KENYA COMMERCIAL BANK REQUEST FOR PROPOSALS TENDER FOR PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES

KENYA COMMERCIAL BANK REQUEST FOR PROPOSALS TENDER FOR PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES Release Date: Wednesday 15 th October 2014 Last Date for Receipt of bids: Wednesday 29 th October 2014 Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES1 of 30 10/10/2014

REGISTRATION OF INTEREST TO PARTICIPATE- PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES Wednesday 15 th October 2014 This form serves as an acknowledgement of receipt of the tender and participation. This page is to be completed immediately on downloading/receiving the document and a scan copy e-mailed to procurement@kcb.co.ke. Firms that do not register their interest immediately in this manner may not be sent the RFP addendum should any arise. Item Supplier Details Name of Person Organization Name Postal Address Tel No Fax No Email Address (this e-mail address should be clearly written as communication with bidders shall be through e-mail) Signature: Date Company Stamp Table of Content Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES2 of 30 10/10/2014

TENDER FOR PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES.. 1 1. SECTION 1 REQUEST FOR PROPOSALS... 4 1.0 Introduction... 4 1.1 Kenya Commercial Bank Background... 4 1.2 Background of the Project... 4 1.3 Aims and Objectives for Records Management & Archiving Services... 4 1.4 Current Situation... 5 1.5 Project Deliverables... 5 2.1 Format of RFP Response and Other Information for Bidders... 5 SECTION 2 SCOPE OF WORK... 11 1.0 DETAILED RECORDS MANAGEMENT AND ARCHIVING SERVICES SCOPE... 11 1.1 RESPONSIBILITIES FOR SERVICE PROVIDER... 11 1.2 KCB Kenya Portfolio Scope... 11 1.3 Accounting and Reporting... 15 2 ATTACHMENTS... 16 SECTION 3 - GENERAL CONDITIONS OF CONTRACT... 17 3.1 Introduction... 17 3.2 Award of Contract... 17 3.3 Application of General Conditions of Contract... 17 3.4 Bid Validity Period... 17 3.5 Non-variation of Costs... 17 3.6 Performance Security... 17 3.7 Delays in the Bidder s Performance... 18 3.8 Liquidated damages for delay... 18 3.9 Governing Language... 18 3.10 Terms of Payment... 18 3.11 Applicable Law... 19 3.12 Bidder s Obligations... 19 3.13 The Bank s Obligations... 19 3.14 Warranty... 19 3.15 Confidentiality... 20 3.16 Force Majeure... 20 3.17 Payment... 20 4 ANNEXURES... 21 4.1 Performance Security Form (format)... 21 4.2 SUPPLIER QUESTIONNAIRE... 22 Please provide details of your current insurance cover... 29 Value... 29 4.3 CERTIFICATE OF COMPLIANCE... 30 Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES3 of 30 10/10/2014

1. SECTION 1 REQUEST FOR PROPOSALS 1.0 Introduction 1.1 Kenya Commercial Bank Background The Kenya Commercial Bank Limited is incorporated in Kenya and is a leading Commercial banking group in the East African region, renowned for its diversity and growth. In addition to Kenya, it has other subsidiaries namely; KCB (Tanzania) limited, a banking subsidiary operating in Tanzania, KCB (Uganda) limited, a banking subsidiary operating in Uganda, KCB (Sudan) limited, a banking subsidiary operating in Sudan, KCB (Rwanda) limited, a banking subsidiary operating in Rwanda and KCB Burundi, a banking subsidiary operating in Burundi. The Head Office for the group is located in KENCOM House Nairobi. 1.2 Background of the Project To support KCB s vision to be the preferred Financial Solutions Provider in Africa with a Global Reach, KCB continuously partners with competent suppliers and service providers on various requirements. In the course of its normal operations, KCB generates documentation which as per legal and regulatory requirements has to be safely stored for future reference. In this instance, KCB is seeking for a firm with requisite qualifications and capacity to provide the business with Records Management and Archiving Services. This document constitutes the formal Request for Proposals (RFP) intended to lead to identification of a Records Management and Archiving Services vendor for use by the Bank. The service provider is to provide both Technical and Commercial Proposal. 1.3 Aims and Objectives for Records Management & Archiving Services The aim of this RFP is to identify a service provider with the requisite certifications, authorizations and capabilities to provide Records Management and Archiving Services to be used by the Bank. To this end, the Bank intends to implement a hybrid Records Management and Archiving solution; meaning, the successful vendor will be expected to provide both; a full offsite records storage solution and also manage an in-house storage solution. It is envisaged that this will result in implementation of an effective Records Management and Archiving system which will provide benefits to the Bank. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES4 of 30 10/10/2014

Benefits of an Effective Records Management Managing records effectively produces many benefits including, but not limited to, those detailed below; Ensuring that the right information is captured at the right time. Improved access, retrieval and reuse of information for those who require it. Accuracy, consistency and currency of business records. Ease of navigation through corporate records and information. Improved security to certain classes of records that, for confidentiality or privacy reasons require additional protection. Streamlining of business processes. Compliance with legal and regulatory obligations. 1.4 Current Situation Record management and archiving services are currently managed by in-house teams. There are two main storage facilities namely; Industrial area and Moi Avenue Archives. In addition to the above, each of the branches keeps documentation relating to its own activities at the branch and also central archives in Industrial Area. 1.5 Project Deliverables The objective of this request is to identify a service provider to whom the Bank can outsource its Record Management and Archiving Services in line with specific task objectives. Provider will be given responsibility:- a. To identify, inventory, sort, purge and label records in entities identified. b. To identify permanent records and rehouse them into proper archival storage. c. To identify and rehouse non-permanent records that are active and not past their retention. d. To identify and assist the Bank in requesting authorization for disposal, and dispose of records past their retention in accordance with set standards and regulations. 2.1 Format of RFP Response and Other Information for Bidders 2.1.1. The overall summary information regarding the record management system is given in Section 2 SCOPE. The bidder shall include in their offer any additional services considered necessary for the successful implementation of their proposal and clearly indicate Additional. 2.1.2. Proposals from bidders should be submitted in two distinct parts, namely Technical proposal and Financial proposal and these should be in two separate sealed envelopes, both of which should then be placed in a common sealed envelope marked: Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES5 of 30 10/10/2014

RFP FOR RECORD MANAGEMENT SYSTEM UPGRADE KENCOM HOUSE DO NOT OPEN BEFORE WEDNESDAY, 29 th OCTOBER 2014 at 3.00 pm The two separate inner envelopes should be clearly marked Technical Proposal, and Financial Proposal, respectively, and should bear the name of the Bidder. 2.1.3. The bid documents shall be address to the following address and dropped at the tender box on 5 th Floor, Kencom House, Wing B on or before the closing date and time. Head of Procurement Kenya Commercial Bank 5 th Floor Kencom House, Wing B P.O. Box 48400, 00100 Nairobi Please note that tenders received by facsimile or electronic mail will be rejected. 2.1.4. Deadline for Submission of Bids Bids should be addressed to the Head of Procurement and sent for receipt on or before 29 TH OCTOBER 2014 at 3.00 pm. Any bid received by the Bank after this deadline will be rejected. Those submitting tenders or their representatives may attend the tender opening of date and time of submission. 2.1.5. The Technical Proposal should contain the following: Bidders, willing to be considered for this RFP are expected to furnish the Bank with among others the following vital information, which will be treated in strict confidence by the Bank. A background of the firm, highlighting experience, capabilities. Processes and resources relevant to the task. a) Financial Capacity - Company financial position as supported by relevant Financial reports for the latest three years. b) Records Management & Archiving Experience. c) Projects completed within last 5 years. d) Detailed relevant experience including customers served before and type of service offered. The list should also at least 3 current customers being served, duration of contract and value of contract. (Both Paper and Electronic format). e) List of National, International, Professional and Industry Certifications if any. f) Past Experience with Document Management Experience in Records Management Policy Formulation and Implementation. g) Service Capability. h) Customer focus and service. Customer Service, Training and Development of staff. The customer service standards proposed and tools for monitoring. This item must be clear because good customer service shall be heavily dependent on the prompt reporting i) Resources and Installed Infrastructure. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES6 of 30 10/10/2014

j) Use of Technology and Enablement. k) Records Management System. l) Security (Premises & Electronic). m) Insurance cover - Employer's liability; Public liability; Professional indemnity, WIBA. n) Employee integrity; Code of conduct/ethics; o) Company employment policy; p) Health and Safety, Including fire safety. q) Waste Management/Green Agenda; r) CSR and Environmental Policy. s) A statement of the firm's Human Resources Capacity showing relationships downwards and levels. (Organogram and CV s of at least three senior staff who will be directly involved in managing this tender/contract. t) The proposed implementation timetable showing clearly the milestone activities and the responsibilities for the Bank and your Manager. The proposal must highlight the key success factors in general and specifically in financial institutions. u) Any other information / documents which may be considered necessary or useful for this RFP 2.2 The Financial proposal. The service provider will provide a financial proposal covering the following; Separately show the fixed and variable archiving services fees as well as a list of expected disbursement expenses (if any) Clearly show fixed fees and those dependent on levels of activity such but not limited to the following; Purchase of Standard Carton Box. Purchase of Legal Transfer Box. Retention charge (per box) per month. Box Indexing fees. File Indexing fees. File Entry fee. Document destruction fees. Scan-on-Demand fees. Retrieval fees per carton/file. Photocopy fees. Refiling costs (if any). Permanent Retrieval fees (if any). Delivery costs framework. Destruction costs. State validity into the future of the quoted rates and highlight key factors that would form basis for proposing revisions in the future. Any other costs envisaged but not listed above. All prices should be inclusive of all taxes where applicable. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES7 of 30 10/10/2014

2.3 Soft Copies for each proposal may be provided in the standard Microsoft Office suite of Programs or Adobe Reader and delivered together with hard copy of the tender. 2.4 A two stage procedure will be adopted by the bank for evaluating the proposals, with the technical evaluation of all proposals received in time being completed prior to any financial proposal being evaluated. After the technical evaluations, the bank may decide to call bidders for presentations. 2.5 Bidders are requested to hold their proposals valid for ninety (90) days from the closing date for the submission. The Bank will make its best efforts to arrive at a decision within this period. 2.6 Assuming that the Contract will be satisfactorily concluded, the bidders shall be expected to offer the service after the final agreement is reached. 2.7 The contracting arrangements shall define clearly the responsibilities and the services to be provided by each party. 2.8 The Bank reserves the right to accept or to reject any bid, and to annul the bidding process and reject all bids at any time prior to the award of the contract, without thereby incurring any liability to any Bidder or any obligation to inform the Bidder of the grounds for its action. 2.9 Cost of bidding The Bidder shall bear all costs associated with the preparation and submission of its bid, and the Bank will in no case be responsible or liable for those costs, regardless of the conduct or outcome of the bidding process. 2.10 Clarification of Bidding Document i. All correspondence related to the contract shall be made in English. ii. Should there be any doubt or uncertainty, the Bidder shall seek clarification in writing addressed to the Head of Procurement through e-mail to: procurement@kcb.co.ke. iii. Any clarification sought by the bidder in respect of the RFP shall be addressed at least five (5) days before the deadline for submission of bids, in writing to the Head of Procurement through the same mail. iv. It is the responsibility of the Bidder to obtain any further information required to complete this RFP. v. Any clarification requests and their associated response will be circulated to all Bidders. vi. The last date for receipt of requests for clarifications from bidders is Wednesday, 22 ND October 2014. vii. The RFQ Clarification Template is as follows:- Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES8 of 30 10/10/2014

Company Name: Contact Person: (primary Supplier contact) E-mail: Phone: Fax: Document Number/Supplier # Date Section/ Paragraph(2) Question 1 2 3 (1) Question (s) mailing Date. (2) From the KCB Document. The queries and replies thereto shall then be circulated to all other prospective bidders (without divulging the name of the bidder raising the queries) in the form of an addendum, which shall be acknowledged in writing by the prospective bidders. Enquiries for clarifications should be sent by e-mail to: procurement@kcb.co.ke 2.11 Amendment of Bidding Document At any time prior to the deadline for submission of bids, the Bank, for any reason, whether at its own initiative or in response to a clarification requested by a prospective Bidder, may modify the bidding documents by amendment. All prospective Bidders that have received the bidding documents will be notified of the amendment in writing, and it will be binding on them. It is therefore important that bidders give the correct details in the format given on page 2 at the time of downloading/receiving the RFP document. To allow prospective Bidders reasonable time to take any amendments into account in preparing their bids, the Bank may at its sole discretion extend the deadline for the submission of bids based on the nature of the amendments. 2.12 Responsiveness of Proposals The responsiveness of the proposals to the requirements of this RFP will be determined. A responsive proposal is deemed to contain all documents or information specifically called for in this RFP document. A bid determined not responsive will be rejected by the Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES9 of 30 10/10/2014

Bank and may not subsequently be made responsive by the Bidder by correction of the non-conforming item(s). 2.13 Evaluation and Comparison of Bids Technical proposals will be evaluated and will form the basis for bids comparison. Technical proposals will be evaluated prior to the evaluation of the financial bids. Financial bids of firms whose technical proposals are found to be non-qualifying or nonresponsive in whatever respect may be returned unopened. 2.14 Data Validation The Bank reserves the right to validate any and all the data supplied by the bidder, including without limitation, searches to establish the registration and registered directors of the company, contact with the manufactures, customers, bankers and insurers. 2.15 Currency of Pricing of Proposal All bids in response to this RFP should be expressed in Kenya Shillings. Expressions in other currencies shall not be permitted. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES10 of 30 10/10/2014

SECTION 2 SCOPE OF WORK 1.0 DETAILED RECORDS MANAGEMENT AND ARCHIVING SERVICES SCOPE 1.1 RESPONSIBILITIES FOR SERVICE PROVIDER The service provider; Should have the capacity to provide an offsite records storage for approximately 50,000 (Fifty thousand) 1.2 cubic feet of boxes. Be responsible for the pickup, purging, organizing, packing, labeling and proper archival housing. Maintain records in a safe and secure environment. Have the capacity to read and print microfilm at same facility. The vendor is to work with the Supplies & Archives Section to produce and certify the records and monitor for both initial and on-going allowed destruction. The vendor will scan on demand to a permanent file and maintain a program for on-going record retention going forward. The vendor will deliver physical records the next business day or sooner in case of emergency. The vendor will post records as the Bank deems necessary for virtual viewing to a permanent file accessible to the Bank at any time. The selected vendor will supply all training as necessary and will be responsible for the destruction of allowed and certified past records. Will provide support in the development of a Records Management and Archives policy. 1.2 KCB Kenya Portfolio Scope The successful Records Management and Archive Services provider will be responsible for; Managing in house Archives under KCB s guidance. Managing Offsite Archiving Storage facility. Pickup of boxes from the respective premises. Identify and inventory all unlabeled containers, records. Sort records into proper record series. Identify and prepare permanent records for storage. Identify and prepare active records for storage. Identify records that are past their retention period. Make records disposal requests. Rehouse permanent and active records. Label all records containers. Provide comprehensive inventory report. Assist with purge of records approved for disposal in line with policy. Records Reorganization & Inventory Continuation. Provide retrieval of stored documentations in line with approval Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES11 of 30 10/10/2014

Summary of KCB Kenya branches countrywide as outlined below; SUMMARY Central 39 Coast 28 Great Rift 32 Nairobi 49 Western 33 SUB-TOTAL 181 Details of properties are shown below; REGION DAO NAME 1 CENTRAL KCB CHOGORIA 2 CENTRAL KCB CHUKA 3 CENTRAL KCB EMALI 4 CENTRAL KCB EMBU 5 CENTRAL KCB GARISSA 6 CENTRAL KCB GATUNDU 7 CENTRAL KCB GITHUNGURI 8 CENTRAL KCB ISIOLO 9 CENTRAL KCB KANGARI 10 CENTRAL KCB KANGEMA 11 CENTRAL KCB KARATINA 12 CENTRAL KCB KERUGOYA 13 CENTRAL KCB KIANYAGA 14 CENTRAL KCB KIRIAINI 15 CENTRAL KCB KITUI 16 CENTRAL KCB KYUSO 17 CENTRAL KCB LOITOKITOK 18 CENTRAL KCB MACHAKOS 19 CENTRAL KCB MAKUYU 20 CENTRAL KCB MASII 21 CENTRAL KCB MATUU 22 CENTRAL KCB MAUA 23 CENTRAL KCB MERU 24 CENTRAL KCB MUKURWEINI 25 CENTRAL KCB MURANGA 26 CENTRAL KCB MUTOMO 27 CENTRAL KCB MWEA 28 CENTRAL KCB MWINGI 29 CENTRAL KCB NANYUKI 30 CENTRAL KCB NARO MORU 31 CENTRAL KCB NKUBU 32 CENTRAL KCB NYERI 33 CENTRAL KCB OTHAYA 34 CENTRAL KCB RUIRU 35 CENTRAL KCB TALA 36 CENTRAL KCB THIKA 37 CENTRAL KCB WOTE Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES12 of 30 10/10/2014

38 CENTRAL KCB KIKIMA 39 CENTRAL KCB JKUAT TOTAL 39 1 COAST KCB GARSEN 2 COAST KCB HOLA 3 COAST KCB KENGELENI 4 COAST KCB KIBWEZI 5 COAST KCB KILIFI 6 COAST KCB KILINDINI 7 COAST KCB KISAUNI 8 COAST KCB KWALE 9 COAST KCB LAMU 10 COAST KCB MAKINDU 11 COAST KCB MALINDI 12 COAST KCB MARIAKANI 13 COAST KCB MPEKETONI 14 COAST KCB MTITO ANDEI 15 COAST KCB MTWAPA 16 COAST KCB MVITA 17 COAST KCB MWEMBE TAYARI 18 COAST KCB TAVETA 19 COAST KCB TOWN CENTRE 20 COAST KCB TREASURY SQUARE 21 COAST KCB UKUNDA 22 COAST KCB VOI 23 COAST KCB WATAMU 24 COAST KCB WUNDANYI 25 COAST MOMBASA HIGH COURT 26 COAST MOMBASA AIRPORT BRANCH 27 COAST KCB NYALI 28 COAST KCB CHANGAMWE TOTAL 28 1 RIFT KCB BOMET 2 RIFT KCB EGERTON UNIVERSITY 3 RIFT KCB ELDAMA RAVINE 4 RIFT KCB ELDORET 5 RIFT KCB ELDORET WEST 6 RIFT KCB FLAMINGO - NAKURU 7 RIFT KCB GILGIL 8 RIFT KCB ITEN 9 RIFT KCB KABARNET 10 RIFT KCB KAPENGURIA 11 RIFT KCB KAPSABET 12 RIFT KCB KAPSOWAR 13 RIFT KCB KERICHO 14 RIFT KCB KITALE 15 RIFT KCB LITEIN 16 RIFT KCB LONDIANI 17 RIFT KCB MARALAL 18 RIFT KCB MARIGAT 19 RIFT KCB MOI'S BRIDGE 20 RIFT KCB NAIVASHA Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES13 of 30 10/10/2014

21 RIFT KCB NAKURU 22 RIFT KCB NANDI HILLS 23 RIFT KCB NAROK 24 RIFT KCB NJABINI 25 RIFT KCB NJORO 26 RIFT KCB NYAHURURU 27 RIFT KCB OL KALOU 28 RIFT KCB SOTIK 29 RIFT KCB MENENGAI CRATER 30 RIFT MAASAI MARA 31 RIFT KABARTONJO 32 RIFT ELDORET EAST TOTAL 27 1 NAIROBI KCB BIASHARA ST 2 NAIROBI KCB BURUBURU 3 NAIROBI KCB CAPITAL HILL 4 NAIROBI KCB EASTLEIGH 5 NAIROBI KCB GATEWAY HOUSE - MSA RD 6 NAIROBI KCB GIKOMBA 7 NAIROBI KCB INDUSTRIAL AREA 8 NAIROBI KCB JOGOO ROAD 9 NAIROBI KCB KAJIADO 10 NAIROBI KCB KAREN 11 NAIROBI KCB NGARA 12 NAIROBI KCB KARIOBANGI 13 NAIROBI KCB KAWANGWARE 14 NAIROBI KCB KIAMBU 15 NAIROBI KCB KICC 16 NAIROBI KCB KIKUYU 17 NAIROBI KCB KIMATHI STREET 18 NAIROBI KCB KIPANDE HOUSE 19 NAIROBI KCB KISERIAN 20 NAIROBI KCB KITENGELA 21 NAIROBI KCB LIMURU 22 NAIROBI KCB LODWAR 23 NAIROBI KCB LOKICHOGGIO 24 NAIROBI KCB MANDERA 25 NAIROBI KCB MARSABIT 26 NAIROBI KCB MASHARIKI 27 NAIROBI KCB MILIMANI 28 NAIROBI KCB MOI AVENUE 29 NAIROBI KCB MOYALE 30 NAIROBI KCB NAMANGA 31 NAIROBI KCB ONGATA RONGAI 32 NAIROBI KCB PRESTIGE PLAZA NGONG ROAD 33 NAIROBI KCB RIVER ROAD 34 NAIROBI KCB SARIT CENTRE 35 NAIROBI KCB TOM MBOYA ST 36 NAIROBI KCB UN GIGIRI 37 NAIROBI KCB UNIVERSITY WAY 38 NAIROBI KCB VILLAGE MARKET 39 NAIROBI KCB WAJIR 40 NAIROBI KCB GARDEN PLAZA MORTGAGE CENTRE Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES14 of 30 10/10/2014

41 NAIROBI KCB HAILE SELASSIE MORTGAGE CENTRE 42 NAIROBI KCB SALAMA HOUSE MORTGAGE CENTRE 43 NAIROBI KCB SARIT CENTRE MORTGAGE CENTRE 44 NAIROBI KCB NAIROBI HIGH COURT 45 NAIROBI KCB WESTGATE ADVANTAGE 46 NAIROBI KCB KIBERA 47 NAIROBI KCB HURLINGHAM 48 NAIROBI KCB TRM 49 NAIROBI KCB KASARANI TOTAL 49 1 WESTERN KCB BONDO 2 WESTERN KCB BUNGOMA 3 WESTERN KCB BUSIA 4 WESTERN KCB HOMA BAY 5 WESTERN KCB ISEBANIA 6 WESTERN KCB KAKAMEGA 7 WESTERN KCB KEHANCHA 8 WESTERN KCB KEROKA 9 WESTERN KCB KILGORIS 10 WESTERN KCB KIMILILI 11 WESTERN KCB KISII 12 WESTERN KCB KISUMU 13 WESTERN KCB KISUMU WEST 14 WESTERN KCB LUANDA 15 WESTERN KCB MALABA 16 WESTERN KCB MBALE 17 WESTERN KCB MIGORI 18 WESTERN KCB MUHORONI 19 WESTERN KCB MUMIAS 20 WESTERN KCB NYAMIRA 21 WESTERN KCB OYUGIS 22 WESTERN KCB RONGO 23 WESTERN KCB SEREM 24 WESTERN KCB SIAYA 25 WESTERN KCB SONDU 26 WESTERN KCB UGUNJA 27 WESTERN KCB UNITED MALL 28 WESTERN KCB WEBUYE 29 WESTERN KCB KISUMU AIRPORT BRANCH 30 WESTERN KCB PORT VICTORIA 31 WESTERN KCB KISII WEST 32 WESTERN KCB MBITA 33 WESTERN SORI TOTAL 33 NB: The list detailed above is bound to change in line with changing business requirements. 1.3 Accounting and Reporting The successful provider shall deliver periodic reports as agreed on all the aspects of the Records Management and Archiving. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES15 of 30 10/10/2014

2 ATTACHMENTS The following documents MUST be included in in your proposal a) Certificate of Incorporation b) VAT Certificate c) PIN Certificate d) Valid Tax Compliance Certificate e) Board of Directors Profile f) Pricing Proposal and detailed working (as per section 2.2) 3 SUBMISION INSTRUCTIONS You are required to follow all instructions carefully and provide all data requested in the formats specified in this RFP. Respondents are required to use the tables provided in this RFP as a guide and are free to re-type where information cannot be contained in the provided tables. Your failure to follow these instructions may lead to your response being disqualified. 4 PRICING Taking the above brief specifically the technical Specification and BOQ into consideration, kindly propose a fee for carrying out the proposed record management system in line with KCB requirements. Respondents MUST declare all assumptions, cost components and mechanisms used to complete the price proposals. The pricing Proposal MUST be in Kenya Shillings. Recognition will be given to full cost transparency. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES16 of 30 10/10/2014

SECTION 3 - GENERAL CONDITIONS OF CONTRACT 3.1 Introduction Specific terms of contract shall be discussed with the bidder whose proposal will be accepted by the Bank. The resulting contract shall include but not be limited to the general terms of contract as stated below from 3.2 to 3.21. 3.2 Award of Contract Following the opening and evaluation of proposals, the Bank will award the Contract to the successful bidder whose bid has been determined to be substantially responsive and has been determined as the best evaluated bid. The Bank will communicate to the selected bidder its intention to finalize the draft conditions of engagement submitted earlier with his proposals. After agreement will have been reached, the award will be made to the successful Bidder. 3.3 Application of General Conditions of Contract These General Conditions shall apply to the extent that they are not superseded by provisions in other parts of the Contract that shall be agreed. These General Conditions of Contract shall be deemed to apply to the contract or LPO that shall be issued in connection with the requirement in this tender. 3.4 Bid Validity Period Bidders are requested to hold their proposals valid for ninety (90) days from the closing date for the submission. 3.5 Non-variation of Costs The prices quoted for the service and subsequently agreed and incorporated into the contract shall be held fixed for the contract period for the specific requirement contained herein and for a further six months for any re-orders of similar equipment. 3.6 Performance Security 3.6.1 The successful bidder may be required to furnish the Bank with Performance Security of 10% of the bid value. Such security shall be furnished to the Bank within 10 days of bidder s receipt of the letter of intent to award and the Bank shall only release the purchase order or other commissioning document after receipt of the performance security. 3.6.2 The Performance Security shall be in the form of a Bank guarantee issued by a commercial bank operating in Kenya Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES17 of 30 10/10/2014

3.6.3 The proceeds of the Performance Security shall be payable to the Kenya Commercial Bank Limited as compensation for any loss resulting from the Bidder s failure to complete its obligations under the Contract. The Performance Security will be discharged by the Bank not later than two months following the date of completion of the Bidder s performance obligations, save for the warranty obligations which shall continue to be in force until expiry of the warranty period. 3.7 Delays in the Bidder s Performance 3.7.1 Delivery and performance of the bidder s obligations shall be made by the successful Bidder in accordance with the time schedule as per Agreement. 3.7.2 If at any time during the performance of the Contract, the Bidder should encounter conditions impeding timely delivery and performance of the Services, the Bidder shall promptly notify the Bank in writing of the fact of the delay, its likely duration and its cause(s). As soon as practicable after receipt of the Bidder's notice, the Bank shall evaluate the situation and may at its discretion extend the Bidder's time for performance, with or without liquidated damages, in which case the extension shall be ratified by the parties by amendment of the Contract. 3.7.3 Except in the case of force majeure as provided in Clause 3.19, a delay by the Bidder in the performance of its delivery obligations shall render the Bidder liable to the imposition of liquidated damages pursuant to Clause 3.8. 3.8 Liquidated damages for delay The contract resulting out of this RFP shall be incorporate suitable provisions for the payment of liquidated damages by the bidders in case of delays in performance of contract. In particular the supplier shall incur a penalty of 2% of the cost of the equipment for very week of delay in delivery up to a maximum of four weeks after which the LPO shall be cancelled. 3.9 Governing Language The Contract shall be written in the English Language. All correspondence and other documents pertaining to the Contract which are exchanged by the parties shall also be in English. 3.10 Terms of Payment The Bank shall pay for the supply of the service after delivery as defined in this tender document. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES18 of 30 10/10/2014

3.11 Applicable Law This agreement arising out of this RFP shall be governed by and construed in accordance with the laws of Kenya and the parties submit to the exclusive jurisdiction of the Kenyan Courts. 3.12 Bidder s Obligations 3.12.1 The Bidder is obliged to work closely with the Bank's staff, act within its own authority, and abide by directives issued by the Bank that are consistent with the terms of the Contract. 3.12.2 The Bidder will abide by the job safety measures and will indemnify the Bank from all demands or responsibilities arising from accidents or loss of life, the cause of which is the Bidder's negligence. The Bidder will pay all indemnities arising from such incidents and will not hold the Bank responsible or obligated. 3.12.3 The Bidder is responsible for managing the activities of its personnel, or subcontracted personnel, and will hold itself responsible for any misdemeanours. 3.12.4 The Bidder will not disclose the Bank's information it has access to, during the course of the work, to any other third parties without the prior written authorisation of the Bank. This clause shall survive the expiry or earlier termination of the contract 3.13 The Bank s Obligations In addition to providing Bidder with such information as may be required by the bidder to complete the requirements, the Bank shall, (a) Provide the Bidder with specific and relevant information concerning the requirements in terms of where to deliver, etc. (b) In general, provide all information and access to Bank's personnel; and (c) Appoint a coordinator who shall arrange any access to its information and staff required by Bidder for its performance under the contract, if agreed and required. 3.14 Warranty Warranty includes all hardware and software components delivered by the supplier. All hardware in the tender must have a 1 year on-site warranty with committed repair time. This means during the warranty period no costs whatsoever incur to the Bank from the repair of equipment. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES19 of 30 10/10/2014

3.15 Confidentiality The parties (the bidder and the Bank) undertake on behalf of themselves and their employees, agents and permitted subcontractors that they will keep confidential and will not use for their own purposes (other than fulfilling their obligations under the contemplated contract) nor without the prior written consent of the other disclose to any third party any information of a confidential nature relating to the other (including, without limitation, any trade secrets, confidential or proprietary technical information, trading and financial details and any other information of commercial value) which may become known to them under or in connection with this RFP and the contemplated contract. The terms of this Clause shall survive the expiry or earlier termination of the contract. 3.16 Force Majeure (a) Neither Bidder nor Bank shall be liable for failure to meet contractual obligations due to Force Majeure. (b) Force Majeure impediment is taken to mean unforeseen events, which occur after signing the contract with the successful bidder, including but not limited to strikes, blockade, war, mobilization, revolution or riots, natural disaster, acts of God, refusal of license by Authorities or other stipulations or restrictions by authorities, in so far as such an event prevents or delays the contractual party from fulfilling its obligations, without its being able to prevent or remove the impediment at reasonable cost. (c) The party involved in a case of Force Majeure shall immediately take reasonable steps to limit consequence of such an event. (d) The party who wishes to plead Force Majeure is under obligation to inform in writing the other party without delay of the event, of the time it began and its probable duration. The moment of cessation of the event shall also be reported in writing. (e) The party who has pleaded a Force Majeure event is under obligation, when requested, to prove its effect on the fulfilling of the contemplated contract. 3.17 Payment Payment shall be made after 45 days on receipt of Invoice and duly signed job cards confirming that works have been undertaken as required. Work done shall mean equipment installed, tested and commissioned and a certificate of hand-over signed by the Bank. No advance payment. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES20 of 30 10/10/2014

4.1 Performance Security Form (format) 4 ANNEXURES Know all men by these presents that we: 1.... (Full name & address in block letters) PRINCIPAL 2.... (Full name & address in block letters) SURETY are held firmly bound, jointly and severally, unto Kenya Commercial Bank Limited in the principal sum of United States Dollars... for which payment well and truly to be made we bind ourselves firmly by these presents. The condition of the above obligations being that should the said <name of Bidder> Fulfill his /their obligation/s under an agreement entered into between the Kenya Commercial Bank Limited, and themselves in respect of Supply of Computer Servers for Kenya Commercial Bank Ltd during the period ending... And not incur cancellation of the agreement for any cause whatsoever then the above obligation to be null and void; otherwise to remain in full force and effect. The validity of this guarantee expires on... which is two months beyond the contract period (i.e. after submission and acceptance by the Bank of final report).... PRINCIPAL (Signature)... Principal s Stamp SURETY (Signature).. SURETY s Stamp. Nairobi this... Of... two thousand and... (The following words should be inserted in the signatory s own handwriting) Good for the sum* of United States Dollars... (*sum to be specified in words & figures) Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES21 of 30 10/10/2014

4.2 SUPPLIER QUESTIONNAIRE Bidders, willing to be considered for the tender for Tender for Provision of record management and archiving services are expected to furnish the Company with among others the following vital information, which will be treated in strict confidence by the Company. 1.0 CORPORATE INFORMATION No. PARTICULARS RESPONSE [If space is insufficient, please use a separate sheet] 1.1 Full name of organization: 1.2 Is your organization (Please tick one) i) A public limited incorporated company? attach a copy of Certificate of incorporation including any Certificate of Change of Name, Memorandum & Articles of Association ii) A public listed company? If yes, please attach a copy of Certificate of incorporation including any Certificate of Change of Name, Memorandum & Articles of Association iii) A limited incorporated company? If yes, please attach a copy of Certificate of incorporation including any Certificate of Change of Name, Memorandum & Articles of Association iv) A partnership? If yes, please attach certified copy of the Partnership Deed and business name certificate v) A sole trader? If yes, please attach a certified copy of the business name certificate vi) other (please specify) 1.3 Company Registration number (if this applies)-attach a copy of Certificate of incorporation including any Certificate of Change of Name or relevant certificate from country of incorporation. 1.4 Date and country of Registration: Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES22 of 30 10/10/2014

1.5 Full physical address of principal place of business: Full postal address of the business: 1.6 Registered address if different from the above: Post Code: 1.7 Telephone number: 1.8 Fax number: 1.9 E-mail address: 1.10 Website address (if any): 1.11 Company/Partnership/Sole Trader Tax PIN: (Please provide a certified copy of the PIN Certificate) 1.12 VAT Registration number: (Please provide a certified copy of the VAT Certificate) 1.13 Period in which you have been in the specific business for which you wish to bid. 1.14 Names of the Shareholders, Directors and Partners. If a Kenyan company please provide an original search report issued by the Registrar of Companies showing the directors and shareholders (Companies Form CR 12). 1.15 Associated companies(if any) 1.16 Please provide a copy of the latest annual returns together with the filing receipt as filed at the Companies Registry 1.17 Name of (ultimate) parent/holding company (if this applies): 1.18 Company number of parent/holding company (if this applies): Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES23 of 30 10/10/2014

1.19 If a consortium is expressing interest, please give the full name of the other organisation (the proposed consortium partners should also complete this questionnaire in its entirety) 1.20 Name and contacts of the Legal Representative of the company; Name, Title; Telephone, Fax and Email address. 1.21 Contact person within the organisation to whom enquiries about this bid should be directed: NAME: TITLE TEL: FAX: EMAIL: 2.0 FINANCIAL INFORMATION No. PARTICULARS 2.1 What was your turnover in the last two years? for year ended --/--/---- 2.2 Has your organisation met all its obligations to pay its creditors and staff during the past year? If no, please give details: for year ended --/--/---- Yes / No 2.3 Have you had any contracts terminated for poor performance in the last three years, or any contracts where damages have been claimed by the contracting authority? If yes, please give details: Yes / No Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES24 of 30 10/10/2014

2.4 What is the name and branch of your bankers (who could provide a reference)? Name: Branch: Telephone Number: Postal Address: Contact Person Name: Contact Position Contact E-mail: 2.5 Provide a copy of the following A copy of your most recent audited accounts (for the last two years) A statement of your turnover, profit & loss account and cash flow for the most recent year of trading (for the last two years) A statement of your cash flow forecast for the current year and a bank letter outlining the current cash and credit position. 3.0 BUSINESS ACTIVITIES No. PARTICULARS 3.1 What are the main business activities of your organisation? i.e. Manufacturer, Assembler, Distributor, service centre, retailer, (please specify). 3.2 How many staff does your organisation have?... Indicate the number under each category i. Technical (Permanent, Temporary ) ii. Semiskilled (Permanent., Temporary..) 3.3 Please generally describe the experience and expertise your organization possesses that will enable you to effectively and efficiently undertake the work you are bidding for, as required by KCB. Attach you company organogram (organisation chart) with emphasis on the job you are bidding for. Attach CV s of key staff Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES25 of 30 10/10/2014

3.4 Please submit a declaration that all staff within your organization that are or will Be involved in the project are or will be permitted to work within your organization under the laws of Kenya or the laws of the country in which it is established. No 4.0 TRADE REFERENCES 4.1 Please provide in the table below details of the projects you have undertaken relevant to the job you are bidding for performed over the last three (3) years or that are relevant to this bid document. Customer Organization (name) Customer contact name and phone number Contract reference and brief description: Date contract awarded Value of businesses transacted: (Kshs/USD/Euro) 1 2 3 4 5 6 7 8 5.0 CERTIFICATIONS, ACCREDITATIONS AND APPROVALS Detail any relevant certifications and accreditations by principals or accreditation bodies and attach copies of such certification. Such certifications may be for your company or for your individual staff as relevant to the work they do and the key skills for the service or goods you propose to supply. 6.0 AGENCIES AND PARTNERSHIPS a) Detail any agencies and partnerships that you have that are relevant to the categories of goods and/or services you are interested in supplying. b) List your primary sources of supply for goods that you propose to supply. Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES26 of 30 10/10/2014

7.0 MANAGEMENT POLICIES a) Employee Integrity How does the firm ensure the integrity of staff? Detail any related policies. b) Code of Conduct/Ethics Does your company have a code of conduct? If so, please attach a copy. Indicate if your company subscribes to a professional body with a code of conduct/ethics. c) Company employment policy Does the firm have a documented employment policy? What are key highlights from this policy if in existence? d) Environmental Policy/Green Agenda Policy e) Customer Service Is your firm ISO 140001 certified or do you have an environmental policy as an organization? Are your waste segregated as per different waste streams? How are wastes from your firm disposed? Does the firm have a documented policy on Customer Service? Which position in your firm is responsible for customer service and how is this position supported by other functions? Does your firm use any performance management techniques, including customer satisfaction measurement? If so, what are the key parameters? 8.0 BUSINESS PROBITY AND LITIGATION MANAGEMENT Please confirm whether any of the following criteria applies to your organisation: Note that failure to disclose information relevant to this section may result in your exclusion as a potential KCB supplier. No. PARTICULARS RESPONSE 8.1 Is the organization bankrupt or being wound up, having its affairs administered by the court, or have you entered into an arrangement with creditors, suspended business activities or any analogous situation arising from similar Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES27 of 30 10/10/2014

proceedings in Kenya or the country in which it is established? 8.2 Please provide a statement of any material pending or threatened litigation or other legal proceedings where the claim is of a value in excess of USD 20,000. 8.3 Has any partner, director, shareholder or employee whom you would propose to use to deliver this service been convicted of an offence concerning his professional conduct? 8.4 Has any partner, director or shareholder been the subject of corruption or fraud investigations by the police, Kenya Anti- Corruption Authority or similar authority in the country in which your organisation is established? 8.6 Has the organisation not fulfilled obligations relating to the payment of any statutory deductions or contributions including income tax as required under Kenyan law or the laws of the country in which it is established? 8.7 Please state if any Director shareholder/ Partner and / or Company Secretary of the Organisation is currently employed or has been employed in the past 3 years by KCB. 8.8 Please state if any Director / Partner and / or Company Secretary of the Organisation has a close relative who is employed by KCB and who is in a position to influence the award of any supply award. A close relative refers to spouse, parents, siblings and children Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES28 of 30 10/10/2014

9.0 INSURANCE Please provide details of your current insurance cover 9.1 Employer s Liability: Value 9.2 Public Liability: 9.3 Professional Indemnity (if applicable) 9.4 Other (specify) 10.0 EVALUATION (a) Mandatory Requirements For Evaluation The following documents must be attached. i. Certificate of Incorporation ii. Trading Certificate iii. Business Permits iv. Certificate from relevant regulatory authority (where applicable) v. Kenya Bureau of Standards certifications, Manufacturers Authorization /or equivalent (where applicable). vi. TAX PIN Certificate vii. Tax Compliance certificate. viii. Current dealership letter of equipment preferably issue in 2012 ix. List of Directors, telephone and their postal address x. Form CR 12 as issued by the Registrar of Companies (original) or certified as true copy. xi. Audited Accounts (Three years) xii. Bank Account Information xiii. CVs of Senior Staff xiv. Organogram/Organisation Chart Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES29 of 30 10/10/2014

4.3 CERTIFICATE OF COMPLIANCE WE have read this tender document for Provision of record management and archiving services. Stamp and signature of the supplier Date: ------------- End of Document ---------- Commercial-In-Confidence Tender for PROVISION OF RECORD MANAGEMENT AND ARCHIVING SERVICES30 of 30 10/10/2014