KWAZULU NATAL DEPARTMENT OF EDUCATION

KWAZULU NATAL DEPARTMENT OF EDUCATION SERVICE: REQUEST FOR PROPOSAL TO ACT AS THE TRANSACTION ADVISOR TO THE KWAZULU-NATAL DEPARTMENT OF EDUCATION. BID No. : ZNB 0020E/2011/2012. DOCUMENT NO: ZNB 0020E/2011/2012. NAME OF BIDDER: Type of Bidder (Tick One Box) One-person Business/Sole Trader Close corporation PTY (Ltd) Private Company Partnership Consortium/Joint Venture Co-operative Participation Capacity (Tick One Box) Prime Contractor Supplier/Sub-Contractor Issued By: The Department of Education 228 Pietermaritz Street PIETERMARITZBURG 3201 Tel No.: 033 846 5431/2 Fax No.: 033 846 5433 1

4.1) Annexure A Section A N ZNB 0020 E2011/2012 2.) TABLE OF CONTENTS. SECTION CONTENTS PAGE 1.) Cover page 1 2.) Index 2-3 3.) Definitions 4-5 4.) Standard bid documentation (Check-list for bidder) 6 A Invitation to Bid 7 B Special Instructions and Notices to Bidder Regarding the Bidding Forms Completion C Registration on Provincial Suppliers Data Base 9 D E F Declaration that Information on Provincial Suppliers Data Base is Correct Declaration of Interest (SBD 4 Form). Please note that over and above this declaration being completed by the authorized representative on Section E of the standard bid document, all other parties to the agreement must sign the separate individual declaration of interest and attach these as Schedule 4. Final Summary (values/bid price must be stated in Rands and submitted separately for each year of the bid. Your total price will be the totals of unit prices. Please note that all prices must be inclusive of Value Added Tax but excluding any trade discounts. G Questionnaire Replies. 14 8 10 11-12 13 H Official Briefing Session/ Site Inspection Certificate 15 I Tax Clearance Certificate Requirements. 16 J Authority to sign a Bid (Please note that with the exception of a Sole Proprietor, the resolution to sign the bid passed by 17-20 members, Board of Directors or partners, trustees and cooperatives must be furnished.) See Schedule 8. K Conditions of Bid 21-22 L Declaration of bidders past Supply Chain Management practices 23-24 M The National Industrial Participation Programme 25-26 N Special Conditions of Bid and Specification. 27-50 4.2)Annexure B General Conditions of Bid/ Contract 51-64 4.3) Annexure C Schedule 1-17 65 2

5.) Schedule 1 ZNT 30 forms (fully commissioned) 66-78 Valid Tax Clearance Certificate/s for all entities of the Bid. In the 6.) Schedule 2 case of Joint Venture agreements each party to the JV must submit a tax clearance certificate separately. Certified copies of, where applicable: Notice of Registered Office and Postal Address of Company (CM 22), contents of Register of 7.) Schedule 3 Directors, Auditors and Officers (CM 29), Articles of Association Memorandum of Association (CM 2), Certificate to Commence Business (CM 46), Founding Statement (CK 1, Trust Deed, Constitution, Joint Venture/ Consortium Agreements. Declaration of Interest (SBD4 Form). Please note that over and above this declaration being completed by the authorized 8.) Schedule 4 representative on Section E of the standard bid document, all other parties to the agreement must sign the declaration of interest and attach these as Schedule 4. 9.) Schedule 5 Audited Financial Statements for the last financial year or financial reports from bidder s Accountants. Bid entity profile indicating the holding company, subsidiaries, percentage shareholding of subsidiaries, management 10.) Schedule 6 participation, lead partners and equity ownership. Enclose curriculum vitae and certified identity documents of all directors, members, trustees, partners and owners in respect of the bid entity, including joint venture entities. Reference - A schedule reflecting the number, nature, value and 11.) Schedule 7 duration of all government bids secured by the bid entity and/or their individual directors, members, trustees and partners. Authority to sign a Bid (Please note that with the exception of a 12.) Schedule 8 Sole Proprietor, the resolution to sign the bid passed by members, Board of Directors or partners, trustees and co-operatives must be furnished.) 13.) Schedule 9 Company Details. In case of JV/Consortium complete separately for each Entity. 14.) Schedule 10 Banking Details. Must be filled in. A letter from the bank or an original bank stamp to be furnished. 15.) Schedule 11 Cancelled Cheque (not a copy thereof). A cancelled cheque must be submitted. In case of JV each Entity must submit separately. Price Schedule Bid price must be stated in Rands. The overall 16.) Schedule 12 totals For each year must balance to Section F of this document. Financial report on Bank s official letterhead. In the case of the 17.) Schedule 13 Joint Venture agreement each party to the said JV entity must Submit this schedule separately. 18.) Schedule 14 Key Personnel Information - 91 19.) Schedule 15 Certificate of compliance with tender documentation 92 20.) Schedule 16 Schedule of Newspapers and contact details that the bidding 93 entity have been utilizing recently. 21.) Schedule 17 Curriculum Vitae Template 94-95 79 80 81 82 83 84 85 86 87 88 89 90 Bidders are to check that all pages and forms are included in the bid documentation and notify the Department immediately if any pages or sections are missing. Preferably the Department would like to have your Bid Document in a well filed manner either bond or in a lever arch file to avoid any confusion during evaluation. 3

3.) Definitions. ZNB 0020 E2011/2012 3.1 Acceptance bid means any bid which, in all respects, complies with the specifications and conditions of bid as set out in the bid document under bid number ZNB 0020E / 2011/2012. 3.2 Bid means a written offer in a prescribed or stipulated form in response to the invitation by the Department for the provision of goods, works or services under bid number ZNB 0020 E/2011/2012. 3.3 Comparative price means the price after the factors of a non-firm price and all unconditional discounts that can be utilized have been taken into consideration. 3.4 Consortium or joint venture means an association of persons for the purpose of combining their expertise, property, capital, efforts, skills and knowledge in an activity for the execution of a contract. 3.5 Contract means the agreement that results from the acceptance of the bid by the Department. 3.6 Control means the possession by a person, of a permanent authority and power to manage the assets, goodwill and daily operations of a business and the active and continuous exercise of appropriate managerial authority and power in determining the policies and directing the operations of the business. 3.7 Co-operatives means an autonomous association of persons united voluntarily to meet their common economic and social needs and aspirations, through a jointly owned and democratically controlled enterprise organized and operated on co-operative principles. 3.8 Department means the Department of Education within the KwaZulu Natal Provincial Administration and listed in the first column of schedule 2 of the public Service Act, 1994 (Proclamation NO. 103 of 1994). 3.9 Disability means, in respect of a person, permanent impairment of a physical, intellectual, or sensory function, which results in restricted, or lack of, ability to perform an activity in the manner, or within the range, considered normal for a human being. 3.10 Equity Ownership means the percentage ownership and control, exercised by individuals within an enterprise. 3.11 Historical Disadvantaged Individual (HDI) means a South African citizen,. i) who, due to the apartheid policy that had been in place, had no franchise in national elections prior to the introduction of the Constitution of the Republic of South Africa, 1983 (Act No. 110 of 1983) or the Constitution of the Republic of South Africa, 1993 (Act no. 200 of 1993) ( the interim Constitution ); and/or ii) iii) who is a female; and/or who has a disability: Provided that a person, who obtained South African citizenship on or after the coming to effect of the interim Constitution, is deemed not to be a HDI. 4

3.12 Management means an activity inclusive of control and performed on a daily basis, by any person who is a principal executive officer of the company, by whatever name that person may be designated, and whether or not that person is a director. 3.13 Owned means having all the customary elements of ownership, including the right of decision-making and sharing all the risks and profits commensurate with the degree of ownership interests as demonstrated by an examination of the substance, rather than the form of ownership arrangements. 3.14 Person includes reference to a juristic person. 3.15 Province means the procuring Department, incorporating the KwaZulu Natal Provincial Legislature. 3.16 Rand value means the total estimated value of a contract in rand denomination that is calculated at the time of bid invitations and includes all applicable taxes and excise duties. 3.17 Small Medium and Micro Enterprises (SMME s) bears the same meaning assigned to this expression in the National Small Business Act, 1996 (No 102 of 1996). 3.18 Specific contract participation goals means the goals as stipulated in the Preferential Procurement Regulations of 2001. 3.19 Sub-contracting means the primary contractor s assigning or leasing or making out work to, or employing another person to support such primary contractor in the execution of part of a project in terms of the contract. 3.20 Youth mean all persons between the ages 18 to 35. 5

CHECK LIST FOR BIDDER 4.) Standard bid documentation: 4.1) Annexure A standard relevant and important information YES NO Section A Invitation to Bid YES NO Section B Special Instructions and Notice YES NO Section C Registration on Provincial Suppliers Data Base YES NO Section D Declaration that Information on Provincial YES NO Suppliers Data Base is correct Section E Declaration of interest (SBD4 Form). Please YES NO note that over and above this declaration being completed by the authorised representative on Section E of the standard bid document, all other parties to the agreement must sign the declaration of interest and attach these as Schedule 4. Section F Final Summary (values/bid price must be stated in Rands and in words). Please note that YES NO all prices must be inclusive of VAT. Section G Questionnaire Replies (not to be completed) YES NO Section H Official Briefing Session Certificate YES NO Section I Declaration of Good Standing Regarding Tax YES NO Section J Authority to sign a Bid (Please note that with the exception of a Sole Proprietor, the resolution to sign the bid passed by members, Board of Directors or partners, co-operatives and trustees must be furnished). Section K Conditions of Bid YES NO Section L Declaration of Bidder s Past Supply Chain YES NO Practices Section M The National Industrial Participation YES NO Programme Section N Special Conditions of Contract and YES NO Specifications 4.2) Annexure B General Conditions of Contract. YES NO 4.3) Annexure C Schedule 1 to 16 YES NO YES NO 6

4.1) ANNEXURE A: STANDARD BID DOCUMENTATION SECTION A INVITATION TO BID (To be completed by the Bidding Entity) ZNB 0020 E2011/2012 YOU ARE HEREBY INVITED TO BID FOR THE REQUIREMENTS OF THE DEPARTMENT OF EDUCATION IN THE PROVINCE OF KWAZULU NATAL PLEASE NOTE: THIS BID CLOSES AT: 11:00 CLOSING DATE: 24 January 2012 BID NO.: ZNB 0020E/2011/2012. DESCRIPTION: Request for Proposal to Act as the Transaction Advisor to the KwaZulu- Natal Department of Education. COMPULSORY BRIEFING: Yes DATE: 12 December 2011 VENUE: TIME: 17 Margaret Mcadi Avenue (FormerlyVictoria Embankment), Truro House, 1 st Floor, Durban 10H00 VALIDITY PERIOD: 120 DAYS NAME OF BIDDER: PROVINCIAL SUPPLIERS DATABASE REGISTRATION NO.: NB: IN ORDER TO QUALIFY FOR PREFERENCE POINTS A BIDDER MUST ENSURE THAT HE/ SHE/ IT IS REGISTERED AS A SUPPLIER ON THE KWAZULU-NATAL SUPPLIER DATABASE, AND THAT ALL INFORMATION IS ACCURATE AND UP TO DATE BEFORE THE CLOSURE OF THE BID DOCUMENTS DELIVERED BY HAND MUST BE DEPOSITED IN THE BID BOX SITUATED IN: Department s Address: Department of Education 228 Pietermaritz Street PIETERMARITZBURG, 3201 THE BID BOX IS AVAILABLE ON THE FOLLOWING DAYS AND TIMES: MONDAY TO FRIDAY: 08:00-16:00 GROUND FLOOR FOYER BID BOX TECHNICAL ENQUIRIES TO BE MADE TO: Mr. Lall Rambaran - TEL 033-392 1121. 7

4.2) SECTION B SPECIAL INSTRUCTIONS AND NOTICES TO BIDDERS REGARDING THE COMPLETION OF BIDDING FORMS PLEASE NOTE THAT THIS BID IS SUBJECT TO TREASURY REGULATIONS TR16 ISSUED IN TERMS OF THE PUBLIC FINANCE MANAGEMENT ACT, 1999, THE KWAZULU-NATAL SUPPLY CHAIN MANAGEMENT POLICY FRAMEWORK AND THE GENERAL CONDITIONS OF CONTRACT. 1. Unless inconsistent with or expressly indicated otherwise by the context, the singular shall ainclude the plural and visa versa and with words importing the masculine gender shall include the feminine and the neuter. 2. Under no circumstances whatsoever may the bid forms be retyped or redrafted. Photocopies of the original bid documentation may be used, but an original signature must appear on such photocopies. 3. The bidder is advised to check the number of pages and to satisfy himself that none are missing or duplicated. 4. Bids submitted must be complete in all respects. 5. Bids shall be lodged at the address indicated not later than the closing time specified for their receipt, and in accordance with the directives in the bid documents. 6. Each bid shall be addressed in accordance with the directives in the bid documents and shall be lodged in a separate sealed envelope, with the name and address of the bidder, the bid number and closing date indicated on the envelope. The envelope shall not contain documents relating to any bid other than that shown on the envelope. If this provision is not complied with, such bids may be rejected as being invalid. 7. All bids received in sealed envelopes with the relevant bid numbers on the envelopes are kept unopened in safe custody until the closing time of the bids. Where, however, a bid is received open, it shall be sealed. If it is received without a bid number on the envelope, it shall be opened, the bid number ascertained, the envelope sealed and the bid number written on the envelope. 8. A specific box is provided for the receipt of bids, and no bid found in any other box or elsewhere subsequent to the closing date and time of bid will be considered? 9. No bid sent through the post will be considered if it is received after the closing date and time stipulated in the bid documentation, and proof of posting will not be accepted as proof of delivery. 10. No bid submitted by telefax, telegraphic or other electronic means will be considered. 11. Bidding documents must not be included in packages containing samples. Such bids may be rejected as being invalid. 12. Any alteration made by the bidder must be initialled. 13. Use of correcting fluid is prohibited 14. Bids will be opened in public as soon as practicable after the closing time of bid. 15. Where practical, prices are made public at the time of opening bids. I HAVE READ AND COMPLIED WITH THE SPECIAL INSTRUCTIONS ABOVE: SURNAME AND INITIALS OF REPRESENTATIVE. SIGNATURE.. DATE COMPANY OFFICIAL STAMP 8

SECTION C REGISTRATION ON THE PROVINCIAL SUPPLIERS DATABASE 1. In terms of the KwaZulu-Natal Supply Chain Management Policy Framework, all suppliers of goods and services to the Province of KwaZulu-Natal are required to register on the Provincial Suppliers Database. 2. If you wish to apply for registration, forms may be downloaded from the website, http://www.kzntreasury.gov.za, (click on Document Library and then choose Forms ) or obtained by phoning the toll free number 0800 201 049. This number is also available for general enquiries relating to Provincial supply chain management issues. 3. If a business is registered on the Database and it is found subsequently that false or incorrect information has been supplied, then the Department may, without prejudice to any other legal rights or remedies it may have; 3.1 de-register the supplier from the Database, 3.2 cancel a bid or a contract awarded to such supplier, and the supplier would become liable for any damages if a less favourable bid is accepted or less favourable arrangements are made. 4. the same principles as set out in paragraph 3 above are applicable should the supplier fail to request updating of its information on the Suppliers Database, relating to changed particulars or circumstances. 4. Bidding Entity must be registered with the Provincial Treasury. if the bidding entity is not registered at the closing time of bid and proof registration is not supplied, it s bid document will be invalid. 5. Bid Registration Number: I HAVE READ AND COMPLIED WITH THE SPECIAL INSTRUCTIONS ABOVE: SURNAME AND INITIALS OF REPRESENTATIVE.. DATE. SIGNATURE COMPANY OFFICIAL STAMP 9

SECTION D DECLARATION THAT INFORMATION ON PROVINCIAL SUPPLIER DATABASE IS CORRECT AND UP TO DATE (To be completed by bidder) THIS IS TO CERTIFY THAT I (name of bidder/authorized representative)..., WHO REPRESENTS....I AM AWARE OF THE CONTENTS OF THE KWAZULU-NATAL SUPPLIER DATABASE WITH RESPECT TO THE BIDDER S DETAILS AND REGISTRATION INFORMATION, AND THAT THE SAID INFORMATION IS CORRECT AND UP TO DATE AS ON THE DATE OF SUBMITTING THIS BID. AND I AM AWARE THAT INCORRECT OR OUTDATED INFORMATION MAY BE A CAUSE FOR DISQUALIFICATION OF THIS BID FROM THE BIDDING PROCESS, AND/ OR POSSIBLE CANCELLATION OF THE CONTRACT THAT MAY BE AWARDED ON THE BASIS OF THIS BID. Provincial Treasury Registration No. I HAVE READ AND COMPLIED WITH THE SPECIAL INSTRUCTIONS ABOVE: SURNAME AND INITIALS OF REPRESENTATIVE.. DATE. SIGNATURE COMPANY OFFICIAL STAMP 10

SECTION E (SBD 4) DECLARATION OF INTEREST Each member/director/trustee of a joint venture/consortium, close corporation, partnership or co-operative must complete and submit a separate declaration {Schedule 4} 1. Any legal person, including persons employed by the state*, or persons having a kinship with persons employed by the state, including a blood relationship, may make an offer or offers in terms of this invitation to bid (includes a price quotation, advertised competitive bid, limited bid or proposal). In view of possible allegations of favouritism, should the resulting bid, or part thereof, be awarded to persons employed by the state, or to persons connected with or related to them, it is required that the bidder or his/her authorised representative declare his/her position in relation to the evaluating/adjudicating authority and/or take an oath declaring his/her interest, where- 1.1 the bidder is employed by the state; and/or 1.2 the legal person on whose behalf the bidding document is signed, has a relationship with persons/a person who are/is involved in the evaluation and or adjudication of the bid(s), or where it is known that such a relationship exists between the person or persons for or on whose behalf the declarant acts and persons who are involved with the evaluation and or adjudication of the bid. 2. In order to give effect to the above, the following questionnaire must be completed and submitted with the bid. 2.1 Full Name of bidder or his or her representative: 2.2 Identity Number: 2.3 Position occupied in the Company (director, shareholder etc): 2.4 Company Registration Number: 2.5 Tax Reference Number: 2.6 VAT Registration Number: * State means: (a) any national or provincial department, national or provincial public entity or constitutional institution within the meaning of the Public Finance Management Act, 1999 (Act No. 1 of 1999); (b) any municipality or municipal entity; (c) provincial legislature; (d) national Assembly or the national Council of provinces; or (e) Parliament. 2.7 Are you or any person connected with the bidder presently employed by the state? YES / NO 2.7.1 If so, furnish the following particulars: Name of person / director / shareholder/ member:... Name of state institution to which the person is connected: Position occupied in the state institution: Any other particulars: 11

2.8 Did you or your spouse, or any of the company s directors / shareholders / members or their spouses conduct business with the state in the previous twelve months? YES / NO 2.8.1 If so, furnish particulars:.. 2.9 Do you, or any person connected with the bidder, have any relationship (family, friend other) with a person employed by the state and who may be involved with the evaluation and or adjudication of this bid? YES/ NO 2.9.1 If so, furnish particulars. 2.10 Are you or any person connected with the bidder, aware of any relationship (family, friend, other) between the bidder and any person employed by the state who may be involved with the evaluation and adjudication of this bid. YES / NO 2.10.1 If so, furnish particulars: 2.11 Do you or any of the directors / shareholders / members of the company have any interest in any other related companies whether or not they are bidding for this contract? YES / NO 2.11.1 If so, furnish particulars:... 3. Full details of directors/ trustees/ members/ shareholders. Full Name Identity number Personal Tax Reference Number State Employee Number/ Persal No. 4. DECLARATION I, THE UNDERSIGNED (SURNAME AND INITIALS). CERTIFY THAT THE INFORMATION FURNISHED IN PARAGRAPHS 2.1 TO 2.11.1 ABOVE IS CORRECT. I ACCEPT THAT THE STATE MAY ACT AGAINST ME IN TERMS OF PARAGRAPH 23 OF THE GENERAL CONDITIONS OF BID SHOULD THIS DECLARATION PROVE TO BE FALSE... SIGNATURE POSITION DATE..... NAME OF BIDDER COMPANY OFFICIAL STAMP 12

SECTION F PRICE PAGE (To be completed by bidding Entity and this must correspond with the grand totals in schedule12) BID NUMBER: ZNB 0020E/2011/2012. PHASE 1 FEASIBILITY STUDY - To obtain Treasury Approval I for the feasibility study. PHASE 1 PRICE (EXCLUDING VAT) : R 14%VAT TOTAL R R TOTAL AMOUNT IN WORDS:.... PHASE 2 PROCUREMENT OF THE PROJECT - The procurement of the Project i.e. from Treasury Approval IIA to Treasury Approval III, and the close out report. PHASE 2 PRICE (EXCLUDING VAT) : R 14%VAT TOTAL R R TOTAL AMOUNT IN WORDS:..... SURNAME AND INITIALS OF SIGNATURE DATE: REPR. OF THE BIDDER FOR OFFICE PURPOSES ONLY IMPORTANT Mark appropriate block with X 1. HAVE ANY ALTERATIONS BEEN MADE? YES NO 2. IF APPLICABLE: DID THE BIDDER ATTEND THE OFFICIAL BRIEFING SESSION/ COMPULSORY SITE INSPECTION? YES NO.... SURNAME AND INITIALS OF SIGNATURE DATE DEPARTMENTAL OFFICIAL COMPANY OFFICIAL STAMP 13

SECTION G QUESTIONNAIRE REPLIES 1. Are the prices/rates quoted firm for the duration of contract?... 2. What is your physical address in KZN Province where the Head Office is situated that may be inspected?....... 3. Provide references of a similar job done before?............. SURNAME AND INITIALS OF REPRESENTATIVE.. DATE SIGNATURE.... NAME OF BIDDER COMPANY OFFICIAL STAMP 14

SECTION H OFFICIAL BRIEFING SESSION/SITE INSPECTION CERTIFICATE N. B.: THIS FORM IS ONLY TO BE INCLUDED AND COMPLETED WHEN APPLICABLE TO THE BID. Bid No: ZNB 0020E/2011/2012 SERVICE: REQUEST FOR PROPOSAL TO ACT AS THE TRANSACTION ADVISOR TO THE KWAZULU-NATAL DEPARTMENT OF EDUCATION. ******************************************************* THIS IS TO CERTIFY THAT (NAME)... ON BEHALF OF... ATTENDED BRIEFING SESSION ON...(DATE) AND IS THEREFORE FAMILIAR WITH THE CIRCUMSTANCES AND THE SCOPE OF THE SERVICE TO BE RENDERED.... INITIALS AND SURNAME OF AUTHORISED BIDDER REPRESENTATIVE (PRINT NAME). SIGNATURE. DATE... INITIALS AND SURNAME OF DEPARTMENTAL REPRESENTATIVE (PRINT NAME). SIGNATURE.. DATE... DEPARTMENTAL STAMP: 15

SECTION I ZNB 0020 E2011/2012 TAX CLEARANCE CERTIFICATE REQUIREMENTS It is a condition of a bid that the taxes of the successful bidder must be in order, or that satisfactory arrangements have been made with South African Revenue Service (SARS) to meet the bidder s tax obligations. 1. In order to meet this requirement, bidders are required to complete in full the attached form TCC 001 Application for a Tax Certificate and submit it to any SARS branch office nationally. The Tax Clearance Certificate Requirements are also applicable to foreign bidders/individuals who wish to submit bids. 2. SARS will then furnish the bidder with a Tax Clearance Certificate that will be valid for a period of 1 (one) year from the date of approval. Copies of TCC 001 Application for a Tax Clearance Certificate form are available from any SARS branch office nationally or on the website www.sars.gov.za. 3. The original Tax Clearance Certificate must be submitted together with the bid. Failure to submit the original and valid Tax Clearance Certificate will result in the invalidation of the bid. Certified copies of the Tax Clearance Certificate will not be acceptable. 4. In bids where Consortia/Joint Ventures/Sub-contractors are involved, each party must submit a separate Tax Clearance Certificate. 5. Applications for the Tax Clearance Certificates may also be made via efiling. In order to use this provision, taxpayers will need to register with SARS as efilers through the website www.sars.gov.za. I HAVE READ AND COMPLIED WITH THE SPECIAL INSTRUCTIONS ABOVE: SURNAME AND INITIALS OF REPRESENTATIVE.. DATE. SIGNATURE COMPANY OFFICIAL STAMP 16

SECTION J ZNB 0020 E2011/2012 AUTHORITY TO SIGN A BID A. COMPANIES If a Bidder is a company, a certified copy of the resolution by the board of directors, personally signed by the chairperson of the board, authorising the person who signs this bid to do so, as well as to sign any contract resulting from this bid and any other documents and correspondence in connection with this bid and/or contract on behalf of the company must be submitted with this bid, that is before the closing time and date of the bid AUTHORITY BY BOARD OF DIRECTORS By resolution passed by the Board of Directors on...20..., Mr/Mrs..... (whose signature appears below) has been duly authorized to sign all documents in connection with this bid on behalf of (Name of Company)... IN HIS/ HER CAPACITY AS:... SIGNED ON BEHALF OF COMPANY:... (PRINT NAME) SIGNATURE OF SIGNATORY:... DATE:... WITNESSES: 1... 2... B. SOLE PROPRIETOR (ONE - PERSON BUSINESS) I, the undersigned...hereby confirm that I am the sole owner of the business trading as............ SIGNATURE DATE 17

C. PARTNERSHIP The following particulars in respect of every partner must be furnished and signed by every partner: Full name of partner Residential address Signature.................................... We, the undersigned partners in the business trading as... hereby authorize...to sign this bid as well as any contract resulting from the bid and any other documents and correspondence in connection with this bid and /or contract on behalf of:......... SIGNATURE SIGNATURE SIGNATURE......... DATE DATE DATE C1. JOINT VENTURE The following particulars in respect of every party to the joint venture must be furnished and signed by every party: Full name of partner Residential address Signature........................... We, the undersigned partners in the business trading as... hereby authorize...to sign this bid as well as any contract resulting from the bid and any other documents and correspondence in connection with this bid and /or contract on behalf of : (Name of the Joint Venture)......... AUTHORISED SIGNATURE DATE 18

D. CLOSE CORPORATION In the case of a close corporation submitting a bid, a certified copy of the Founding Statement of such corporation shall be included with the bid, together with the resolution by its members authorising a member or other official of the corporation to sign the documents on their behalf. By resolution of members at a meeting on... 20... at......mr/ms..., whose signature appears below, has been authorised to sign all documents in connection with this bid on behalf of (Name of Close Corporation)....... SIGNED ON BEHALF OF CLOSE CORPORATION: (PRINT NAME) IN HIS/HER CAPACITY AS... DATE:... SIGNATURE OF SIGNATORY:... WITNESSES: 1... 2... 19

E. CO-OPERATIVE A certified copy of the Constitution of the co-operative must be included with the bid, together with the resolution by its members authoring a member or other official of the co-operative to sign the bid documents on their behalf. By resolution of members at a meeting on... 20... at.... Mr/Ms..., whose signature appears below, has been authorised to sign all documents in connection with this bid on behalf of (Name of cooperative)...... SIGNATURE OF AUTHORISED REPRESENTATIVE/SIGNATORY:.. IN HIS/HER CAPACITY AS:... DATE:..... SIGNED ON BEHALF OF CO-OPERATIVE:... NAME IN BLOCK LETTERS:.. WITNESSES: 1... 2... 20

SECTION K ZNB 0020 E2011/2012 CONDITIONS OF BID 1. I/We hereby bid to supply all or any of the supplies and/or to render all or any of the services described in the attached documents to the KwaZulu-Natal Provincial Administration (hereinafter called the Province ) on the terms and conditions and be in accordance with the specifications stipulated in the bid documents (and which shall be taken as part of and be incorporated into this bid) at the prices and on the terms regarding time for delivery and/or execution inserted therein. 2. I/we agree that: (a) the offer herein shall remain binding upon me and open for acceptance by the Province during the validity period indicated and calculated from the closing time of the bid; (b) this bid and its acceptance shall be subject to the provisions, principles and purport of the Constitution of the Republic of South Africa Act No. 108 of 1996 (more especially section 207), the Preferential Policy Framework Act No. 5 of 2000 Treasury Regulations TR16 issued in terms of the Public Finance Management Act, 1999, the KwaZulu-Natal Supply Chain Management Policy Framework, the Provincial Treasury issued Practice Notes, the Small Business Act No. 102 of 1996 and the KwaZulu-Natal General Conditions of Contract, with which I/we am fully acquainted; (c) if I/we withdraw my bid within the period for which I/we have agreed that the bid shall remain open for acceptance, or fail to fulfill the contract when called upon to do so, the Province may, without prejudice to its other rights, agree to the withdrawal of my bid or cancel the contract that may have been entered into between me and the Province. I/we will then pay to the Province any additional expenses incurred by the Province having either to accept any less favourable bid or, if fresh bids have to be invited, the additional expenditure incurred by the invitation of fresh bids and by the subsequent acceptance of any less favourable bid. The Province shall have the right to recover such additional expenditure by set-off against monies which may be due to me under this or any other bid or contract or against any guarantee or deposit that may have been furnished by me or on my behalf for the due fulfillment of this or any other bid or contract and pending the ascertainment of the amount of such additional expenditure to retain such monies, guarantee or deposit as security for any loss the Province may sustain by reason of my default; (d) if my bid is accepted, the acceptance may be communicated to me by registered post, and that the South African Post Office Limited shall be treated as delivery agent to me; (e) the law of the Republic of South Africa shall govern the contract created by the acceptance of my bid and I choose domicilium citandi et executandi in the Republic at (full physical address) :...... 3. I/we furthermore confirm that I/we have satisfied myself as to the correctness and validity of my bid: that the price(s), rate(s) and preference quoted cover all of the work/item(s) and my obligations under a resulting contract, and I accept that any mistakes regarding the price(s) and calculations will be at my risk. 4. I/we hereby accept full responsibility for the proper execution and fulfilment of all obligations and conditions devolving on me under this agreement, as the Principal(s) liable for the due fulfilment of this contract. 21

5. I/we agree that any action arising from this contract may in all respects be instituted against me and I/we hereby undertake to satisfy fully any sentence or judgment which may be pronounced against me as a result of such action. 6. I/we confirm that I/we have declared all and any interest that I or any persons related to my business has with regard to this bid or any related bids by completion of the Declaration of Interest Section. 7. CERTIFICATION OF CORRECTNESS OF INFORMATION SUPPLIED IN THIS DOCUMENT I/we, THE UNDERSIGNED, WHO WARRANT THAT I AM DULY AUTHORISED TO DO SO ON BEHALF OF THE BIDDER, CERTIFY THAT THE INFORMATION SUPPLIED IN TERMS OF THIS DOCUMENT IS CORRECT AND TRUE, THAT THE SIGNATORY TO THIS DOCUMENT IS DULY AUTHORISED AND ACKNOWLEDGE THAT: (1) The bidder will furnish documentary proof regarding any bidding issue to the satisfaction of the Province, if requested to do so. (2) If the information supplied is found to be incorrect and/or false then the Province, In addition to any remedies it may have, may:- (a) Recover from the contractor all costs, losses or damages incurred or sustained by the Province as a result of the award of the contract, and/or (b) Cancel the contract and claim any damages which the Province may suffer by having to make less favourable arrangements after such cancellation. SIGNED ON THIS... DAY OF... 20... AT..... SIGNATURE OF BIDDER OR DULY NAME IN BLOCK LETTERS AUTHORISED REPRESENTATIVE ON BEHALF OF (BIDDER S NAME)... CAPACITY OF SIGNATORY...... NAME OF CONTACT PERSON (IN BLOCK LETTERS, PLEASE)... POSTAL ADDRESS:...... TELEPHONE NUMBER:... FAX NUMBER:... CELLULAR PHONE NUMBER:... E-MAIL ADDRESS:.... 22

SECTION L ZNB 0020 E2011/2012 DECLARATION OF BIDDER S PAST SUPPLY CHAIN MANAGEMENT PRACTICES (To be completed by Bidder.) 1. This Section must form part of all bids invited. 2. It serves as a declaration to be used by Departments in ensuring that when goods and services are being procured, all reasonable steps are taken to combat the abuse of the supply chain management system. 3. The bid of any bidder may be disregarded if that bidder or any of its directors have a. abused the Department s supply chain management system; b. committed fraud or any other improper conduct in relation to such system; or c. failed to perform on any previous contract. 4. In order to give effect to the above, the following questionnaire must be completed and submitted with the bid. Item Question Yes No 4.1 Is the bidder or any of its directors listed on the National Treasury s database as companies or persons prohibited from doing business with the public sector? Yes No (Companies or persons who are listed on this database were informed in writing of this restriction by the National Treasury after the audi alteram partem rule was applied). 4.1.1 If so, furnish particulars:........ 4.2 Is the bidder or any of its directors listed on the Register for Tender Defaulters in terms of section 29 of the Prevention and Combating of Corrupt Activities Act (No 12 of 2004)? To access this Register, enter the National Treasury s website, www.treasury.gov.za, click on the icon Register for Tender Defaulters or submit your written request for a hard copy of the Register to facsimile number (012) 3265445. Yes No 4.2.1 If so, furnish particulars:........ 4.3 Was the bidder or any of its directors convicted by a court of law (including a court outside of the Republic of South Africa) for fraud or corruption during the past five years? Yes 4.3.1 If so, furnish particulars:... No..... 23

4.4 Was any contract between the bidder and any organ of state terminated during the past five years on account of failure to perform on or comply with the contract? Yes 4.4.1 If so, furnish particulars:........ ZNB 0020 E2011/2012 No CERTIFICATION I, THE UNDERSIGNED (FULL NAME) CERTIFY THAT THE INFORMATION FURNISHED ON THIS DECLARATION FORM IS TRUE AND CORRECT. I ACCEPT THAT, IN ADDITION TO CANCELLATION OF A CONTRACT, ACTION MAY BE TAKEN AGAINST ME SHOULD THIS DECLARATION PROVE TO BE FALSE.... Signature Date. Position. Name of Bidder 24

SECTION M NB: This section applies if a bid exceeds R 10 million. Failure to submit this document with your bid may result in the invalidation of your bid INTRODUCTION THE NATIONAL INDUSTRIAL PARTICIPATION PROGRAMME The principle of Industrial Participation (IP) became obligatory with effect from 1 September 1996. The IP policy and guidelines was fully endorsed by Cabinet on 30 April 1997. In essence this means that all state and parastatal purchases / lease contracts (goods, works and services) entered into after this date are subject to an IP obligation. No contract will be awarded to a bidder if the latter has not satisfied the Industrial Participation requirement. 1. PILLARS OF THE PROGRAMME 1.1 The IP obligation is benchmarked on the imported content of the contract. Any contract having an imported content equal to or exceeding US$ 10 million or other currency equivalent to US$ 10 million will have an IP obligation. This threshold can be reached as follows: (i) (ii) (iii) Any single contract exceeding US $10 million; or multiple contracts for the same products or services each exceeding US $3 million awarded to one seller over a 2 year period which in total exceeds US $10 million; or a contract with a renewable option clause, where should the option be exercised the total value will exceed US $10 million. 1.2. The obligation will amount to 30 % of the imported content. That is, if the imported content is $10 million, the obligation will amount to $3 million. IP arrangements to satisfy the obligation include investments, joint ventures, sub-contracting, licensee production, and export promotion, sourcing arrangements and Research and Development (R&D) collaboration that can be negotiated with partners or suppliers. 1.3. A period of seven years has been identified as the time frame in which to discharge the obligation. 1.4. IP is obligatory and therefore must be addressed. 2. Requirements of the Department of Trade and Industry 2.1 To enable the Department of Trade and Industry to determine whether the total amount of various contracts awarded by the relevant organs of State to a specific contractor, exceeds the prescribed threshold of R 10 million, the accounting officer / authority must obtain clearance from the Department of Trade and Industry regarding the National Industrial Participation Programme prior to the award of any bid in excess of R10 Million (Ten Million Rands). HOW TO SATISFY THE IP REQUIREMENTS 1. Bidders are advised to initiate discussions with the Department of Trade and Industry (Industrial Participation Secretariat) regarding business proposals. 2. Business proposals must reflect new or incremental economic activity that is to be to the 25

mutual benefit of both the South African economy and to the bidder. Projects must be submitted to the Industrial Participation Secretariat for approval before implementation. 3. Conditional contracts, subject to winning the bid, are signed with all potential bidders. An agreement only becomes effective upon winning the bid. Only one contract will therefore become effective. This agreement is between the Industrial Participation Secretariat and the bidder and therefore does not involve the purchasing entity. For further details about the programme, contact - The Department of Trade and Industry Private Bag X84 PRETORIA 0001 (DTI) Telephone numbers: (012) 310-9667 0861 843384 Fax number: (012) 322-4523 A conditional agreement for the purpose of this bid has been reached between the bidder and the Industrial Participation Secretariat. Name of company / bidder: Signature: Bidder Signed on behalf of DTI Name (in print): Date:.. Name (in print):.. Telephone number: Fax number: Postal Address:.... Date: 26

SECTION N TERM OF REFERENCE FOR THE SERVICES OF TRANSACTION ADVISOR INCLUDING SPECIFIC RULES OF BIDDING. 1. INTRODUCTION The KwaZulu Natal Department of Education (KZNDoE) is experiencing a substantial infrastructure backlog for both schools and related administrative and support spaces and facilities, especially in the rural areas. The Department has identified the need to investigate the feasibility and affordability of the different procurement options which will provide the best technical, financial and legal solution in delivering on the backlogs in the shortest and most equitable way including the option of a public private partnership (PPP) as referred to in the National Policy for an equitable provision of an enabling school physical teaching and learning environment published in the government gazette of 11 June 2010. On 26 October 2011 the Premier and Cabinet expressed their support for the project and proposed procurement via the PPP model. This serves as an invitation and terms of reference for transaction advisors to provide such services to the Department. The terms of reference invites proposals from a Transaction Advisor, representing a team of suitably qualified and experienced financial, technical and legal advisors, to assist the Department to undertake a comprehensive feasibility study; and if so required, provide advisory services for the second phase i.e. the procurement of the Project. 2. BACKGROUND AND PROJECT INTRODUCTION The Department has the mandate to provide access to teaching and learning by accelerating the provisioning of quality infrastructure in an efficient, cost effective and equitable manner. Currently the Province is responsible for approximately 6169 educational institutions, inclusive of unsuitable structures, which accommodate in excess of 2 700 000 learners. The Province has inherited huge backlogs and also struggle with the poor state of repair of many of the existing structures. The Department also lease several office facilities for its administrative functions. This is not cost effective and lease cost is increasing annually. The Department therefore also expressed a need to have purpose build administrative/non- school facilities available in the relevant areas (districts) to allow staff to function effectively. The project will include the following infrastructure needs: New Schools: The provision and maintenance of new public primary and secondary schools inclusive of academic and technical school; in response to planned developments or growth, complete with all supporting spaces and facilities such as libraries and laboratories. Upgrades and Additions: To add and improve existing structures to deliver in terms of set standards; including sports and science and technology facilities. Repairs and Maintenance: To improve and maintain the condition of existing buildings including replacement if needed. Non School buildings: To provide and maintain appropriate administration and support spaces where necessary. This will include District and Circuit Offices as required. Head Office: For the Department of Basic Education in Pietermaritzburg. 27

Additional services such as security, cleaning, grounds maintenance, the provision and maintenance of fittings, furniture and equipment must also be investigated a part of the project. The project will be the first in the school sector in the province and intended as pilot to address the issues of design, delivery, rehabilitation, maintenance and funding over the life span of the assets. Based on the outcomes the Department intends to replicate and adapt the model in order to role it out in the whole of the Province over the medium to long term. The pilot will cover four (4) nodes in the province: Pietermaritzburg (umgungundlovu District) Port Shepstone (Ugu District) Stanger/Durban (IIembe District) Ladysmith (Othukela District) The project will therefore consist of the identification, selection/grouping of school and non-school infrastructure in the above nodes to meet the requirements of affordability, value for money, risk transfer and bankability. The Transaction Advisor will also be required to identify a second and third phase for the programme to be rolled out in the next 5 years. Criteria used for the selection of schools from the Infrastructure Planning Document of the Department for the pilot included inter alia: Location (rural/urban) School Size (small/large) Type of School (primary, secondary, academic, technical) Type of Project (new build, upgrade, additional facilities) The Transaction Adviser Team will be required to assist the Department in finalizing the detail selection and grouping of schools and non- school facilities that will make up the project in the above four nodes. The issue of ownership of the land on which the schools are built is a key challenge to the project. The project is perceived as complex as it involves multiple types of infrastructure, multiple sites and stakeholders and is also a political priority areas. Lessons should be learnt from Departments such as the Free State and Gauteng where similar projects was undertaken but did not proceed. 3. AIM OF THE DEPARTMENT The Department aims to influence the educational outcomes positively by providing access to quality educational facilities in the province in the most effective way and in the shortest time possible. The Department objective is to deliver a successful pilot that can be rolled out into a second and third phase in future. To achieve the above, the Department intends to procure the services of a Transaction Advisor, to conduct a feasibility study for the Project, and procure the Project if applicable, in compliance with Regulation 16 and in terms of any of the relevant National Treasury regulations to the Public Finance Management Act, 1999 (PFMA). It will follow the National Treasury PPP Guidelines i.e. the Public Private Partnership Manual and Standardised Public Private Partnership Provisions, with which potential Transaction Advisors are required to be familiar. 28

The Department further reserves the right to appoint further consultants or advisory panels during any stage of the Project should it deem fit to do so with whom the Transaction Advisor will be required to work with in the delivery of the Project. The focus is on faster delivery in order to impact on the backlogs that exist in the Province. The Department aims for work on the Feasibility to start by not later than January 2012 and for the study to be completed by not later than May 2012. Procurement to start soon there to allow construction of the new facilities to start not alter than January 2013. 4. SCOPE OF WORK The scope of work for the Transaction Advisor is split into two phases under this appointment. The first phase (Phase 1) is to obtain Treasury Approval I for the feasibility study while the second phase (Phase 2) would be the advisory services for the procurement of the Project i.e. from Treasury Approval IIA to Treasury Approval III, and the close out report. The potential Transaction Advisors should note that the Department reserves the right to undertake an independent audit of the financial model. Upon completion of Phase1 the Department reserves the right to not proceed to Phase 2. All the work performed and the intellectual property rights thereof will remain the property of the Department. To formalise and complete these processes, as described in Regulation 16 and the PPP Guidelines, all prospective Transaction Advisor are now required to submit proposals indicating that they understand the Scope of Work involved, as described, and that they have the said understanding, of the PPP process, the experience and expertise and the project management skills as well as the necessary time and resources available to manage the Project through to completion, on a fixed cost basis and within the agreed timeframes. 5. TERMS OF REFERENCE FOR TRANSACTION ADVISOR These Terms of Reference invite proposals from a Transaction Advisor comprising a team of suitably qualified and experienced financial, technical, and legal advisors (to be appointed as a team under a lead advisor) to assist the Department in investigating and procuring the most suitable solution for the Project and in the two phases as described above. Reference to the Transaction Advisor includes the entire advisory team, under the management of a single lead advisor who shall contract with the Department. No changes to the Transaction Advisory team shall be effected without approval from the Department. The appointed Transaction Advisor must achieve the following: 5.1 Phase 1 Feasibility Study (a) Obtain National Treasury Approval I for a feasibility study that clearly shows project affordability over the full period of the envisaged project term, demonstrate value for money by means of a comparison between the PPP Reference and the Public Sector Comparator that is risk adjusted, and, sets out a clear process to obtain the best value through a competitive procurement process; (b) After completion of the feasibility study the Department will decide whether or not to proceed with a PPP. Should it elect not to do so, the appointment of the Transaction Advisor will be terminated at this stage with remuneration as set out in the section below. 29

5.1.1 Phase 1 Feasibility Study deliverables The Transaction Advisor will be required to undertake a comprehensive feasibility study, in close collaboration with the Department, that: Confirms the Department needs and align with the policies and direction of the National Department of Basic Education (NDBE). Confirm and review the selection/grouping of school and non-school infrastructure. Confirm the number of schools, learners, future planning data etc. Reviews the studies, reports, data and supporting documentation listed for use and inclusion in the feasibility study and any other relevant information provided by the Department Identifies and determines all available budgets for the Project Determine the impact of this project and a possible second phase on the budget available for non PPP infrastructure requirements. Review current operations of the existing schools identified and the financial elements of the Project; Propose solutions to improve efficiency. Provide detailed description of technical challenges, conceptual solutions and sufficient preliminary designs to allow reliable costing estimates of alternative solutions. Investigate alternative models in countries that have successfully implemented school infrastructure programmes using PPP/PFI models. The end product of the foregoing shall be a comprehensive feasibility study report and supporting documentation as indicated below, to assist the Department in obtaining Treasury Approval I in terms of Treasury Regulation 16.4.2 to the extent that the PPP route is the preferred option arising from the feasibility study. Treasury Approval I is needed in order to proceed with Phase 2 of the Project. All the work items listed under Phase 1 are to be carried out in accordance with Treasury Regulation 16 to the PFMA for PPPs of 2004 and other applicable legislation and regulation within the framework created by the National Treasury Guidelines. The feasibility study report must be presented with a thorough Executive Summary and must be compiled in such a manner that it can be utilised by the Department for decision-making. In the event that the Department decides to pursue the PPP procurement solution for the Project, the documentation must be of a standard (specifically with reference to quality and content) that will be acceptable to the National Treasury for the purposes of the Department obtaining Treasury Approval I. Specific requirements for the Transaction Advisor to include in the comprehensive feasibility study are inter alia: A summary of the strategic objectives of the Department linked to the NDBE guiding policies and objectives. An analysis and rationale for the selection of the school and non-school infrastructure identified as part of the pilot. Recommendations for a possible second and third phase An options analysis setting out the Department s range of technical, legal and financial options, for meeting its objectives; An identification and analysis of budgets available; An analysis of the impact of this project on the budgets available to fund non PPP infrastructure requirements over the term of the project. A comprehensive legal due diligence to ensure that all foreseeable legal requirements are met for this Project. This must include the land report on the ownership and conditions thereto, in addition identifying, compiling and verifying all required approvals and all the regulatory matters that may impact on the Project. The Department wants no legal impediments that will cause delays or constraints to implementation; A review and advice on any road plans and infrastructure needed and the possible impact thereof on the Project; A statement of the Department s desired outcomes; 30