order Contracts require the signature of the contractor, state agency/member and the Commissioner of Administration. A signature verifying encumbrance of funds should also be included. Once all signature are obtained on the Work Order Contract, the agency member must transmit a copy of the fully-executed work order, originating ER document and certification (State Agencies only) to PT.Contracts@state.mn.us. The contractor should also be sent a copy of the fully-executed work order for its file.