Corrupt or fraudulent practices - Standard Forms of Contract

SECTION VI. Standard Forms of Contract

2.12 Corrupt or fraudulent practices

2.12.1 The procuring entity requires that the consultants observe the highest standards of ethics during the selection and award of the consultancy contract and also during the performance of the assignment. The tenderer shall sign a declaration that he has not and will not be involved in corrupt or fraudulent practices.

2.12.2 The procuring entity will reject a proposal for award if it determines that the consultant recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question.

2.12.3 Further a consultant who is found to have indulged in corrupt or fraudulent practices risks being debarred from participating in public procurement in Kenya.

Appendix to information to consultants

Note on the Appendix to Information to Consultants

1. The Appendix to information to consultant is intended to assist the procuring entity in providing specific information in relation to corresponding claims in the information to consultants included in Section II and the appendix has to be prepared for each

3. In preparing the appendix the following aspects should be taken into consideration.

(a) The information that specifies or complements provisions of Section II to be incorporated.

(b) Amendments of Section II as necessitated by the circumstances of the specific consultancy to be also incorporated

Appendix to Information to Consultants

The following information for procurement of consultancy services and selection of consultants shall

compliment or amend the provisions of the information to consultants, wherever there is a conflict between

the provisions of the information and to consultants and the provision of the appendix, the provisions of the

appendix herein shall prevail over those of the information to consultants.

Clause Reference

2.1 The name of the Client is: TRANSITION AUTHORITY 2.1.1The method of selection is: QCBS

2.1.2 Technical and Financial Proposals are requested: Yes _√_No ____

The name, objectives, and description of the assignment are:___

As per Terms of Reference

2.1.3 A pre-proposal conference will be held: Yes _____No [√] [ifYes, indicate date, time and venue] ________________________________

2.1.4 The Client will provide the following inputs:

_____________________________________________________________________

_________________________________________________________

2.1.5 (ii) The estimated number of professional staff months

required for the assignment is;__________________________

(iv) The minimum required experience of proposed professional staff is:[Insert title, number of years of professional experience, specific expertise]

_______________________________________________________________

___________________________________________________

2.1.6 (vii) Training is a specific component of this assignment:

Yes[ ] NO [√ ]

(viii) Additional information in the Technical Proposal includes:

___________________________________________________

2.1.7 Taxes: [Specify firm’s liability: nature, sources of information]:___

_______________________________________________________________

2.5.2 Consultants must submit an original and two additional copies of each proposal.

3 COPIES OF TECHNICAL PROPOSAL & 1 COPY OF FINANCIAL PROPOSAL

2.5.3 The proposal submission address is:P.O. BOX 10736-00100, NAIROBI

Completed tender documents are to be enclosed in plain sealed envelopes, marked with the tender number and name and be deposited in the Tender Box situated at the entrance of 2^nd Floor Ex-telecom House, or be addressed to the Chief Executive Officer Transition Authority, P.O. BOX 10736-00100, NAIROBI so as to be received on or before 5^th Oct, 2015 at 12.00 noon.

Information on the outer envelope should also include: TENDER NO. AND TENDER NAME

2.5.4 Proposals must be submitted no later than the following date and time: 5^th Oct, 2015 at 12.00 noon.

2.6.1 The address to send information to the Client is: _______________

CHIEF EXECUTIVE OFFICER, TRANSITION AUTHORITY, P.O. BOX 10736-00100,

NAIROBI.

2.6.3 The minimum technical score required to pass _________80%__

2.7.1Alternative formulae for determining the financial scores is the following:______________________________________________

The weights given to the Technical and Financial Proposals are:

T=___________ (0.80) P=___________ (0.20)

2.9.2 The assignment is expected to commence immediately after signing the contract with the winning firm. The Transition Authority reserves the rights to accept or reject any bid either in whole or in part and is under no obligation to give reasons thereof.

SECTION III: - TECHNICAL PROPOSAL Notes on the preparation of the Technical Proposals

3.1 In preparing the technical proposals the consultant is expected to examine all terms and information included in the RFP. Failure to provide all requested information shall be at the consultants own risk and may result in rejection of the consultant’s proposal.

3.2 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.

3.3 The Technical proposal shall not include any financial information unless it is allowed in the Appendix to information to the consultants or the Special Conditions of contract.

SECTION III - TECHNICAL PROPOSAL

Table of Contents Page

1. Technical proposal submission form……… 20

2. Firms references……… 21

3. Comments and suggestions of consultants on the Terms of reference and on data, services and

Facilities to be provided by the procuring entity……… 22 4. Description of the methodology and work plan for performing

the assignment……….. 23

5. Team composition and Task assignments……… 24 6. Format of curriculum vitae (CV) for proposed……… 25

Professional staff

7. Time schedule for professional personnel……….. 27

8. Activity Work Schedule ……… 47

1. TECHNICAL PROPOSAL SUBMISSION FORM [_______________ Date]

To:______________________[Name and address of Client) Ladies/Gentlemen:

We, the undersigned, offer to provide the consulting services for __________________

_______________________________[Title of consulting 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-where applicable].

We understand you are not bound to accept any Proposal that you receive.

We remain, Yours sincerely,

_______________________________[Authorized Signature]:

________________________________[Name and Title of Signatory]

_________________________________[Name of Firm]

_________________________________[Address:]

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: Professional Staff provided by Your Firm/Entity(profiles):

Name of Client: Clients contact person for the assignment.

Address:

No of Staff-Months; Duration of Assignment:

Start Date (Month/Year): Completion Date Approx. Value of Services (Kshs) (Month/Year):

Name of Associated Consultants. If any:

No of Months of Professional

Staff provided by Associated Consultants:

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; ________________________

3. COMMENTS AND SUGGESTIONS OF CONSULTANTS 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:

4. DESCRIPTION OF THE METHODOLOGY AND WORK PLAN FOR PERFORMING THE ASSIGNMENT

5. TEAM COMPOSITION AND TASK ASSIGNMENTS 1. Technical/Managerial Staff

Name Position Task

2. Support Staff

Name Position Task

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 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 these data correctly describe me, my qualifications, and my experience.

_____________________________________________________ Date: ________________

[Signature of staff member]

_____________________________________________________ Date; ______________

[Signature of authorised representative of the firm]

Full name of staff member: __________________________________________________

Full name of authorized representative: ________________________________________

7. TIME SCHEDULE FOR PROFESSIONAL PERSONNEL

Months (in the Form of a Bar Chart) Name Position Reports Due/

Activities 1 2 3 4 5 6 7 8 9 10 11 12

Number of months

Reports Due: _________

Activities Duration: _________

Signature: ________________________

(Authorized representative)

Full Name: ________________________

Title: ______________________________

Address: ___________________________

8. ACTIVITY (WORK) SCHEDULE (a). Field Investigation and Study Items

[1^st,2^nd,etc, are months from the start of assignment)

1^st 2^nd 3^rd 4^th 5^th 6^th 7^th 8^th 9^th 10^th 11^th 12^th

Activity (Work)

(b). Completion and Submission of Reports

Reports Date

1. Inception Report

4. Interim Progress Report (a) First Status Report (b) Second Status Report 3. Draft Report

4. Final Report

SECTION IV: - FINANCIAL PROPOSAL

Notes on preparation of Financial Proposal

4.1 The Financial proposal prepared by the consultant should list the costs associated with the assignment. These costs normally cover remuneration for staff, subsistence, transportation, services and equipment, printing of documents, surveys etc as may be applicable. The costs should be broken done to be clearly understood by the procuring entity.

4.2 The financial proposal shall be in Kenya Shillings or any other currency allowed in the request for proposal and shall take into account the tax liability and cost of insurances specified in the request for proposal.

4.3 The financial proposal should be prepared using the Standard forms provided in this part

SECTION IV: FINANCIAL PROPOSAL STANDARD FORM

Table of Contents: Page

1. Financial Proposal Submission Form ……… 31 2. Summary of Costs ………. 32 3. Breakdown of Price/Activity ……… 33 4. Breakdown of Remuneration Activity ………. 34 5. Reimbursable per Activity ……… 35 6. Miscellaneous Expenses ……… 36

1. FINANCIAL PROPOSAL SUBMISSION FORM

________________[ Date]

To: ______________________________________

______________________________________

[Name and address of Client]

Ladies/Gentlemen:

We, the undersigned, offer to provide the consulting services for (____________) [Title of consulting services] in accordance with your Request for Proposal dated

(__________________) [Date] and our Proposal. Our attached Financial Proposal is for the sum of

(_________________________________________________________________) [Amount in words and figures] inclusive of the taxes.

We remain, Yours sincerely,

_____________________________[Authorized Signature]

_____________________ [Name and Title of Signatory]:

_______________________ [Name of Firm]

______________________ [Address]

2. SUMMARY OF COSTS

Costs Currency(ies) Amount(s)

Subtotal Taxes

Total Amount of Financial Proposal __________________

3. BREAKDOWN OF PRICE PER ACTIVITY

Activity NO.: _______________________ Description:_________________________

Price Component Amount(s)

Remuneration Reimbursables

Miscellaneous Expenses

Subtotal _______________________________

4. BREAKDOWN OF REMUNERATION PER ACTIVITY

Activity No. _________________________________ Name:_______________________

Names Position Input(Staff months, days or Remuneration Rate Amount Hours as appropriate.)

Regular staff (i)

(ii)

Consultants

Grand Total ______________

5. REIMBURSABLES PER ACTIVITY

Activity No: ________________________________

Name:______________________

N o.

Description Unit Quantity Unit Price Total Amount 1.

2 3.

Air travel Road travel Rail travel Subsistence Allowance Grand Total

Trip Kms Kms Day

____________

6. MISCELLANEOUS EXPENSES

Activity No. _________________________ Activity Name: _______________________

No.

Description

Communication costs____

_________________________

(telephone, telegram, telex) Drafting, reproduction of reports Equipment: computers etc.

Software Grand Total

Unit Quantity Unit Price Total Amount

______________

SECTION V: - TERMS OF REFERENCE

5.1 Terms of Reference are the initial statement to the consultant of the services to be performed and should therefore be clear and precise and should contain the following sections:

(a) Background,

(b) Objectives of the assignment, (c) Scope of the Services,

(d) Training (where appropriate), (e) Reports and Time Schedule,

(f) Data Services, Personnel and Facilities to be provided by the Client, and (g) Terms of Payment.

5.2 This Section should be prepared very carefully by the procuring entity to ensure that the consultancy assignment is well understood by the consultants.

TERMS OF REFERENCE TERMS OF REFERENCE FOR

CONSULTANTANCY SERVICES TO UNDERTAKE AN ASSESSMENT OF THE STATUS OF UPTAKE AND IMPLEMENTATION OF THE

SYSTEM OF DEVOLVED GOVERNMENT IN KENYA

1.0 Background and Mandate of the Transition Authority

The Constitution of Kenya, 2010 fundamentally altered the governance structure of Kenya creating two levels of governments, the 47 County Governments and the national government. The two have been assigned functions in the Fourth Schedule of the constitution.

The objectives and principles of devolution as provided in section 174 and 175 of CoK 2010. These are: promotion of democratic and accountable exercise of power; fostering of national unity by recognizing diversity; giving of powers of self-governance to the people and enhancing their participation; recognizing the right of communities to manage their own affairs and to further their development; protection and promotion of the interests and rights of minorities and marginalized communities; promotion of social and economic development and provision of proximate, easily accessible services throughout Kenya;

ensuring equitable sharing of national and local resources throughout Kenya the facilitation of the decentralization of state organs, their functions and services, from the capital of Kenya; and the enhancement of checks and balances and the separation of powers.

The principles as per Article 175 of the Constitution require county governments to be based on democratic principles and separation of powers and to be availed reliable sources of revenue to enable them to govern and deliver services effectively. Also, each gender should have at least a third of the members of representative bodies in the county.

The Transition Authority (TA) was established pursuant to Section 15 of the

Sixth Schedule to the Constitution which provides for a mechanism for

transiting to the devolved system of government. The Authority is mandated to

facilitate and coordinate the transition to devolved system of government in

Kenya within a period of three years after the first general election under the

constitutions. Some of the broad functions of the Authority revolve around the

analysis and transfer of functions, the audit, verification and transfer of assets

and liabilities, accessing the capacity of National and County Governments to

ensure they have sufficient capacity to govern and to carry out their functions and to audit and rationalize the public service.

Objective

The Transition Authority is planning to undertake an assessment to capture and document the implementation status of devolved system of government. The assessment will cover the period beginning March 4

^th

2013 to-date.

The specific objectives of the exercise are to:

1. To establish the status of uptake and implementation of assigned functions to County Governments;

2. To establish the status of implementation of National Government functions under the devolved system of government..

3. To assess the relationship between national and county governments and the effectiveness of the intergovernmental relations mechanisms.

4. To identify achievements, challenges, lessons and opportunities arising from the implementation of devolved of system government;

5. To establish capacity gaps and pre-requisite capacity needs;

6. To make recommendations on how to address identified capacity gaps and other challenges;

7. To share the findings with relevant stakeholders to inform future interventions and policy decisions in entrenching devolution by the various stakeholders.

Specific Tasks

The Consultant(s) will be engaged to undertake the following tasks.

1. To review the draft assessment tool that has been prepared by the Authority to ensure that it meets the objectives of the exercise To develop a comprehensive data capture tool

2. To conduct training for persons who will be assisting in conducting the exercise

3. To review relevant secondary data

4. To conduct the assessment of national government ministries and the counties

5. To analysis data and prepare draft and final county and national government reports

6. To facilitate validation workshops

7. To prepare a consolidated report for the assessment 8. To assist in the launch and dissemination of the report 9. To provide quality assurance for the entire exercise The selected Organization is expected to:

To submit the following documents/information to demonstrate:

1. Technical Proposal: The technical proposal should include the following:



Profiles of consultant(s) and an outline of recent experience on assignments of a similar nature.



The consultant’s comments or suggestions on the TORs and appreciation of the assignment – the objectives, tasks and deliverables.



A clear description of the methodology and work plan that the consultants proposes to execute the assignment, illustrated where appropriate, with bar charts of activities.



A timeline for carrying out the assignment.

2. Financial proposal: The financial proposal, submitted in a sealed envelope clearly marked “Financial Proposal: Assessment of the status of uptake and implementation of the system of devolved government in Kenya clearly indicating daily consultancy rate, all cost items and the total cost.

3. Personal CV including past experience in similar projects and at least 3 references

The key deliverables of this assignment are:

1) An evidence-based inception report on the assignment. It should also outline the methodology for undertaking the assignment and Work plan and the implementation plan of the exercise over the outlined scope. To be prepared within two weeks of engagement.

2) Substantial inputs and effective coordination provided to stakeholders, and

participation in technical reviews, validation workshops and launch of the

report

3) The consultant will also be expected to produce draft and final copies of the following reports in soft and 4 hard copies as follows:

a. 47 county governments report b. One national Government report c. One consolidated report

d. Validation workshops reports

Qualifications and Experience Requirements

The Organization will be a locally and internationally reputable Organization, which must satisfy the following requirements:

b. Have at least ten (10) years’ experience in the field of development, working with development planning processes at the national and sub-national levels, preferably in Kenya.

c. Submit proof of capability and experience in carrying out successfully at least in development assessments, monitoring and measurement and record of research work on development issues, preferably in Kenya.

d. Submit proof of capability and experience to lead and train in service delivery

e. The Organization should demonstrate the capability to unpack the Department mandate in relation to the task.

f. Good knowledge of devolution and the working of national and county governments;

g. Familiarity with the Constitution of Kenya 2010 [especially the fourth schedule];

h. Submit at least three (3) references with full contacts as well as physical addresses from a government officer, international donor agency or corporate sponsor, embassy or other reputable organization/person.

i. Must submit the last three years audited financial statements including the twelve (12) calendar months immediately preceding the date of this Request for Proposal.

j. Must submit Valid Copy of PIN Registration Certificate, Valid KRA Tax Exemption Certificate, NGO Registration Certificate and Certificate of Registration by the relevant Ministry.

k. Must indicate a physical address and a telephone contact.

In addition, the organization should demonstrate the following competencies:

a. Good working knowledge of the understanding of the Vision 2030, the MTP, MDGs

b. Ability to develop and utilize creative methods to work independently, manage competing priorities and perform well under pressure.

c. Ability to develop and utilize technology applications effectively as a tool and resource

The Organization’s lead consultants and key managers must have the following minimum qualifications:

a. Lead consultants: Post graduate qualifications in development planning processes at the national and sub-national levels, preferably in Kenya b. Project manager: Bachelors degree in relevant qualification and at least

five years experience in project management.

1.0 Duration

The exercise is expected to take 90 working days from the date of engagement.

5. Reports

The consultant will be expected to produce the following reports in the prescribed timelines

i. Inception Report – Two (2) Weeks after contract signing

ii. Draft Design and Implementation of deliverable 3 Report–Two (2) months after contract signing

iii. Stakeholders Workshop Report - Before the end of the contract Term iv. Final Design and Implementation of Report - Before the end of the

contract Term

1. Three hard copies of the comprehensive report

2. An electronic version of the comprehensive report in MS Word.

3. An executive version of the design and implementation findings indicating specific areas and timeframe of management interventions.

A PowerPoint presentation to management

6. Terms of Payment

The Consultancy Fee shall be paid in phases upon submission of acceptable reports to the client.

20% upon submission of an acceptable Inception Report

40% upon submission of Draft Design and Implementation deliverable 3 Report and Stakeholders Workshop report

40% Final Design and Implementation of deliverable Report.

CONTRACT

This Agreement, [hereinafter called “the Contract”) is entered into this _____________[Insert starting date of assignment], by and between ________________________________________[Insert Client’s name] of [or whose registered office is situated at]____________________________________________[insert Client’s address](hereinafter called “the Client”) of the one part AND

____________________________________________ [Insert Consultant’s name] of [or

whose registered office is situated

at]_____________________________________[insertConsultant’saddress](hereinafter called “the Consultant”) of the other part.

WHEREAS the Client wishes to have the Consultant perform the services [hereinafter referred to as “the Services”, and

WHEREAS the Consultant is willing to perform the said Services, NOW THEREFORE THE PARTIES hereby agree as follows:

In document CONSULTANCY SERVICES FOR ASSESSMENT OF THE STATUS OF DEVOLUTION IN KENYA (Page 14-48)