Southern Africa Development Community Secretariat

Transcription

1 i Sourn Africa Development Community Secretariat Prequalification Document for Procurement of Technical Assistance to SADC Regional Economic Integration Support Programme (REIS) Reference Number: SADC/REIS/01/2012 Issued on: 3 rd December 2012 Invitation for Prequalification No: REIS/01/2012

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3 iii Contents PART 1 Prequalification Procedures... 1 Section I. Instructions to Applicants... 3 Section II. Prequalification Data Sheet Section III. Qualification Criteria and Requirements Section IV. Application Forms PART 2 Contract Requirements... 1 Section VI. Contract Requirements... 2

4 PART 1 Prequalification Procedures 1-1

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6 Section I. Instructions to Applicants 1-3 Section I. Instructions to Applicants Table of Clauses A. General Scope of Application Procurement Rules and Procedures Fraud and Corruption Conflict of Interest Eligible Applicants Additional Eligibility Requirements... 8 B. Contents of Prequalification Document Sections of Prequalification Document Clarification of Prequalification Document Amendment of Prequalification Document... 9 C. Preparation of Applications Cost of Applications Language of Application and Communications Documents Comprising Application Application Submission Form Documents Establishing Eligibility of Applicant Documents Establishing Qualifications of Applicant Signing of Application and Number of Copies D. Submission of Applications Sealing and Identification of Applications Deadline for Submission of Applications Late Applications Opening of Applications E. Procedures for Evaluation of Applications Confidentiality Clarification of Applications Responsiveness of Applications Joint-ventures or Consortia F. Evaluation of Applications and Prequalification of Applicants Evaluation of Applications Procuring Entity s Right to Accept or Reject Applications Prequalification of Applicants Notification of Prequalification Invitation to Bid Changes in Qualifications of Applicants Appeals... 14

7 Section I. Instructions to Applicants 1-4 Section I. Instructions to Applicants A. General 1. Scope of Application 1.1 In connection with Invitation for Prequalification indicated in Section II, Prequalification Data Sheet (PDS), Procuring Entity, as defined in PDS, issues this Prequalification Document (PQD) to applicants interested in bidding for contracts described in Section VI, Contract Requirements. 1.2 The contract has number of lots as defined in PSD. 1.3 Applicants can apply for one, several or for all lots. A separate application must be submitted for each lot. 2. Procurement Rules and Procedures 3. Fraud and Corruption 2.1 The current prequalification process is governed by SADC Secretariat Procurement Guidelines which can be downloaded from SADC Secretariat website indicated in PDS. The Applicants are encouraged to review this document prior to requesting Procuring Entity any additional information about procurement processes and procedures. 3.1 The SADC Secretariat requires its staff, as well as economic operators interested in entering into procurement contracts financed by SADC Secretariat, including ir affiliates and subcontractors, to observe highest standard of ethics during selection and execution of contracts. In pursuance of this policy, SADC Secretariat: (a) defines for purposes of this provision, terms set forth below as follows: (i) corrupt practice is offering, giving, receiving or soliciting, directly or indirectly, of anything of value to influence improperly actions of anor party; (ii) fraudulent practice is any act or omission, including misrepresentation, that knowingly or recklessly misleads, or attempts to mislead, a party to obtain financial or or benefits or to avoid an obligation; (iii) collusive practices is an arrangement between two or more parties designed to achieve an improper purpose, including to influence improperly actions of anor party; (iv) coercive practices is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or property of party to influence improperly actions of a party; (v) obstructive practice (aa) deliberately destroying, falsifying, altering or concealing material evidence to investigation or making false statements to investigators in order to materially impede a SADC Secretariat, governmental or independent investigation into allegations of a corrupt, fraudulent, coercive, or collusive practice; and/or

8 Section I. Instructions to Applicants 1-5 (b) threatening, harassing, or intimidating any party to prevent it from disclosing its knowledge of matters relevant to investigation or from pursuing investigation, or (bb) acts intended to materially impede exercise of SADC Secretariat or governmental or inspection and audit rights. It will take following measures against contractor recommended for award who has, directly or through an agent, engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for contract in question; (i) will reject bid for award; (ii) will declare bidder/ contractor, including its affiliates, ineligible, eir indefinitely or for a stated period of time, to become a SADC Secretariat contractor; (iii) will cancel or terminate any ongoing contract with bidder / contractor; (iv) will request relevant national authorities to conduct a joint investigation with SADC Secretariat to inspect or carry out audits of bidder / contractor accounting records and financial statements in connection with contract in question for which it was found guilty of engaging in corrupt, fraudulent, collusive, coercive, or obstructive practices; (v) will forfeit bid or performance securities of bidder / contractor; (vi) will suspend any payments due to bidder/ contractor, under contract in question or any or contract bidder/contractor might have with organization, until extent of damage caused by its engagement in corrupt, fraudulent, collusive, coercive or obstructive practices in competing for SADC Secretariat s contract are determined and recovered, and (vii) will sue bidder /contractor to recover damages caused by its engagement in corrupt, fraudulent, collusive, coercive or obstructive practices in competing for contract in question, if y are not fully recovered by securities and payments orwise due to bidder/contractor. 4. Conflict of Interest 4.1 A bidder or a contractor shall not be allowed to get engaged in any procurement process for delivery of any kind of services, goods or works that would be in conflict with ir prior or current obligations to or clients, or that may place m in position of being unable to carry out contract in best interest of Procuring Entity. Without limitation, bidders or contractors shall not be hired under circumstances set forth below: (a) Conflict between consulting activities and procurement of goods, works or services (consulting or general). A bidder or a contractor that has been engaged by Procuring Entity to provide goods, works, or services for

9 Section I. Instructions to Applicants Eligible Applicants (b) (c) organization, and each of its affiliates, shall be disqualified from providing consulting services related to those goods, works or services. Conversely, a bidder or a contractor hired to provide consulting services for preparation or implementation of a project, and each of its affiliates, shall be disqualified from subsequently providing goods, works or general services resulting from or directly related to contractor s consulting services for such preparation or implementation. Conflict among consulting assignments: Neir, bidders or contractors (including ir personnel and sub-consultants) nor any of ir affiliates shall be hired for any assignment that, by its nature, may be in conflict with anor assignment of bidder or contractor. For instance, a contractor assisting Procuring Entity to implement a project shall not be engaged to prepare an independent assessment for implementation of same project, or contractors hired to prepare Terms of Reference (TOR) for an assignment shall not be hired for assignment in question. Relationship with Procuring Entity s staff: bidders or contractors (including ir personnel and sub-contractors) having business or family relationship with a member of Procuring Entity s staff directly or indirectly involved in any part of: (i) preparation of TOR or Technical Specification of a contract, (ii) selection process for such contract, or (iii) supervision of contract, may not be awarded contract, unless conflict stemming from this relationship has been resolved in a manner acceptable to Procuring Entity throughout selection process and execution of contract. 5.1 To foster competition, SADC Secretariat permits all economic operators and individual consultants to be awarded a SADC Secretariat contract. 5.2 However, to ensure efficiency of procurement processes, Procuring Entity restricts bidding process to only prequalified eligible economic operators and individual consultants. 5.3 All applicants and bidders must not be included in conditions described below, constituting exclusion criteria: a) y are being bankrupt or, are having ir affairs administered by courts, have entered into arrangements with creditors, have suspended business activities, are being subject of proceedings concerning those matters, or are being in any similar situations arising from a similar procedures provided for in national legislation or regulations of SADC member states; b) y have been convicted of offences concerning ir professional conduct by a judgment which haves force of res judicata; (i.e. against which no appeal is possible); c) y have been declared guilty of grave professional misconduct proven by any means which Procuring Entity can justify; d) y have not fulfilled obligations related to payments of social security contributions or payment of taxes in accordance with legal provisions of country in which y are established or with those countries where contract is to be performed; e) y have been subject of a judgment which has force of res judicata for

10 Section I. Instructions to Applicants 1-7 fraud, corruption, involvement in a criminal organisation or any or illegal activity detrimental to Procuring Entity financial interests; or f) y are being currently subject to an administrative penalty. 5.4 Points (a) to (d) shall not apply in case of purchasing supplies on particularly advantageous terms from eir a supplier definitively winding up its business activities, or receivers or liquidators of a bankruptcy, through an arrangement with creditors, or through a similar procedures under national law. 5.5 The Procuring Entity will accept, as satisfactory evidence, that applicant or bidder is not in one of above situations described in (a), (b) or (e), on submission of a recent extract from judicial record, or failing that, a recent equivalent document issued by a judicial or administrative authority in country of origin showing that those s are satisfied. The Procuring Entity will accept, as satisfactory evidence, that applicant or bidder is not in situation described in (d), on submission of a recent certificate issued by competent authority of State concerned. Where no such documents or certificates are issued in concerned country, and for or cases of exclusion listed above, y may be replaced by a sworn / solemn statement (affidavit) made by interested party in front of a judicial or administrative authority, a notary, or a qualified professional body in its country of origin or provenance. 5.6 The Procuring Entity takes into account that as a rule exclusion criteria are related to legal entity/ natural person acts acting as a bidder or applicant and not to representatives in case of legal entities. However, depending on legislation of country where bidder or applicant is legally established and if Procuring Entity considers necessary or has reasonable doubts concerning personal situation, above documents may also relate to natural persons, including company directors or any person with power of representation, decisionmaking or control in relation to bidder. Whenever an applicant or bidder, due to its nature (for instance, national public administrations and international organizations), cannot fall into one of above categories and/or cannot provide documents indicated above, a simple declaration explaining ir situation will suffice. 5.7 For procurement under restricted procedure, compliance with eligibility criteria will be assessed during prequalification phase. Hence, documentation proving that applicant does not fall in any of categories defined in exclusion criteria, shall be submitted along with application form for prequalification. 5.8 The date on evidence or documents provided must be up to one (1) year before date of submission of application or proposal. Applicants must, in addition, provide a statement confirming that ir overall situation has not weaken in period since evidence was drawn up to date y submitted bid. 5.9 The above required documents shall be submitted by applicant, and in case of a joint venture, by all joint venture members. The documents may be originals or copies. If documents are copies, y shall be certified by a public notary. However, at Procuring Entity request, applicant or bidder must be able to provide any original document If sub-contractors are employed by applicant or bidder, same rules apply.

11 Section I. Instructions to Applicants Additional Eligibility Requirement s 7. Sections of Prequalificat ion Document 5.11 If supporting documents are not written in English, an official and certified translation into English must be attached If so stated in PDS, for contracts with a value less than international threshold (US$ 300,000) and based on its risk assessment, Procuring Entity may waive obligation of submission of documentary proof for exclusion criteria. However, when this obligation has been waived, Procuring Entity shall still request a sworn / solemn statement issued by interested party in front of a judicial or administrative authority, a notary or a qualified professional body from applicant s country, Neverless, Procuring Entity at its own criteriakeeps right to request bidders documents proving ir compliance to eligibility conditions Contracts may not be awarded to applicants or bidders who, during procurement procedure: a) are subject to a conflict of interest; b) are guilty of misrepresentation when submitting information required by Procuring Entity as a condition of participation in contract procedure, or fail to submit this information; c) find mselves in any situations of exclusion for procurement procedure, after bid or application was submitted. 6.1 In addition to eligibility s stated at ITA 4 above this prequalification process shall consider eligibility s stated in PDS. B. Contents of Prequalification Document 7.1 The document for prequalification of Applicants (hereinafter prequalification document ) consists of parts 1 and 2 which comprise all sections indicated below, and should be read in conjunction with any Addendum issued in accordance with ITA 8. PART 1 Prequalification Procedures Section I. Instructions to Applicants (ITA) Section II. Prequalification Data Sheet (PDS) Section III Qualification Criteria and Requirements Section IV. Application Forms PART 2 Contract Requirements Section V. Contract Requirements 7.2 The Invitation for Prequalification Applications issued by Procuring Entity is not part of prequalification document. A sample form is provided as an attachment to this Prequalification Document for information only.

12 Section I. Instructions to Applicants The Procuring Entity accepts no responsibility for completeness of prequalification document and its addenda unless y were obtained directly from Procuring Entity. 7.4 The Applicant is expected to examine all instructions, forms, and terms in Prequalification Document and to furnish all information or documentation required by Prequalification Document. 8. Clarification of Prequalificat ion Document 9. Amendment of Prequalificat ion Document 8.1 A prospective Applicant requiring any clarification of Prequalification Document shall contact Procuring Entity in writing at Procuring Entity s address indicated in PDS. The Procuring Entity will respond in writing to any request for clarification provided that such request is received no later than fourteen (14) days prior to deadline for submission of applications. The Procuring Entity shall forward copies of its response to all applicants who have acquired prequalification document directly from Procuring Entity including a description of inquiry but without identifying its source. Should Procuring Entity deem it necessary to amend prequalification document as a result of a clarification, it shall do so following procedure under ITA 8 and in accordance with provisions of ITA At any time prior to deadline for submission of applications, Procuring Entity may amend Prequalification Document by issuing addenda. Any addenda will be published on SADC website. 9.2 Any addendum issued shall be part of Prequalification Document and shall be communicated in writing to all who have obtained prequalification document from Procuring Entity. 9.3 To give prospective Applicants reasonable time to take an addendum into account in preparing ir applications, Procuring Entity may, at its discretion, extend deadline for submission of applications. C. Preparation of Applications 10. Cost of Applications 11. Language of Application and Communicat ions 10.1 The Applicant shall bear all costs associated with preparation and submission of its application. The Procuring Entity will in no case be responsible or liable for those costs, regardless of conduct or outcome of prequalification process The official language of procurement processes in SADC Secretariat is language indicated in PDS. The communications during procurement processes shall be written in language stated in PDS The supporting documents to prove eligibility and qualifications criteria shall be issued in any SADC Secretariat official languages (i.e: English, French and Portuguese). If original documents are written in language or than SADC Secretariat official languages, y shall be accompanied by an original certified

13 Section I. Instructions to Applicants Documents Comprising Application translation into any of SADC Secretariat official languages. The cost of translation shall be borne by applicants In case of discrepancies between original language and language of translation, language of original shall prevail The application shall comprise following: (a) Application Submission Form, in accordance with ITA 13; (b) documentary evidence establishing Applicant s eligibility to prequalify, in accordance with ITA 14; (c) (d) documentary evidence establishing Applicant s qualifications, in accordance with ITA 15; and any or document required as specified in PDS. 13. Application Submission Form 14. Documents Establishing Eligibility of Applicant 15. Documents Establishing Qualification s of Applicant 16. Signing of Application and Number of Copies 13.1 The Applicant shall prepare an Application Submission Sheet using form furnished in Section IV, Application Forms. This Form must be completed without any alteration to its format be dully stamped and signed and be accompanied by a power of attorney for authorized representative of signatory of application to allow her/him to engage Applicant into contracts with Procuring Entity and, in case of Joint Venture/ Consortium, by a Joint JV/Consortium agreement, in accordance with ITA 24.3 (c) 14.1 To establish its eligibility in accordance with ITA 4, Applicant shall complete Application Submission Form (including eligibility declaration) and Form 1-Applicant Information Form, included in Section IV, and provide requested supporting documents indicated in se forms To establish its qualifications to perform contract(s) in accordance with Section III, Qualification Criteria and Requirements, Applicant shall provide information requested in corresponding Information Sheets included in Section IV, Application Forms The Applicant shall prepare one original of documents comprising application as described in ITA 12 and clearly mark it ORIGINAL. The original of application shall be typed or written in indelible ink and shall be signed by a person duly authorized to sign on behalf of Applicant The Applicant shall submit copies of signed original application, in number specified in PDS, and clearly mark m COPY. In event of any discrepancy between original and copies, original shall prevail

14 Section I. Instructions to Applicants 1-11 D. Submission of Applications 17. Sealing and Identificatio n of Applications 17.1 The Applicant shall enclose original and copies of application in a sealed envelope that shall: (a) (b) bear name and address of Applicant; be addressed to Procuring Entity, in accordance with ITA 18.1; and (c) bear specific identification of this prequalification process indicated in PDS The Procuring Entity will accept no responsibility for not processing any envelope that was not identified as required. 18. Deadline for Submission of Applications 18.1 Applicants may always submit ir applications by mail or by hand. When so specified in PDS, applicants shall have option of submitting ir applications electronically, in accordance with electronic application submission procedures specified in PDS. Applications shall be received by Procuring Entity at address and no later than deadline indicated in PDS. A receipt will be given for all applications submitted The Procuring Entity may, at its discretion, extend deadline for submission of applications by amending Prequalification Document in accordance with ITA 9, in which case all rights and obligations of Procuring Entity and Applicants subject to previous deadline shall reafter be subject to deadline as extended. 19. Late Applications 20. Opening of Applications 19.1 Any application received by Procuring Entity after deadline for submission of applications prescribed in ITA 18 will be automatically excluded from evaluation process Any specific electronic application opening procedures required if electronic submission of applications is permitted pursuant to Sub Clause 18.1 shall be as specified in PDS. Procuring Entity shall prepare a record of opening of applications that shall include, as a minimum, name of Applicant. A copy of record shall be distributed to all Applicants. E. Procedures for Evaluation of Applications 21.Confidentiali ty 21.1 Information relating to evaluation of applications, and recommendation for prequalification, shall not be disclosed to Applicants or any or persons not officially concerned with such process until notification of prequalification is made to all Applicants From deadline for submission of applications to time of notification of results of prequalification in accordance with ITA 28, any Applicant that wishes to contact Procuring Entity on any matter related to

15 Section I. Instructions to Applicants 1-12 prequalification process, may do so but only in writing. 22. Clarification of Applications 22.1 To assist in evaluation of applications, Procuring Entity may, at its discretion, ask any Applicant for a clarification of its application which shall be submitted within a stated reasonable period of time. Any request for clarification and all clarifications shall be in writing If an Applicant does not provide clarifications of information requested by date and time set in Procuring Entity s request for clarification, its application may be rejected. 23.Responsivene ss of Applications 24. Jointventures or Consortia 23.1 The Procuring Entity may reject any application which is not responsive to s of prequalification document When competing for a Procuring Entity contract, any economic operator may submit an application or bid independently or in joint venture or consortium with or economic operators, provided y legally confirm joint and several liabilities for bid in case of winning a contract for implementation of contract A joint venture or consortium may be eir a permanent legally established group or a group constituted informally for purpose to apply, bid and undertake a specific Procuring Entity contract. In every case, all members of a joint venture or consortium are jointly and severally liable to Procuring Entity in relation to application, bid, offer or contract for which it was constituted Applications and bids submitted by a joint venture or consortium of two or more economic operators shall also comply with following s: a) application and bid shall be signed to be legally binding on all members; b) application and bid must be accompanied by original legally binding agreement for all members; document has to be certified by a Pubic Notary or a Commissioner of Oath; and c) agreement legally binding members of joint venture or consortium shall include following mandatory provisions: i. one of members shall be nominated in charge, and this nomination shall be evidenced by submitting a power of attorney signed by legally and authorized signatory members; ii. iii. iv. member in charge shall be authorized to incur liabilities and receive instructions for and on behalf of any and all members of joint venture or consortium. The entire communication during bidding processes and for execution of contract, including payments, shall be made exclusively with member in charge; if joint venture or consortium are awarded SADC Contract for, all members of joint venture shall be liable jointly and severally for execution of contract in accordance with contractual terms; and members of joint venture or consortium are not allowed to leave joint venture or consortium, and decline ir responsibilities, without

16 Section I. Instructions to Applicants 1-13 Procuring Entity written approval, or until y have been notified by Procuring Entity that contract was not awarded to joint venture or consortium, or in event y were awarded contract, until liability period indicated of contract expires In case of applications or bids sent by a joint venture or consortium, each member shall demonstrate that fulfils eligibility criteria set in ITA 4 and ITA 5 above. If one single member fails to demonstrate compliance with eligibility criteria, whole joint venture or consortium shall be considered non eligible Regarding compliance with qualification criteria, an application sent by a joint venture or consortium shall satisfy qualification s as a whole and not as individual member of joint venture or consortium To avoid distortion of competition and/or corrupt practices, an economic operator and its affiliates, alone or as member of a joint venture or consortium, shall submit only one application for same Procuring Entity contract Affiliates are group of companies, firms, associations, etc. where economic operator or any of major shareholders of economic operator owns not more than twenty percent (20%) of shares or share capital. A major shareholder is any legal or physical person owing not less than twenty percent (20%) of shares or share capital of economic operator If an economic operator submits, alone or as member of a joint venture or consortium, more than one application for same contract, all applications or bids submitted by economic operator shall be rejected and banned from participating for a minimum of two (2) and a maximum of (5) years in any or Procuring Entity procurement process The restriction concerning participation in more than one application shall not apply to sub-contractors or personnel The Procuring Entity does not acknowledge or undertake any obligations towards sub-contractors or personnel of economic operator participating in a procurement process of organization. F. Evaluation of Applications and Prequalification of Applicants 25. Evaluation of Applications 25.1 The Procuring Entity shall use factors, methods, criteria, and s defined in Section III, Qualification Criteria and Requirements to evaluate qualifications of Applicants. The use of or methods, criteria, or s shall not be permitted. The Procuring Entity reserves right to waive minor deviations in qualification criteria if y do not materially affect capability of an Applicant to perform contract Only qualifications of subcontractors that have been identified in application may be considered in evaluation of an Applicant. However, general experience and financial resources of subcontractors may not be added to those of Applicant for purposes of prequalification of Applicant. 26. Procuring Entity s 26.1 The Procuring Entity reserves right to accept or reject any application, and to annul prequalification process and reject all applications at any time,

17 Section I. Instructions to Applicants 1-14 Right to Accept or Reject Applications 27.Prequalificati on of Applicants 28. Notification of Prequalificat ion 29. Invitation to Bid without reby incurring any liability to Applicants All Applicants whose applications have met or exceeded ( passed ) specified s will, to exclusion of all ors, be prequalified by Procuring Entity Once Procuring Entity has completed evaluation of applications it shall notify all Applicants of names of those applicants who have been prequalified by publishing on Procuring Entity website Shortlist Notice Similarly, Procuring Entity will notify unsuccessful applicants on reasons which led to ir disqualification Promptly after notification of results of prequalification Procuring Entity shall invite bids from all Applicants that have been prequalified Bidders may be required to provide a Bid Security acceptable to Procuring Entity in form and an amount to be specified in Bidding Documents, and successful Bidder shall be required to provide a Performance Security to be specified in Bidding Documents. 30. Changes in Qualification s of Applicants 30.1 Any change in structure or formation of an Applicant after being prequalified in accordance with ITA 27 and invited to bid shall be subject to a written approval of Procuring Entity prior to deadline for submission of bids. Such approval shall be denied if as a consequence of change Applicant no longer substantially meets qualification criteria set forth in Section III, Qualification Criteria and Requirements, or if in opinion of Procuring Entity, a substantial reduction in competition may result. Any such changes shall be submitted to Procuring Entity not later than 14 days after date of Invitation for Bids. 31. Appeals 31.1The Applicant can appeal a Procuring Entity decision on evaluation of its application following procedures stated in Procurement Guidelines indicated in ITA 2.1.

18 1-15 Section II. Prequalification Data Sheet ITA 1.1 A. General Procuring Entity is represented by: The Director, Trade, Industry, Finance & Investment (TIFI), Sourn African Development Community (SADC) Secretariat, CBD Plot 54385, Private Bag 0095, City: Gaborone Country: BOTSWANA. Phone: Fax: / Attention: Mrs. Boitumelo Gofhamodimo ITA 1.1 ITA 1.1 The Contract Title is: Technical Assistance to SADC Regional Economic Integration Support Programme (REIS). The Contract Identification Number is: SADC/REIS/01/2012 ITA 1.2 Number of Lots: 1 ITA 2.1 ITA 5.3 (f) ITA 5.12 ITA 6.1 The applicable Procurement Guidelines are: SADC Procurement guidelines, August 2011 The list of firms debarred by Procuring Entity can be found on following website: N/A The Applicant shall not have obligation of submission of documentary proof for exclusion criteria. The Applicant must comply with following additional criteria: None

19 Section II. Prequalification Data Sheet 1-16 ITA 8.1 B. Contents of Prequalification Document For clarification purposes, Procuring Entity's address is: The Head of Procurement Sourn African Development Community (SADC) Secretariat CBD Plot Room DGP11 on Ground Floor City: Gaborone Country: Botswana Phone: Fax: / Mobile: Attention: Mr. Snowden Mmadi With copy to: Attention: Mr. Gift Mike Gwaza Request for clarifications should be made in writing by latest 16:30hrs local time Wednesday, 19 th December 2012 C. Preparation of Applications ITA 11 The language of prequalification is: English ITA 12.1 (d) The Applicant shall submit with its application, following additional documents: N/A ITA 16.2 In addition to original, number of copies to be submitted with application is: Four

20 Section II. Prequalification Data Sheet 1-17 ITA 18.1 D. Submission of Applications The Applicant shall not have option of submitting ir applications electronically. For application submission purposes only, Procuring Entity's address is: The Chairperson The SADC Internal Tender Committee SADC Secretariat, Western Commercial Road (near Lobatse and Siboni Roads) CBD Plot City: Gaborone Country: Botswana The deadline for application submission is: Date: 18 th January 2013 Time: 14:00hrs local time ITA 20.1 ITA 24.6 If electronic submission of applications shall be permitted, electronic application opening procedures are: N/A To avoid distortion of competition and/or corrupt practices, an economic operator and its affiliates, alone or as member of a joint venture or consortium, shall submit only one application for same Procuring Entity contract. For each of lots indicated in Specific Procurement Notice and in PDS ITA 27.0 A total of five firms will be shortlisted for this assignment from prequalified firms.

21 Section III. Qualification Criteria and Requirements Section III. Qualification Criteria and Requirements This Section contains all methods, criteria, and s that Procuring Entity shall use to evaluate applications. The information to be provided in relation to each and definitions of corresponding terms are included in respective Application Forms. Contents 1. Eligibility Requirements Qualifications Requirements... 21

22 Section III. Qualification Criteria and Requirements 1. Eligibility Requirements No. Clause Requirement 1.1 Clause ITA Clause ITA 5 (a) 1.3 Clause ITA 5 (b) Not be in a conflict of interest position Does not fall into following situation: y are being bankrupt or wound up, are having ir affairs administered by courts, have entered into arrangements with creditors, have suspended business activities, are being subject of proceedings concerning those matters, or are being in any similar situations arising from a similar procedures provided for in national legislation or regulations of SADC member states. Does not fall into following situation: y have been convicted of offences concerning ir professional conduct by a judgment which haves force of res judicata; (i.e. against which no appeal is possible). Compliance with Single Joint Entity Venture or Must meet Must meet Must meet Consortium Each member must meet Each member must meet Each member must meet Source of information Application Submission Form Application Submission Form Application Submission Form Supporting document NA Requested attachments to Application Submission Form Requested attachments to Application Submission Form 1.4 Clause ITA 5 (c) 1.5 Clause ITA 5 (d) Does not fall into following situation: y have been declared guilty of grave professional misconduct proven by any means which Procuring Entity can justify. Does not fall into following situation: y have not fulfilled obligations related to Must meet Must meet Each member must meet Each member must meet Application Submission Form Application Submission Form Requested attachments to Application Submission Form Requested attachments to Application Submission

23 Section III. Qualification Criteria and Requirements No. Clause Requirement 1.6 Clause ITA 5 (e) 1.7 Clause ITA 5 (f) payments of social security contributions or payment of taxes in accordance with legal provisions of country in which y are established or with those countries where contract is to be performed. Does not fall into following situation: y have been subject of a judgment which has force of res judicata for fraud, corruption, involvement in a criminal organisation or any or illegal activity detrimental to Procuring Entity' financial interests. Does not fall into following situation: y are being currently subject to an administrative penalty. Compliance with Must meet Must meet Each member must meet Each member must meet Source of information Application Submission Form Application Submission Form Supporting document Form Requested attachments to Application Submission Form Procuring Entity debarred list of economic operators at Clause ITA 24.6 One application per applicant Must meet Each member must meet

24 Section III. Qualification Criteria and Requirements 2. Qualifications Requirements No. Subject Requirement 2.1 Experience in implementing similar contracts a) Experience as a lead Firm/Contractor in at least One (1) contract within last five (5) years 1, with a value of at least that of this Contract in fields of; Finance and Investment or Regional Trade or Regional Economic integration, that has been successfully completed, OR ; b) The Firm/Contractor has worked successfully as a lead partner on at least 4 similar projects with a budget of at least 1,400,000. EURO in fields of; Finance and Investment or Regional Trade or Economic Integration which were completed at any point within last five (5) years Compliance with Single Joint Venture Entity or Must meet Consortium All members toger must meet Source of information Form 2 a) Supporting document Requested attachments to Form 2 a) The similarity shall be based on physical size, complexity, methods/technology or or characteristics as described in Contract Requirements 1 From Submission deadline indicated in Prequalification Data Sheet ITA 18.1

25 Section III. Qualification Criteria and Requirements No. Subject Requirement 2.2 Financial Resources i) The Average Annual turnover of Firm/Contractor in each of past five (5) years (for which audited accounts are available) must exceed EUR 1,400,000 [One Million Four Hundred Thousand Euro]. ii) The averages of cash and cash equivalents at beginning and end of year are positive for each of past five (5) years. Compliance with Must meet All members toger must meet Must meet All members toger must meet Source of information Form 3 Form 3 Supporting document Requested attachments to Form 3 Requested attachments to Form Personnel Resources: a) At time of this application at least five (5) experts currently working for Firm/Contractor in fields related to this assignment are permanent and ; b) At time of this application, at least 20% of staff working for Firm/Contractor in fields related to this assignment are permanent Must meet Must meet All members toger must meet All members toger must meet Form 4 a) Form 4 b) Requested attachments to Form 4 a) Requested attachments to Form 4 b)

26 1-23 Section IV. Application Forms Table of Forms Application Submission Form Applicant Information Form Experience in implementing similar contracts Experience in implementing similar contracts Area of Specialization Financial Situation... Error! Bookmark not defined. Availability of Personnel Availability of Personnel Expertise availability Applicant Access To Required Facilities... Error! Bookmark not defined.

27 Section IV. Application Forms 1-24 Application Submission Form To: Sourn Africa Development Community Secretariat Date: [insert day, month, year] Contract No. and title: [insert number and title] 1 SUBMITTED by [ie, identity of Applicant] Partner in charge * Partner 2* Etc * Name(s) of legal entity or entities making this application Nationality + *add / delete additional lines for consortium partners as appropriate. Note that a sub-contractor is not considered to be a consortium partner for purposes of this application form. If this application is being submitted by an individual legal entity, name of that legal entity should be entered as 'Partner in Charge' (and all or lines should be deleted). Any change in identity of Partner in Charge and/or any JV/consortium partners between deadline for receipt of applications and award of contract (or than for reasons of changes to legal structure of individual entities concerned) will result in immediate exclusion of Applicant from procurement procedure. + Country in which legal entity is registered 2 CONTACT PERSON (for this application) Name Organisation Address Telephone Fax 3 STATEMENT (for this application) We, undersigned, apply to be prequalified for referenced contract and declare that: (a) (b) we have examined and have no reservations to Prequalification Documents, including Addendum(s) No(s)., issued in accordance with Instructions to Applicants (ITA) Clause 8: [insert number and issuing date of each addendum], and we are shortlisted we are committed to deliver [services/works/goods delete as appropriate]indicated in Part 2 of this Document. we are fully aware that, in case of a Joint Venture/Consortium, composition of a Joint Venture/Consortium cannot be modified in course of procurement procedure. We are also

28 Section IV. Application Forms 1-25 aware that a Joint Venture/Consortium partners would have joint and several liability towards Procuring Entity concerning participation in both procurement procedure and any contract awarded to us as a result of it. (c) (d) (e) (f) we, including any subcontractors or suppliers for any part of contract resulting from this prequalification process, complies with eligibility criteria stated at ITA 4; we, including any subcontractors or suppliers for any part of contract resulting from this prequalification, do not have any conflict of interest, in accordance with ITA Sub-Clause 4.4; we, including any subcontractors or suppliers for any part of contract resulting from this prequalification, have not been declared ineligible by Procuring Entity, or under any SADC country laws or official regulations; we, in accordance with ITA Sub-Clause 24.1, plan to subcontract following key activities and/or parts of works: [insert any of key activities identified in Section III- 4.2 (b) which Applicant intends to subcontract] (g) we declare that following commissions, gratuities, or fees have been paid or are to be paid with respect to prequalification process, corresponding bidding process or execution of Contract: Name of Recipient Address Reason Amount [insert full name for each occurrence] [insert street/ number/city/country] [indicate reason] [specify amount in US$ equivalent] [If none has been paid or is to be paid, indicate none.] (h) We understand that you may cancel prequalification process at any time and that you are neir bound to accept any application that you may receive nor to invite prequalified applicants to bid for contract subject of this prequalification, without incurring any liability to Applicants, in accordance with ITA Clause 26. Signed [insert signature(s) of an authorized representative(s) of Applicant ] Name [insert full name of person signing application] In Capacity of [insert capacity of person signing application]

29 Section IV. Application Forms 1-26 Duly authorized to sign application for and on behalf of: Applicant s Name [insert full name of Applicant] Address [insert street number/town or city/country address] Phone: Fax: Dated on [insert day number] day of [insert month], [insert year] Attached are certified copies of original documents of [in case of Joint Venture/Consortium se documents must be provided for each partner of Joint Venture/Consortium] The Judicial Certificate to demonstrate compliance with Eligibility Requirement 1.2, 1.3 and 1.6 references to Clause ITA 5.3 (a), (b) and (e). The Fiscal Certificate to demonstrate compliance with Eligibility Requirement 1.5 reference to Clause ITA 5.3 (d). The sworn / solemn statement (affidavit) made by interested party in front of a judicial or administrative authority, a notary, or a qualified professional body in its country of origin or provenance to demonstrate compliance with Eligibility Requirement 1.1 reference to Clause ITA 4 and Eligibility Requirements 1.4 and 1.7 reference to Clause ITA 5.3 (c) and (f). The power of attorney for authorized representative of signatory of application to allow her/him to engage Applicant into contracts with Procuring Entity. In case of JV/Consortium, JV/Consortium agreement, in accordance with ITA 24.3 (c).

30 Section IV. Application Forms 1-27 Form 1 Applicant Information Form Date: [insert day, month, year] Contract No. and title: [insert number and title] Page [insert page number] of [insert total number] pages Application is submitted as [ Single Entity or Joint Venture/Consortium delete as appropriate] (In case of Joint Venture/Consortium)The partner in charge is [insert full legal name] Applicant's legal name:[insert full legal name of Joint Venture/consortium and of each of partners] Applicant s main shareholder s:[insert full legal name of all major shareholders of Joint Venture and of each of partners] [For this purpose, major shareholder shall be defined as: any legal or physical person which owns no less than twenty percent (20%) of shares or share capital of Applicant. In case of a Joint Venture/Consortium this situation shall be presented for each partner] Applicant s Affiliates, in accordance with ITA 24. 7: [insert full legal name of each affiliate of Joint Venture/Consortium and of each of partners] Applicant's country of constitution: [indicate country of Constitution of Joint Venture/Consortium and of each of partners] Applicant's year of constitution: [indicate year of Constitution of Joint Venture/Consortium and of each of partners] Applicant's legal address in country of constitution: [insert street/ number/ town or city/ country of Joint Venture/Consortium and of each of partners] Applicant s registration number in country of constitution [indicate registration number of Joint Venture/consortium and of each of partners] Applicant's authorized representative information [of Joint Venture/Consortium and of each of partners] Name: [insert full legal name] Address: [insert street/ number/ town or city/ country] Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes] address: [indicate address] Attached are certified copies of original documents of [in case of Joint Venture/Consortium se documents must be provided for each partner Joint Venture/Consortium] Articles of Incorporation or Documents of Constitution, and documents of registration of legal entity named above, in accordance with ITA 4.2. Signed [insert signature(s) of an authorized representative(s) of Applicant ] Name [insert full name of person signing application]

31 Section IV. Application Forms 1-28 In Capacity of [insert capacity of person signing application] Duly authorized to sign application for and on behalf of: Applicant s Name [insert full name of Applicant] Address [insert street number/town or city/country address] Dated on [insert day number] day of [insert month], [insert year]

32 Section IV. Application Forms 1-29 Form 2 a) Experience in implementing similar contracts (Maximum 15 references) [The following table shall be filled in for Applicant and for each partner of a Joint Venture/Consortium] Applicant's/Joint Venture Partner's Legal Name: [insert full name] Date: [insert day, month, year] Applicant JV Party Legal Name: [insert full name] Contract No. and title: [insert number] Page [insert page number]of [insert total number]pages [Identify contracts that demonstrate experience in implementation of similar contracts over last five (5) years pursuant to Section III, Qualification Criteria and Requirements, Sub-Factor 2.1 (a). List contracts chronologically, according to ir commencement (starting) dates.] Starting Month / Year Ending Month / Year Contract Identification Role of Applicant [indicate month/ year] [indicate month/ year] Contract name: [insert full name] Brief description of contract performed by Applicant: [describe scope of contract] Amount of contract: [insert amount in EUR equivalent] Name of Client: [indicate full name] Address: [indicate street/number/town or city/country] Contact person for references [indicate full name, position and contact points: address, phone, fax, ] Contract name: [insert full name] Brief description of contract performed by Applicant: [describe scope of contract] Amount of contract: [insert amount in EUR equivalent] Name of Client: [indicate full name] Address: [indicate street/number/town or city/country] Contact person for references [indicate full name, position and contact points: address, phone, fax, ] Contract name: [insert full name] Brief description of contract performed by Applicant: [describe scope of contract] Amount of contract: [insert amount in EUR equivalent] Name of Client: [indicate full name] Address: [indicate street/number/town or city/country] Contact person for references [indicate full name, position and contact points: address, phone, fax, ] (insert "Contractor or "Subcontractor or "Contract Manager ] (insert "Contractor or "Subcontractor or "Contract Manager ] (insert "Contractor or "Subcontractor or "Contract Manager ]

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34 1-31 For a reference to qualify it must be accompanied by certified copies of: Acceptance certificates to demonstrate that contracts indicated are completed and accepted by Client Signed [insert signature(s) of an authorized representative(s) of Applicant] Name [insert full name of person signing application] In Capacity of [insert capacity of person signing application] Duly authorized to sign application for and on behalf of: Applicant s Name [insert full name of Applicant] Address [insert street number/town or city/country address] Dated on [insert day number] day of [insert month], [insert year]