United Nations
Nations Unies
United Nations Office at Nairobi (UNON)
Kenya
REQUEST FOR EXPRESSION OF INTEREST (EOI)
This notice is placed on behalf of UNON. United Nations Procurement Division (UNPD) cannot
provide any warranty, expressed or implied, as to the accuracy, reliability or completeness of
contents of furnished information; and is unable to answer any enquiries regarding this EOI. You
are therefore requested to direct all your queries to United Nations Office at Nairobi (UNON) using
the fax number or e-mail address provided below.
Title of the EOI:
FINANCIAL AUDIT COVERING ALL ACTIVITIES OF THE MIKE
Date of this EOI:
EOI Number:
10 December 2012
Closing Date for Receipt of EOI :
EOI/UNON/12/054
Address EOI response by fax or e-mail for the Attention of:
Kenneth Gaciura/ Jayne Ekema
Fax Number:
+254 20 7623211
E-mail Address:
kenneth.gaciura@unon.org, jayne.ekema@unon.org
UNSPSC Code:
28 December 2012
84111600 - Financial Audit Services
DESCRIPTION OF REQUIREMENTS
UNON, on behalf of United Nations Environmental Programme (UNEP), seeks to contract a duly certified
professional auditor to conduct a Financial Audit covering all activities of the MIKE (Monitoring the Illigal
Killing of Elephants) Phase II projects during the period from initiation on 1 April 2006 to 31 December 2012.
Background:
At the 10th meeting of the Conference of the Parties to CITES (Harare, 1997), the Parties passed an
unprecedented resolution mandating that a monitoring system be put in place across the entire range of the
African and Asian elephants. The objective was to establish a system, linked to a parallel global system for
monitoring illegal trade in ivory and other elephant specimens, which would provide information on the
illegal killing of elephants and factors that may be associated with it, especially those arising from legal or
illegal trade. It was intended that this would support the issue concerning the protected status of elephants
by providing reliable information on trends in elephant populations and elephant poaching. A system was
developed, now widely known by its acronym MIKE (Monitoring the Illegal Killing of Elephants), and was
endorsed by the Standing Committee in March 1999.
The core problem that MIKE seeks to address is that national decision makers in Africa, in conjunction with
all other CITES Parties, do not have reliable information on which to base their decisions and evaluate
impact with regard to CITES trade decisions. Nor do the majority of the African range States have the
capacity or information needed for assisting decisions in regard to appropriate management, protection and
enforcement and human-elephant conflict reduction needs. It is therefore an important part of the project
that the data and information provided by MIKE is accepted as reliable, so that the range States can
PD/EOI/MISSION v2012-01
concentrate on decision making, rather than arguing over data.
MIKE Phase II builds on the lessons learnt and recommendations from the evaluation of the MIKE Phase I
project, and is designed to promote ownership and facilitate the empowerment of range States for
undertaking MIKE on a long-term sustainable basis. MIKE Phase II therefore aims to provide the
information needed for elephant range States to make appropriate management and enforcement
decisions, and to build institutional capacity within the range States for the long-term management of their
elephant populations and their habitats.
Audit Objectives:
Financial Audit shall express an opinion on the project’s financial statements that includes:
a). Expressing an opinion on whether the statements of expenditures present fairly the expenditure incurred
by the aforementioned MIKE Phase II projects over the specified period in accordance with accounting
policies and that the expenditures incurred were: (i) in conformity with the approved project budgets; (ii) for
the approved purposes of the MIKE Phase II project; (iii) in compliance with the relevant regulations and
rules, policies and procedures of UNEP; and (iv) supported by properly approved vouchers and other
supporting documents. The Annual financial statements and reports from each implementing regional
offices of IUCN are the mandatory and official statements of expenditure to be certified.
b). Expressing an opinion on whether the statement of assets and equipment present fairly the balance of
inventory of the projects as at a given date. These statements must include all assets and equipment
available as at 31 December 2012 and not only those purchased in a given period.
c). Expressing an opinion on whether the statements of cash position held by the MIKE Phase II projects
present fairly the cash balances of the projects as at a given date.
The Financial Audit shal be conducted in accordance with the International Standards of Auditing and in
accordance with Articles 8 and 16 of the General Conditions applicable to European Community
Contribution Agreements with International Organisations.
It shall assess and express an opinion on the project’s internal controls and systems and be conducted in
accordance with the Institute of Internal Auditors International Professional Practices Framework (IPPF).
Scope of Work
The scope of the audit relates only to transactions concluded and recorded against the MIKE projects
covering activities of the MIKE Phase II projects during the period from initiation on 1 April 2006 to 31
December 2012 as well as include a review of project reports and records located at the Implementing
Organizations’ regional offices of IUCN in Nairobi for Eastern Africa; in Pretoria for Southern Africa; in
Yaoundé, Cameroon for Central Arica, and in Ouagadougou, Burkina Faso for Western Africa.
The Audit Firm shall conduct the necessary audit steps to cover the project’s internal controls and systems
in order to assess:
(a) Reliability and integrity of project financial and operational information;
(b) Effectiveness and efficiency of the financial management systems;
(c) Safeguarding of project assets;
(d) Compliance with legislative mandates, regulations and rules, policies and procedures, as well as the
donor and partner agreements.
The Audit Firm shall also assess the internal controls with regard to the MIKE audited projects in the
following areas:
(i) Organization and Staffing;
(ii) Project financial management;
(iii) Finance;
(iv) Asset Management;
(v) Cash Management;
(vi) General Administration:
PD/EOI/MISSION v2012-01
SPECIFIC REQUIREMENTS / INFORMATION (IF ANY)
EMAIL all EOI Vendor Response Forms to Kenneth.Gaciura@unon.org, cc Jayne.Ekema@unon.org
PLEASE DO NOT FAX
NOTE
Information on tendering for the UN Procurement System is available free of charge at the following
address: http://www.ungm.org/Notices/Notices.aspx
Only the United Nations Global Marketplace (UNGM) has been authorized to collect a nominal fee from
vendors that wish to receive automatically Procurement Notices or Expression Of Interest. Please
subscribe to http://www.ungm.org/Registration/Login.aspx
Vendors interested in participating in the planned solicitation process should complete the Vendor
Response Form of this EOI and send it via fax or email to United Nations Office at Nairobi (UNON)
(UNON) before the closing date set forth above.
PD/EOI/MISSION v2012-01
VENDOR RESPONSE FORM
R
TO:
Kenneth Gaciura/ Jayne Ekema
FAX:
+254 20 7623211
EOI Number:
EOI/UNON/12/054
FROM:
SUBJECT:
FINANCIAL AUDIT COVERING ALL ACTIVITIES OF THE MIKE
To be completed by the Vendor (All fields marked with an ‘*’ are mandatory)
If your company is not registered with UNGM, please use the following URL to register at United Nations Global Marketplace
(UNGM): www.ungm.org. Registration at UNGM is free but mandatory for responding to this EOI. The following information is
available about the registration process.
COMPANY INFORMATION
UN Global Market Place (UNGM) Vendor ID Number*:
Legal Company Name (Not trade name or DBA name) *:
Company Contact *:
Address *:
State :
City *:
Postal Code * :
Country *:
Phone Number *:
Fax Number *:
Email Address *:
Company Website:
We declare that our company fully meets the prerequisites A, B, C, D and E, for eligibility to register with the
United Nations as outlined in the paragraph 1 of the EOI INSTRUCTIONS page.
Signature
:_____________________________
Name and Title
:_____________________________
Date:___________________
PD/EOI/MISSION v2012-01
EOI INSTRUCTIONS
1) Registering as a Vendor with UNGM
Vendors interested in fulfilling the requirement described above must be registered with UNGM and
may wish to visit www.ungm.org for full registration information in order to be eligible to participate
in any solicitation. Information on the registration process can be obtained from the Mission
concerned.
Prerequisites for Eligibility
In order to be eligible for UN registration, you must declare that:
A. Your company (as well as any parent, subsidiary or affiliate companies) is not listed in, or associated with a
company or individual listed in:
i. the
Compendium
of
United
Nations
(www.un.org/sc/committees/list_compend.shtml), or
Security
Council
Sanctions
Lists
ii. the IIC Oil for Food List website (www.iic-offp.org); or, if listed on either, this has been disclosed to the
United Nations Procurement Division in writing.
B. Your company (as well as any parent, subsidiary or affiliate companies) is not currently, and has not been in
the last five years, under investigation or sanction by
i. the United Nations, its field missions or any other United Nations organization (including the World Bank),
ii. or any government of a United Nations Member State,
or, if so in any case, such information, including all related circumstances, has been fully disclosed to the
United Nations Procurement Division in writing
C. Your company has no outstanding or pending bankruptcy, judgment or legal action that could impair your
company's ability to continue operating as a going concern
D. Your company does not employ, or anticipate employing, any person (s) who is or was recently employed by
the
UN
(per
ST/SGB/2006/15,
post-employment
restrictions
(www.un.org/docs/journal/asp/ws.asp?m=st/sgb/2006/15)).
E. Your company (as well as any subsidiary or affiliate companies) and all employees, agents, intermediaries
and other persons retained by these companies agree to cooperate with the United Nations during any
investigative processes undertaken by them, either before during or after execution of a contract, including
providing all required documents, company records, access to employees, officers and staff, as well as
financial information.
For Registered Vendors: Vendors already registered must ensure that the information and
documentation (e.g., financial statements, address, contact name, etc.) provided in connection with
their registration are up to date in UNGM.
IMPORTANT NOTICE: Any false, incomplete or defective vendor registration may result in the
rejection of the application or cancellation of an already existing registration.
2) EOI Process
Vendors interested in participating in the planned solicitation process should forward their expression
of interest (EOI) to United Nations Office at Nairobi (UNON) (UNON) by the closing date set forth in
this EOI. Due to the high volume of communications UNON is not in a position to issue confirmation
of receipt of EOIs.
Please note that no further details of the planned solicitation can be made available to the vendors
prior to issuance of the solicitation documents.
PD/EOI/MISSION v2012-01