SCM Office
Cnr Hilda & Arcadia Street
Hatfield Gardens
Hatfield | Pretoria
(T) +2712 432 1300
(F)+0865687856 /

1.Description of Service / Appointment of a service provider for a Compliance Management System
2. Name of the responsible office: / Company Secretariat
3.Telephone: / 012 432 1300
4.Email: /
5. Attention: / Maureen Senyatsi
6. Bid Number: / RFP 2678/2016
7. Proposal Submission: / The Supply Chain Department, National Lotteries Commission, Block D, 333 Grosvenor Street, Hatfield Gardens, Hatfield, Pretoria, 0083
8. Closing Date: / 08DECEMBER2016
9. Closing Time: / 11:00
  1. BACKGROUND

The National Lotteries Commission (NLC), previously known as the National Lotteries Board, is a public entity established by Lotteries Amendment Act No. 32 of 2013 to regulate the South African Lotteries industry. The functions of the Commission can be divided into two categories, namely “regulation of National Lottery and other Lotteries” and “administration of the National Lottery Distribution Trust Fund (NLDTF)”.The activities of the NLDTF also involve the Distributing Agencies (DA’s) who are appointed by the Minister of Trade and Industry and are responsible for the adjudication of the funding applications as per the National Lotteries Act and related Funding Regulations.

  1. SCOPE OF WORK

The scope of work entails the following:

2.1Service provider to provide Compliance Management System wherein its functionalities are aligned to Generally Accepted Compliance Practice

.

2.3The system is expected to facilitate compliance with legislation, policies, and agreements by stakeholdersof NLC.

2.4The system must have monitoring and advance reporting capabilities.

2.6The system must have the ability to identify detect compliance risk areas and development of action plans

2.7Tracking and workflow functionality.

2.8The system must also contain functionality to alert users to amendments to legislation.

2.10The system should have segregated functions allowing system users to have reporting over only there areas of jurisdiction / department / portfolio.

2.11The system should have a reporting function that enables the relevant person at the Commission to have oversight of the compliance process.

2

3

3.0

  1. DELIVERABLES

The system should provide the following:

a)Provision and interpretation of legislation and regulations identified as the NLC’s regulatory universe including the Lotteries Act as amended.

b)Functionality that ensures compliance with best practice compliance management process:

  • Compliance Risk Identification
  • Compliance Risk Assessment
  • Compliance Risk Management
  • Compliance Risk Monitoring

c)The system must cater for regular Compliance Checklist/Questionnaire in accordance with legislative amendments or new regulations.

d)Enable the development of Compliance Risk Management Plans.

e)Ability to Distribute Compliance Assessment reports via email.

f)Generation of standard and custom configured detailed and graphical Group Consolidated Compliance Dashboards, Divisional specific compliance reports, and Remedial Action Monitoring reports.

g)Provide interface to create action plans (with defined timelines and assigned responsibilities) with the intention of rectifying areas on noncompliance.

h)Ability to configure users and groups and assign roles to users and group based on functionality.

i)Easy document management, as supporting evidence for any disclosure or deletion should be attached and uploaded to the database;

j)Online support should be available to employees and councillors when completing disclosures;

k)Provide updating of legislation and alerts on new or amendments to legislation.

l)Provide user training and support

  1. DURATION OF THE PROJECT

The appointed service provider will assist NLC for an initial period of 12 months subject to annual renewal of the contract.

  1. REPORTING REQUIREMENTS

The appointed service provider shall report to the Company Secretariat Department

6. COSTING

Take note of the following:

• No costs have been prescribed for the Bidding Document;

• All proposals must be costed in South African Rand, inclusive of VAT;

• If the bid does not include all the information required, or is incomplete, this will mean non-compliance and therefore invalidate the bid;

• Any submission received after the deadline will not be considered; and

• The costing must remain valid and open for evaluation for a period of at least thirty (30) days from the time of submission.

  1. EVALUATION CRITERIA

The NLC will evaluate all proposals in terms of the Preferential Procurement Regulation of 2011 and Preferential Procurement Policy Framework Act. No. 5 of 2000 (PPPFA). A three (3) phase evaluation process will be considered in evaluating the proposals, being:

Phase 1: Pre-Qualification Criteria (Mandatory Requirements)

Bidders must submit all the mentioned below requirements. The following mandatory requirements must be met to qualify for this bid:

  1. Original valid SARS Clearance Certificate
  2. Minimum of three (3) recent contactable referencesfrom customers to which the bidder has provided or is providing the service that are substantially similar to the services required and from any public institution and/or private sector.
  3. Proof of Registration with National Treasury Central Supplier Database (CSD).

Phase 2: Functional/technical Evaluation

Only bidders that have met the pre-qualification criteria will be evaluated for functional evaluation. In this phase the evaluation will be based on the bidders’ responses in respect of the bid proposal (evaluated on the minimum functional specifications). Prospective bidders who score a minimum of 70% points or more will be considered for the next phase 3 (Price and B-BBEE status level contributor).

CRITERIA / SUB-WEIGHT / WEIGHT
1. Equity Ownership* / 20%
100% Black Owned / 20%
50% + 1 Black Owned
NB: Exercisable voting rights / 10%
Completely Non-Black Owned / 5%
NB: A shareholder certificate should be attached for verification
2. Company Experience
The bidder must demonstrate that they have the capacity to render the required service. Proof of experience of entity in similar project. The bidder must provide three (3) references from the public institution and/or private sector confirming that the Bidder has the capacity to deliver at any given time. / 35%
3. Experience of Team Members
Considers the technical and professional skills of the project team. Persons proposed for these positions must be identified and supported by CV’s of one page each to be included in an Appendix. Brief capability statements must be given for each designated team member, emphasizing recent experience relevant to the task envisaged. / 35%
4. Project Plan / Methodology
The bidder must provide a project implementation plan which details how the service will be carried out. The project plan must have deliverables and time frames. / 10%
TOTAL / 100%

Phase 3: The 80/20 Principle based on Price andBBBEE status level contributor.

Points will be awarded to a bidder for attaining the B-BBEE status level of contributor in accordance with the table below:

B-BBEE Status Level of Contributor / Number of points (80/20 system)
1 / 20
2 / 18
3 / 16
4 / 12
5 / 8
6 / 6
7 / 4
8 / 2
Non-compliant contributor / 0

Other Conditions:

  1. Only bidders who obtain at least 70% under Functional/Technical Evaluation will be considered for further evaluation on phase 2.
  2. Bidders are further requested to provide separate financial and technical proposals.
  3. Bidders are requested to provide a clear agreement regarding joint venture/consortia. The percentage involvement of each company in the joint venture agreement should be indicated on the agreement. A trust, consortium or joint venture must submit a consolidated B-BBEE Status Level Verification Certificate for every separate bid.
  4. Bidders are required to submit original and valid B-BBEE Status Level Verification Certificates or certified copies thereof together with their bids, to substantiate their B-BBEE rating claims.
  5. Fraudulent practices shall result in immediate disqualification
  6. Bidders will be required to provide a demonstration of their solution/system.
  7. NLC is under no obligation to accept any bid and reserves its right not to proceed with the appointment of any service provider that responded to the invitation to submit proposals, for whatever reasons it may consider appropriate.

7. SUBMISSION OF PROPOSAL

The proposals should be hand delivered at the NLC Head Offices.

Closing Date: 08/12/2016

Closing Time: 11:00 (South African Standard Time)

Bid Validity Period: 30 days (from closing date)

8. LATE BIDS

Bids received late shall not be considered. A bid will be considered late if it arrived one second after 11:00 or any time thereafter. The tender (bid) box shall be locked at exactly 11:00 and bids arriving late will not be considered under any circumstances. Bidders are therefore strongly advised to ensure that bids are dispatched allowing enough time for any unforeseen events that may delay the delivery of the bid.

9. SUBMISSION INSTRUCTION

The bid should be hand delivered to the address specified above in two (2) sets each.

Please note that the Technical and Financial proposals should be submitted in two (2) separate sealed envelopes.

The submission proposals should be as follows:

Technical / Financial
One (1) original / One (1) original
One (1) copy / One (1) copy
Total submission of copies including original = Four (4)

Bidders are requested to indicate on the cover of each document whether it is the original document or a copy.

NLC reserves the right to appoint, contract with and monitor the performance of any service provider it deems will offer the best service in line with its requirements, although it may not necessarily be the lowest bidder. NLC also reserves the right, in its sole discretion, to re-source, not to re-source or not to award the bid.

10. DISCLOSURE OF INFORMATION

It is understood and agreed that the successful service provider shall, during and after the effective period of the contract, treat the project as confidential and not divulge, unless authorised in writing by NLC, any information obtained in the course of the performance of the contract.

12.CLARIFICATIONS / ENQUIRIES

Telephonic request for clarification will not be considered. Any clarification required by a bidder regarding the meaning or interpretation of the Terms of Reference or any other aspects concerning the bid is to be requested in writing (letter, facsimile or e-mail) from the below contact persons. The bid reference number should be mentioned in all correspondence.

12.1 Bid Enquiries

Name and Surname: Ms. Maureen Senyatsi

E-mail:

Enquiries received will be responded within a day of receipt of the enquiry.

THE NLC IS NOT OBLIGED TO ACCEPT THE LOWEST OR ANY BID AND RESERVES THE RIGHT TO ACCEPT ANY BID IN WHOLE OR PART.

Terms Of Reference for the Appointment of a Service Provider for Compliance Management System