This page must be returned to [email protected] by 10:00 on 1 July 2013.
Name of Tendering Firm Name of Contact Position
E-mail Address Telephone Number
I, representative of ...[firm] would like to express an interest in the Invitation to Tender for the Authority’s Specialist Financial Service Framework, reference UKFI 13-06-27.
I understand that I am not obliged to submit a Tender as a result of expressing my interest. I understand the timetables as set out in paragraph 5 of section 2.
I understand that my expression of interest entitles to me to receive any clarifications raised by other interested parties, as deemed appropriate by the Authority.
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Schedule 10: Statement of Compliance
Invitation to Tender for the Provision of Specialist Financial Advice
Tenderers to Note:
The following Statement of Compliance provides Tenderers with a list of the key areas within their Response that
must be addressed. Tenderers shall ensure that their overall Response includes evidence of providing/addressing all of these areas. Tenderers must ensure that a yes response is given against each area and the table of
Schedules. In the event that a Tenderer is unable to provide a yes response, the Tenderer shall provide a detailed reason as to why a response cannot be given. The Authority may seek to clarify Responses given by a Tenderer but reserves the right to reject any Tender Response, which fails to meet this initial compliance check.
The Tenderer’s Response to the ITT should be divided into the following three sections:
1) Response to the Specification, in no more than 15 PowerPoint slides in a minimum of Arial 10 font including annexes but excluding Schedules;
2) The completion of all Schedules below; and 3) The completion of the Statement of Compliance.
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Statement of Compliance
DOCUMENT REQUIRED Provided in Response (Yes/No)TENDERERS RESPONSE TO THE SERVICES SCHEDULE ONE: FORM OF TENDER
SCHEDULE TWO: COLLUSIVE TENDERING SCHEDULE THREE: CANVASSING
SCHEDULE FOUR: FRAMEWORK AGREEMENT SCHEDULE FIVE: CHARGES FOR THE FOUR (4) LOTS SCHEDULE SIX: COMPANY DETAILS
SCHEDULE SEVEN: REFERENCES
SCHEDULE TEN: STATEMENT OF COMPLIANCE
In compliance with the requirements set out in your Invitation to Tender: I confirm I have read and fully understand the potential;
I have completed and enclose the above documents;
This Tender shall remain open for acceptance by the Authority for a period of 90 days as set out in Section 2, paragraph 4.1 after the due date for return of Tenders specified in the Invitation to Tender;
I warrant that I have all the requisite corporate authority to sign this Tender.
Signed for and on behalf of the Tenderer:
Name: Signature: Position: Date
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Appendix 1 - Glossary
“Unless the context otherwise requires, the following words and expressions used within this Invitation to Tender shall have the following meanings:”
TERM MEANING
“ABB” means Accelerated Bookbuild
“Authority” means United Kingdom Financial Investments Ltd (UKFI)
“Call-Off Contract” means the document set out in Schedule 4 of the draft Framework Agreement
“Commencement Date” means the starting date of the Framework Agreement
“Conditions of Tender” or “Conditions”
means the terms and conditions set out in the attachment to this ITT relating to the submission of a Tender
“Contracting Body” means the Authority
“Deadline” means the Deadline for receipt by the Authority of electronic copy (in PDF) and ten (10) hard copy responses to the ITT to the e-mail address and postal address provided in paragraph 1.1 of Section 2
“Direct Award” means the award of a Call-Off Contract by application of the terms laid down in the Framework Agreement without re-opening competiton
“EMEA” means Europe, Middle East and Africa
"EIR" mean the Environmental Information Regulations 2004 together with any guidance and/or codes of practice issued by the Information Commissioner or relevant Government department in relation to such regulations
“EQL” means Equity Linked structured products
“Extension Period” means one (1) year
“FIG” means Financial Institutions Group
“FMO” means a Fully Marketed Offering
“FoIA” means the Freedom of Information Act 2000 and any subordinate legislation made under such Act from time to time together with any guidance and/or codes of practice issued by the Information Commissioner or relevant Government department in relation to such legislation
“Framework” or
“Framework Agreement” means this agreement and all Schedules to this agreement to be entered by the Authority and the Provider(s) following any award under the procurement exercise
“Initial Term” means five (5) from the Commencement Date
“Invitation to Tender” or
“ITT” means this Invitation to Tender documentation and all related documents published by the Authority and made available to Tenderers
“Law” means any applicable law, common law, Act of Parliament, subordinate legislation within the meaning of Section 21(1) of the Interpretation Act 1978, exercise of the royal prerogative, enforceable community right within the meaning of Section 2 of the European Communities Act 1972, regulatory policy, guidance or industry code, judgment of a relevant court of law, or directives or requirements of any Regulatory Body
“Lot” means a discrete sub-division of the service requirements
“Mini-Competition” means the award of a Call-Off Contract by re-opening competiton between the Providers of the relevant Panel appointed to the Framework Agreement
“Order Form” means a document setting out details of an order for services served by the Contracting Body on the Provider
“Other Contracting
Bodies” means all Contracting Bodies except the Authority
PAGE 80 OF 80 JUNE 2013 UKFIFRAMEWORK ITT UKFI 1.0 expect to make appointments to assist it in any future transaction(s) involving HMG’s shareholdings in Lloyds and RBS
“Provider” means the organisation(s) admitted to the Framework Agreement
“Regulations” means the Public Contracts Regulations 2006
“Specification” means the minimum requirements for an organisation to be invited to Tender in this procurement process
“Tender”, “Response”, “Tender Response”, “Tendered Response” or “ITT Response”
means the Tenderer’s formal offer in response to this Invitation to Tender
“Tenderer(s)” means the organisation(s) being invited to respond to this Invitation to Tender
Invitation to
Tender 27 June 2013
Framework Agreement Terms
and Conditions UKFI Page 1 of 74
DATED 27 June 2013