REQUEST FOR PROPOSAL DOCUMENT FOR CONSULTANCY SERVICES FOR ENTERPRISE RISK MANAGEMENT TENDER NO.: PC/RFP/03/ SELECTION OF CONSULTANTS

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1 P.O. Box Tel : /7/8 Fax : Extelcoms House,11th Floor Haile Selassie Avenue Nairobi, Kenya REQUEST FOR PROPOSAL DOCUMENT FOR CONSULTANCY SERVICES FOR ENTERPRISE RISK MANAGEMENT TENDER NO.: PC/RFP/03/ SELECTION OF CONSULTANTS QUALITY AND COST BASED SELECTION (QCBS) SUBMISSION DEADLINE: FRIDAY, 5 TH FEBRUARY 2016 AT A.M.

2 TABLE OF CONTENTS Page SECTION I Letter of Invitation.. 3 SECTION II Information to the Consulting firm 4 SECTION III Terms of Reference. 12 Appendix A: Appendix to Information to the Consulting firm 16 Appendix B: Technical Proposal. 20 Appendix C: Financial Proposal.. 29 Appendix D: Mandatory Confidential Business Questionnaire 34 Appendix E: Sample Contract Agreement and Attachments 38 Appendix F: Draft letter of notification of award 47 Page 2 of 47 Downloaded

3 P.O. Box Tel : /7/8 Fax : Extelcoms House,11th Floor Haile Selassie Avenue Nairobi, Kenya info@pc.go.ke: SECTION I LETTER OF INVITATION 20 TH JANUARY 2016 INTERESTED FIRMS RE: TENDER NO.: PC/RFP/03/ PROVISION OF CONSULTANCY SERVICES FOR ENTERPRISE RISK MANAGEMENT The Commission invites proposals for the provision of consultancy services on Enterprise Risk Management. The scope of the consultancy includes training the Commission members and management on Enterprise Risk Management and review of the Commission s Enterprise Risk Management Framework. This RFP includes the following documents:- Section I - Letter of Invitation (this letter); Section II - Information to the Consulting firm; Section III - Terms of Reference; Appendix A - Appendix to Information to Consulting firm Appendix B - Technical Proposal Forms; Appendix C - Financial Proposal Forms; Appendix D - Mandatory Confidential Business Questionnaire; Appendix E - Sample Contract Agreement. You are required to pay a non-refundable fee of Kshs. 1, for the RFP document to the Commission s Accounts office and to attach a copy of the payment receipt to the technical proposal document. SOLOMON KITUNGU EXECUTIVE DIRECTOR/CEO Page 3 of 47 Downloaded

4 SECTION II INFORMATION TO THE CONSULTING FIRM Table of Contents Page 2.1 Introduction Clarification and Amendment of RFP Document Preparation of Technical Proposal Preparation of Financial Proposal Submission, Receipt and Opening of Proposals Proposal Evaluation General Evaluation of Technical Proposals Public Opening and Evaluation of Financial Proposal Negotiations Award of Contract Confidentiality Corrupt or Fraudulent Practices 11 Page 4 of 47 Downloaded

5 INFORMATION TO THE CONSULTING FIRM 2.1 Introduction The Privatization Commission will select a firm from among the firms shortlisted to submit a proposal, in accordance with the method of selection detailed in the Appendix A The firms are invited to submit a Technical Proposal and a Financial Proposal as specified under Appendix A of this RFP Document The Commission will provide the inputs specified in Appendix A. 2.2 Clarification and Amendment of RFP Documents Interested firms may request a clarification of any aspect of the RFP documents only up to seven [7) days before the proposal submission date. Any request for clarification must be sent in writing by paper mail, cable, telex, facsimile or electronic mail to the Commission s address indicated in Appendix A. The Commission will respond by paper mail, cable, telex, facsimile or electronic mail to such requests and will send written copies of the response (including an explanation of the query but without identifying the source of inquiry) to all firms which have purchased the bid documents At any time before the submission of proposals, the Commission may, for any reason, whether at its own initiative or in response to a clarification requested by any firm which has bought the bid documents, amend the RFP. Any amendment shall be issued in writing through an Addendum. The Addenda shall be sent by mail, cable, telex or facsimile to all firms which have purchased the bid documents. The Commission may at its own discretion extend the deadline for the submission of proposals. 2.3 Preparation of Technical Proposal The proposal shall be written in English language In preparing the Technical Proposal, prospective bidders are expected to examine the documents constituting this RFP in detail. Material deficiencies in providing the information requested may result in rejection of a proposal While preparing the Technical Proposal, prospective bidders must give particular attention to the following: (i) If a firm considers that it does not have all the expertise for the assignment, it may obtain a full range of expertise by associating with individual Consulting firm(s) and/or other firms or entities in a joint venture or sub-consultancy as appropriate. Page 5 of 47 Downloaded

6 (ii) (iii) It is highly recommended that the majority of the key professional staff proposed be permanent employees of the firm or have an extended and stable working relationship with it. Proposed professional staff must as a minimum, have the experience indicated in the TOR in Section III The Technical Proposal shall provide the following information using the attached Standard Forms (Appendix B): (i) (ii) (iii) (iv) (v) (vi) A brief description of the firm and an outline of recent experience in assignments (a minimum of three (3)) of a similar nature. For each assignment the outline should indicate inter alia, the profiles of the staff proposed, duration of the assignment, contract amount and firm s involvement. Any comments or suggestions on the Terms of Reference and a list of services and facilities to be provided by the Commission. A description of the methodology and work plan for performing the assignment. The list of the proposed staff team by specialty, the tasks that would be assigned to each staff team member and their timing. CVs recently signed by the proposed professional staff and the authorized representative submitting the proposal. Key information should include number of years working for the firm/entity and degree of responsibility held in various assignments during the last five (5) years. Estimates of the total staff input (professional and support staff staff-time) needed to carry out the assignment (the time proposed for each professional staff team member). (vii) Any additional information requested in Appendix A The Technical Proposal shall not include any financial information. 2.4 Preparation of Financial Proposal In preparing the Financial Proposal, bidders are expected to take into account the requirements and conditions outlined in the RFP documents. The Financial Proposal should follow the Forms in Appendix C. It lists all costs associated with the assignment including: i) Summary of costs ii) Breakdown of remuneration iii) Breakdown cost of other activities Page 6 of 47 Downloaded

7 2.4.2 The Financial Proposal should clearly identify as a separate amount, the local taxes, duties, fees, levies and other charges imposed under the law on the bidders Bidders shall express the price of their services in Kenya Shillings The Proposal must remain valid for 90 days after the submission date. During this period, every bidder is expected to keep available, at its own cost, the professional staff proposed for the assignment. The Commission will make its best effort to complete negotiations within this period. If the Commission wishes to extend the validity period of the proposals, the bidders shall agree to the extension. 2.5 Submission, Receipt, and Opening of Proposals The original Technical and Financial Proposal shall be prepared in indelible ink. It shall contain no interlineations or overwriting, except as necessary to correct errors made by the firm itself. Any such corrections must be initialed by the persons or person authorized to sign the proposals For each proposal, the bidders shall prepare the number of copies indicated in Appendix A. Each Technical Proposal and Financial Proposal shall be marked ORIGINAL or COPY as appropriate. If there are any discrepancies between the original and the copies of the proposal, the original shall govern The original and all copies of the Technical Proposal shall be placed in a sealed envelope clearly marked TECHNICAL PROPOSAL. Similarly the original and all copies of the Financial Proposal shall be placed in a sealed envelope clearly marked FINANCIAL PROPOSAL and warning: DO NOT OPEN WITH THE TECHNICAL PROPOSAL. Both envelopes shall be placed in an outer sealed envelope marked BIDS FOR PROVISION OF ENTERPRISE RISK MANAGEMENT CONSULTING SERVICES. This outer envelope shall bear the submission address and other information indicated in the Appendix A and be clearly marked, DO NOT OPEN, EXCEPT IN PRESENCE OF THE OPENING COMMITTEE The completed Technical and Financial Proposals must be delivered at the submission address on or before the time and date stated in the Appendix A. Any proposal received after the closing time for submission of proposals shall be rejected and returned to the respective bidder unopened After the deadline for submission of proposals, the Technical Proposal shall be opened immediately by the Opening Committee. The Financial Proposal shall remain sealed and deposited with the Commission up to the time for public opening of financial proposals. Page 7 of 47 Downloaded

8 2.6 Proposal Evaluation General From the time the bids are opened to the time the Contract is awarded, if any bidder wishes to contact the Commission on any matter related to the proposal, the bidder should do so in writing at the address indicated in Appendix A. Any effort by a bidder to influence the Commission in the proposal evaluation, proposal comparison or Contract award decisions may result in the rejection of the Consulting firm s proposal Evaluators of Technical Proposals shall have no access to the Financial Proposals until the technical evaluation is concluded. 2.7 Evaluation of Technical Proposals The Evaluation Committee appointed by the Commission shall evaluate the proposals on the basis of their responsiveness to the Terms of Reference, applying the evaluation criteria as follows: Criteria Training Course Content Training Methodology (10marks) (10marks) Maximum Points 20 Review of ERM Framework (i) Qualification and competence of the key Staff 30 for the assignment (attach relevant supportive documents) Qualification (10marks) Competence (15marks) Membership to professional bodies (5marks) (ii) General Experience of the firm in handling similar 30 assignments (attach five(5)relevant letters of reference from the firms for both training and ERM Framework Review) (iii) Adequacy of the proposed work plan and 20 methodology in responding to the terms of reference Total 100 Each responsive proposal will be given a technical score (TS). A proposal shall be rejected at this stage if it does not respond to important aspects of the Terms of Reference or if it fails to achieve the minimum technical score of 80 points as indicated in Appendix A. Page 8 of 47 Downloaded

9 2.8 Public Opening and Evaluation of Financial Proposal After Technical Proposal evaluation, the Commission shall notify those bidders who will have attained the minimum qualifying mark, indicating the date and time set for opening the Financial Proposals and stating that the financial bids opening ceremony is open to all bidders who will have attained the minimum technical qualifying marks or their representatives who choose to attend. The notification may be sent by registered mail, cable, telex, facsimile or electronic mail The Financial Proposals shall be opened publicly in the presence of the bidders who will have attained the minimum qualifying score or their representatives who choose to attend. The name of the bidder, the technical scores and the proposed prices shall be read aloud and recorded when the Financial Proposals are opened. The Commission shall prepare minutes of the public opening The Evaluation Committee will determine whether the financial proposals are complete as per the RFP documents and correct any computational errors. The cost of any unpriced items shall be assumed to be included in other costs in the proposal The formulae for determining the Financial Score (Sf) shall, unless an alternative formulae is indicated in the Appendix ITC, be as follows:- Sf = 100 X FM /F where Sf is the financial score; Fm is the lowest priced financial proposal and F is the price of the proposal under consideration. Proposals will be ranked according to their combined technical (St) and financial (Sf) scores using the weights (T=the weight given to the Technical Proposal: P = the weight given to the Financial Proposal; T + p = I) indicated in the Appendix. The combined technical and financial score, S, is calculated as follows:- S = St x T % + Sf x P %. The firm achieving the highest combined technical and financial score will be invited for negotiations The Financial Proposals shall be evaluated on the basis of the total contract amount in the proposal inclusive of taxes. The bidder who offers the highest combined (technical and financial) score shall be considered to be the winner. The Evaluation Team will then compile a report and forward the recommendations to the Tender Committee for adjudication. 2.9 Negotiations Negotiations will be held at the same address as address to send information to the Client indicated in the Appendix A. The aim is to reach agreement on all points and sign a contract within the shortest time possible. Page 9 of 47 Downloaded

10 2.9.2 Contract negotiations will commence after the Privatization Commission has selected the leading firm that obtains the highest combined rankings in both the Technical and Financial Proposals. Payment schedule will also be agreed during negotiations Unless there are exceptional reasons, the financial negotiations will not involve the remuneration rates for staff (nor breakdown of fees) Negotiations will include a discussion of the Technical Proposal, the proposed methodology (work plan), staffing and any suggestions made by the firm to improve the Terms of Reference Award of Contract The Contract will be awarded to the firm that attains the highest combined score as provided under Appendix A. The Commission will promptly notify other bidders on the shortlist that they were unsuccessful and return the Financial Proposals of those bidders who did not pass the technical evaluation, unopened The parties to the contract shall have it signed within 30 days from the date of notification of contract award The Commission may at any time terminate procurement proceedings before contract award and shall not be liable to any person for the termination The Commission shall give prompt notice of the termination to the tenderers To qualify for contract awards, the tenderers shall have the following: (a) (b) (c) (d) Necessary qualifications, capability and experience to provide the service being procured. Legal capacity to enter into a contract for procurement (as evidenced in writing in Appendix D). 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 (as evidenced in writing in Appendix D). Shall not be debarred from participating in public procurement ((as evidenced in writing in Appendix D). Page 10 of 47 Downloaded

11 2.11. Confidentiality Information relating to evaluation of proposals and recommendations concerning awards shall not be disclosed to the bidders who submitted the proposals or to other persons not officially concerned with the process, until the winning firm has been notified that it has been awarded the Contract The appointed Consulting firm will be expected to hold the interests of the Government and of the Privatization Commission paramount and, in so doing, will ensure that all advice and recommendations reflect the utmost professionalism. To this extent, an appropriate confidentiality clause has been inserted in the agreement to be signed between the Commission and the selected Consulting firm Corrupt or Fraudulent Practices The Commission requires that the Consulting firm observe the highest standards of ethics during the selection and award of the consultancy contract and also during the performance of the assignment The Commission will reject a proposal for award if it determines that the Consulting firm recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question Further the Consulting firm found to have indulged in corrupt or fraudulent practices risks being debarred from participating in public procurement in Kenya. Page 11 of 47 Downloaded

12 SECTION III TERMS OF REFERENCE FOR THE PROVISION OF ENTERPRISE RISK MANAGEMENT CONSULTANCY SERVICES 1.0 INTRODUCTION 1.1 The Privatization Commission (PC) is a State Corporation established under Section 3 of the Privatization Act, 2005 which became operational on 1 st January The Commission is mandated to: Formulate, manage and implement the Privatization Programme; Make and implement specific proposals for privatization in accordance with the Privatization Programme; Carry out such other functions as are provided for under the Act; and Carry out such other functions as the Commission considers advisable to advance the Privatization Programme. 1.2 The Commission is currently implementing a Privatization Programme that was approved by the Cabinet on 11 th December 2008 which is made up of twenty six investments to be considered for privatization once the Commission finalizes detailed privatization proposals for consideration by the Cabinet. These transactions are at various levels of approval. 1.3 The Commission has an established Human Resources and Risk Committee of the Board that deals with enterprise risk management issues at the Commission. In addition, the Commission under its ERM framework has established a Management Risk and Business Continuity Committee to handle all issues related to risk and business continuity. In total the Commission has five (5) departments namely Transactions, Finance and Administration, Legal Affairs, Risk and Compliance, and Corporate Affairs. Finance and Administration comprises of four (4) sections namely Accounts, Human Resources and Administration, ICT and Procurement sections. Transactions department handles the core work at the Commission mainly being implementing the Privatization Programme as approved by the Cabinet. Enterprise Risk is managed under the Risk and Compliance department. 2.0 ENTERPRISE RISK MANAGEMENT REQUIREMENTS 2.1 The Commission implemented its Enterprise Risk Management Framework in The Framework comprises the Commission s Risk Policy, Standards, Registers, Procedures and Business Continuity Plans. Together with this, the Commission also conducted training for the Commission Board and Management. The Commission s Risk Framework Page 12 of 47 Downloaded

13 recognizes that Risk Management is a dynamic discipline and therefore requires continuous review in order to update on current trends, continued applicability of identified risks and to improve the Commission capacity to identify and mitigate risks In this regard, the Commission is desirous of reviewing its Enterprise Risk Management Framework and training the Board and, Management on Enterprise Risk Management as part of good corporate governance practices at the Commission. To facilitate this process the Commission would like to engage the services of a Consultant who will provide these services. 3.0 OBJECTIVES AND SCOPE OF THE ASSIGNMENT 3.1 The objective of the assignment is to: a) Review the Commission s enterprise risk management framework whilst: i. Verifying the continued applicability of the Commission s identified risks; ii. Informing the Commission s risk governance structure vis-à-vis iii. best practices; Benchmarking the Commission s ERM framework with ISO Risk Management Standard or other globally leading risk management standards. b) Review the Commission Risk Management Charters; c) Review the Commission s Business Continuity Plan (including the ICT disaster recovery plan); and d) Train the Commission Members and Management on ERM. 3.2 The training component will cover amongst other topics: i. Enterprise Risk Management process:- o Role of the Board, Audit & Risk Committees and Management on Enterprise Risk Management, o Role of Internal Auditors on Enterprise Risk Management, o Emerging trends in ERM. NOTE: The training must be tailored specifically to the needs of the Privatization Commission. 3.3 The Target group for the training is twenty six (26) participants comprising of eleven (11) Commission Members and fifteen (15) Management staff. Separate training will be carried out for the two groups and will each be expected to take two (2) days. 3.4 The Commission will provide the venue of the workshop and conference facilities. The venue and date of training will be discussed with the successful bidder. Page 13 of 47 Downloaded

14 4.0 REPORTING SYSTEMS AND TIME SCHEDULE 4.1 The Risk and Compliance Manager will be responsible for facilitating the work of the Consultant. 4.2 At the end of the assignment the Consultant will be expected to at minimum submit the following reports to the Executive Director: i. A revised ERM Framework taking into consideration the objectives and scope listed in 3.0 above and including: a. Revised ERM Policy and Standard; b. Revised ERM Procedure Manual; c. Revised Functional risk registers & risk heat maps; d. Revised Business Continuity Plans; and e. Revised Risk Management Charters (Board and Management). ii. Training report highlighting areas of future improvement on the ERM process and other relevant feedback. 4.3 The assignment is expected to take three (3) months to complete. 5.0 ACCESS TO INFORMATION AND RECORDS 5.1 In order to deliver effectively on the requirements of this consultancy, upon request in writing, the Consultant will have access to all the information necessary to carry out their work. This includes financial and non-financial records and explanations from all service delivery units. Nevertheless, if in the opinion of management a member of the Consultancy team is not considered sufficiently senior in position to be allowed unlimited access to the Commission s information, or has not undertaken the oath of secrecy required under the Privatization Act, 2005, such a member may be denied access and the same communicated to the person in charge of the Consultancy. The Consultant is not permitted to take copies of any documents without the Management s authorization. 6.0 PERSONNEL, FACILITIES AND OTHER REQUIREMENTS TO BE PROVIDED BY THE PRIVATIZATION COMMISSION 6.1 The Commission will provide the office space and related facilities and the contact persons necessary to facilitate the Consultant s work. 7.0 CONFIDENTIALITY 7.1 The Consultant should treat all the records and information that comes into their possession as a result of the Consultancy assignment as confidential. In order to enhance confidentiality, the officers assigned to carry out the Consultancy work shall undertake the oath of secrecy Page 14 of 47 Downloaded

15 prescribed for a consultant in the service of the Commission under the Privatization Act, QUALIFICATION AND EXPERIENCE 8.1 The Consulting firm must demonstrate that it possesses the knowledge, skills and other competencies needed to perform its responsibilities with due professional care. The firm must have at least five years professional experience in carrying out enterprise risk management and business continuity planning services with public sector experience. 8.2 The team leader for the assignment must be a competent trainer and must have at least seven years experience in risk management consulting. The team leader must have a degree in finance, commerce or equivalent qualifications from a recognized university must also be a member of a relevant Professional Body and have certification in risk management. 8.3 Two (2) other personnel should have a degree in finance, commerce or equivalent qualifications from a recognized university and five years experience in risk management consulting. Training in risk management and professional certifications in CPA, CISA, CRA or equivalent certifications will be an added advantage. The personnel should have preferably be employees of the Consulting firm for the last 3 years. 9.0 PAYMENTS 9.1 The Commission proposes to make payment based on agreed milestones/deliverables. These payments will be mutually agreed based on proposals submitted. Page 15 of 47 Downloaded

16 APPENDIX A APPENDIX TO INFORMATION TO THE CONSULTING FIRM - DATA SHEET The following information for Procurement of Consulting services and selection of Consulting firm shall complement or amend the provisions of the information to Consulting firm, wherever there is a conflict between the provisions of the information to Consulting firm and the provisions of the appendix, the provisions of the appendix herein shall prevail over those of the information to Consulting firm. Clause Reference The method of selection of the Consultants shall be based on the quality and cost of the submissions received from the firms to which this Request for Proposal (RFP) has been sent. The firm that offers the highest combined (technical and financial) score shall be considered for award of the contract Separate Technical and Financial Proposals are requested: Yes The name, objectives, and description of the assignment are: Provision of Enterprise Risk Management Training and Consultancy Services The name, address and telephone numbers of the Client s official contact are: Mr. Solomon Kitungu Executive Director/CEO Privatization Commission 11 th Floor, Extelcoms House P. O. Box NAIROBI Tel.: /7/8 Fax ed.ceo@pc.go.ke The Commission will provide the following: i. The necessary documentation on the Privatization Commission. ii. An Officer to co-ordinate the interaction between the Commission and the Consulting firm during the period of the assignment (i) The minimum required experience of proposed professional staff is: as indicated in the Terms of Reference. Page 16 of 47 Downloaded

17 (i) (ii) Training is a specific component of this assignment: YES Additional information in the Technical Proposal is as indicated in the Terms of Reference Taxes: The total financial proposal MUST be inclusive of all taxes applicable Consulting firm MUST submit an original and one (1) additional copy of each proposal Proposals MUST be submitted no later than Friday, 5th February 2016, at a.m. a) The original and copy of the Technical Proposal shall be placed in a sealed envelope clearly marked TECHNICAL PROPOSAL. b) The original and copy of the Financial Proposal shall be placed in a sealed envelope clearly marked FINANCIAL PROPOSAL and warning: DO NOT OPEN WITH THE TECHNICAL PROPOSAL. Both envelopes shall be placed in sealed outer envelope marked BIDS FOR PROVISION OF ENTERPRISE RISK MANAGEMENT TRAINING AND CONSULTANCY SERVICES. This outer envelope shall bear the submission address and other information indicated in the Appendix ITC and be clearly marked, DO NOT OPEN, EXCEPT IN PRESENCE OF THE OPENING COMMITTEE The proposal submission address is: The Executive Director/CEO Privatization Commission 11 th Floor, Extelcoms house Haile Selassie Avenue P. O. Box NAIROBI Proposals will be opened immediately thereafter on Friday, 5 th February 2016 by a.m. in the Privatization Commission Board Room, 11 th Floor, Extelcoms House, Haile Selassie Avenue, Nairobi, Kenya in the presence of the Tenderers or their representatives who choose to attend The address to send information to the Commission is: The Executive Director/CEO Privatization Commission 11 th floor, Extelcoms House P. O. Box Page 17 of 47 Downloaded

18 NAIROBI Tel.: /7/8 Fax ed.ceo@pc.go.ke The minimum technical score required to pass is 80%. The weights given to the Technical and Financial Proposals are: T=_ (0.80) P=_(0.20) 2.8 The assignment is expected to commence immediately after signing of the Contract with the lowest responsive firm. 2.9 The winning bidder will be required to submit reports on need basis to the Commission as provided in the contract. The Privatization Commission reserves the right to accept or reject any bid either in whole or in part and is under no obligation to give reasons thereof. Page 18 of 47 Downloaded

19 APPENDIX B TECHNICAL PROPOSAL Notes on the preparation of the Technical Proposals 1.0 In preparing the technical proposals the Consulting firm is expected to examine all terms and information included in the RFP. Failure to provide all requested information shall be at the Consulting firm own risk and may result in rejection of the Consulting firm s proposal. 2.0 The technical proposal shall provide all required information and any necessary additional information and shall be prepared using the standard forms provided in this Section. 3.0 THE TECHNICAL PROPOSAL SHALL NOT INCLUDE ANY FINANCIAL INFORMATION. 3.1 The following documentation constitutes the technical proposal:- a) Technical proposal submission form b) Firms references c) Comments and suggestions by the Consulting firm on the Commission s Terms of Reference and on data, services and facilities to be provided by the Commission d) Description of the methodology and work plan for performing the assignment e) Team composition and Task assignments f) Format of curriculum vitae (CV) for proposed Professional staff g) Time schedule for professional personnel h) The duly filled Mandatory Confidential Business Questionnaire Page 19 of 47 Downloaded

20 TECHNICAL PROPOSAL Table of Contents 1. Technical proposal submission form 2. Firms references 3. Comments and suggestions of Consulting firm on the Terms of Reference and on data, services and facilities to be provided by the Commission 4. Description of the methodology and work plan for performing the assignment 5. Team composition and Task assignments 6. Format of curriculum vitae (CV) for proposed Professional staff 7. Time schedule for professional personnel Page 20 of 47 Downloaded

21 1. TECHNICAL PROPOSAL SUBMISSION FORM [ Date] To [Name and address of Client) Ladies/Gentlemen: We, the undersigned, offer to provide the Enterprise Risk Management Training and Consultancy Services in accordance with your Request for Proposal dated [Date] and our Proposal. We are hereby submitting our Proposal, which includes this Technical Proposal and a Financial Proposal sealed under a separate envelope. We understand you are not bound to accept the lowest or any Proposal that you receive. We remain, Yours sincerely, ch (Authorized Signature]: [Name and Title of Signatory] [Name of Firm] [Address:] Page 21 of 47 Downloaded

22 2. FIRM S REFERENCES Relevant Services Carried Out in the Last Five Years that Best Illustrate Qualifications Using the format below, provide information on each assignment for which your firm either individually, as a corporate entity or in association, was legally contracted. Assignment Name: Country Location within Country: Name of Client: Address: Start Date (Month/Year): Completion Date (Month/Year): Professional Staff provided by Your Firm/Entity(profiles): Clients contact person for the assignment. No of Staff-Months; Duration of Assignment: Approx. Value of Services (Kshs) Name of Associated Consulting firm. If any: No of Months of Professional Staff provided by Associated Consulting firm: Name of Senior Staff (Project Director/Coordinator, Team Leader) Involved and Functions Performed: Narrative Description of project: Description of Actual Services Provided by Your Staff: Firm s Name: Name and title of signatory; Page 22 of 47 Downloaded

23 3. COMMENTS AND SUGGESTIONS ON THE TERMS OF REFERENCE AND ON DATA, SERVICES AND FACILITIES TO BE PROVIDED BY THE CLIENT. On the Terms of Reference: On the data, services and facilities to be provided by the Client: Page 23 of 47 Downloaded

24 4. DESCRIPTION OF THE METHODOLOGY AND WORK PLAN FOR PERFORMING THE ASSIGNMENT Page 24 of 47 Downloaded

25 5. TEAM COMPOSITION AND TASK ASSIGNMENTS 1. Technical/Managerial Staff Name Position Task 2. Support Staff Name Position Task Page 25 of 47 Downloaded

26 6. FORMAT OF CURRICULUM VITAE (CV) FOR PROPOSED PROFESSIONAL STAFF Proposed Position: Name of Firm: Name of Staff: Profession: Date of Birth: Years with Firm: Nationality: Membership in Professional Societies: Detailed Tasks Assigned: Key Qualifications: [Give an outline of staff member s professional experience and training most pertinent to tasks on assignment. Describe degree of responsibility held by staff member on relevant previous assignments and give dates and locations]. Education: [Summarize college/university and other specialized education of staff member, giving names of schools, dates attended and degree[s] obtained.] Employment Record: [Starting with present position, list in reverse order every employment held. List all positions held by staff member since graduation, giving dates, names of employing organizations, titles of positions held, and locations of assignments.] Certification: I, the undersigned, certify that the data correctly describe me, my qualifications, and my experience. Page 26 of 47 Downloaded

27 Date: [Signature of staff member] Date: [Signature of authorized representative of the firm] Full name of staff member: Full name of authorized representative: Page 27 of 47 Downloaded

28 7. TIME SCHEDULE FOR PROFESSIONAL PERSONNEL Name Position Activities Months (in the Form of a Bar Chart) 1 2 Number of months Reports Due: Activities Duration: Signature: (Authorized representative) Full Name: Title: Address: Page 28 of 47 Downloaded

29 APPENDIX C FINANCIAL PROPOSAL Notes on preparation of Financial Proposal 1.0 In addition to the fees payable, the Financial Proposal prepared by the Consulting firm should include the reimbursable costs associated with the assignment. These costs should cover subsistence, transportation, printing of reports, surveys and other reports to be submitted to the Commission as may be applicable. The costs should be broken down to be clearly understood by the Commission. (a) Please note that reimbursables should exclude third party costs and any other costs listed below. In the event the Consulting firm incurs these costs on behalf of the Commission, subject to the provision under (b) below, the Commission undertakes to reimburse the Consulting firm at cost: (i) (ii) All third party costs; Expenses related to logistics and all associated expenses; (b) Please also note that any costs incurred in (a) above and any other Third Party costs shall be subject to the Client s prior written approval. 2.0 The financial proposal shall be in Kenya Shillings and shall take into account the tax liability specified in the request for proposal. 3.0 The financial proposal should be prepared using the Standard forms provided in this part. Page 29 of 47 Downloaded

30 FINANCIAL PROPOSAL STANDARD FORMS Table of Contents 1. Financial proposal submission form 2. Summary of costs 3. Breakdown of remuneration Page 30 of 47 Downloaded

31 1. FINANCIAL PROPOSAL SUBMISSION FORM [Location, Date] To: [Name and address of Client] Ladies/Gentlemen: We, the undersigned, offer to provide Enterprise Risk Management Training and Consultancy Services in accordance with your Request for Proposal dated [Date ] and our Proposal (Technical and Financial Proposals). Our attached Financial Proposal is for the sum of Kenya Shillings [Amount in words and figures]. This amount is exclusive of the local taxes, which we have estimated at [Amount(s) in words and figures]. Our Financial Proposal shall be binding upon us subject to the modifications resulting from Contract negotiations, up to expiration of the validity period of the Proposal, i.e., [Date]. We understand you are not bound to accept the lowest or any Proposal you receive. We remain, Yours sincerely, [Authorized Signature]: [Name and Title of Signatory]: [Name of Firm] [Address] Page 31 of 47 Downloaded

32 2. SUMMARY OF COSTS PROVISION OF ENTERPRISE RISK MANAGEMENT TRAINING AND CONSULTANCY SERVICES Item a) Training Services fee; Total Cost (Kshs) b) Consultancy Services fee c) Reimbursables d) Taxes TOTAL CONTRACT PRICE (KSHS.) Page 32 of 47 Downloaded

33 3. (I) BREAKDOWN OF REMUNERATION Services related to Consulting Services. Name of Firm Names of staff Position Input (staff months, days or hours as appropriate) Remuneration Rate (Kshs.) Amount (Kshs.) (i) (ii) (iii) (iv) (v) Grand Total Page 33 of 47 Downloaded

34 APPENDIX D MANDATORY CONFIDENTIAL BUSINESS QUESTIONNAIRE (Must be filled by all applicants or Tenderers who choose to participate in this tender) Name of Applicant (S). You are requested to give the particulars in Part 1 and either Part 2 (a), 2 (b) or 2 (c), whichever applies to your type of business. Part 2 (d) to part 2(i) must be filled. You are advised that giving wrong or false information on this Form will lead to automatic disqualification/termination of your business proposal at your cost. Part 1 General Business Name: Certificate of Incorporation / Registration No. Location of business premises: Country.. Physical address... Town..Building Floor.Plot No... Street / Road... Postal Address.. Postal / Country Code.Telephone No s... Fax No s.. address. Website. Contact Person (Full Names) Direct / Mobile No s. Title Power of Attorney (Yes / No) If Yes, attach written document. Nature of Business (Indicate whether manufacturer, distributor, etc) (Applicable to local suppliers only) Local Authority Trading License No. Expiry Date.. Value Added Tax No.. Value of the largest single assignment you have undertaken to date (US$/KShs). Was this successfully undertaken? Yes / No..(If Yes, attach reference) Name (s) of your banker (s).. Branches Tel No s... Page 34 of 47 Downloaded

35 Part 2 (a) Sole Proprietor Full names.... Nationality.. Country of Origin Company Profile. (Attach) Part 2 (b) Partnerships Give details of partners as follows: Full Names Nationality Citizenship Details Shares Company Profile.(Attach brochures) Part 2 (c) Registered Company Private or public. Company Profile... State the nominal and issued capital of the Company Nominal KShs... Issued KShs.... Give details of all directors as follows:- Full Names Nationality Citizenship Details Shares Part 2 (d) Debarment I/We declare that I/We have not been debarred from any procurement process and shall not engage in any fraudulent or corrupt acts with regard to this or any other tender by the Commission and any other public or private institutions. Full Names Signature Page 35 of 47 Downloaded

36 Dated this. day of In the capacity of Duly authorized to sign Tender for and on behalf of. Part 2 (e) Criminal Offence I/We, (Name (s) of Director (s)):- a)... b).... c).. have not been convicted of any criminal offence relating to professional conduct or the making of false statements or misrepresentations as to its qualifications to enter into a procurement contract within a period of three (3) years preceding the commencement of procurement proceedings. Signed For and on behalf of M/s... In the capacity of. Dated this day of Suppliers / Company s Official Rubber Stamp. Part 2 (f) Conflict of Interest I/We, the undersigned state that I / We have no conflict of interest in relation to this assignment:- a) b) c) d) For and on behalf of M/s In the capacity of Page 36 of 47 Downloaded

37 Dated this day of 2016 Suppliers / Company s Official Rubber Stamp.. Part 2 (g) Interest in the Firm: Is there any person/persons in the Privatization Commission or any other public institution who has interest in the Firm? Yes/No.. (Delete as necessary) Institution.. (Title) (Signature) (Date) Part 2(h) Experience Please list here below similar projects accomplished or companies / clients you have provided with similar services in the last two (2) years. Company Name Country Contract/ Order No. Value Contact person (Full Names). address Cell phone no Part 2(i) Declaration I / We, the undersigned state and declare that the above information is correct and that I / We give the Privatization Commission authority to seek any other references concerning my / our company from whatever sources deemed relevant, e.g. Office of the Registrar of Companies, Bankers, etc. Full names Signature For and on behalf of M/s In the capacity of. Dated this day of 2016 Suppliers / Company s Official Rubber Stamp. Page 37 of 47 Downloaded

38 APPENDIX E SECTION VI DRAFT CONTRACT FOR ENTERPRISE RISK MANAGEMENT TRAINING AND CONSULTANCY SERVICES THIS AGREEMENT is made the day of between the Privatization Commission of 11 th Floor, Extelcoms House, Haile Selassie Avenue and of P.O. Box , Nairobi (hereinafter called the Commission which expression shall where the context so admits include its successors and assigns) of the one part and...(name)... of...and of P.O. Box..., (hereinafter called the Consulting firm which expression shall where the context so admits include its successors and assigns) of the other part: WHEREAS the Commission invited tenders for provision of consultancy services in respect of Enterprise Risk Management Training and Consultancy Services and has accepted a tender by... in the sum of Kenya Shillings...(hereinafter called the Contract Price ), for the provision of the said consultancy services over the duration of this Agreement. NOW THIS AGREEMENT WITNESSETH AS FOLLOWS: 1. WORDS AND EXPRESSIONS In this Agreement words and expressions shall have the same meanings as are respectively assigned to them in the Conditions of Contracts referred to hereunder. 2. DOCUMENTS COMPRISING AGREEMENT The following documents shall be deemed to form and be read and construed as part of this Agreement: Page 38 of 47 Downloaded

39 (a) (b) (c) The Technical and financial proposal submitted by the Consulting firm; The General conditions of contract; The Special conditions of contract; (d) The Commission s Notification of Award dated..; (e) The Consulting firm s letter of Acceptance of Award dated ; Where the provisions of any of the documents listed in this Clause 2 are in conflict with the provisions of this Agreement, the latter shall prevail. 3. SERVICES AND STANDARDS The Consulting firm: (a) Agrees to provide Consulting services to the Commission as per the attached Terms of Reference ( Attachment 1 ). (b) Undertakes to carry out the services referred in paragraph (a) above with the highest degree of professionalism and ethics required in the discharge of the services aforesaid. (c) Warrants that for purposes of this Agreement, it has assigned professional staffs who are adequately trained and have integrity. Accordingly the Consulting firm will promptly replace any employees that the Commission considers unsatisfactory for the tasks at hand. (d) Undertakes to equip its employees provided under this Agreement with all the relevant tools and equipment and to make the working conditions of the said employees conducive to enable them to effectively carry out the Services under this Agreement. 4. REPORTS The Consulting firm shall submit reports to the Commission in the form and within the time period specified in its Technical proposal. 5. DURATION OF AGREEMENT AND EFFECTIVE DATE (a) This Agreement shall come into force once signed by both parties. (b) The Consulting firm shall provide the services for a period of... months from... to... Page 39 of 47 Downloaded

40 (c) This period may be renewed for a further period subject to satisfactory performance by the Consulting firm and by mutual agreement of the parties in writing and at no additional cost to the Commission. (d) The parties shall agree on a work plan so as to keep within the stipulated timelines. 6. CONSIDERATION AND PAYMENT (a) In consideration of the Consulting firm satisfactorily providing the services, the Commission shall pay to the Consulting firm the Contract Price of Kenya Shillings..., which price is inclusive of Value Added Tax, at the applicable rate. (b) Payments of the Contract Price to the Consulting firm will be made as broken down here below: (c) Payment will be made in Kenya Shillings and save for any reimbursables, which will be paid upon completion of the whole consultancy assignment, the other payments stipulated in paragraph (b) above will be made on quarterly basis within thirty (30) days of completion of the various phases as confirmed satisfactory by the Commission. (d) Other than the aforesaid Contract Price, there shall be no further monies payable to the Consulting firm by the Commission under this Agreement. 7. REVIEW a. The parties shall meet from time to time as may be agreed, within the contract period, to review the service performance as well as for ensuring proper administration and implementation of this Agreement. b. The Commission will endeavor to ensure that the scope of work remains the same as agreed. 8. NOTICES AND COMMUNICATION Any notice or communication under or in connection with the Agreement shall be in writing and shall be delivered personally or by post, facsimile, e- mail or other electronic means to the attention of the parties set out below and at such addresses as the recipient may have notified the other party in writing. In the case of personal delivery, a signature acknowledging receipt will be sufficient evidence of delivery and receipt. In the case of a letter, it shall be deemed to have been received on the fifth business day Page 40 of 47 Downloaded

41 after posting and in the case of facsimile or other electronic means on the business day immediately following the day of dispatch. If to the Commission: Executive Director/CEO Privatization Commission P.O. Box NAIROBI Fax: (020) If to the Consulting firm: P.O. Box NAIROBI Fax: COMMISSION CONTRACT ADMINISTRATOR The Commission designates its. (or any other person who may be designated in writing hereafter) to be its contact person for purposes of the contract implementation. 10. NO PARTNERSHIP OR AGENCY OR EMPLOYMENT RELATIONSHIP This Agreement shall in no way be interpreted as constituting a partnership or agency or employment relationship between the Commission and the Consulting firm. 11. LICENCES AND AUTHORIZATIONS The Consulting firm warrants that it has the appropriate and valid licences and authorizations required to provide the Service and shall at all times during the currency of this Agreement continue to have the said licenses and authorizations. 12. INSURANCE The Consulting firm shall be responsible for obtaining any necessary insurance required for purposes of performing the Services under this agreement. 13. CONFIDENTIALITY (a) The Consulting firm acknowledges that in dealing with the Commission pursuant to this Agreement it may come across information, which is confidential and proprietary to the Commission or its staff, disclosure or use of which might result in damage or loss to the business or affairs of the Commission or its staff. It is therefore agreed that the Consulting firm shall keep all such information confidential and may only disclose the same with the prior written consent of the Commission. Page 41 of 47 Downloaded

42 (b) For the avoidance of doubt it is agreed that the provisions of this clause shall survive the termination of this Agreement. 14. CONTRACT LANGUAGE The language of the contract shall be English. 15. WAIVER Subject to applicable law, no delay or failure by either party to exercise any of its powers, rights or remedies under this Agreement will operate as a waiver of them nor will any single or partial exercise of any such powers, rights or remedies preclude any other or further exercise of them. Any waiver, to be effective, must be in writing. 16. ASSIGNMENT AND SUB-CONTRACTING The Consulting firm shall not assign or transfer this Agreement or any part thereof without the prior written consent of the Commission. 17. OWNERSHIP OF MATERIAL Any studies, reports or other material, graphics, software or otherwise prepared by the Consulting firm for the Commission under this Agreement shall belong to and remain the property of the Commission. The Consulting firm may retain a copy of such documents and software. 18. LIABILITY AND INDEMNITY The Consulting firm agrees to indemnify the Commission from and against all losses, claims, damages, liabilities, proceedings and all related expenses, including court and legal fees, occasioned by any claim against the Commission arising out of negligence or willful misconduct of the Consulting firm or its employees and/or servants and agents in relation to the services provided by the Consulting firm. 19. FORCE MAJEURE (a) Neither party shall be deemed to be in default for any delay or failure in performance of its obligations under this Agreement resulting from force majeure circumstances. Such circumstances shall include but not be limited to war, riot, usurped power, civil commotion, fire, industrial dispute, strikes, acts of God, acts of Government, acts of public enemy, boycott, embargo or form of strike, explosions, failure of communications system, default of carrier or any cause or other circumstances beyond the reasonable control of the parties. Page 42 of 47 Downloaded