STANDARD TENDER DOCUMENT SUPPLY, DELIVERY, INSTALLATION, CONFIGURATION, TRAINING AND POST IMPLEMENTATION OF PERFORMANCE MANAGEMENT SYSTEM

Transcription

1 STANDARD TENDER DOCUMENT SUPPLY, DELIVERY, INSTALLATION, CONFIGURATION, TRAINING AND POST IMPLEMENTATION OF PERFORMANCE MANAGEMENT SYSTEM TENDER NO.KRA/HQS/NCB-005/ RESERVED FOR WOMEN OWNED ENTERPRISES TIMES TOWER BUILDING P.O. BOX TEL: NAIROBI, KENYA. OCTOBER,

2 TABLE OF CONTENTS PAGE SECTION I INVITATION TO TENDER SECTION II INSTRUCTIONS TO TENDERERS APPENDIX TO INSTRUCTIONS TO TENDER 17 SECTION III GENERAL CONDITIONS OF CONTRACT SECTION IV SPECIAL CONDITIONS OF CONTRACT.. 26 SECTION V TECHNICAL SPECIFICATIONS SECTION VI SCHEDULE OF REQUIREMENTS SECTION VII PRICE SCHEDULE FOR GOODS SECTION VIII STANDARD FORMS FORM OF TENDER CONFIDENTIAL BUSINESS QUESTIONNAIRE FORM TENDER SECURING DECLARATION FORM CONTRACT FORM PERFORMANCE SECURITY FORM BANK GUARANTEE FOR ADVANCE PAYMENT FORM MANUFACTURER S AUTHORIZATION FORM LETTER OF NOTIFICATION

3 SECTION I INVITATION TO TENDER DATE TENDER REF NO. KRA/HQS/NCB-005/ TENDER NAME: SUPPLY, DELIVERY, INSTALLATION, CONFIGURATION, TRAINING AND POST IMPLEMENTATION OF PERFORMANCE MANAGEMENT SYSTEM 1.1 The Kenya Revenue Authority invites sealed bids from eligible candidates for the SUPPLY, DELIVERY, INSTALLATION, CONFIGURATION, TRAINING AND POST IMPLEMENTATION OF PERFORMANCE MANAGEMENT SYSTEM 1.2 A complete set of tender documents may be obtained by interested candidates upon payment of non-refundable fees of Kenya Shillings One Thousand (Ksh.1,000.00) in cash or Bankers Cheque payable to Commissioner General. Bidder may download the tender documents free of charge from the Kenya Revenue Authority website Bidders who download the tender documents must forward their particulars immediately for records and communication of any tender clarifications or addenda to [email protected] 1.3 Completed tender documents are to be enclosed in plain sealed envelopes marked with tender reference number and be deposited in the Tender Box on Ground Floor, Times Tower Building, Haile Selassie Avenue, Nairobi, or be addressed to Kenya Revenue Authority, Procurement & Supplies Services Division, Haile Selassie Avenue, Times Tower, 25 th Floor so as to be received on or before 11 th November, 2015 at 12:00 noon. A pre-bid briefing will be held on Wednesday 4 th November, 2015 at 10:00am in the Convention Centre on 5 th Floor, Times Tower. You are encouraged to attend the briefing. For more information on this tender notice, details, requirements, tendering procedures and guidelines and tender documents please visit our website at Prices quoted should be net, inclusive of all taxes and delivery costs, and must be in Kenya Shillings (or any other easily convertible currency) and shall remain valid for 120 days from the closing date of the tender. 1.5 Tenders will be opened immediately thereafter in the presence of the Candidates or their representatives who choose to attend at the Convention Centre on 5 th Floor, Times Tower. For: Commissioner General Kenya Revenue Authority 3

4 SECTION II - INSTRUCTIONS TO TENDERERS Table of Clauses 2.1 Eligible Tenderers Cost of Tendering Contents of Tender Document Clarification of Tender Documents Amendment of Documents Language of Tender Documents Comprising the tender Tender Forms Tender Prices Tender Currencies Tenderers Eligibility and Qualifications Tender Security 2.13 Validity of Tenders Format and Signing of Tenders Sealing and Marking of Tenders Deadline for Submission of Tender Modification and Withdrawal of Tenders Opening of Tenders Clarification of Tenders Preliminary Examination Conversion to Single Currency Evaluation and Comparison of Tenders Preference. Contacting the Procuring Entity Award of Contract.. 15 (a) Post qualification (b) Award criteria. 15 (c) Procuring Entity s Right to Vary Quantities.. 15 (d) Procuring entity s Right to Accept or Reject any or all Tenders Notification of Award Signing of Contract Performance Security Corrupt or Fraudulent Practices

5 SECTION II - INSTRUCTIONS TO TENDERERS 2.1 Eligible Tenderers This Invitation for Tenders is open to all tenderers eligible as described in the Invitation to Tender. Successful tenderers shall provide the services for the stipulated duration from the date of commencement (hereinafter referred to as the term) specified in the Schedule of Requirements Section VI The Kenya Revenue Authority s employees, committee members, board members and their relative (spouse and children) are not eligible to participate in the tender Tenderers shall provide the qualification information statement that the tenderer (including all members of a joint venture and subcontractors) is not associated, or have been associated in the past, directly or indirectly, with a firm or any of its affiliates which have been engaged by the Kenya Revenue Authority (KRA) to provide consulting services for the preparation of the design, specifications, and other documents to be used for the procurement of the services under this Invitation for tenders Tenderers involved in corrupt or fraudulent practices or debarred from participating in public procurement shall not be eligible. 2.2 Cost of Tendering The Tenderer shall bear all costs associated with the preparation and submission of its tender, and the KRA, will in no case be responsible or liable for those costs, regardless of the conduct or outcome of the tendering process The price to be charged for the tender document shall not exceed Kshs.1,000. The procuring entity shall allow the tenderer to review the tender document free of charge before purchase. 2.3 The Tender Document The tender document comprises the documents listed below and addenda issued in accordance with clause 2.6 of these instructions to Tenderers 5

6 (i) Invitation to Tender (ii) Instructions to Tenderers (iii) General Conditions of Contract (iv) Special Conditions of Contract (v) Schedule of Requirements (vi) Details of Service/Technical Specifications (vii) Tender Form (viii) Price Schedules (ix) Contract Form (x) Tender Securing Declaration Form (xi) Performance Security Form (xii) Bank Guarantee for Advance Payment Form (xiii) Manufacturer s Authorization Form (xiv) Confidential Business Questionnaire The Tenderer is expected to examine all instructions, forms, terms, and specifications in the tender documents. Failure to furnish all information required by the tender documents or to submit a tender not substantially responsive to the tender documents in every respect will be at the tenderers risk and may result in the rejection of its tender. 2.4 Clarification of Documents A prospective tenderer requiring any clarification of the tender document may notify the Procuring entity in writing or by post at the entity s address indicated in the Invitation to Tender. The Procuring entity will respond in writing to any request for clarification of the tender documents, which it receives not later than seven (7) days prior to the deadline for the submission of tenders, prescribed by the procuring entity. Written copies of the KRA s response (including an explanation of the query but without identifying the source of inquiry) will be sent to all prospective tenderers that have received the tender document The procuring entity shall reply to any clarifications sought by the tenderer within 3 days of receiving the request to enable the tenderer to make timely submission of its tender. 2.5 Amendment of Documents At any time prior to the deadline for submission of tenders, the Procuring entity, for any reason, whether at its own initiative or in response to a clarification requested by a prospective tenderer, may modify the tender documents by amendment All prospective candidates that have received the tender documents will be notified of the amendment in writing or by post and will be binding on them In order to allow prospective tenderers reasonable time in which to 6

7 take the amendment into account in preparing their tenders, the KRA, at its discretion, may extend the deadline for the submission of tenders. 2.6 Language of Tender The tender prepared by the tenderer, as well as all correspondence and documents relating to the tender exchange by the tenderer and the KRA, shall be written in English language. Any printed literature furnished by the tenderer may be written in another language provided they are accompanied by an accurate English translation of the relevant passages in which case, for purposes of interpretation of the tender, the English translation shall govern. 2.7 Documents Comprising of Tender The tender prepared by the tenderers shall comprise the following components: (a) (b) (c) (d) 2.8 Tender Forms a Tender Form and a Price Schedule completed in accordance with paragraph 2.8, 2.9 and 2.10 below; documentary evidence established in accordance with paragraph that the tenderer is eligible to tender and is qualified to perform the contract if its tender is accepted; tender security furnished in accordance with paragraph 2.12 confidential business questionnaire The tenderer shall complete the Tender Form and the appropriate Price Schedule furnished in the tender documents, indicating the services to be performed. 2.9 Tender Prices The tenderer shall indicate on the appropriate Price Schedule the unit prices and total tender price of the services it proposes to supply under the contract Prices indicated on the Price Schedule shall include all costs including taxes, insurances and delivery to the premises of the KRA Prices quoted by the tender shall be fixed during the Tender s performance of the contract and not subject to variation on any account. A tender submitted with an adjustable price quotation will be treated as non-responsive and will be rejected, pursuant to paragraph The validity period of the tender shall be 60 days from the date of 7

8 opening of the tender. Contract price variations shall not be allowed for contracts not exceeding one year (12 months). Where contract price variation is allowed, the variation shall not exceed 10% of the original contract price. Price variation requests shall be processed by the procuring entity within 30 days of receiving the request Tender Currencies Prices shall be quoted in Kenya Shillings unless otherwise specified in the Appendix to Instructions to Tenderers Tenderers Eligibility and Qualifications Pursuant to paragraph 2.1 the tenderer shall furnish, as part of its tender, documents establishing the tenderers eligibility to tender and its qualifications to perform the contract if its tender is accepted The documentary evidence of the tenderers eligibility to tender shall establish to the KRA s satisfaction that the tenderer, at the time of submission of its tender, is from an eligible source country as defined under paragraph The documentary evidence of the tenderers qualifications to perform the contract if its tender is accepted shall be established to the KRA s satisfaction; (a) (b) (c) that, in the case of a tenderer offering to supply goods under the contract which the tenderer did not manufacture or otherwise produce, the tenderer has been duly authorized by the goods Manufacturer or producer to supply the goods; that the tenderer has the financial, technical, and production capability necessary to perform the contract; and that, in the case of a tenderer not doing business within Kenya, the tenderer is or will be (if awarded the contract) represented by an Agent in Kenya equipped, and able to carry out the Tenderer s maintenance, repair, and spare parts-stocking obligations prescribed in the Conditions of Contract and/or Technical Specifications Tender Security The tenderer shall furnish, as part of its tender, a tender security for the amount and form specified in the Invitation to tender. 8

9 The tender security shall be in the amount not exceeding 2% of the tender price. The tender security is required to protect KRA against the risk of Tenderer s conduct which would warrant the security s forfeiture, pursuant to paragraph The tender security shall be denominated in Kenya Shillings or in another freely convertible currency and shall be in the form of: a) A bank guarantee. b) Cash. c) Such insurance guarantee approved by the Authority. d) Letter of credit. Any tender not secured in accordance with paragraph and will be rejected by KRA as non responsive, pursuant to paragraph 2.20 Unsuccessful tenderer s security will be discharged or returned as promptly as possible but not later than thirty (30) days after the expiration of the period of tender validity prescribed by the procuring entity The successful tenderer s tender security will be discharged upon the tenderer signing the contract, pursuant to paragraph 2.29, and furnishing the performance security, pursuant to paragraph The tender security may be forfeited: a) If the tenderer withdraws its tender during the period of tender validity specified by KRA on the Tender Form; or b) In the case of a successful tenderer, if the tenderer fails: i. to sign the contract in accordance with paragraph 30 or ii. to furnish performance security in accordance with paragraph 31. c) If the tenderer rejects, correction of an error in the tender Validity of Tenders Tenders shall remain valid for 120 days or as specified in the Invitation to Tender after the date of tender opening prescribed by the KRA, pursuant to paragraph A tender valid for a shorter period shall be rejected by the KRA as non responsive In exceptional circumstances, the KRA may solicit the Tenderer s consent to an extension of the period of validity. The request and the responses thereto shall be made in writing. The tender security provided under paragraph 2.14 shall also be suitably extended. A tenderer may refuse the request without forfeiting its tender security. A tenderer granting the request will not be required nor permitted to modify its tender. 9

10 2.14 Format and Signing of Tender The bidder shall prepare two copies of the tender, clearly marking each ORIGINAL TENDER and COPY OF TENDER, as appropriate. In the event of any discrepancy between them, the original shall govern The original and all copies of the tender shall be typed or written in indelible ink and shall be signed by the tenderer or a person or persons duly authorized to bind the tenderer to the contract. The latter authorization shall be indicated by written power-of-attorney accompanying the tender. All pages of the tender, except for unamended printed literature, shall be initialed by the person or persons signing the tender The tender shall have no interlineations, erasures, or overwriting except as necessary to correct errors made by the tenderer, in which case such corrections shall be initialed by the person or persons signing the tender Sealing and Marking of Tenders The Tenderer shall seal the original and each copy of the tender in separate envelopes, duly marking the envelopes as ORIGINAL and COPY The envelopes shall then be sealed in an outer envelope The inner and outer envelopes shall: (a) (b) be addressed to the KRA at the address given in the Invitation to Tender: bear, tender number and name in the Invitation for Tenders and the words, DO NOT OPEN BEFORE 11 th November, 2015 at 12:00 NOON If the outer envelope is not sealed and marked as required by paragraph , the KRA will assume no responsibility for the tender s misplacement or premature opening If the outer envelope is not sealed and marked as required by paragraph , the KRA will assume no responsibility for the tender s misplacement or premature opening Deadline for Submission of Tenders Tenders must be received by the KRA at the address specified under paragraph no later than 11 th November, The KRA may, at its discretion, extend this deadline for the submission of tenders by amending the tender documents in accordance with paragraph 2.6, in which case all rights and obligations of the KRA and candidates previously subject to the deadline will therefore be subject 10

11 to the deadline as extended Bulky tenders which will not fit in the tender box shall be received by KRA in the Procurement Office on 25th floor Times Tower Building Modification and Withdrawal of Tenders The tenderer may modify or withdraw its tender after the tender s submission, provided that written notice of the modification, including substitution or withdrawal of the tenders, is received by the KRA prior to the deadline prescribed for submission of tenders The Tenderer s modification or withdrawal notice shall be prepared, sealed, marked, and dispatched in accordance with the provisions of paragraph A withdrawal notice may also be sent by cable, telex but followed by a signed confirmation copy, postmarked not later than the deadline for submission of tenders No tender may be modified after the deadline for submission of tenders No tender may be withdrawn in the interval between the deadline for submission of tenders and the expiration of the period of tender validity specified by the tenderer on the Tender Form. Withdrawal of a tender during this interval may result in the Tenderer s forfeiture of its tender security, pursuant to paragraph The KRA may at any time terminate procurement proceedings before contract award and shall not be liable to any person for the termination The KRA shall give prompt notice of the termination to the tenderers and on request give its reasons for termination within 14 days of receiving the request from any tenderer Opening of Tenders The KRA will open all tenders in the presence of tenderers representatives who choose to attend, on 11 th November, 2015 at 12:00 Noon and in the location specified in the Invitation to Tender. The tenderers representatives who are present shall sign a register evidencing their attendance The tenderers names, tender modifications or withdrawals, tender prices, discounts and the presence or absence of requisite tender security and such other details as the KRA, at its discretion, may consider appropriate, will be announced at the opening The KRA will prepare minutes of the tender opening Clarification of Tenders To assist in the examination, evaluation and comparison of tenders the 11

12 KRA may, at its discretion, ask the tenderer for a clarification of its tender. The request for clarification and the response shall be in writing, and no change in the prices or substance of the tender shall be sought, offered, or permitted Any effort by the tenderer to influence the KRA in the KRA s tender evaluation, tender comparison or contract award decisions may result in the rejection of the tenderers tender Preliminary Examination The KRA will examine the tenders 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 tenders are generally in order Arithmetical errors will be rectified on the following basis. If there is a discrepancy between the unit price and the total price that is obtained by multiplying the unit price and quantity, the unit price shall prevail, and the total price shall be corrected. If the candidate does not accept the correction of the errors, its tender will be rejected, and its tender security forfeited. If there is a discrepancy between words and figures the amount in words will prevail The KRA may waive any minor informality or non-conformity or irregularity in a tender which does not constitute a material deviation, provided such waiver does not prejudice or affect the relative ranking of any tenderer Prior to the detailed evaluation, pursuant to paragraph 2.23 the KRA will determine the substantial responsiveness of each tender to the tender documents. For purposes of these paragraphs, a substantially responsive tender is one, which conforms to all the terms and conditions of the tender documents without material deviations. The KRA s determination of a tender s responsiveness is to be based on the contents of the tender itself without recourse to extrinsic evidence If a tender is not substantially responsive, it will be rejected by the KRA and may not subsequently be made responsive by the tenderer by correction of the non conformity Conversion to Single Currency Where other currencies are used, the KRA will convert these currencies to Kenya Shillings using the selling exchange rate on the date of tender closing provided by the Central Bank of Kenya Evaluation and Comparison of Tenders The KRA will evaluate and compare the tenders which have been determined to be substantially responsive, pursuant to paragraph The tender evaluation committee shall evaluate the tender within 30 12

13 days of the validity period from the date of opening the tender A tenderer who gives false information in the tender document about its qualification or who refuses to enter into a contract after notification of contract award shall be considered for debarment from participating in future public procurement The comparison shall be of the price including all costs as well as duties and taxes payable on all the materials to be used in the provision of the services KRA s evaluation of a tender will take into account, in addition to the tender price, the following factors, in the manner and to the extent indicated in paragraph and in the technical specifications: a) Operational plan proposed in the tender; b) Deviations in payment schedule from that specified in the Special Conditions of Contract; Pursuant to paragraph 22.3 the following evaluation methods will be applied: a) Operational Plan KRA requires that the services under the Invitation for Tenders shall be performed at the time specified in the Schedule of Requirements. Tenders offering to perform longer than KRA s required delivery time will be treated as non-responsive and rejected. b) Deviation in payment schedule Tenderers shall state their tender price for the payment on a schedule outlined in the Special Conditions of Contract. Tenders will be evaluated on the basis of this base price. Tenderers are, however, permitted to state an alternative payment schedule and indicate the reduction in tender price they wish to offer for such alternative payment schedule offered by the selected tenderer To qualify for contract awards, the tenderer shall have the following: a) Necessary qualifications, capability experience, services, equipment and facilities to provide what is being procured. b) Legal capacity to enter into a contract for procurement. c) Shall not be insolvent, in receivership, bankrupt or in the process of being wound up and is not the subject of legal proceedings relating to the foregoing d) Shall not be debarred from participating in public procurement Preference Kenya Revenue Authority does not allow any margin of preference Contacting the Kenya Revenue Authority Subject to paragraph 2.21 no tenderer shall contact the KRA on any matter related to its tender, from the time of the tender opening to the time the contract is awarded. 13

14 Any effort by a tenderer to influence the KRA in its decisions on tender, evaluation, tender comparison, or contract award may result in the rejection of the Tenderer s tender Award of Contract (a) Post-qualification In the absence of pre-qualification, the KRA will determine to its satisfaction whether the tenderer that is selected as having submitted the lowest evaluated responsive tender is qualified to perform the contract satisfactorily The determination will take into account the tenderer financial, technical, and production capabilities. It will be based upon an examination of the documentary evidence of the tenderers qualifications submitted by the tenderer, pursuant to paragraph as well as such other information as the KRA deems necessary and appropriate An affirmative determination will be a prerequisite for award of the contract to the tenderer. A negative determination will result in rejection of the Tenderer s tender, in which event the KRA will proceed to the next lowest evaluated tender to make a similar determination of that Tenderer s capabilities to perform satisfactorily. (b) Award Criteria The KRA will award the contract to the successful tenderer(s) whose tender has been determined to be substantially responsive and has been determined to be the lowest evaluated tender, provided further that the tenderer is determined to be qualified to perform the contract satisfactorily A tenderer who gives false information in the tender document about its qualification or who refuses to enter into a contract after notification of contract award shall be considered for debarment from participating in future public procurement. (c) KRA s Right to Vary Quantities The KRA reserves the right at the time of contract award to increase or decrease the quantity of goods originally specified in the Schedule of requirements without any change in unit price or other terms and conditions (d) KRA s Right to Accept or Reject Any or All Tenders The KRA reserves the right to accept or reject any tender, and to annul 14

15 the tendering process and reject all tenders at any time prior to contract award, without thereby incurring any liability to the affected tenderer or tenderers or any obligation to inform the affected tenderer or tenderers of the grounds for the KRA s action Notification of Award Prior to the expiration of the period of tender validity, the KRA will notify the successful tenderer in writing that its tender has been accepted The notification of award will constitute the formation of the Contract but will have to wait until the contract is finally signed by both parties Upon the successful Tenderer s furnishing of the performance security pursuant to paragraph 2.28, the KRA will promptly notify each unsuccessful Tenderer and will discharge its tender security, pursuant to paragraph Signing of Contract At the same time as the KRA notifies the successful tenderer that its tender has been accepted, the KRA will send the tenderer the Contract Form provided in the tender documents, incorporating all agreements between the parties The parties to the contract shall have it signed within 30 days from the date of notification of contract award unless there is an administrative review request Within thirty (30) days of receipt of the Contract Form, the successful tenderer shall sign and date the contract and return it to the KRA Performance Security Within Thirty (30) days of the receipt of notification of award from the KRA, the successful tenderer shall furnish the performance security in accordance with the Conditions of Contract, in the Performance Security Form provided in the tender documents, or in another form acceptable to the KRA Failure of the successful tenderer to comply with the requirements of paragraph 2.27 or paragraph 2.28 shall constitute sufficient grounds for the annulment of the award and forfeiture of the tender security, in which event the KRA may make the award to the next lowest evaluated Candidate or call for new tenders Corrupt or Fraudulent Practices The KRA requires that tenderers observe the highest standard of ethics during the procurement process and execution of contracts when used in the present regulations, the following terms are defined as follows; (i) corrupt practice means the offering, giving, receiving, 15

16 (ii) or soliciting of anything of value to influence the action of a public official in the procurement process or in contract execution; and fraudulent practice means a misrepresentation of facts in order to influence a procurement process or the execution of a contract to the detriment of the Kenya Revenue Authority, and includes collusive practice among tenderer (prior to or after tender submission) designed to establish tender prices at artificial noncompetitive levels and to deprive the Kenya Revenue Authority of the benefits of free and open competition; The Kenya Revenue Authority will reject a proposal for award if it determines that the tenderer recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question Further a tenderer who is found to have indulged in corrupt or fraudulent practices risks being debarred from participating in public procurement in Kenya. 16

17 Appendix to Instructions to Tenderers The following information regarding the particulars of the tender shall complement supplement or amend the provisions of the instructions to tenderers. Wherever there is a conflict between the provision of the instructions to tenderers and the provisions of the appendix, the provisions of the appendix herein shall prevail over those of the instructions to tenderers. INSTRUCTIONS TO TENDERERS REFERENCE PARTICULARS OF APPENDIX TO INSTRUCTIONS TO TENDERS The tender is open to WOMEN Owned Enterprises Registered under National Treasury for the Supply, Delivery, Installation, Configuration, Training and Post Implementation Support Of Performance Management System The Declaration of No Conflict of Interest is incorporated in the Confidential Business Questionnaire The bid document shall be charged Kshs.1,000 per set. Bidders must submit a duly signed Tender Securing Declaration Form and must be valid for 150 days from the date the tender closes Bid Validity Period is 120 days from 11 th November, 2015, 12 noon The technical specifications are given in pages 30 to The bidder must provide an appropriate written power of attorney establishing the authorization of the signatory to the tender documents to bind the bidder Bulky tenders which will not fit in the tender box shall be received by KRA in the Procurement Office on 25 th floor Times Tower Building This tender is based on One (1) bid envelope system. The bidder/s are required submit a bid which has combined technical proposal and financial proposal in one envelope. Bids are required to be submitted in two (2) copies. I.e. one original and one copy Time, date, and place for bid opening are: 12:00 hours local time, on 11 th November, 2015 Place: Convention Centre 5 th Floor Times Tower Building Street: Haile Selassie Avenue City: Nairobi Country: Kenya Opening of tender documents will be done in public at the time of closing the tender Bidders are expected to examine all instructions, forms, terms, specifications, and other information in the Bidding Documents. 17

18 Failure to furnish all information required by the Bidding Documents or to submit a bid not substantially responsive to the Bidding Documents in every respect will be at the Bidder s risk and may result in the rejection of its bid The bid evaluation will take into account technical factors in addition to cost factors. The weight for price is 30% while the weight for technical specifications is 70%. Bidders must conform to the specific Technical Requirements in Section IV Preference KRA will not grant any preferences The evaluation of the responsive bids will take into account technical factors, in addition to cost factors. An Evaluated Bid Score (B) will be calculated for each responsive bid using the following formula, which permits a comprehensive assessment of the bid price and the technical merits of each bid: B C low C X T where: C = Evaluated Bid Price C low = the lowest of all Evaluated Bid Prices among responsive bids T = the total Technical Score awarded to the bid X = weight for the Price as specified in the BDS (i.e. 0.3) The bid with the highest Evaluated Bid Score (B) among responsive bids shall be termed the Lowest Evaluated Bid and is eligible for Contract award The performance security required will be 10% of the Contract Value. 18

19 SECTION III: GENERAL CONDITIONS OF CONTRACT Table of Clauses 3.1 Definitions Application Country of Origin Standards Use of Contract Documents and Information Patent Rights Performance Security Inspection and Tests Delivery and Documents Payment Price Assignments Sub Contracts Termination for Default Termination for Insolvency Liquidated Damages Termination of Convenience Resolution of Disputes Language and law Force Majeure Applicable Law Notices

20 SECTION III - GENERAL CONDITIONS OF CONTRACT 3.1 Definitions In this Contract, the following terms shall be interpreted as indicated:- (a) (b) (c) (d) (e) (f) (g) (h) The Contract means the agreement entered into between the Procuring entity and the tendered, as recorded in the Contract Form signed by the parties, including all attachments and appendices thereto and all documents incorporated by reference therein. The Contract Price means the price payable to the tenderer under the Contract for the full and proper performance of its contractual obligations The Services means all of the equipment, machinery, and/or other materials, which the tenderer is required to supply to the Procuring entity under the Contract. The Procuring entity means Kenya Revenue Authority (KRA), the organization purchasing the Services under this Contract. The Tenderer means the individual or firm supplying the Services under this Contract. GCC means general conditions of contract contained in this section. SCC means the special conditions of contract contained in this section. Day means calendar day. 3.2 Application These General Conditions shall apply in all Contracts made by the KRA for the procurement of the Services. 3.3 Country of Origin The origin of Goods and Services is distinct from the nationality of the tenderer. 3.4 Standards The Services provided under this Contract shall conform to the standards mentioned in the Technical Specifications. 3.5 Use of Contract Documents and Information The tenderer shall not, without the KRA s prior written consent, disclose the Contract, or any provision therefore, or any specification, plan, drawing, pattern, sample, or 20

21 information furnished by or on behalf of the KRA in connection therewith, to any person other than a person employed by the tenderer in the performance of the Contract The tenderer shall not, without the KRA s prior written consent, make use of any document or information enumerated in paragraph above Any document, other than the Contract itself, enumerated in paragraph shall remain the property of the Procuring entity and shall be returned (all copies) to the KRA on completion of the tenderer s performance under the Contract if so required by the KRA. 3.6 Patent Rights The tenderer shall indemnify the Procuring entity against all third-party claims of infringement of patent, trademark, or industrial design rights arising from use of the Services or any part thereof in the KRA s country. 3.7 Performance Security Within thirty (30) days of receipt of the notification of Contract award, the successful tenderer shall furnish to the Procuring entity the performance security in the amount specified in Special Conditions of Contract The proceeds of the performance security shall be payable to the KRA as compensation for any loss resulting from the tenderer s failure to complete its obligations under the Contract The performance security shall be denominated in the currency of the Contract, or in a freely convertible currency acceptable to the KRA and shall be in the form of a bank guarantee or an irrevocable letter of credit issued by a reputable bank located in Kenya or abroad, acceptable to the KRA, in the form provided in the tender documents The performance security will be discharged by the KRA and returned to the Candidate not later than thirty (30) days following the date of completion of the Tenderer s performance obligations under the Contract, including any warranty obligations, under the Contract. 3.8 Inspection and Tests The KRA or its representative shall have the right to inspect and/or to test the services to confirm their conformity to the Contract specifications. The KRA shall notify the tenderer in writing in a timely manner, of the identity of any 21

22 representatives retained for these purposes The inspections and tests may be conducted in the premises of the tenderer or its subcontractor(s), at point of delivery, and/or at the Services final destination. If conducted on the premises of the tenderer or its subcontractor(s), all reasonable facilities and assistance, including access to drawings and production data, shall be furnished to the inspectors at no charge to the KRA Should any inspected or tested services fail to conform to the Specifications, the Procuring entity may reject the services, and the tenderer shall either replace the rejected equipment or make alternations necessary to make specification requirements free of costs to the KRA The KRA s right to inspect, test and where necessary, reject the services after the Services arrival shall in no way be limited or waived by reason of the services having previously been inspected, tested and passed by the Procuring entity or its representative prior to the services delivery Nothing in paragraph 3.8 shall in any way release the tendered from any warranty or other obligations under this Contract. 3.9 Delivery and Documents Delivery of the Services shall be made by the tenderer in accordance with the terms specified by Procuring entity in its Schedule of Requirements and the Special Conditions of Contract Payment The method and conditions of payment to be made to the tendered under this Contract shall be specified in Special Conditions of Contract Payments shall be made promptly by the KRA as specified in the contract Prices Prices charged by the contractor for services performed under the Contract shall not, with the exception of any price adjustments authorized in Special Conditions of Contract, vary from the prices by the tenderer in its tender Contract price variations shall not be allowed for contracts not exceeding one year (12 months) Where contract price variation is allowed, the variation shall not exceed 10% of the original contract price. 22

23 Price variation request shall be processed by the procuring entity within 30 days of receiving the request Assignment The tenderer shall not assign, in whole or in part, its obligations to perform under this Contract, except with the KRA s prior written consent Subcontracts The tenderer shall notify the Procuring entity in writing of all subcontracts awarded under this Contract if not already specified in the tender. Such notification, in the original tender or later, shall not relieve the tenderer from any liability or obligation under the Contract Termination for Default The KRA may, without prejudice to any other remedy for breach of Contract, by written notice of default sent to the tenderer, terminate this Contract in whole or in part: (a) (b) (c) if the tenderer fails to deliver any or all of the services within the periods) specified in the Contract, or within any extension thereof granted by the KRA; if the tenderer fails to perform any other obligation(s) under the Contract; If the tenderer, in the judgment of the KRA has engaged in corrupt or fraudulent practices in competing for or in executing the Contract In the event the KRA terminates the Contract in whole or in part, it may procure, upon such terms and in such manner as it deems appropriate, services similar to those undelivered, and the tenderer shall be liable to the Procuring entity for any excess costs for such similar services Termination of Insolvency The KRA may at any time terminate the contract by giving written notice to the contractor if the contractor becomes bankrupt or otherwise insolvent. In this event, termination will not produce or affect any right of action or remedy, which has accrued or will accrue thereafter to KRA Liquidated Damages 3.16 If the tenderer fails to deliver any or all of the services within the period(s) specified in the contract, the procuring entity shall, without prejudice to its other remedies under the 23

24 contract, deduct from the contract prices liquidated damages sum equivalent to 0.5% of the delivered price of the delayed services up to a maximum deduction of 10% of the delayed services. After this the tenderer may consider termination of the contract. Termination of Convenience The KRA by written notice sent to the contractor may terminate the contract in whole or in part, at any time for its convenience. The notice of termination shall specify that the termination is for the KRA convenience, the extent to which performance of the contractor of the contract is terminated and the date on which such termination becomes effective For the remaining part of the contract after termination the KRA may elect to cancel the services and pay to the contractor an agreed amount for partially completed services Resolution of Disputes The KRA and the tenderer shall make every effort to resolve amicably by direct informal negotiation and disagreement or dispute arising between them under or in connection with the contract If, after thirty (30) days from the commencement of such informal negotiations both parties have been unable to resolve amicably a contract dispute, either party may require adjudication in an agreed national or international forum, and/or international arbitration Language and Law The language of the contract and the law governing the contract shall be English language and the Laws of Kenya respectively unless otherwise stated Force Majeure The tenderer shall not be liable for forfeiture of its performance security or termination for default if and to the extent that it s delay in performance or other failure to perform its obligations under the Contract is the result of an event of Force Majeure Applicable Law The contract shall be interpreted in accordance with the Laws of Kenya unless otherwise specified in the SCC. 24

25 3.22 Notices Any notices given by one party to the other pursuant to this contract shall be sent to the other party by post or by fax or by and confirmed in writing to the other party s address specified in the SCC. A notice shall be effective when delivered or on the notices effective date, whichever is later. 25

26 SECTION IV - SPECIAL CONDITIONS OF CONTRACT 4.1. Special Conditions of Contract shall supplement the General Conditions of Contract. Whenever there is a conflict, between the GCC and the SCC, the provisions of the SCC herein shall prevail over these in the GCC Special conditions of contract as relates to the GCC. REFERENCE SPECIAL CONDITIONS OF CONTRACT OF GCC 3.7 Performance Security The performance bond must be issued in the form of a bank guarantee. The bank guarantee must be valid in Kenya for a period of two years and shall be 10% of the total bid price in Kenya Shillings. 3.9 Delivery Supply, Delivery, Installation, Configuration, Training and Post Implementation of Performance Management System will be at Times Tower. Conditions of delivery will be in the Local service order and contract within the period indicated by the successful bidder(s) from the date of receiving the Local Service Order (LSO). The requirements may be adjusted by giving a short notice Payment Terms The Kenya Revenue Authority (KRA) payment terms are that payment shall be made within thirty (30) days from the date of delivery and signing of receipt. However, KRA may negotiate mutually acceptable payment terms with the successful tenderer Prices Prices charged by the tenderer for services performed under the Contract shall not, with the exception of any price adjustments authorized in Special Conditions of Contract, vary from the prices by the tenderer in its tender Liquidated Damages If the delivery date is extended (except by mutual consent) a penalty amounting to 0.5% of the total cost will be charged per day up to a maximum of thirty (30) days. No deliveries shall be accepted after the thirtieth working day in which case the LPO will automatically lapse and be deemed to have been cancelled at the close of business on the twentieth day. The Authority shall then be at liberty to realize the performance bond. In this clause, days means working 26

27 days Resolutions of Disputes Any dispute, controversy or claim between the Parties arising out of this Contract or the breach, termination or invalidity thereof, unless settled amicably under the preceding paragraph of this Article within sixty (60) days after receipt by one Party of the other Party's request for such amicable settlement, shall be referred by either Party to arbitration in accordance with the UNCITRAL Arbitration Rules then obtaining. The place of arbitration shall be Nairobi. The arbitral tribunal shall have no authority to award punitive damages. In addition, unless otherwise expressly provided in this Contract, the arbitral tribunal shall have no authority to award interest. The parties shall be bound by any arbitration award rendered as a result of such arbitration as the final adjudication of any such controversy, claim or dispute Language and Law 3.22 Notices The language of all correspondence and documents related to the bid is: English. Unless explicitly specified in the Technical Requirements section, the key passages of all accompanying printed literature in any other language must be translated into the above language. Any notices given by one party to the other pursuant to this contract shall be sent to the other party by post or by fax or by and confirmed in writing to the other party s address specified in the SCC. A notice shall be effective when delivered or on the notices effective date, whichever is later. 27

28 5.1 General SECTION V - TECHNICAL SPECIFICATIONS The specifications describe the requirements for services The tenderers are requested to present information along with their offers as follows: (i) 5.2 Particulars Shortest possible delivery period of each product/service Kenya Revenue Authority is intending to procure a Performance Management System inclusive of training and post implementation support detailed in the price schedule. 5.3 Technical Requirements: This tender covers the procurement of performance management system complete with detailed maintenance contracts for the life cost and disposal of the equipment The Table overleaf gives the minimum clause-by-clause technical specifications. Bidders are required to duly fill in the tables under the Bidder s Response column to respond, irrespective of any attachments included. Failure to conform to this condition will render the bid being treated as non-responsive. 28

29 TECHNICAL SPECIFICATIONS PERFORMANCE MANAGEMENT SYSTEM Instructions to Bidders 1. Bidders are required to fill the table below or use its format to respond. 2. Bidders MUST provide a substantive response for all features irrespective of any attached technical documents. Use of Yes, No, tick, compliant etc will be considered non responsive. 3. Bidders MUST append official company stamp and/or authorized signature on all attached technical data sheets. 29

30 TECHNICAL SPECIFICATIONS 1. Background Information In the Fifth Corporate Plan, the Authority undertook to implement an automated Performance Management System (PMS) to enhance the management of staff performance contracting, monitoring and evaluation. Currently the performance management process is manual and involves a lot of paperwork which is time consuming, cumbersome and costly. Over the years it has been quite a challenge for Human Resources Division to track down on staff Performance Contracts and Performance Appraisals that have been submitted. This has resulted in some instances to inaccurate and incomplete information which hampers decision making and reporting. 2. Overview The Kenya Revenue Authority has a Performance Management System which is predominantly manual, and with a current workforce of 4,700 with offices located countrywide it becomes a challenge to effectively manage the performance management process. The automated Performance Management System will assist in obtaining relevant information on each employee through systematic evaluation of the individual s job performance periodically, reporting, storage, retrieval and archival of information. Using this information the Authority will be able to reward, identify areas of development including other areas HR administrative decisions. 3. Scope The Performance Management System will be used by all KRA employees and managed by Human Resources Division. KRA seeks to procure and implement an automated performance management system based on the Balanced score card framework. The scope of this system will entail the following: a) Delivery, installation and configuration of PMS b) Customization of the PMS to suit KRA needs c) Technical and end-user training d) Post implementation support In this regard KRA envisages the PMS having the following functionalities: a) Performance Contracting b) Performance monitoring and tracking c) Performance reviewing d) Performance Appraisal e) Performance reporting 30

31 Bidders may provide information on any additional features of their proposed solution. However, KRA will provide the required hardware and network facility. In order to ensure smooth implementation, the successful bidder is expected to provide details of the hardware, operating system and database management system required to effectively implement the system. 4. Objectives a) Facilitate the employees achieve superior standards of work performance. b) Make the process more effective, accurate and cost effective. c) Promote a two way system of communication (timely feedback) between the supervisors and the employees. d) Eliminate subjectivity and promote transparency in the PM process. e) Allow faster decision making through readily available information. f) Promote data integrity and security. g) Facilitate periodic reviews. h) Free employees time to do other equally strategic work. i) Enhance compliance of timely submission of performance contracts and appraisals. 5. Implementation timelines The proposed solution is expected to be implemented and commissioned in three (3) months after the signing of the contract. In this regard the successful bidder should provide the responsibility matrix for project and work plans/schedule that clearly states the deliverables and activities that meet the set timelines. In addition, the successful bidder should clearly define the required intervention/support by KRA in ensuring the delivery of the project within the set timelines 6. Training and Skills Transfer Capacity building is necessary to create competence and to institutionalize the usage of the Performance Management System Solution within KRA. The bidder should possess experienced trainers to be able to transfer knowledge to KRA s staff. The successful bidder should provide a detailed Training Schedule for their solution, detailing the training approach and methods, location, and curriculum. 7. Post Implementation Support and Maintenance After completion of the project, continuing maintenance activities will be required from the contractor for a period of time. This would also include on-site support; hence the bidder must demonstrate capability to provide the required support. 31

32 Bidders are required to provide a clause-by-clause response to the specifications in the given format. All bidders are expected to demonstrate and give detailed information on how they intend to provide the require support, escalation arrangements, response time to resolve issues/calls. In addition, bidders are expected to provide annual costs associated with support and maintenance, the resource personnel to be assigned to KRA. KRA will have the right to discontinue the annual support and maintenance arrangement. 32

33 TECHNICAL SPECIFICATIONS CLAUSE BY CLAUSE REQUIREMENTS (Maximum scores 60 marks) This section contains the detailed specifications of the proposed solution. Bidders are requested to study each section and provide their proposals that best address the KRA requirements. Bidders are requested to provide additional information, attachments/brochures to support their responses on each of the clause by clause requirements. Bidders are requested to cross reference their responses by indicating the page number (in the clause by clause bidder s response column of the attachments or brochures where such documents are provided. Responses such as yes, no, comply without detailed explanation will be considered non responsive. A: Functional Requirements Item No Features Minimum requirements Bidders Response Maximum Score 1. Performance Contracting (PC) module Performance Contracting data capture The system must enable the capturing of data as specified in appendix I. Bidders must therefore demonstrate how their proposed solution supports data capture with the following in mind; a) The highlighted areas in blue should have a drop down menu to enable the user select the relevant item i.e. designation, department, division and section. b) The dates highlighted in red should be a calendar. c) The system should enable the loading of Support for Balance Score Card master data of employees. KRA uses the Balance Score Card framework on performance management process. Bidders must therefore demonstrate how the proposed solution supports Balance Score Card framework on 2 2 Cut off scores Bidders Scores 33

34 Item No Features Minimum requirements Bidders Response Maximum Score 1.3 Performance Matrix performance management. Bidders must demonstrate how the proposed solution supports the capturing of performance matrix item as shown in Appendix II Cut off scores Bidders Scores 1.4 Cascading of PCs KRA cascades the Performance contract through the following levels: Initial- Board Level 1- Commissioner General Level 2- Departments Level 3- Divisions Level 4- Sections Level5 Units Level 6- Individuals Bidders must demonstrate how the proposed solution supports the cascading of the Performance contracts through a workflow. The solution should be flexible to allow for addition of levels to be captured if need be. 1.5 Workflow of the PC Bidders must demonstrate how the proposed solution supports: a) Cascading of performance objectives in the various levels b) Performance Contracting- setting of performance objectives/targets c) Periodic reviews-monthly, quarterly, half yearly and end year d) Approvals starting with the immediate Supervisor level, Reviewer Manager Level

35 Item No Features Minimum requirements Bidders Response Maximum Score and at HR Level 1.6 PC repository Bidders must demonstrate how the proposed solution supports the maintenance of the signed PC repository. The Repository will have: a) Performance Contracts still in various stages of review- At Employee Desk, Supervisor desk, Reviewers Manager desk or at HR Officer/Manager desk b) Approved Performance Contracts for the existing Appraisal year c) Quarterly appraisals for the existing appraisal year d) Any amended Performance Contract as a sub set to the Initial Performance Contract e) Previous Performance appraisals dating back to three years f) Performance distribution curves and reportsless than 3 years 1.8 PC Archival Bidders must demonstrate how the proposed solution supports the archival of:- a) Performance Contracts which is more than 3 years b) Performance Appraisals which are more than 3 years Cut off scores Bidders Scores Archived documents should be retained in the system for a period of seven (7) yrs. 1.9 PC due dates Bidders must demonstrate how the proposed solution supports the sending of reminders to staff on: a) Performance Contracts due date b) Alerts on that the due date is over

36 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores c) Be able to lock out staff after a defined number of days past deadline- special approval to be sought for the same to be made active upon satisfactory explanation. The period should be parameterized in the system to allow for setting of desired parameters. 2. Performance Appraisal (PA) module Performance Bidders must demonstrate how the proposed solution 1 1 Appraisal data supports the capturing of performance appraisal data capture as specified in Appendix III 2.2 Link to PC Matrix Bidders must demonstrate how the proposed solution supports the linkage to relevant employee PC Matrix in 1.3 above and pull related PC data for appraisal purposes 2.3 Appraisal formulae Bidders must demonstrate how the proposed solution supports the implementation of relevant appraisal formulae based on criteria for computation of weighted appraisal scores Performance rating scale 2.5 Performance Appraisal review Bidders must demonstrate how the proposed solution will: a) Combine the rating on core targets that take 70% and the Competencies (Behavior) that take 30% and assign overall performance rating in the Balanced scorecard b) Map the staff total score with the rating scales as shown in Appendix IV Bidders must demonstrate how the proposed solution supports;

37 Item No Features Minimum requirements Bidders Response Maximum Score workflow a) The moderation of the scores and the amendment of the overall rating by the immediate supervisor b) The moderation of the scores and the amendment of the overall rating by the reviewer s/appraiser s manager with comments. c) The moderation of the scores and the amendment of the overall rating by the HR Officer /Manager with comments d) The feedback to the appraise on any changes made 2.6 Performance review Bidders must demonstrate how the proposed solution supports the performance reviews and reporting on periodic intervals:- a) Monthly b) Quarterly c) Mid-year 2.7 Workflow of the Performance Appraisal d) End year Bidders must demonstrate how the proposed solution supports the communication of Performance Appraisal, reviewing and signing through a workflow between the affected parties i.e. Appraisee, Appraiser and Reviewer/Manager Cut off scores Bidders Scores 2.8 Appraisal due dates Bidders must demonstrate how the proposed solution can: a) Send reminders to staff on Performance Appraisals due date- be it quarterly, half year

38 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores of end appraisals with a functionality for HR to input the deadline date b) Be able to lock out staff after 30 days past deadline- special approval to be sought for the same to be made active upon satisfactory explanation 2.9 Appraisal Dictionary and Guidelines Bidders must demonstrate how the proposed solution supports: a) User Appraisal dictionary b) User Manual and guidelines Organizational Structure Bidders must demonstrate how the proposed solution can map the KRA organization structure up to the lowest level/unit as well as the structure for tax regions alerts Bidders must demonstrate how the proposed solution enable the sending of alerts through KRA (lotus) of the following: a) alert to Supervisor that an employee has sent his Performance Contract or performance Appraisal for review b) Alert to the Staff that the Supervisor has received either the Performance Contract or Appraisal c) Alert to the Staff that the Performance Contract or Appraisal has been reviewed and approved/ returned for amendments d) The same alerts should go the Reviewer Manager

39 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores e) An alert to HR officer of receipt of either a performance Contract or Appraisal that has been reviewed by line Supervisor/ Line managers f) An alert to staff that the Performance Contract or Appraisal has been received at HR and either approved or returned for amendments 3 Reporting module Reports Bidders must demonstrate how the proposed solution supports the generation of the following reports: a) Performance contracts signed per department, division, section, unit, individual, region, station, gender, agegroup, grade b) Pending Performance Contracts c) Performance appraisals submitted per department,,division, section, unit, individual, region, station, gender, agegroup, grade d) Evaluation scores per individual e) Distribution curve per department, division, section, unit, region, station, gender, agegroup, grade. f) Show staff performance over the years e.g last three years g) Have a data import/export utility to import/export pre-existing data directly via 39

40 Item No Features Minimum requirements Bidders Response Maximum Score multiple data formats e.g. MS Excel, CSV, charts, graphs. h) Ad hoc reports Cut off scores Bidders Scores 4 Administration Module User and group management Creation of user accounts Bidders must demonstrate how the proposed solution supports the: User accounts management (Enable / Disable accounts) Creation and management of category of users a) Creation of users i. Username ii. System generated password b) Sending of user credentials by c) Resetting of users with system generated and sending the credentials by d) Updating of basic user details as appropriate e) Creation of individual user workspace f) Assignment of roles and permissions to users Bidders must demonstrate how the proposed solution supports the: a) Enabling / Disabling of user(s) b) Capability to inherit user profiles across the disabled and enabled user(s) Bidders must demonstrate how the proposed solution supports the; a) Creation of category of users b) Updating of basic details/rights of category of users 40

41 Item No Features Minimum requirements Bidders Response Maximum Score c) Enabling / Disabling of category of users d) Assignment of user(s) to category of users Creation and Bidders must demonstrate how the proposed solution management of supports the: roles a) Creation of roles e.g. Global administrator, group administrators and ordinary user b) Assignment of roles Creation and Bidders must demonstrate how the proposed solution management of supports the; permissions at a) Creation of permissions e.g. Create/write, document creation update/change, delete/remove, read/view, copy, print, etc b) Assignment of permissions Training & Knowledge Transfer Technical Skills Bidders are expected to explicitly state the technical Required skills required to successfully implement and sustain 5.2 Methods of Training and Skill Transfer 5.3 Training Curriculum the Performance Management System. Bidders are expected to elaborate on their proposed training methods to be used for skills transfer. The objective of the skills transfer will be to ensure that KRA has enough internal capacity to support and use the Performance Management System. Bidders are expected to provide the training curriculum to be used to train at least 10 business users on use of the solution. These users will then train other end users (Training of Trainers concept) Cut off scores Bidders Scores The training curriculum shall adhere to the functional requirements. 5.4 System Bidders are expected to provide the training

42 Item No Features Minimum requirements Bidders Response Maximum Score Administrator Training curriculum to be used to train at least 2 IT technical users (System Administrators) 5.5 Training Materials Bidders are expected to provide all trainees with training material both soft and hard copies. 5.6 Specific hardware Bidders to specify hardware requirements for requirements application and database. Specifically, bidders must provided the following; a) Storage requirements(hard disk requirements), b) Memory requirements (RAM) and c) Recommended processor speeds d) Operating system 5.7 Staff to be involved in the Project e) Others associated systems Bidders are expected to demonstrate their capability in implementing the project as well as post implementation support. Therefore bidders are expected to; a) Attach detailed resumes of the technical team who will implement and customize the solution. This should include academic, professional qualifications and experience b) Project organizational structure Cut off scores Bidders Scores 5.8 Schedule of activities Bidders are expected to provide work plans/schedule that clearly states the deliverables and activities that meet the set timelines. 5.9 Reference Sites Bidders are expected to provide a list of reference sites where the solution has been implemented. Bidders are therefore expected to give following details; a) At least two reference sites

43 Item No Features Minimum requirements Bidders Response Maximum Score b) Name of client c) Number of users, d) Value of the contract and contact person(s) e) Project date f) Project value. 6.0 Licenses Bidders are expected to stipulate the licensing regime(s) that is used for the solution and the associated costs 6.1 Manufacturers Authorization 6.2 Provision of annual licensing and maintenance Bidders MUST provide manufacturers authorization letters for supply and support of the proposed solution The contractor must provide the following as part of the offer and included in the overall cost: a) Installation (ready-to-use) b) Commitment for on-site support at the KRA premises within 2 hours during peak hours (Monday to Friday) and 4 hours off peak (After 1700 hrs and weekends) on demand. The support must be 24/7 c) Bidder(s) must provide telephone and to ensure high response on support during KRA business hours (Monday to Friday hrs). Bidder(s) to demonstrate how they will meet this requirement. d) During the maintenance and support period, successful bidder shall offer to the Purchaser all new versions, releases, and updates of Standard Software, as well as related documentation and technical support e) The product must come configured with at least 200 concurrent end users Licenses Cut off scores Bidders Scores 43

44 Item No Features Minimum requirements Bidders Response Maximum Score 6.3 System documentation Bidders must provide the supporting technical and user manuals Cut off scores Bidders Scores 6.4 Warranty Period and Upgrades a) Bidders are required to indicate the warranty period for the proposed solution b) During the Warranty Period, the Bidder will provide at no additional cost to the Purchaser all new versions, releases, and updates for all Standard Software that are used in the System, within agreed timelines B: Non-Functional Requirements Item No Features Minimum requirements Bidders Response Maximum Score 6 General System Requirements Quality requirements Bidders must demonstrate how the proposed solution supports the: a) Use of Electronic signatures b) Data import/export utility to import/export pre-existing data directly via multiple data formats e.g. MS Excel, CSV e.t.c c) Customization of output features in the form of bar chart/line chart (showing progress at specific time and progress over time as well as comparing status and Cut off scores Bidders Scores 44

45 Item No Features Minimum requirements Bidders Response Maximum Score progress between regions) d) Folder / Document / File upload(s) and download(s) e) Linking of the uploaded documents to the associated captured data for referencing (i.e. Meta data creation and update and linkage to associated documents with an indices to create searchable content) f) Document versioning g) Online display of names of logged in users h) An authenticated audit trail of system transactions i) Allow access by multiple users through multiple platforms including mobile devices. j) Interactive and provide appropriate error messages k) Retrieval of documents from archive based on permissions and access rights l) Offline working copy (replica) to allow for remote site usability 6.2 Web Based Access The system must be web based to allow KRA staff to access the system from different locations. Bidders are expected to indicate the web browsers supported. At least the following web browsers must be supported; a) Internet explorer b) Chrome Cut off scores Bidders Scores 45

46 Item No Features Minimum requirements Bidders Response c) Mozilla d) Mobile devices supported web browsers 6.3 Usability/Training requirements Bidders are required to demonstrate how their proposed solution is: a) user friendly b) Easily understood structure in such a way as to be understood by a novice user within a short period c) Predictive input/ menu based input functionality where possible to minimize user interaction d) Common look and feel across modules, e.g. common placements of buttons, boxes, choices and even messages so that users are not confused. This will shorten the user learning curve 6.4 Compatibility Bidders are required to demonstrate how their requirements proposed solution can be compatible with; a) Integration with KRA's internal mailing system (Lotus Domino Mail system) b) integrate with Enterprise resource planning system(erp) c) Integration with KRA s Microsoft Active Directory (AD) implementation to manage the identities, user accounts and user groups 6.5 Scalability Bidders are required to demonstrate how their proposed solution can be scaled to; Maximum Score Cut off scores Bidders Scores 46

47 Item No Features Minimum requirements Bidders Response 6.6 Reliability requirements 6.7 Availability requirements a) Address KRA potential staff growth both in terms numbers and data. b) The system should have capability to be enhanced or modified. Bidders are required to demonstrate how their proposed solution The system should support: a) Data recovery and be able to roll back transactions b) Error logging - the system should have comprehensive error handling routines c) In- built backup function through the menu to allow an ordinary user create backups. Bidders are required to demonstrate how their proposed solution supports: a) Running 24 x 7 continuously with minimal downtime, i.e availability b) Having average response times for interactive transactions of less than 2 seconds Maximum Score Cut off scores Bidders Scores 7 Security Requirements User Bidders are required to demonstrate how the Authentication proposed solution; a) Authenticates each user with a unique user-id / username and password on the application. The User IDs / Usernames should be case sensitive b) All user accounts must be managed with

48 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores reference to and in synchronization with an authoritative central user management system e.g. identifying personal numbers in KRA s active staff database (Active Directory, Central HR database or the ERP etc.) for internal KRA users NB: User accounts management activities include but not limited to new user creation, user maintenance, and user authentication (during login) c) Creates new user accounts with a systemgenerated random password when created. A secure way of communicating the initial password to the user should be utilized, e.g. via an account d) Prompts users to change their passwords the first time they log on to the application e) Support password expiry features with a configurable frequency. This should be parameterized to allow flexibility in adjusting this value as required f) Implements the following Password Strength Controls: 1.Passwords should have a configurable minimum and maximum lengths 2.Password must meet a configurable combination of the following 4 complexity rules: at least 1 uppercase character (A-Z) at least 1 lowercase character (a-z) Bidders Scores 48

49 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores at least 1 digit (0-9) at least 1 special character (punctuation) These password features should be configurable to support future complexity requirements g) During password change, if the new password doesn't comply with the complexity policy, the error message should describe EVERY complexity rule that the new password does not comply with h) Any password reset/recovery mechanism option must not reveal whether or not an account is valid, preventing username harvesting i) The login page and all subsequent authenticated pages must be exclusively accessed over TLS. All active sessions must be encrypted j) The solution should support expiring of newly created accounts if not used for a configurable period of time. This should be parameterized to allow flexibility in adjusting this value as required k) The solution must support a password change notification and a configurable number of grace logins. The password must be changed after a configurable duration. This should be parameterized for flexibility Bidders Scores 49

50 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores l) The solution must support password lock out after a configurable number of unsuccessful login attempts. This should be parameterized to allow flexibility in adjusting this value as required m) The solution should respond with a generic error message regardless of whether the user ID or password was incorrect. It should also give no indication to the status of an existing account. The generic message should not reveal which of the authentication parameters is invalid n) The solution must expire a user account after the session has been idle for a configurable period of time. This should be parameterized to allow flexibility in adjusting this value as required o) The solution should support re-authentication for sensitive features e.g. before updating sensitive account information such as the user's password, user's , or before performing sensitive transactions. The function(s) requiring re-authentication should be configurable/determined p) The solution must not allow the re-use of a past password until a set period of time and a set number of password changes have been made. This should be parameterized to allow flexibility in adjusting this value as required

51 Item No Features Minimum requirements Bidders Response Maximum Score 7.2 Session Management: User session Bidders are required to demonstrate how the proposed solution meets the following conditions; a) The solution should allow only one session per user operating from a single computer unless a specific business case has been established for allowing multiple sessions per user. The allowing of multiple sessions to users based on business needs should be configurable b) Concurrent user logins by a user from multiple computers should not be allowed c) All relevant session information should be captured and stored in a secure and auditable location d) The solution should implement secure session IDs, generation of identifiers (IDs or tokens) must meet the following properties: 1. Session ID fingerprinting: The name used by the session ID should not be extremely descriptive nor offer unnecessary details about the purpose and meaning of the ID. The default session ID name of the web development framework should be changed to a generic name 2. Session ID length: The session ID must be long enough to prevent brute force attacks, must be at least 128 bits (16 bytes) Cut off scores Bidders Scores 51

52 Item No Features Minimum requirements Bidders Response Session Expiration Maximum Score Cut off scores 3. Session ID entropy: The session ID must be unpredictable (random enough) to prevent guessing attacks, a good PRNG (Pseudo Random Number Generator) should be used Bidders are required to demonstrate how the proposed solution provides for the following:; a) Expiry timeouts must be set for every session regardless of the activity. All sessions should implement an idle or inactivity timeout. The duration should be parameterized and configurable b) A visible and easily accessible logout (logoff, exit, or close session) button that is available on the web application header or menu and reachable from every web application resource and page, so that the user can manually close the session at any time c) When a session expires, the solution must take active actions to invalidate the session on both the client and server sides. The logs should record the session expiration details d) When the user logs out of the application the session and corresponding data on the server must be destroyed. This ensures that the session cannot be accidentally revived e) The solution should also force session Bidders Scores 52

53 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores logout on web browser close window events f) The session ID exchange mechanism based on cookies must use multiple security features in the form of cookie attributes such as Secure flags, Http Only, Domain, Path, Expire and Max-age attributes g) The solution should implement Role based Access Control (RBAC) profiles for authorization based on business definitions h) The solution should not access the database(s) as a privileged or administrative user. The application should always connect as a non-privileged user i) If the database is accessed through a common application user, that user should not own the objects in the database j) Credentials should never be stored directly within the application code (hardcoding credentials) k) The solution should perform consistent authorization checking routines when navigating on all application pages to ensure that the user accesses what they are explicitly authorized to access by their roles l) The solution should use the POST method over GET for processing HTTP requests

54 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores m) The solution should log all access authorization requests to a secure and auditable location n) Error messages should be standard and not provide information alluding to the reason for the error allowing an attacker to deduce effective attack methods o) All input fields must be validated to accept matching data types including case sensitivity where necessary p) All data entry fields must have input validation mechanisms to prevent cross-site scripting attacks q) Sensitive information must not be stored in a persistent cookie, or other location on the client computer that does not have enforceable access control mechanisms r) The solution should not present any sensitive information to unauthenticated users s) All data exchanges between the solution and other systems should be encrypted by an approved method t) The solution should only implement cryptographic functions selected from an approved list. Any cryptographic functions used that are not previously approved require an exception

55 Item No Features Minimum requirements Bidders Response Maximum Score 7.3 Audit Logs Management: The solution Bidders are required to demonstrate how their should collect and proposed solution supports: log the following application event logs: a) Authentication successes and failures b) Authorization failures c) Session management failures d) Solution errors, alerts and events e) The solution start-ups and shut-downs, and logging initialization (starting and stopping) f) Use of higher-risk functionality e.g addition or deletion of users, changes to privileges, creation and deletion of systemlevel objects etc g) URL of the web page(s) accessed by a user for Internet facing applications All database audits must log the following: Cut off scores h) Modifications to the application a) Bidders are required to demonstrate how their proposed solution supports in the log report the: Bidders Scores b) Application User-id c) Date & Time of event d) The source and remote IP address e) Type of event/action performed by the user f) Module accessed by the user g) Success or failure of the event

56 Item No Features Minimum requirements Bidders Response A violation log must exist to track any attempted unauthorized access to the application and should bear the following information: Maximum Score Cut off scores h) Source of the event i) Before and after values (where applicable, i.e. master files) j) Account creation, lockouts, modification, or deletion k) Modifications of privileges and access controls l) The solution should correlate application activity logs and database transactions. That is for every database transaction, it should be possible to explicitly identify the application activity responsible Bidders are required to demonstrate how their proposed solution provides the following information on violation log: a) URL accessed by the user b) Particular activity intended/attempted by the user c) Particulars sufficient to identify targeted transactions if available d) Workstation-id or IP address of access e) Date & Time of event f) All updates, inserts and deletes must be clearly traceable to an application user with corresponding time and source information (IP module and function) Other audit logs: Bidders are required to demonstrate how their proposed solution provides: Bidders Scores 56

57 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores Bidders Scores a) An interface to review and report on solution logs b) Transaction data stored should capture information that allows similar traceability, with database audit trailing implemented c) Valid and failed login attempts must be logged with meaningful information that is actionable for investigative purposes if fraud is detected. However, passwords must not be logged d) All password recovery reset attempts must be logged with meaningful information that is actionable for investigative purposes if fraud is detected e) All user and account management changes and attempts must be logged f) Database audit trails should be present for all dynamic and static tables of interest, e.g. Parameter tables, Transaction Tables, etc g) All system servers are kept in sync with a time synchronization mechanism h) All data entry and manipulations must be done through the application interfaces and never directly to the database i) Where data is supplied to the application from an authoritative source, the

58 Item No Features Minimum requirements Bidders Response Maximum Score Cut off scores application must NOT allow users to modify this data j) Reference data should not be altered by users in subsequent transactions k) For web based interfaces, the solution must use a secure method to transmit data e.g. Using the HTTP POST method instead of the less secure GET method l) If the application connects to a database, application server, or any system that utilizes application IDs, it is using an account that has been granted access to only objects and functions needed for operation of the application. The application does NOT connect to a database as a privileged user, such as the SA account in SQL Server or SYSTEM account in Oracle, Postgress, etc. m) If the system directly faces the Internet, it does NOT store or cache confidential data, even for a short duration. This includes file uploads and downloads, source code, etc n) The solution should have mechanisms/controls to guard against URL manipulation and/or targeted URL attacks Total Scores Bidders Scores 58

59 Part L: BIDDERS REFERENCE SITE FORM PROJECT SUMMARY FOR EACH REFERENCE SITE Please provide the following information on the listed reference clients; 1. Entity/Client name: 2. Brief description of the clients business; 3. Brief description of the project; Duration of project implementation (dates): 5. Value of the project:. 6. Contacts of referee: 7. Contact person:.. 8. Title:.. 9. Telephone Contact:... Address:. 10. Signed and stamped/sealed by bidder: Name of the Authorized Person: 12. Designation: 59

60 SECTION VI - SCHEDULE OF REQUIREMENTS (a) Procurement Item Schedule A: No. Description Quantity Delivery schedule 1. Supply, Delivery, Installation, Configuration, Training and Post Implementation of Performance Management System (b) Instructions on Submission of Bids 1 Four (4) weeks after issuance of LPO i. The Tenderer must submit a one (1) envelope bid in the following format: Proposal comprising of the following documents presented in the order given: Part A B C D E F G H I J Document Tender Notice/Invitation to Tender AGPO Certificate WOMEN from National Treasury Confidential Business Questionnaire Power of Attorney Business Registration Certificate/Certificate of Incorporation Key Staff Competency Profiles Details of at least one (1) Major Client Tender Securing Declaration Form Tax Compliance Certificate Combined Technical Proposal and Financial Proposal K Clause-by-Clause response for the requirements in Section V (pages 33-58) L Bidders Reference Site Form (page 59) M Manufacturer s/ Reseller s Authorization Sealing and Marking of the Bid: The inner envelopes should be clearly marked as follows: ORIGINAL TENDER (combined Technical & Financial) COPY OF TENDER (combined Technical & Financial) A KRA/HQS/NCB-005/ B KRA/HQS/NCB-005/ The envelopes shall then be sealed in an outer envelope and addressed to: Commissioner General Kenya Revenue Authority P.O Box , Nairobi. 60

61 (c) Tender Responsiveness Criteria MANDATORY REQUIREMENTS 1. Submission of Tender Documents AGPO Certificate WOMEN from National Treasury One (1) bid envelope (Original & Copy- Technical and Financial proposal combined & submitted in one envelope) Power of Attorney 1 (Sole proprietor exempted) Tender Securing Declaration Form Duly Filled, Signed and Stamped by the bidder ` Manufacturer s/ Reseller s Authorization Company Profile Attach copy of Registration of Business Duly Filled, Signed and Stamped Confidential Business Questionnaire 3. Managerial and Key Personnel Competency Profiles Curriculum Vitae of the Key Personnel 4. Proof of Financial Resources Reference Letter from Bank 5. Experience/Reputation Reference clients relevant to this project (at least one and include a brief of work done or services rendered, value of contracts, and contact person, phone number and ). 6. Tax Compliance Certificate (d) Vendor Evaluation Criteria The following criteria will be used in the evaluation of all potential suppliers. The documents submitted will be evaluated for suitability and awarded marks which will contribute to a maximum 30% of the total tender evaluation. 1 Bidder to attach documentary proof of authority to sign the bid documents on behalf of the bidder. 61

62 Description of Criteria Maximum Score Cut Off Score Managerial and Key Personnel Competency Profiles Key Staff Competency Profiles Submit C.Vs for at least two(2) relevant key staff Proposed Methodology Implementation Approach, Methodology and Work Plan as required in this tender Experience/Reputation Proof of satisfactory service for contracts of similar or higher value. Submit reference letter from at least one client, which should include summary of services, rendered, value of contract and contact person, address and telephone numbers in the format provided Total Score (e) Overall Tender Evaluation Criteria The tender evaluation criteria is weighted as follows; - Criteria Maximum Score/ Requirement Cut Off Score Tender Responsiveness Mandatory Mandatory Vendor Evaluation Technical Specifications Financial Evaluation 20 Totals

63 SECTION VII - PRICE SCHEDULE FOR SERVICES IN KSHS. Name of Tenderer Tender Number Page of Item Description Qty Unit Price inclusive of all Taxes for Supply, Delivery Installation, Configuration, Training and Post Implementation Support for Performance Management System The Prices are Delivery Duty paid at the Installation points Tender s Signature Official Stamp Date 63

64 SECTION VIII - STANDARD FORMS Notes on the Sample Forms 1 Form of Tender- The form of tender must be completed by the tenderer and submitted with the tender documents. It must also be duly signed by duly authorized representatives of the tenderer. 2 Confidential Business Questionnaire Form - This form must be completed by the tenderer and submitted with the tender documents. 3 Tender Security Form-When required by the tender documents the tender shall provide the tender security either in the form included herein or in another format acceptable to the procuring entity. 4 Contract Form-The Contract Form shall not be completed by the tenderer at the time of submitting the tender. The Contract Form shall be completed after contract award and should incorporate the accepted contract price. 5 Performance Security Form- The performance security form should not be completed by the tenderers at the time of tender preparation. Only the successful tenderer will be required to provide performance security in the form provided herein or in another form acceptable to the procuring entity. 6 Bank Guarantee for Advance Payment Form-When Advance payment is requested for by the successful bidder and agreed by the procuring entity, this form must be completed fully and duly signed by the authorized officials of the bank. 7 Manufacturers Authorization Form- When required by the ender documents this form must be completed and submitted with the tender documents. This form will be completed by the manufacturer of the goods where the tenderer is an agent. 64

65 8.1 FORM OF TENDER To: KENYA REVENUE AUTHORITY P. O. BOX NAIROBI. Date Tender No. Gentlemen and/or Ladies: 1. Having examined the tender documents including Addenda Nos.. [insert numbers].the receipt of which is hereby duly acknowledged, we, the undersigned, offer to supply deliver, install and commission ( (insert equipment description) in conformity with the said tender documents for the sum of. (total tender amount in words and figures) or such other sums as may be ascertained in accordance with the Schedule of Prices attached herewith and made part of this Tender. 2. We undertake, if our Tender is accepted, to deliver install and commission the equipment in accordance with the delivery schedule specified in the Schedule of Requirements. 3. If our Tender is accepted, we will obtain the guarantee of a bank in a sum of equivalent to percent of the Contract Price for the due performance of the Contract, in the form prescribed by..( Procuring entity). 4. We agree to abide by this Tender for a period of [number] days from the date fixed for tender opening of the Instructions to tenderers, and it shall remain binding upon us and may be accepted at any time before the expiration of that period. 5. This Tender, together with your written acceptance thereof and your notification of award, shall constitute a Contract, between us. Subject to signing of the Contract by the parties. 6. We understand that you are not bound to accept the lowest or any tender you may receive. Dated this day of 20 [signature] [in the capacity of] Duly authorized to sign tender for an on behalf of 65

66 8.2 CONFIDENTIAL BUSINESS QUESTIONNAIRE FORM You are requested to give the particulars indicated in Part 1; either Part 2(a), 2(b) or 2 (c) whichever applied to your type of business; and Part 3. You are advised that it is a serious offence to give false information on this form. Part 1 General 1.1 Business Name. 1.2 Location of Business Premises Plot No. Street/Road.... Postal Address Tel No.. Fax E mail Nature of Business. 1.5 Registration Certificate No. 1.6 Maximum Value of Business which you can handle at any one time KSHS 1.7 Name of your Bankers. Branch Part 2 (a) Sole Proprietor 2a.1 Your Name in Full. Age.. 2a.2 Nationality.. Country of Origin Citizenship Details... Part 2 (b) Partnership 2b.1 Given details of Partners as follows: 2b.2 Name Nationality Citizenship Details Shares

67 .. Part 2 (c ) Registered Company 2c.1 Private or Public 2c.2 State the Nominal and Issued Capital of Company- Nominal Issued KSHS. KSHS. 2c.3 Given details of all Directors as follows Name Nationality Citizenship Details Shares Part 3 Eligibility Status 3.1 Are you related to an Employee, Committee Member or Board Member of Kenya Revenue Authority? Yes No 3.2 If answer in 3.1 is YES give the relationship Does an Employee, Committee Member, Board Member of Kenya Revenue Authority sit in the Board of Directors or Management of your Organization, Subsidiaries or Joint Ventures? Yes No 3.4 If answer in 3.3 above is YES give details Has your Organization, Subsidiary Joint Venture or Sub-contractor been involved in the past 67

68 directly or indirectly with a firm or any of its affiliates that have been engaged by Kenya Revenue Authority to provide consulting services for preparation of design, specifications and other documents to be used for procurement of the goods under this invitation? Yes No 3.6 If answer in 3.5 above is YES give details Are you under a declaration of ineligibility for corrupt and fraudulent practices? YES No 3.8 If answer in 3.7 above is YES give details: Have you offered or given anything of value to influence the procurement process? Yes No 3.10 If answer in 3.9 above is YES give details..... I DECLARE that the information given on this form is correct to the best of my knowledge and belief. Date. Signature of Candidate If a Kenya Citizen, indicate under Citizenship Details whether by Birth, Naturalization or registration. 68

69 8.3 TENDER SECURING DECLARATION FORM [The Bidder shall fill in this Form in accordance with the instructions indicated] Date: [insert date (as day, month and year) of Bid Submission] Tender No To: Kenya Revenue Authority We, the undersigned, declare that: 1. We understand that, according to your conditions, bids must be supported by a Tender Securing Declaration. 2. We accept that we will automatically be suspended from being eligible for bidding in any contract with the Purchaser for the period of time of [insert number of months or years] starting on [insert date], if we are in breach of our obligation(s) under the bid conditions, because we: (a) (b) have withdrawn our Bid during the period of bid validity specified by us in the Bidding Data Sheet; or having been notified of the acceptance of our Bid by the Purchaser during the period of bid validity, (i) fail or refuse to execute the Contract, if required, or (ii) fail or refuse to furnish the Performance Security, in accordance with the Instructions to Tenderers. 3. We understand this Tender Securing Declaration shall expire if we are not the successful Bidder, upon the earlier of (i) our receipt of a copy of your notification of the name of the successful Bidder; or (ii) twenty-eight days after the expiration of our Bid. 4. We understand that if we are a Joint Venture, the Tender Securing Declaration must be in the name of the Joint Venture that submits the bid. If the Joint Venture has not been legally constituted at the time of bidding, the Tender Securing Declaration shall be in the names of all future partners as named in the letter of intent. Signed:.[insert signature of person whose name and capacity are shown] In the capacity of [insert legal capacity of person signing the Bid Securing Declaration] Name: [insert complete name of person signing the Tender Securing Declaration] Duly authorized to sign the bid for and on behalf of: [insert complete name of Bidder] Dated on day of, [insert date of signing] 69

70 8.4 CONTRACT FORM 1. In this Agreement words and expressions shall have the same meanings as are respectively assigned to them in the Conditions of Contract referred to: 2. The following documents shall be deemed to form and be read and construed as part of this Agreement viz: (a) the Tender Form and the Price Schedule submitted by the tenderer (b) the Schedule of Requirements (c ) the Technical Specifications (d) the General Conditions of Contract (e) the Special Conditions of contract; and (f ) the Procuring entity s Notification of Award 3. In consideration of the payments to be made by the Procuring entity to the tenderer as hereinafter mentioned, the tender hereby covenants with the Procuring entity to provide the goods and to remedy defects therein in conformity in all respects with the provisions of the Contract 4. The Procuring entity hereby covenants to pay the tenderer in consideration of the provisions of the goods and the remedying of defects therein, the Contract Price or such other sum as may become payable under the provisions of the Contract at the times and in the manner prescribed by the contract. IN WITNESS whereof the parties hereto have caused this Agreement to be executed in accordance with their respective laws the day and year first above written. Signed, sealed, delivered by the (for the Procuring entity Signed, sealed, delivered by the (for the tenderer in the presence of (Amend accordingly if provided by Insurance Company) 70

71 8.5 PERFORMANCE SECURITY FORM To Kenya Revenue Authority WHEREAS [name of tenderer] (hereinafter called the tenderer ) has undertaken, in pursuance of Contract No. [reference number of the contract] dated 20 to supply [description of goods] (Hereinafter called the Contract ). AND WHEREAS it has been stipulated by you in the said Contract that the tenderer shall furnish you with a bank guarantee by a reputable bank for the sum specified therein as security for compliance with the Tenderer s performance obligations in accordance with the Contract. AND WHEREAS we have agreed to give the tenderer a guarantee: THEREFORE WE hereby affirm that we are Guarantors and responsible to you, on behalf of the tenderer, up to a total of. [amount of the guarantee in words and figure] and we undertake to pay you, upon your first written demand declaring the tenderer to be in default under the Contract and without cavil or argument, any sum or sums within the limits of.. [amount of guarantee] as aforesaid, without you needing to prove or to show grounds or reasons for your demand or the sum specified therein. This guarantee is valid until the day of 20 Signed and seal of the Guarantors [name of bank or financial institution] [address] [date] 71

72 8.6 BANK GUARANTEE FOR ADVANCE PAYMENT FORM To Kenya Revenue Authority [name of tender].. Gentlemen and/or Ladies: In accordance with the payment provision included in the Special Conditions of Contract, which amends the General Conditions of Contract to provide for advance payment,. [name and address of tenderer](hereinafter called the tenderer ) shall deposit with the Procuring entity a bank guarantee to guarantee its proper and faithful performance under the said Clause of the Contract in an amount of. [amount of guarantee in figures and words]. We, the. [bank or financial institutions], as instructed by the tenderer, agree unconditionally and irrevocably to guarantee as primary obligator and not as surety merely, the payment to the Procuring entity on its first demand without whatsoever right of objection on our part and without its first claim to the tenderer, in the amount not exceeding [amount of guarantee in figures and words] We further agree that no change or addition to or other modification of the terms of the Contract to be performed there-under or of any of the Contract documents which may be made between the Procuring entity and the tenderer, shall in any way release us from any liability under this guarantee, and we hereby waive notice of any such change, addition, or modification. This guarantee shall remain valid in full effect from the date of the advance payment received by the tenderer under the Contract until [Date]. Yours truly, Signature and seal of the Guarantors [name of bank or financial institution] [address] [date] 72

73 8.7 MANUFACTURER S AUTHORIZATION FORM To Kenya Revenue Authority WHEREAS [name of the manufacturer] who are established and reputable manufacturers of.. [name and/or description of the goods] having factories at [address of factory] do hereby authorize [name and address of Agent] to submit a tender, and subsequently negotiate and sign the Contract with you against tender No.. [reference of the Tender] for the above goods manufactured by us. We hereby extend our full guarantee and warranty as per the General Conditions of Contract for the goods offered for supply by the above firm against this Invitation for Tenders. [signature for and on behalf of manufacturer] Note: This letter of authority should be on the letterhead of the Manufacturer and should be signed by a person competent. 73

74 LETTER OF NOTIFICATION OF AWARD Kenya Revenue Authority P.O Box , Nairobi. To: RE: Tender No. Tender Name This is to notify that the contract/s stated below under the above mentioned tender have been awarded to you. 1. Please acknowledge receipt of this Letter of Notification signifying your Acceptance. 2. The Contract/contracts shall be signed by the parties within 30 days of the date of this letter but not earlier than 14 days from the date of the letter. 3. You may contact the officer(s) whose particulars appear below on the subject matter of this Letter of Notification of Award. Deputy Commissioner, Procurement & Supplies Services, Haile Selassie Avenue, Times Tower, 25 th Floor Telephone: FOR: Commissioner-General 74

75 APPENDIX I: PERFORMANCE CONTRACT ISO 9001:2008 CERTIFIED PERFORMANCE CONTRACT BETWEEN THE ASSISTANT MANAGER (RMO) AND THE OFFICER ICT (RMO) PERFORMANCE CONTRACT BETWEEN THE CHIEF MANAGER, APPLICATIONS MANAGEMENT (AD) - ICT AND THE ASSISTANT MANAGER, REQUIREMENTS MANAGEMENT OFFICE (RMO) - ICT 75

76 This PERFORMANCE CONTRACT (hereinafter referred to as Contract ) entered into between the ASSISTANT MANAGER, Information & Communication Technology (ICT) Department of Kenya Revenue Authority on one part and the OFFICER Requirements Management Office (RMO) section, Information & Communication Technology (ICT) Department of Kenya Revenue Authority on the other part. WHEREAS the Board of Directors has entered into a contract with the Government of Kenya pursuant to Section (4)(2) (c) of The State Corporations (Performance Contracting) Regulations 2004 committing the said Board to achieving the performance targets agreed between the two parties; The Board of Directors has subsequently entered into a performance contract with the Commissioner General pursuant to Section (4)(2) (f) of the State Corporations (Performance Contracting) Regulations 2004; AND WHEREAS the management of Kenya Revenue Authority has agreed to cascade the requirement of performance contract further to all Commissioners, Heads of Departments, Heads of Regions and functional heads; The ASSISTANT MANAGER (RMO), ICT has therefore developed a Performance Contract with the OFFICER (RMO), ICT based on the targets agreed upon between the Government of Kenya, the Board of Directors, the Commissioner General and the Deputy Commissioner ICT, the Chief Manager ICT (AD) and the Assistant Manager ICT (RMO) 76

77 NOW THEREFORE, the parties agree as follows: 1.0 VISION To be the Leading Revenue Authority in the world respected for Professionalism, Integrity and Fairness. 2.0 MISSION To promote compliance with Kenya's tax, trade and border legislation and regulation by promoting the standards set out in the Taxpayers' Charter and responsible enforcement by highly motivated and professional staff thereby maximizing revenue collection at the least possible cost for the socio-economic well being of Kenyans. 3.0 STRATEGIC OBJECTIVES Kenya Revenue Authority (KRA) s medium term strategic theme is: Attaining international best practice in revenue administration by investing in a professional team, deepening reforms and quality service delivery to enhance compliance. The following is the strategic goal of Information & Communication Technology (ICT) Department: Our aim is to employ leading world-class integrated solutions derived from identified business strategies, and based on reliable, defined architectures, platforms and processes, ensuring a single view of the taxpayer in support of effective and efficient revenue collection and operational excellence. In order to realise the business automation strategic goal, the officer, REQUIREMENTS MANAGEMENT OFFICE Section of Information & Communication Technology (ICT) will pursue the following objectives: 1.0 PEOPLE PERSPECTIVE Strategic Goal 1: Creating a workforce that adheres to KRA core values and Vision, by: 77

78 o Implementing the Performance management framework activities; o Enhancing the skills and knowledge of ICT staff through planned and on the job training and workshops; o Preparing and signing the annual work targets by the set HR deadlines and undertaking monthly evaluation of the same ; o Embedding corruption/integrity initiatives in the business processes; o Ensuring implementation of Change Management framework activities. 2.0 INTERNAL PROCESSES PERSPECTIVE Strategic Goal 2: Upgrading KRA s ICT to facilitate achievement of international best practice, raise performance standards and reduce operational costs, by: o Ensuring that projects acquisition initiatives are aligned to the approved ICT strategy; o Identifying areas of innovation and documenting possible innovations implementation strategies; o Implementing allocated automation initiatives to improve the level of automation in the Authority; o Implementing of Audit Recommendations; o Adhering to Internal Standards relevant to the section; o Complying with ISO certification and tackling non conformities; 3.0 CUSTOMER PERSPECTIVE Strategic Goal 3: Improving customer service by benchmarking service delivery standards against (upper) middle income country standards, expanding the scope of services where KRA meets international best practice and increasing service, by: o Reducing the number of reported application systems incidents relating to Business Application Systems and improving the ICT response rate; o Attaining 80% User Satisfaction on ICT services relating to application systems; o Improving success of systems change requests and reducing the number of system changes after a deployment; o Undertaking 100% of identified improvements to application systems within agreed timelines; o Ensuring compliance to SLA/OLA requirements o Ensuring 98% Availability of ICT Services with respect to application systems; 78

79 o Ensuring compliance to the approved internal standards and government regulations; 4.0 DUTIES AND RESPONSIBILITIES OF THE OFFICER (RMO), ICT The OFFICER, ICT, as the officer responsible for REQUIREMENTS MANAGEMENT OFFICE Support services (SS) portfolio in ICT, and subject to the general supervision and control of the ASSISTANT MANAGER (RMO), ICT, shall be responsible for the: i. Developing a comprehensive annual work plan for allocated tasks. ii. iii. iv. Setting performance targets Developing and implementing identified standards and procedures for Software Analysis, and Design in RMO. Facilitating adoption of desired changes in work styles, attitudes and work ethics in the section. v. Ensuring achievement of set performance targets vi. vii. viii. Availing ad-hoc reports and related reports to users on a timely basis. Negotiating of performance targets and signing performance contract with Assistant Manager(RMO), ICT. Performing any other tasks allocated 5.0 COMMITMENTS AND OBLIGATIONS OF CHIEF MANAGER, ICT The ASSISTANT MANAGER RMO, ICT commits himself to the achievement of the vision, mission and objectives of the Kenya Revenue Authority and to always act in the best interest of the Kenya Revenue Authority. In this regard the ASSISTANT MANAGER RMO undertakes: (i) (ii) To provide prompt policy advice and guidance as may be necessary; To aggressively lobby the Chief Manager AD, ICT and other stakeholders in order to generate necessary support for successful implementation of business application systems in the Authority. 6.0 PERFORMANCE MATRIX 79

80 The OFFICER (RMO), ICT, shall perform the above functions in accordance with the highest standards of professional and ethical competence and integrity in revenue administration, having due regard to the underlying objectives for which the Kenya Revenue Authority was established. (For the performance matrix see attached -Annex I) 7.0 REPORTING REQUIREMENTS The OFFICER (RMO), ICT shall submit monthly, quarterly and annual reports on performance to the ASSISTANT MANAGER (RMO), ICT 8.0 FORCE MAJEURE The failure by the OFFICER (RMO), ICT, to fulfil any of the obligations hereunder shall not be considered to be a breach or default under this Contract insofar as such liability arises from an event that was beyond his control. 9.0 DURATION OF THE PERFORMANCE CONTRACT The Performance Contract will run for 12 months between 1 st July 2014 and 30th June Signed: JOCELYN MILGO MUSILI MUTHANGYA OFFICER (RMO), ICT. ASSISTANT MANAGER (RMO), ICT Date... Date... 80

81 APPENDIX II: PERFORMANCE MATRIX Criterion Unit Wei Evaluation Criteria ght Excellent Very Good Good Fair Poor Targets for 2014/ PEOPLE PERSPECTIVE SUB TOTAL 2.0 INTERNAL PROCESSES SUB TOTAL 3.0 FINANCIAL PERSPECTIVE SUB-TOTAL 4.0 CUSTOMER PERSPECTIVE SUB TOTAL GRAND TOTAL 81

82 APPENDIX III: PERFORMANCE APPRAISAL FORMAT ISO 9001:2008 CERTIFIED PERFORMANCE APPRAISAL FORM FOR NON MANAGEMENT STAFF: KRA 3 TO KRA 10 SECTION 1 : PERSONAL DATA Name Duration in Current Position Personal No. Department Designation and Station and Unit Grade Gender Date of Deployment to Current Station / Unit Date of Birth Name of Appraiser Assessment Period Appraiser s Designation 82

83 SECTION 2 (a) PERFORMANCE EVALUATION The appraisee should enter the relevant information as per the performance contract matrix details agreed on at the beginning of the appraisal period. Appraisal scoring (last 3 columns on the right) to be done by appraiser after discussing with the appraisee. Parameters /Performance Indicators 1.0 PEOPLE TO BE COMPLETED BY THE APPRAISEE Unit Of Mea sure. We igh t EVALUATION CRITERIA / MILESTONES Excellent 1 VG (Target for 2014/2015) Good 3 Fair 4 Poor 5 TO BE COMPLETED BY THE APPRAISER DURING THE APPRAISAL INTERVIEW WITH APPRAISEE Achievement as at 30 th June Give narrations of achievement and attach evidence. Raw Scor e (x) W. Score 2.0 INTERNAL STANDARDS 3.0 CUSTOMER 83

84 Parameters /Performance Indicators 4.0 FINANCE TO BE COMPLETED BY THE APPRAISEE Unit Of Mea sure. We igh t EVALUATION CRITERIA / MILESTONES Excellent 1 VG (Target for 2014/2015) Good 3 Fair 4 Poor 5 TO BE COMPLETED BY THE APPRAISER DURING THE APPRAISAL INTERVIEW WITH APPRAISEE Achievement as at 30 th June Give narrations of achievement and attach evidence. Raw Scor e (x) W. Score TOTAL FORMULAR FOR EVALUATION K X ( 6 x ) 5 84

85 For Capped Items the Formula is: K x (5 x ) 4 Note; The Raw Score for items Capped at Very Good the Evaluation Criteria should be: Very Good 1, Good 2, Fair 3, Poor - 4 K = x = The weight of every activity or task in the balanced scorecard. This value IS NOT CONSTANT and will vary from one activity to another depending on the weight given by an individual/department. This is the Raw Score. i.e. EXCELLENT to POOR, 1 5 OR VERY GOOD to POOR, 1 4 for Parameters/Performance Indicators capped at Very Good SECTION 2 b: COMPETENCE EVALUATION This section should be completed by the Appraiser after discussion with the appraisee. Due consideration and critical judgement requires to be used while completing this part. The Appraiser should score the appraisee s competencies in terms of their current role requirements. Each competency should be reviewed under the criteria below. Each competency should be evaluated to earn a maximum of 3 points. The maximum points an employee can earn in this section is 30. SCORE RATING 3.0 Excellent 2.4 Very Good 85

86 1.8 Good 1.2 Fair 0.6 Poor Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent 1. Integrity Proactively seeks to understand the values of the organization, monitor personal behaviour to ensure it support them (3 Marks) Seeks to ensure that personal behaviour broadly complies with the values of the organization (2.4 Marks) Good / Requires development Generally tries to behave broadly in line with general organizational values (1.8 Marks) Poor / Unsatisfactory Shows little interest in Authority s values and does not use them to regulate personal behaviour (1.2 Marks) SCORE Explicitly acts without thoughts of personal gain and stands strong when external/negative influence is applied (2.8 Marks) Acts without personal gain, and generally seeks to resist external/negative pressure wherever possible (2.2 Marks) Resists acting with thoughts of significant personal gain, but may find it harder to resist external/negative pressure on some occasions Does not stand firm against acting without thoughts or personal gain and is willing to be flexible when external/negative pressure is being applied 86

87 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent Ensures all actions and decisions are taken in the organization s best interest, checking any potentially controversial issues with supervisors (2.6 Marks) Ensures all actions and decisions are taken in the Authority s best interests (2.0 Marks) Good / Requires development Poor / Unsatisfactory (1.6 Marks) (1.0 Marks) Generally acts and makes decisions in the interest of the organization but seeks to balance this with the interest of staff and other parties (1.4 Marks) Allows actions and decisions to be swayed by the interest of staff and other parties rather than focusing primarily on those of the organization (0.8 Marks) SCORE Identifies and acts to address any behaviour in self or others which is unethical or lacking in integrity, and positively promotes the importance of good morals (2.5 Marks) Identifies and acts to address any behaviour in self or other which is unethical or lacking in integrity. (1.9 Marks) Generally points out where any behaviour in others appears to be significantly less ethical or lack in integrity (1.3 Marks) Does not recognize or address behaviour in self and others which is unethical or lacking in integrity (0.6 Marks) 2. Professionalism Always honours any commitments made,meeting all deadlines Seeks to honour all key commitments made,meeting any Generally honours commitments where possible Frequently does not manage to deliver on 87

88 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent and exceeding all expectations (3 Marks) Takes personal pride in work delivered, seeking to raise the quality standard as far as is practically possible (2.8 Marks) Remains calm and confident in difficult situations,projecting an air of professional competence (2.6 Marks) Seeks to raise professional standards in self and others through daily work critical deadlines (2.4 Marks) Seeks to ensure that key quality standards are maintained in all work delivered. (2.2 Marks) Generally manages to remain calm and confident in difficult situations but may let internal tensions show on rare occasions. (2.0 Marks) Seeks to maintain professional standards in self and others through daily work and 88 Good / Requires development,but may sometimes let things slip due to other pressures (1.8 Marks) generally maintains key quality standards wherever time and resources allow (1.6 Marks) Can become flustered when in difficult situations,and finds it hard to remain calm and confident at all times (1.4 Marks) Seeks to maintain own professional standards through daily work and activities, but does Poor / Unsatisfactory commitments made, letting deadlines slip. (1.2 Marks) Pays little to the quality to the quality, and substandard work to be delivered on occasion. (1.0 Marks) Is prone to respond quite emotionally when in situations, finding it hard to remain calm and confident when under pressure. (0.8 Marks) Does not overtly manage professional standards through own and others SCORE

89 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent 3. Respect for Diversity and activities (2.4 Marks) Works effectively and respectfully with people from different backgrounds. (3 Marks) activities. (1.8 Marks) Shows respect towards people from different backgrounds (2.4 Marks) Good / Requires development not encourage professionalism in others (1.2 Marks) Works with people with different backgrounds, seeking to treat all people with respect. (1.8 Marks) Poor / Unsatisfactory work and activities. (0.6 Marks) Works less effectively with people with people from different backgrounds (1.2 Marks) SCORE Actively seeks out and attends to more diverse viewpoints (2.8 Marks) Pays attention to diverse viewpoints (2.2 Marks) May sometimes not attend fully to all divers viewpoints (1.6 Marks) Shows less respect for divers views (1.0 Marks) Questions own behaviour to ensure it is free from bias and discrimination (2.6 Marks) Ensures own behaviour is free from bias and discrimination. (2.0 Marks) Generally tries to behave in a manner which is free from bias and discrimination Does not consciously monitor own behaviour to ensure that it is free from bias and 89

90 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent 4. Communication with Impact Challenges and addresses bias when it is encountered positively encouraging others to show respect for diversity. (2.4 Marks) Asks questions and listens attentively (3 Marks) Challenges and addresses bias when it is encountered in the workplace (1.8 Marks) Generally attentively (2.4 Marks) listens Good / Requires development Poor / Unsatisfactory (1.4 Marks) discrimination. Points out when bias is encountered in the workplace. (1.2 Marks) Doesn t always listen attentively (1.8 Marks) (0.8 Marks) Does not recognize, nor pint out, when bias is encountered in the workplace. (0.6 Marks) Never listens (1.2 Marks) SCORE Judges different audience needs accurately (2.8 Marks Accurately judges most audience needs (2.2 Marks) Can misjudge some audience s needs (1.6 Marks) Misjudges the audience needs (1.0 Marks) Simplifies complex technical information (2.6 Marks) Generally avoids confusing terminology (2.0 Marks) Sometimes uses confusing terminology (1.4 Marks) Uses confusing jargon or terminology (0.8 Marks) Always communicates Usually Is not always Cannot express 90

91 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent clearly & concisely (2.4 Marks) communicates clearly & concisely. (1.8 marks) Good / Requires development totally clear & concise. (1.2 Marks) Poor / Unsatisfactory views clearly & concisely. (0.6 Marks) SCORE 5. Teamwork Thrives on collaboration within the team (3 Marks) Collaborates effectively within the team (2.4 Marks) Collaborates on key activities when required. (1.8 Marks) Works independently with no collaboration (1.2 Marks) Consults widely, seeking views from all interested parties within and outside the team and listening attentively to them. (2.8 Marks) Consults within the team, seeking views from all team members and listening attentively to them. (2.2 Mark) Consults on some key team issues, seeking views from relevant, team members. (1.6 Marks) Rarely consults other team members, preferring to rely on own judgement and views. (1.0 Marks) Always places the team agenda and ahead of personal goals (2.6 Marks) Generally places the team agenda and ahead of personal goals (2.0 Marks) Sometimes lets the pursuits of personal goals take precedence over the team agenda Pursues personal goals at the expense of the team agenda. (0.8 Marks) (1.4 Marks) Shares responsibility joint with, Shares responsibility with, Shares responsibility Refuses to share responsibility with, 91

92 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent and supports, team colleagues. (2.4 Marks) and supports, team colleagues when time allows. (1.8 Marks) Good / Requires development with, and supports, team colleagues, only when there is some personal benefit. (1.2 Marks) Poor / Unsatisfactory or support, team colleagues. (0.6 Marks) SCORE 6. Planning & Organizing Always sets clear, measurable goals and plans to guide the delivery of all work. (3 Marks) Collaborates effectively within the team (2.4 Marks) Sets general goals and plans for work to be delivered when required to do so. (1.8 Marks) Never sets goals and plans for work to be delivered, or sets goals that are too vague to be useful (1.2 Marks) Makes highly effective use of time, never missing deadlines or being too busy to deliver to schedule Consults within the team, seeking views from all team members and listening attentively Sometimes lets time management slip, and can be prone to let deadlines slip, or Has poor time management, regularly allowing deadlines to slip or taking on too much 92

93 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent (2.8 Marks) to them. (2.2 Marks) Good / Requires development take on too much work to be able to deliver to schedule. (1.6 Marks) Poor / Unsatisfactory work to be able to deliver to schedule. (1.0 Marks) SCORE Willingly adjusts plans to take account of changes in circumstances (2.6 Marks) Generally places the agenda ahead of personal goals (2.2 Marks) Generally resists adjusting plans when circumstances change, but may do so if pushed. (1.4 Marks) Refuses to adjust plans when circumstances change, sticking to initial plans even when these are no longer appropriate. (0.8 Marks Uses plans and goals actively to monitor performance and takes remedial action when things start to slip. (2.4 Marks) Shares responsibility with, and supports, team colleagues when time allows. (2.0 Marks) Monitors delivery against plans in an unstructured manner and as a result may miss opportunities to take action to keep things on schedule. Does not monitor delivery against plans. (0.6 Marks) (1.2 Marks) 93

94 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent 7. Accountability & Result Orientation Quickly accepts full ownership and responsibility for issues, admitting to problems even before they have emerged. (3 Marks) Accepts full ownership and responsibility when issues arise. (2.4 Marks) Good / Requires development Sometimes avoids taking full ownership when issues arise,or takes time to accept to accept responsibility (1.8 Marks) Poor / Unsatisfactory Avoids taking personal ownership when issues arise by blaming others. (1.2 Marks) SCORE Continually strives to raise quality standards in the work delivered (2.8 Marks) Seeks to achieve high quality standards in the work delivered (2.2 Marks) Seeks to maintain minimum quality standards when delivering work (1.6 Marks) Pays little attention to quality when delivering work. (1.0 Marks) Upholds all organisational rules and regulations to the letter and spirit seeking to learn about rules which impact one s work. Upholds all organisational rules and regulations to the letter and spirit. (2.0 Marks) Generally adheres to the importance organizational rules and regulations (1.4 Marks) Shows no regard for organisational rules and regulations (0.8 Marks) (2.6 Marks) 94

95 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent Good / Requires development Poor / Unsatisfactory SCORE Proactively identifies and addresses personal shortcomings and continually seeks to raise personal standards of work (2.4 Marks) Takes responsibility for addressing personal shortcomings without instruction (1.8 Marks) When asked, takes responsibility for addressing personal shortcomings. (1.2 Marks) Makes no effort to address personal shortcomings (0.6 Marks) 8. Customer Orientation Considers everyone who comes into contact with as clients (3 Marks) Considers all those to whom services are provided as clients (2.4 Marks) Only regards external contacts to whom services are provided as clients (1.8 Marks) Does not recognise those to whom services are provided as clients (1.2 Marks) Proactively identifies clients and builds strong relationships with them based on trust and respect. (2.8 Marks) Builds strong relationships with established clients based on trust and respect. (2.2 Marks) Knows key clients and addresses their issues when they are raised (1.6 Marks) Does not put effort into building relationships with clients (1.0 Marks) Proactively identifies Identifies clients Considers how Fails to identify 95

96 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent current and anticipates emerging client needs and investigates how these may be met. (2.6 Marks) needs and considers how to best meet these (2.0 Marks) Good / Requires development needs may be met only when theses are raised by clients (1.4 Marks) Poor / Unsatisfactory client needs or to consider how these may best be met (0.8 Marks) SCORE Communicates openly with clients, keeping them informed of progress and of any issues impacting them (2.4 Marks) Communicates openly with clients,keeping them informed of progress on any current work being taken (1.8 Mark Generally tries to keep clients informed of progress on any current work being undertaken. (1.2 Marks) Pays little attention to communication with clients, frequently failing to keep them updated on the progress of current work. (0.6 Marks) 9. Technological Awareness Proactively keeps up to date with development in relevant new technology (3 Marks) Generally tries to remain aware of developments in relevant new technology (2.4 Marks) Pays attention to developments in relevant new technology only when informed of them shows no interest in developments in relevant technology, even when informed of them 96

97 Kindly tick ( ) on the relevant section that best describes the employee s competency 10. COMPETENCY Excellent/Outstanding Very Good / Fully Competent Commitment to Continuous Learning Actively considers how all office activities could be enhanced through more effective use of technology. (2.8 Marks) Is open to, and learns about how to make best use of,new technology (2.6 Marks) Seeks out opportunities and takes any which present themselves to update professional knowledge (3 Marks) Is open to consider how more effective use of new technology may enhance office activities. (2.2 Marks) Is generally open to new technology, and learns how to make best use of key packages and tools (2.0 Marks) Takes up every relevant opportunity which is presented to update professional knowledge. (2.4 Marks) Good / Requires development Poor / Unsatisfactory (1.8 Marks) (1.2 Marks) Is rather cautious in considering how more effective use of new technology may enhance office activities. (1.6 Marks) Only learns about how to make best use of technology when it is necessary for the role. (1.4 Marks) Sometimes takes up opportunities which are presented to update professional knowledge (1.8 Marks) Strongly resists any suggestions that more effective use of new technology may enhance office activities (1.0 Marks) Resists all new technology, and is reluctant to learn about how to apply it even when it is necessary for the role. (0.8) Takes no actions to keep professional knowledge up to date (1.2 Marks) SCORE 97

98 Kindly tick ( ) on the relevant section that best describes the employee s competency COMPETENCY Excellent/Outstanding Very Good / Fully Competent TOTAL Seeks out feedback and uses self reflection to identify development needs. (2.4 Marks) Has a clear development plan focused on current and emerging development needs,and regularly reviews progress against it (2.2 Marks) Values learning from others, actively seeking out people who can build knowledge or understanding (2.0 Marks) Uses feedback and self reflection to identify development needs (2.2 Marks) Has a clear development plan focused on improving current performance (2.0 Marks) Values learning from others, and seeks to do so whenever possible (1.8 Marks Good / Requires development Uses feedback to identify personal development needs but does not self reflect more generally (1.6 Marks) Has some personal development goals but not a clearly targeted development plan (1.4 Marks Learns from others when the opportunity presents itself (1.2 Marks) Poor / Unsatisfactory Does no self reflection to identify personal development needs and does not seek feedback (1.0 Marks) Does not have any current personal development goals or plans (0.8 Marks) Does not attempt to learn from others. (0.6) SCORE 98

99 SECTION 3 : OVERALL PERFORMANCE APPRAISAL (This section should be completed by the Appraiser) ITEM OVERALL SCORE a. Agreed Activities/ Performance Indicators Total Weighted Score x b. Total Competencies evaluation : Out of a total of 30 FINAL SCORE (a + b) The overall evaluation should include the total scores of work performance and competencies. Please circle the appropriate grading that denotes the employee s overall performance and indicate the actual score achieved. The performance rating categories are as follows: FINAL SCORE RATING ASSESSMENT ACTUAL ACHIEVED SCORE OVERALL PERFORMANCE REMARKS 99

100 1 91% 100% Excellent Has delivered 100% all of the objectives agreed and has overachieved in some areas. Performance targets fully met. 2 81% 90% Very Good Has delivered over 80% of the objectives agreed 3 71% 80% Good Performance targets partially met. Some improvement is required to perform at the expected level 4 61% 70% Fair Has not delivered the majority of the objectives agreed but has demonstrated ability to improve. 5 Below 60% Poor Performance falls below the expected level and requires to be addressed. Performance targets not met SECTION 4: SELF ASSESSMENT QUESTIONNAIRE AND PERFORMANCE IMPROVEMENT PLAN This section should be completed by the Appraisee at the end of the appraisal year a. Which of the job activities did you excel in during the review period? b. Which areas of your performance do you feel need improvement? - Give reasons. c. What additional support do you require from your supervisor to improve your performance? 100

101 d. What training(s) have you attended in the past one year? e. Please name specific instances if any in your day to day work experiences where the training has helped you/ where you have been able to apply the training. f. What studies are you currently undertaking (if any)? g. What activities do you plan to undertake to improve your performance? (such activities may include training) Training/Activity/Action Expected Outcome Completion/End Date SECTION 5: COMMENTS BY APPRAISER, APPRAISEE This part is to be completed by the Appraiser and Appraisee during the appraisal interview. disagreement should be indicated below. Any a. In view of the training attended (section 3d above) to what extent has the appraisee been able to put learning into practice, at his/her work place? i To a large extent 101

102 ii To some Extent iii No Improvement Please explain briefly b. Appraiser s comments on key strengths and areas of growth of the appraisee in Key Strengths (Can be referred to as other exceptional abilities) a. a. Areas That Require Growth b. b. c. c. d. d. e. e. 102

103 f. f. c. Recommendation/s by appraiser for future action 1. Training (Specify Skills Required) i. ii iii 2. Others (Specify) i. ii iii COMMENTS BY APPRAISER. Give your comments on the employee s overall performance drawing from the achievements, constraints and support and give suggestions for performance improvement. SIGNATURE.. DATE.... COMMENTS BY APPRAISEE. Give your comments on the overall performance on the basis of the 103

104 achievements, constraints, support received from supervisor and make suggestions for performance improvement. SIGNATURE DATE. COMMENTS / ACTION TO BE TAKEN BY HUMAN RESOURCES DIVISION This part is to be completed by the HR Division on the basis of the analysis of all sections of the Performance Appraisal Form, the Deputy Commissioner; Human Resources Division or the representative shall give direction on the action to be taken. DEPUTY COMMISSIONER (HR).DATE.. APPENDIX IV: FINAL SCORE RATING FINAL SCORE RATING ASSESSMENT OVERALL PERFORMANCE REMARKS 1 91% Excellent Has delivered 100% all of the objectives agreed and has 104

105 100% overachieved in some areas. Performance targets fully met. 2 81% 90% Very Good Has delivered over 80% of the objectives agreed 3 71% 80% Good Performance targets partially met. Some improvement is required to perform at the expected level 4 61% 70% Fair Has not delivered the majority of the objectives agreed but has demonstrated ability to improve. 5 Below 60% Poor Performance falls below the expected level and requires to be addressed. Performance targets not met 105