STANDARD PROCUREMENT

DOCUMENT

Initial Selection Document

Works & Operation
Service
Design, Build and Operation
for water and wastewater treatment plants
(For use with a Request for Proposals selection method)

August, 2019
 i

This document is subject to copyright.

This document may be used and reproduced for non-commercial purposes only. Any commercial
use, including without limitation reselling, charging to access, redistribute, or for derivative
works such as unofficial translations based on this document is not allowed.
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Foreword

This Standard Procurement Document (SPD) has been prepared by the World Bank for Initial
Selection of Applicants for the Request for Proposals (RFP) for procurement of Works & Operation
Service (Design, Build and Operations for Water and Wastewater Treatment Plants.
The Initial Selection Document (ISD) shall be used by the Borrower with minimum changes as may
be necessary, and acceptable to the Bank, when an Initial Selection process takes place.
 iii

Preface
This SPD reflects the World Bank’s Procurement Regulations for IPF Borrowers July, 2016 as
amended from time to time. This SPD is applicable to the procurement of Works & Operation
Service (Design, Build and Operate) for water and wastewater treatment plants with IBRD or IDA
financing whose Legal Agreement makes reference to the Procurement Regulations for IPF
Borrowers.

It is important that, as part of procurement planning, the Employer weighs the potential benefits,
limitations, risks and attributes of the Design, Build and Operations approach and makes an
informed decision as to whether the use of design, build and operate will benefit the subject
contract. Due attention should be given to the efficiency and capacity of the Employer’s
procurement and contract administration arrangements, the potential response of the market,
estimated total time required for the Employer to carry out the procurement process, as well as the
Employer’s existing technical capability and any professional assistance required. For a more
detailed discussion on the benefits and risks of different procurement approaches, see the Guidance
Note to the SPD-DBO which accompanies the suite of SPD-DBO documents.

To obtain further information on procurement under World Bank financed projects or for questions
regarding the use of this SPD, contact:

Chief Procurement Officer

Standards, Procurement and Financial Management Department
The World Bank
1818 H Street, N.W.
Washington, D.C. 20433 U.S.A.
http://www.worldbank.org/
 v

Standard Procurement Document

Summary

Specific Procurement Notice - Invitation for Initial Selection

The template attached is the Invitation for Initial Selection. This is the template to be used by the
Employer.

Initial Selection Document: Procurement of Works and Operation

Service (Design, Build and Operate)

PART 1 – INITIAL SELECTION PROCEDURES

Section I - Instructions to Applicants (ITA)

This Section provides information to help the Applicants in preparing and submitting
their Applications for Initial Selection (“Applications”). Information is also provided
on opening and evaluation of Applications. Section I contains provisions that are to
be used without modification.

Section II - Initial Selection Data Sheet (ISDS)

This Section includes provisions that are specific to each contract and supplement
Section I, Instructions to Applicants.

Section III - Initial Selection Criteria and Requirements

This Section specifies the methods, criteria, and requirements to be used to determine
how Applicants shall be initially selected and later invited to submit Proposals.

Section IV - Application Forms

This Section includes the Application Submission Letter and other forms required to
be submitted with the Application.

Section V - Eligible Countries

This Section contains information regarding eligible countries.

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Section VI - Fraud and Corruption

This Section provides the Applicants with the reference to the Bank’s policy in
regard to Fraud and Corruption applicable to the Initial Selection process.

PART 2 – EMPLOYER’S REQUIREMENTS

Section VII - Scope of Employer’s Requirements

This Section includes a summary description, Implementation schedule, and Site and
other Data of the Works and Operation Service (Design, Build and Operate) subject
of this Initial Selection. The Scope of Works may also include a summary of the
environmental and social (ES) requirements (including requirements relating to
Sexual Exploitation and Assault (SEA)) which are to be satisfied by the Contractor
in executing the Works.
 vii

Specific Procurement Notice – Initial Selection Document (ISD)

Template

Invitation for Initial Selection

Works and Operation Service
(Design, Build and Operate)

Employer: [insert the name of the Employer’s agency]

Project: [insert name of project]
Contract title: [insert the name of the contract]
Country: [insert country where ISD is issued]
Loan No. /Credit No. / Grant No.: [insert reference number for loan/credit/grant]
ISD No: [insert ISD reference number from Procurement Plan]
Issued on: [insert date when ISD is issued to the market]

1. `The [insert name of Borrower/Beneficiary/Recipient] [has received/has applied for/intends

to apply for] financing from the World Bank toward the cost of the [insert name of project
or grant], and intends to apply part of the proceeds toward payments under the contract 1for
[insert title of contract]2.

2. The [insert name of implementing agency] intends to initially select Applicants for [insert
contract number and/or name, a brief description of the type(s) of Design, Build and
Operations to be provided, including key performance/functional requirements, location, key
qualification requirements and other information necessary to enable Applicants to decide
whether or not to respond to this invitation for Initial Selection.] It is expected that the
Request for Proposals will be made in [insert month and year].

3. Initial Selection will be conducted through the procedures as specified in the World Bank’s
Procurement Regulations for IPF Borrowers [insert date of applicable Procurement
Regulations edition as per legal agreement] (“Procurement Regulations”), and is open to all
eligible Applicants as defined in the Procurement Regulations.

4. Interested eligible Applicants may obtain further information from the [insert name of
agency] at the address below [insert address at end of document] during office hours [insert

1 Substitute with “contracts” where Proposals are called concurrently for multiple contracts. Add a new para. 3 and
renumber paras 3 - 8 as follows: “Initially selected Applicants may submit Proposals for one or several contracts, as
further defined in the RFP Document.”
2 Insert if applicable: “This contract will be jointly financed by [insert name of co-financing agency]. Procurement
process will be governed by the World Bank’s Procurement Regulations.”
 viii

office hours if applicable, i.e. 0900 to 1700 hours]. A complete set of Initial Selection
documents in [insert name of language] may be purchased by interested Applicants on the
submission of a written application to the address below and upon payment of a
nonrefundable fee of [insert amount in local currency] or [insert amount in specified
convertible currency, i.e. US$]. The method of payment will be [insert method of payment].
The document will be sent by [insert delivery procedure].3

5. Applications for Initial Selection should be submitted in clearly marked envelopes and
delivered to the address below by [insert time] on [insert date]. Late applications may be
rejected.

[Insert name of office]

[Insert name of officer and title]
[Insert postal address and/or street address, postal code, city and country]
[Insert telephone number, country and city codes]
[Insert facsimile number, country and city codes]
[Insert email address]
[Insert web site address]

3 The delivery procedure is usually airmail for overseas delivery and surface mail or courier for local delivery. If
urgency or security dictates, courier services may be required for overseas delivery. With the agreement of the World
Bank, documents may be distributed by e-mail, downloading from authorized web site(s) or electronic procurement
system. Initial Selection Document (in Read Only form) should to be posted on the Employer’s web page, if
available, for inspection by prospective Applicants.
 Invitation for
Initial Selection
Works & Operation
Service
(Design, Build and Operate for Water and
Wastewater Treatment Plants)

Procurement of:
[insert identification of the Works & Operation
Service – Design, Build and Operate for Water and
Wastewater Treatment Plants]

Employer: [insert the name of the Employer’s agency]

Project: [insert name of project]
Contract title: [insert the name of the contract]
Country: [insert country where ISD is issued]
Loan No. /Credit No. / Grant No.: [insert reference number for loan/credit/grant]
ISD No: [insert ISD reference number from Procurement Plan]
Issued on: [insert date when ISD is issued to the market]

(This Initial Selection Document is for use with a Request for Proposals process)
 1

Standard Procurement Document

Table of Contents

PART 1 – Initial Selection Procedures...................................................................................1

Section I - Instructions to Applicants...................................................................................2
Section II - Initial Selection Data Sheet (ISDS) ................................................................19
Section III - Initial Selection Criteria and Requirements...................................................24
Section IV - Application Forms .........................................................................................38
Section V - Eligible Countries ...........................................................................................59
Section VI - Fraud and Corruption ....................................................................................61
PART 2 – Employer’s Requirements ...................................................................................63
Section VII - Scope of Employer’s Requirements .............................................................65
Part 1 – Initial Selection Procedures 1

PART 1 – Initial Selection Procedures

Part 1 – Initial Selection Procedures 2

Section I - Instructions to Applicants

Contents
A. General ........................................................................................................................3
1. Scope of Application........................................................................................................ 3
2. Source of Funds ................................................................................................................ 3
3. Fraud and Corruption........................................................................................................ 4
4. Eligible Applicants ........................................................................................................... 4
5. Eligibility.......................................................................................................................... 7
B. Contents of the Initial Selection Document ................................................................7
6. Sections of Initial Selection Document ............................................................................. 7
7. Clarification of Initial Selection Document and Pre-Application Meeting........................ 8
8. Amendment of Initial Selection Document ....................................................................... 9
C. Preparation of Applications ......................................................................................10
9. Cost of Applications ....................................................................................................... 10
10. Language of Application ............................................................................................. 10
11. Documents Comprising the Application...................................................................... 10
12. Application Submission Letter ................................................................................... 10
13. Documents Establishing the Eligibility of the Applicant ........................................... 10
14. Documents Establishing the Qualifications of the Applicant ..................................... 11
15. Signing of the Application and Number of Copies .................................................... 11
D. Submission of Applications ......................................................................................12
16. Sealing and Marking of Applications ......................................................................... 12
17. Deadline for Submission of Applications ................................................................... 12
18. Late Applications ........................................................................................................ 12
19. Opening of Applications ............................................................................................. 12
E. Procedures for Evaluation of Applications ...............................................................13
20. Confidentiality ............................................................................................................ 13
21. Clarification of Applications ....................................................................................... 13
22. Responsiveness of Applications ................................................................................. 13
23. Margin of Preference .................................................................................................. 13
24. Subcontractors ............................................................................................................ 14
F. Evaluation of Applications and Initial Selection of Applicants................................14
25. Evaluation of Applications ......................................................................................... 14
26. Employer’s Right to Accept or Reject Applicants ..................................................... 15
27. Initial Selection of Applicants .................................................................................... 15
28. Notification of Initial Selection .................................................................................. 16
29. Request for Proposals ................................................................................................. 17
30. Changes in Qualifications of Applicants .................................................................... 17
31. Procurement Related Complaint ................................................................................. 18
Section I – Instructions to Applicants (ITA) 3

Section I - Instructions to Applicants

A. General
1. Scope of Application 1.1 In connection with the invitation for Initial Selection
indicated in Section II, Initial Selection Data Sheet
(ISDS), the Employer, as defined in the ISDS, issues this
Initial Selection Document (“Initial Selection
Document”) to prospective applicants (“Applicants”)
interested in submitting applications (“Applications”) for
Initial Selection to submit Proposals for the Works &
Operation Service, Design, Build and Operation of
Water and Wastewater Treatment Plant described in
Section VII, Scope of Employer’s Requirement. In case
proposals for the Works and Operation Service, Design,
d Build and Operate are to be invited as individual
contracts (i.e., the slice and package procedure), these are
listed in the ISDS. The Request for Proposals (RFP)
number corresponding to this Initial Selection is also
provided in the ISDS.

2. Source of Funds 2.1 The Borrower or Recipient (hereinafter called

“Borrower”) indicated in the ISDS has applied for or
received financing (hereinafter called “funds”) from the
International Bank for Reconstruction and Development
or the International Development Association
(hereinafter called “the Bank”) in an amount specified in
the ISDS, towards the cost of the project named in the
ISDS. The Borrower intends to apply a portion of the
funds to eligible payments under the contract(s) resulting
from the Request for Proposals (RFP) process for which
this Initial Selection is conducted.
2.2 Payment by the Bank will be made only at the request of
the Borrower and upon approval by the Bank, and will be
subject, in all respects, to the terms and conditions of the
Loan (or other financing) Agreement. The Loan (or other
financing) Agreement prohibits a withdrawal from the
loan (or credit) account for the purpose of any payment
to persons or entities, or for any import of goods,
equipment, plant or materials, or services if such payment
or import, to the knowledge of the Bank, is prohibited by
a decision of the United Nations Security Council taken
under Chapter VII of the Charter of the United Nations.
No party other than the Borrower shall derive any rights
Section I – Instructions to Applicants (ITA) 4

from the Loan (or other financing) Agreement or have

any claim to the proceeds of the loan (or credit).

3. Fraud and Corruption 3.1 The Bank requires compliance with the Bank’s Anti-
Corruption Guidelines and its prevailing sanctions
policies and procedures as set forth in the WBG’s
Sanctions Framework, as set forth in Section VI, Fraud
and Corruption.
3.2 In further pursuance of this policy, Applicants shall
permit and shall cause their agents (where declared or
not), subcontractors, sub-consultants, service providers,
suppliers, and personnel, to permit the Bank to inspect all
accounts, records and other documents relating to any
Prequalification process, Initial Selection process, Bid
submission (in case prequalified), Proposal submission
(in case initially selected) and contract performance (in
the case of award), and to have them audited by auditors
appointed by the Bank.

4. Eligible Applicants 4.1 Applicants shall meet the eligibility criteria as per this
Instruction and ITA 5.1.
4.2 An Applicant may be a firm that is a private entity, a state-
owned enterprise or institution subject to ITA 4.9 - or any
combination of such entities in the form of a joint venture
(“JV”) under an existing agreement or with the intent to
enter into such an agreement supported by a letter of intent.
In the case of a joint venture, all members shall be jointly
and severally liable for the execution of the entire
Contract in accordance with the Contract terms, subject
to ITA 4.3. The “JV shall nominate an authorized
representative (the” Lead Member”) who shall have the
authority to conduct all business for and on behalf of any
and all the members of the JV during the Initial Selection
process, RFP process (in the event the JV submits a
Proposal) and during contract execution (in the event the
JV is awarded the Contract). Unless specified in the
ISDS, there is no limit on the number of members in a
JV.
4.3 Where the Applicant is a JV, if specified in the ISDS, it
may request to form a Special Purpose Vehicle,
incorporated under the appropriate company’s legislation
of the country (the “SPV”), to execute the Contract. Each
member of a JV shall, till the end of Contract, remain a
member of the JV and in the case of an SPV hold equity
share capital not less than the percentage of the
Section I – Instructions to Applicants (ITA) 5

subscribed and paid up equity of the SPV specified in the

ISDS. The minimum amount of subscribed and paid up
capital of the SPV shall be specified in the RFP.
However, if specified in the ISDS, any member of the
JV, except the Lead Member, may, with the prior
approval of the Employer in writing, which shall not be
unreasonably withheld, have its interest in the JV diluted
or exit the JV, or in the case of an SPV reduce its
shareholding to the percentage specified in the ISDS,
after a period of [two] years after commencement of the
Operation Service. The Lead Member shall continue to
maintain its interest in the JV, or in the case of an SPV
hold at least 51% (fifty-one percent) of the subscribed and
paid up equity share capital of the SPV until [two] years
after commencement of Operation Service. If specified in
the ISDS, the Lead Member, may, with the prior
approval of the Employer in writing, which shall not be
unreasonably withheld, dilute but not extinguish its
interest in the JV, or in the case of an SPV reduce its
shareholding to less than 51% but in no case, less than
percentage of the subscribed and paid up equity share
capital of the SPV specified in the ISDS, after two years
following commencement of Operation Service.
4.4 A firm is not permitted to participate for initial selection
for the same contract both as an individual firm and as a
part of a joint venture or as a subcontractor. However, a
firm may participate as a subcontractor in more than one
Application but only in the capacity of a subcontractor.
Applications submitted in violation of this procedure will
be rejected.

4.5 An Applicant may have the nationality of any country,

subject to the restrictions pursuant to ITA 5.1. An Applicant
shall be deemed to have the nationality of a country if the
Applicant is constituted, incorporated or registered in and
operates in conformity with the provisions of the laws of
that country, as evidenced by its articles of incorporation (or
equivalent documents of constitution or association) and its
registration documents, as the case may be. This criterion
also shall apply to the determination of the nationality of
proposed specialized sub-contractors or suppliers for any
part of the Contract including related Services.
Section I – Instructions to Applicants (ITA) 6

4.6 Applicants and proposed specialized sub-contractors or

suppliers for any part of the Contract including related
services (for the purpose of this ITA 4.6 referred to as
“Applicants”) shall not have a conflict of interest.
Applicants shall be considered to have a conflict of
interest, if they, or any of their affiliates, participated as a
consultant in the preparation of the Employer’s
Requirement (other than design to be carried out as part
of this Works Design and Build contract) or have been
hired or proposed to be hired by the Employer or
Borrower as Engineer for contract implementation of the
Works Design and Build that are the subject of this Initial
Selection. In addition, Applicants may be considered to
have a conflict of interest if they have a close business or
family relationship with a professional staff of the
Borrower (or of the project implementing agency, or of a
recipient of a part of the loan) who: (i) are directly or
indirectly involved in the preparation of the Initial
Selection Document or Request for Proposals (RFP)
Document or specifications of the Contract, and/or the
Proposal evaluation process of such Contract; or (ii)
would be involved in the implementation or supervision
of such Contract, unless the conflict stemming from such
relationship has been resolved in a manner acceptable to
the Bank throughout the procurement process and
execution of the Contract.
4.7 An Applicant that has been sanctioned by the Bank,
pursuant to the Bank’s Anti-Corruption Guidelines, and
in accordance with its prevailing sanctions policies and
procedures as set forth in the WBG’s Sanctions
Framework, as described in Section VI, paragraph 2.2 d.
shall be ineligible to be prequalified for, initially selected
for, bid for, propose for or be awarded a Bank-financed
contract or benefit from a Bank-financed contract,
financially or otherwise, during such period of time as the
Bank shall have determined.
4.8 The list of debarred firms and individuals is available as
specified in the ISDS.
4.9 Applicants that are state-owned enterprise or institutions
in the Employer’s Country may be eligible to be initially
selected, compete and be awarded a Contract(s) only if
they can establish, in a manner acceptable to the Bank,
that they (i) are legally and financially autonomous (ii)
Section I – Instructions to Applicants (ITA) 7

operate under commercial law, and (iii) are not under

supervision of the Employer.
4.10 An Applicant shall not be under suspension from bidding
or submitting proposals by the Employer as the result of
the execution of a Bid or Proposal–Securing Declaration.
4.11 An Applicant shall provide such documentary evidence of
eligibility satisfactory to the Employer, as the Employer
shall reasonably request.
4.12 A firm that is under a sanction of debarment by the
Borrower from being awarded a contract is eligible to
participate in this procurement, unless the Bank, at the
Borrower’s request, is satisfied that the debarment:
(a) relates to fraud or corruption; and
(b) followed a judicial or administrative proceeding
that afforded the firm adequate due process.

5. Eligibility 5.1 Firms and individuals may be ineligible if they are

nationals of ineligible countries as indicated in Section V.
The countries, persons or entities are ineligible if (a) as a
matter of law or official regulations, the Borrower’s
country prohibits commercial relations with that country,
provided that the Bank is satisfied that such exclusion
does not preclude effective competition for the supply of
goods or the contracting of works or services required; or
(b) by an act of compliance with a decision of the United
Nations Security Council taken under Chapter VII of the
Charter of the United Nations, the Borrower’s country
prohibits any import of goods or contracting of works or
services from that country, or any payments to any
country, person, or entity in that country. When the
Works Design and Build is implemented across
jurisdictional boundaries (and more than one country is a
Borrower, and is involved in the procurement), then
exclusion of a firm or individual on the basis of ITA
5.1(a) above by any country may be applied to that
procurement across other countries involved, if the Bank
and the Borrowers involved in the procurement agree.

B. Contents of the Initial Selection Document

6. Sections of Initial Selection 6.1 This Initial Selection Document consists of parts 1 and 2
Document which comprise all the sections indicated below, and
Section I – Instructions to Applicants (ITA) 8

which should be read in conjunction with any Addendum

issued in accordance with ITA 8.

PART 1 Initial Selection Procedures

 Section I - Instructions to Applicants (ITA)

 Section II - Initial Selection Data Sheet (ISDS)

 Section III - Initial Selection Criteria and

Requirements

 Section IV - Application Forms

 Section V – Eligible Countries

 Section VI – Fraud and Corruption

PART 2 Employer’s Requirements

 Section VII - Scope of Employer’s Requirement

6.2 Unless obtained directly from the Employer, the
Employer accepts no responsibility for the completeness
of the document, responses to requests for clarification,
the minutes of the pre-Application meeting (if any), or
Addenda to the Initial Selection Document in
accordance with ITA 8. In case of any discrepancies,
documents issued directly by the Employer shall prevail.
6.3 The Applicant is expected to examine all instructions,
forms, and terms in the Initial Selection Document and
to furnish with its Application all information or
documentation as is required by the Initial Selection
Document.
7. Clarification of Initial 7.1 An Applicant requiring any clarification of the Initial
Selection Document and Pre- Selection Document shall contact the Employer in
Application Meeting writing at the Employer’s address indicated in the ISDS.
The Employer will respond in writing to any request for
clarification provided that such request is received no later
than fourteen (14) days prior to the deadline for
submission of the applications. The Employer shall
forward a copy of its response to all prospective
Applicants who have obtained the Initial Selection
Document directly from the Employer, including a
description of the inquiry but without identifying its
source. If so indicated in the ISDS, the Employer shall
also promptly publish its response at the web page
Section I – Instructions to Applicants (ITA) 9

identified in the ISDS. Should the Employer deem it

necessary to amend the Initial Selection Document as a
result of a clarification, it shall do so following the
procedure under ITA 8 and in accordance with the
provisions of ITA 17.2.
7.2 If indicated in the ISDS, the Applicant’s designated
representative is invited at the Applicant’s cost to attend
a pre-Application meeting at the place, date and time
mentioned in the ISDS. During this pre-Application
meeting, prospective Applicants may request
clarification of the project requirement, the criteria for
qualifications or any other aspects of the Initial Selection
Document.
7.3 Minutes of the pre-Application meeting, if applicable,
including the text of the questions asked by Applicants,
including those during the meeting (without identifying
the source) and the responses given, together with any
responses prepared after the meeting will be transmitted
promptly to all prospective Applicants who have
obtained the Initial Selection Document. Any
modification to the Initial Selection Document that may
become necessary as a result of the pre-Application
meeting shall be made by the Employer exclusively
through the use of an Addendum pursuant to ITA 8.
Non-attendance at the pre-Application meeting will not
be a cause for disqualification of an Applicant.

8. Amendment of Initial 8.1 At any time prior to the deadline for submission of
Selection Document Applications, the Employer may amend the Initial
Selection Document by issuing an Addendum.
8.2 Any Addendum issued shall be part of the Initial
Selection Document and shall be communicated in
writing to all Applicants who have obtained the Initial
Selection Document from the Employer. The Employer
shall promptly publish the Addendum at the Employer’s
web page identified in the ISDS.
8.3 To give Applicants reasonable time to take an
Addendum into account in preparing their Applications,
the Employer may, at its discretion, extend the deadline
for the submission of Applications in accordance with
ITA 17.2.
Section I – Instructions to Applicants (ITA) 10

C. Preparation of Applications
9. Cost of Applications 9.1 The Applicant shall bear all costs associated with the
preparation and submission of its Application. The
Employer will in no case be responsible or liable for those
costs, regardless of the conduct or outcome of the Initial
Selection process.

10. Language of Application 10.1 The Application as well as all correspondence and
documents relating to the Initial Selection exchanged by
the Applicant and the Employer, shall be written in the
language specified in the ISDS. Supporting documents
and printed literature that are part of the Application may
be in another language, provided they are accompanied
by an accurate translation of the relevant passages in the
language specified in the ISDS, in which case, for
purposes of interpretation of the Application, the
translation shall govern.
11. Documents Comprising the 11.1 The Application shall comprise the following:
Application
(a) Application Submission Letter, in accordance
with ITA 12.1;
(b) Eligibility: documentary evidence establishing
the Applicant’s eligibility, in accordance with ITA
13.1;
(c) Qualifications: documentary evidence
establishing the Applicant’s qualifications, in
accordance with ITA 14; and
(d) any other document required as specified in the
ISDS.
11.2 The Applicant shall furnish information on commissions
and gratuities, if any, paid or to be paid to agents or any
other party relating to this Application
12. Application Submission 12.1 The Applicant shall complete an Application
Letter Submission Letter as provided in Section IV,
Application Forms. This Letter must be completed
without any alteration to its format.
13. Documents Establishing the 13.1 To establish its eligibility in accordance with ITA 4, the
Eligibility of the Applicant Applicant shall complete the eligibility declarations in
the Application Submission Letter and Forms ELI
Section I – Instructions to Applicants (ITA) 11

(eligibility) 1.1 and 1.2, included in Section IV,

Application Forms.
14. Documents Establishing the 14.1 To establish its qualifications to perform the contract(s)
Qualifications of the in accordance with Section III - Initial Selection Criteria
Applicant and Requirements, the Applicant shall provide the
information requested in the corresponding Information
Sheets included in Section IV, Application Forms.
14.2 Wherever an Application Form requires an Applicant to
state a monetary amount, Applicants should indicate the
USD equivalent using the rate of exchange determined
as follows:
(a) for construction turnover or financial data
required for each year - exchange rate prevailing
on the last day of the respective calendar year (in
which the amounts for that year are to be
converted); and
(b) value of single contract - exchange rate prevailing
on the date of the contract.
Exchange rates shall be taken from the publicly
available source identified in the ISDS. Any error in
determining the exchange rates in the Application may
be corrected by the Employer.

15. Signing of the Application 15.1 The Applicant shall prepare one original of the
and Number of Copies documents comprising the Application as described in
ITA 11 and clearly mark it “ORIGINAL”. The original
of the Application shall be typed or written in indelible
ink and shall be signed by a person duly authorized to
sign on behalf of the Applicant. In case the Applicant is a
JV, the Application shall be signed by an authorized
representative of the JV on behalf of the JV and so as to
be legally binding on all the members as evidenced by a
power of attorney signed by their legally authorized
signatories.
15.2 The Applicant shall submit copies of the signed original
Application, in the number specified in the ISDS, and
clearly mark them “COPY”. In the event of any
discrepancy between the original and the copies, the
original shall prevail.
Section I – Instructions to Applicants (ITA) 12

D. Submission of Applications
16. Sealing and Marking of 16.1 The Applicant shall enclose the original and the copies of
Applications the Application in a sealed envelope that shall:
(a) bear the name and address of the Applicant;
(b) be addressed to the Employer, in accordance with
ITA 17.1; and
(c) bear the specific identification of this Initial
Selection process indicated in the ISDS 1.1.
16.2 The Employer will accept no responsibility for not
processing any envelope that was not identified as
required in ITA 16.1 above.
17. Deadline for Submission of 17.1 Applicants may either submit their Applications by mail
Applications or by hand. Applications shall be received by the
Employer at the address and no later than the deadline
indicated in the ISDS. When so specified in the ISDS,
Applicants have the option of submitting their
Applications electronically, in accordance with
electronic Application submission procedures specified
in the ISDS.
17.2 The Employer may, at its discretion, extend the deadline
for the submission of Applications by amending the
Initial Selection Document in accordance with ITA 8, in
which case all rights and obligations of the Employer and
the Applicants subject to the previous deadline shall
thereafter be subject to the deadline as extended.

18. Late Applications 18.1 The Employer reserves the right to accept applications
received after the deadline for submission of
applications, unless otherwise specified in the ISDS.

19. Opening of Applications 19.1 The Employer shall open all Applications at the date,
time and place specified in the ISDS. Late Applications
shall be treated in accordance with ITA 18.1.
19.2 Applications submitted electronically (if permitted
pursuant to ITA 17.1) shall be opened in accordance
with the procedures specified in the ISDS.
19.3 The Employer shall prepare a record of the opening of
Applications to include, as a minimum, the name of the
Applicants. A copy of the record shall be distributed to
all Applicants.
Section I – Instructions to Applicants (ITA) 13

E. Procedures for Evaluation of Applications

20. Confidentiality 20.1 Information relating to the Applications, their evaluation
and results of the Initial Selection shall not be disclosed
to Applicants or any other persons not officially
concerned with the Initial Selection process until the
notification of Initial Selection results is made to all
Applicants in accordance with ITA 28.
20.2 From the deadline for submission of Applications to the
time of notification of the results of the Initial Selection
in accordance with ITA 28, any Applicant that wishes to
contact the Employer on any matter related to the Initial
Selection process may do so only in writing.

21. Clarification of Applications 21.1 To assist in the evaluation of Applications, the Employer
may, at its discretion, ask an Applicant for a clarification
(including missing documents) of its Application, to be
submitted within a stated reasonable period of time. Any
request for clarification from the Employer and all
clarifications from the Applicant shall be in writing.
21.2 If an Applicant does not provide clarifications and/or
documents requested by the date and time set in the
Employer’s request for clarification, its Application shall
be evaluated based on the information and documents
available at the time of evaluation of the Application.

22. Responsiveness of 22.1 The Employer may reject any Application which is not
Applications responsive to the requirements of the Initial Selection
Document. In case the information furnished by the
Applicant is incomplete or otherwise requires
clarification as per ITA 21.1, and the Applicant fails to
provide satisfactory clarification and/or missing
information, it may result in disqualification of the
Applicant.

23. Margin of Preference 23.1 Unless otherwise specified in the ISDS, a margin of
preference for domestic Proposers1 shall not apply in the
RFP process resulting from this Initial Selection.

1 An individual firm is considered a domestic Proposer for purposes of the margin of preference if it is registered in the country
of the Employer, has more than 50 percent ownership by nationals of the country of the Employer, and if it does not
subcontract more than 10 percent of the contract price, excluding provisional sums, to foreign contractors. JVs are
considered as domestic Proposers and eligible for domestic preference only if the individual member firms are registered in
the country of the Employer, have more than 50 percent ownership by nationals of the country of the Employer, and the JV
shall be registered in the country of the Borrower. The JV shall not subcontract more than 10 percent of the contract price,
excluding provisional sums, to foreign firms. JVs between foreign and national firms will not be eligible for domestic
preference.
Section I – Instructions to Applicants (ITA) 14

24. Subcontractors 24.1 Unless otherwise stated in the ISDS, the Employer does
not intend to execute any specific elements of the Works
Design and Build by sub-contractors selected in advance
by the Employer (so-called “Nominated
Subcontractors”).
24.2 The Applicant shall not propose to subcontract the
whole of the contract. The Applicant may propose
subcontractors for certain specialized parts of the
contract. Applicants planning to use such specialized
subcontractors shall specify, in the Application
Submission Letter, the parts of the contract proposed to
be subcontracted along with details of the proposed
subcontractors including their qualification and
experience.

F. Evaluation of Applications and Initial Selection of

Applicants
25. Evaluation of Applications 25.1 The Employer shall use the factors, methods, criteria,
and requirements defined in Section III, Initial Selection
Criteria and Requirements and the ISDS to evaluate the
qualifications of the Applicants, and no other factors,
methods, criteria, or requirements shall be used. The
Employer reserves the right to waive minor deviations
from the qualification criteria if they do not materially
affect the technical capability and financial resources of
an Applicant to perform the Contract.
25.2 Subcontractors proposed by the Applicant shall be fully
qualified for their parts of the contract. The
subcontractor’s qualifications shall not be used by the
Applicant to qualify for the contract unless the applicant
designates them as Specialized Subcontractors, in which
case, the qualifications of the Specialized Subcontractor
proposed by the Applicant may be added to the
qualifications of the Applicant for the purpose of the
evaluation, if specified in ISDS.

25.3 Only the qualifications of the Applicant shall be

considered. The qualifications of other firms, including
the Applicant’s subsidiaries, parent entities, affiliates,
subcontractors (other than specialized subcontractors in
accordance with ITA 25.2 above) or any other firm(s)
different from the Applicant shall not be considered.
Section I – Instructions to Applicants (ITA) 15

25.4 In case of multiple contracts, Applicants should indicate

in their Applications the individual contract or
combination of contracts in which they are interested.
The Employer shall initially select each Applicant for
the maximum combination of contracts for which the
Applicant has thereby indicated its interest and for
which the Applicant meets the appropriate aggregate
requirements specified in Section III - Initial Selection
Criteria and Requirements.
26. Employer’s Right to Accept 26.1 The Employer reserves the right to accept or reject any
or Reject Applicants Application, and to annul the Initial Selection process
and reject all Applicants at any time, without thereby
incurring any liability to the Applicants.

27. Initial Selection of Applicants 27.1 The range of Applicants that the Employer may Initially
Select (x=minimum number, y = maximum number) is
specified in the ISDS.
27.2 Initial Selection of Applicants involves several steps, as
follows:
(a) Step 1 - Table 1 Evaluation: The first step of
Initial Selection involves evaluation against the
methods, criteria and requirements described in
Section III, Table 1: Qualification Criteria and
Requirements;
(b) Step 2 - Rejection: Applicants that do not
substantially meet the qualification criteria and
requirements in Table 1: Qualification Criteria
and Requirements will not be evaluated further,
and will be eliminated from the Initial Selection
process;
(c) Step 3 - Long List: Applicants that
substantially meet the qualification criteria and
requirements in Table 1: Qualification Criteria
and Requirements will be long listed, and
evaluated further;
(d) Step 4 - Depending on the number of
Applicants that are long listed, one of the
following options will apply:
Option 1: All are Initially Selected: Where the
number of long listed Applicants is ≤x, all long-
listed Applicants are Initially Selected. In this
scenario, there is no requirement to evaluate
Section I – Instructions to Applicants (ITA) 16

these long-listed Applicants against Table 2:

Rated Criteria and Requirements;
Option 2: Applicants are evaluated using
Table 2 Evaluation: Where the number of long
listed Applicants is ˃ x, the Employer shall
evaluate all long-listed Applicants against Table
2: Rated Criteria and Requirements. This
evaluation method involves scoring each
Application against rated criteria using the
scoring methodology described;
(e) Step 5 - Rank Applicants: The total scores,
from this step of the Initial Selection evaluation,
for each long-listed Applicant are compared,
and the Applicants are ranked from the highest
to the lowest total score;
(f) Step 6 - Initial Selection up to x: In
accordance with the values selected by the
Employer for x and y, the Employer Initially
Selects the Applicants that are ranked from the
highest score, to the Applicants ranked as x;
(g) Step 7 - Reject y+1 Applicants: Where the
number of long listed Applicants is ˃y, the
Employer rejects all Applicants that are ranked
greater than y, i.e. ranked as y+1, y+2, y+3,
etc.;
(h) Step 8 - Optional, at the Employer’s
Discretion: Ranked Applicants which are
greater than x, up to, and including y, are not
normally Initially Selected. However, the
Employer may, at its sole discretion, if justified,
Initially Select one or more additional Applicant
(s) from those that are ranked x+1, up to and
including y. This Initial Selection will follow
the order of ranking (i.e. the Employer cannot
Initially Select x+2, without Initially Selecting
x+1).

28. Notification of Initial 28.1 The Employer shall notify all Initially Selected
Selection Applicants in writing that they have been Initially
Selected. In providing this notification the Employer
shall include the names of all Applicants that have been
Initially Selected.
Section I – Instructions to Applicants (ITA) 17

28.2 The Employer shall separately notify all other

Applicants that they have not been Initially Selected, and
that they have been eliminated from the process. Any
Applicant that has been eliminated from the process at
this stage may request, in writing, the grounds on which
they were eliminated.

29. Request for Proposals 29.1 Promptly after the notification of the results of the Initial
Selection, the Employer shall invite Proposals from all
the Applicants that have been initially selected.
29.2 Proposers may be required to provide a Proposal
Security or a Proposal-Securing Declaration acceptable
to the Employer in the form and an amount to be
specified in the RFP Document, and the successful
Proposer shall be required to provide a Performance
Security as specified in the RFP Document.
29.3 The successful Proposer shall be required to provide a
Performance Security as specified in the RFP document.
29.4 If applicable, the successful Proposer may also be
required to provide a separate Environmental and Social
(ES) Performance Security.
29.5 Proposers shall be required to provide a Code of
Conduct which will apply to their employees and sub-
contractors that includes the minimum requirements
specified in the RFP document.
29.6 Proposers shall be required to submit management
strategies and implementation plans that address key
Environmental and Social (ES) risks (including Sexual
Exploitation and Assault (SEA)).
29.7 If required in the RFP document, the successful
Proposer shall provide additional information about its
beneficial ownership using the Beneficial Ownership
Disclosure Form included in the RFP document
30. Changes in Qualifications of 30.1 Any change in the structure or formation of an Applicant
Applicants after being initially selected in accordance with ITA 27
and invited to submit Proposal (including, in the case of
a JV, any change in the structure or formation of any
member and also including any change in any
specialized subcontractor) shall be subject to the written
approval of the Employer prior to the deadline for
submission of Proposals. Such approval shall be denied
if (i) an initially selected applicant proposes to associate
Section I – Instructions to Applicants (ITA) 18

with a disqualified applicant or in case of a disqualified

joint venture, any of its members; (ii) as a consequence
of the change, the Applicant no longer substantially
meets the qualification criteria set forth in Section III -
Initial Selection Criteria and Requirements Table 1-
Qualification Criteria, and Requirements; or (iii) no
longer continues to be in the list of Initially Selected
Applicants as a result of the Employer’s re-evaluation of
the Application in accordance with ITA 27; or (iv) in the
opinion of the Employer, the change may result in a
substantial reduction in competition. Any such change
should be submitted to the Employer not later than
fourteen (14) days after the date of the Request for
Proposals.
31. Procurement Related 31.1 The procedures for making a Procurement-related
Complaint Complaint are as specified in the ISDS.
Section II – Initial Selection Data Sheet (ISDS) 19

Section II - Initial Selection Data Sheet (ISDS)

A. General
ITA 1.1 The identification of the Invitation for Initial Selection is: [insert number]
The Employer is: [ insert full name, including name of Project Officer, and
address]
The list of contract/s is: [insert number, name/s and identification number/s.]
RFP name and number are: [insert name and identification number]

ITA 2.1 The Borrower is: [insert name of the Borrower and statement of relationship
with the Employer, if different from the Borrower. This insertion should
correspond to the information provided in the RFP]
Loan or Financing Agreement amount: [insert US$ equivalent]
____________________________
The name of the Project is: [insert name of Project]

ITA 4.2 Maximum number of members in the JV shall be: [insert a number or insert
“not limited”]

ITA 4.3 The Applicant is permitted to form an SPV [yes/ no]

Where an SPV is permitted,
 The Lead Member in the SPV shall hold equity share capital not less
than the percentage of [ ] ([ ]%) of the subscribed and paid up equity of
the SPV; and
 each member other than the Lead Member in the SPV shall hold equity
share capital not less than the percentage of [ ] ([ ]% percent) of the
subscribed and paid up equity of the SPV.
A member of the JV/ SPV other than the Lead Member may dilute its interest
in the JV or reduce its share capital in accordance with ITA 4.3 [yes/ no]
In the case of an SPV, the member that is not the Lead Member may reduce
its interest in the SPV subject to ITA 4.3 to not less than [] % ([] percent]) of
the subscribed and paid up equity share capital of the SPV.
The Lead Member of the JV/ SPV may dilute its interest in the JV or reduce
its share capital in accordance with ITA 4.3 [yes/ no]
In the case of an SPV, the Lead Member may reduce its interest in the SPV
subject to ITA 4.3 to not less than [] % ([] percent]) of the subscribed and paid
up equity share capital of the SPV.
Section II – Initial Selection Data Sheet (ISDS) 20

ITA 4.9 A list of debarred firms and individuals is available on the Bank’s external
website: http://www.worldbank.org/debarr.

B. Contents of the Initial Selection Document

ITA 7.1 For clarification purposes, the Employer's address is:

[insert information or state “same as in ITA1.1 above”]
Attention: [insert name and room number of Project Officer]
Address: [insert street name and number]
[insert floor and room number, if applicable]
City: [insert name of city or town]
ZIP Code: [insert postal (ZIP) code, if applicable]
Country: [insert name of country]]
Telephone: [insert telephone number including country and city codes]
Facsimile number: [insert fax number including country and city codes]
Electronic mail address: [insert e-mail address of Project Officer]

ITA 7.1 & 8.2 Web page: [In case used, identify the widely-used website or electronic portal
of free access where Initial Selection information is published]

ITA 7.2 Pre-Application Meeting will be held: [Yes/No]

[If Yes, please add the address, date and time of the meeting]

C. Preparation of Applications
ITA 10.1 This Initial Selection document has been issued in the [Insert “English” or
“French” or “Spanish”] language.
[Note: In addition to one of the above languages, and if agreed with the Bank,
the Borrower has the option to issue translated versions of the Initial Selection
document in another language which should either be: (a) the national language
of the Borrower; or (b) the language used nation-wide in the Borrower’s
country for commercial transactions. In such case, the following text shall be
added:]
“In addition, the Initial Selection document is translated into the [insert national
or nation-wide used] language [if there are more than one national or nation-
wide used language, add “and in the ____________” [insert the second
national or nation-wide language].
Applicants shall have the option to submit their Initial Selection Application in
any one of the languages stated above. Applicants shall not submit Applications
in more than one language.]”
Section II – Initial Selection Data Sheet (ISDS) 21

All correspondence exchange shall be in ____________ language.

The Application as well as all correspondence shall be submitted in
_____________________. [Insert the language of the Initial Selection document
in case of one language]
[Note: If the Initial Selection document is issued in more than one language, the
following text shall be inserted above: “in one of the above languages”]
Language for translation of supporting documents and printed literature is
_______________________. [Specify one language]

ITA 11.1 (d) The Applicant shall submit with its Application, the following additional
documents: [insert list of additional documents]

ITA 14.2 The source for determining exchange rates is [insert a publicly available source]

ITA 15.2 In addition to the original, the number of copies to be submitted with the
Application is: [insert number of copies]

D. Submission of Applications
ITA 17.1 The deadline for Application submission is:
Date: [insert date]
Time: [insert time]
[The time allowed for preparation and submission of the Initial Selection
document should be sufficient for Applicants to gather all the information
required—preferably eight weeks, but in any case, not less than six weeks after
the date when the documents are available for distribution or the date of the
advertisement, whichever is later. This period may be longer for very large
contracts, where time should be allowed for the formation of joint ventures and
assembly of the necessary resources.]
For Application submission purposes only, the Employer's address is:
[insert information requested below or insert “Employer’s address is the same
as that indicated in 1.1]
Attention: [insert name and room number of Project Officer]
Address: [insert street name and number]
[insert floor and room number, if applicable]
City: [insert name of city or town]
ZIP Code: [insert postal (ZIP) code, if applicable]
Country: [insert name of country]
Telephone: [insert telephone number including country and city codes]
Section II – Initial Selection Data Sheet (ISDS) 22

Facsimile number: [insert fax number including country and city codes]
Email address: [insert e-mail address of Project Officer]
Applicants [insert “shall” or “shall not”] have the option of submitting their
Applications electronically.
[The following provision should be included and the required
corresponding information inserted only if Applicants have the option of
submitting their Applications electronically. Otherwise omit.]
The electronic Application submission procedures shall be: [insert a
description of the electronic Application submission procedures.]

ITA 18.1 [Choose one of the two options below:]

Late Applications will be returned unopened to the Applicants.
[or]
The Employer reserves the right to accept or reject late Applications.

ITA 19.1 The opening of the Applications shall be at [Insert date, time and address]

ITA 19.2 [The following provision should be included and the required
corresponding information inserted only if Applicants have the option of
submitting their Applications electronically. Otherwise omit.]
The electronic Application opening procedures shall be: [insert a description
of the electronic Application opening procedures.]

E. Procedures for Evaluation of Applications

ITA 24.1 At this time the Employer [insert “intends” or “does not intend”] to execute
certain specific parts of the contract by sub-contractors selected in advance.
[If the above states “intends” list the specific parts of the contract and the
respective sub-contractors]

F. Evaluation of Applications and Initial Selection of Applicants

ITA 25.2 The relevant qualifications of the proposed Specialized Subcontractors [‘will
be’/ ‘will not be’] added to the qualifications of the Applicant for the purpose of
evaluation as indicated in Section III - Initial Selection Criteria and
Requirements.

ITA 27.1 Initial Selection – minimum number (x)

The Employer intends to Initially Select the following number of long listed
Applications: [write number in text (insert numerical number)]. This number is
referred to as x, and is the minimum number to be Initially Selected.
Initial Selection – maximum number (y)
Section II – Initial Selection Data Sheet (ISDS) 23

The Employer, may, at its sole discretion, Initially Select more than the
minimum number of long listed Applications. The maximum number that may
be Initially Selected is [write number in text (insert numerical number)]. This
number is referred to as y.
[Select numbers for x and y based on the results of the market analysis and other
findings in the PPSD. However, for Competitive Dialogue selection method x is
normally not less than three (3) Applications and y is not exceeding six (6)
Applications.]

ITA 31.1 The procedures for making a Procurement-related Complaint are detailed in
the “Procurement Regulations for IPF Borrowers (Annex III).” If an Applicant
wishes to make a Procurement-related Complaint, the Applicant should submit
its complaint following these procedures, in writing (by the quickest means
available, that is either by email or fax), to:
For the attention: [insert full name of person receiving complaints]
Title/position: [insert title/position]
Employer: [insert name of Employer]
Email address: [insert email address]
Fax number: [insert fax number] delete if not used
In summary, at this stage, a Procurement-related Complaint may challenge any
of the following:
1. the terms of the Initial Selection Document; and
2. the Employer’s decision not to initially select an Applicant
Section III – Initial Selection Criteria and Requirements 24

Section III - Initial Selection Criteria and

Requirements
This section contains all the methods, criteria, and requirements that the Employer shall use to
evaluate Applications. The information to be provided in relation to each requirement and the
definitions of the corresponding terms are included in the respective Application Forms.

Contents
Table 1 – Qualification Criteria and Requirements ...........................................................25
1. Eligibility ..................................................................................................................25
2. Historical Contract Non-Performance ......................................................................26
3. Financial Situation and Performance ........................................................................28
4. Experience.................................................................................................................30
Table 2 – Rated Criteria and Requirements .......................................................................36
1. Past Experience .........................................................................................................36
Section III – Initial Selection Criteria and Requirements 25

Table 1 – Qualification Criteria and Requirements

[Note to Employer: Only applications that are substantially responsive to the qualification criteria and requirements in Table 1 are to be
assessed against Table 2, Rated Criteria and Requirements.]

1. Eligibility
Criteria Joint Venture Documentation
Single Entity
Requirements All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
1.1 Nationality Nationality in accordance with ITA 4.5 Forms ELI – 1.1 and
Must meet Must meet Must meet
N/A 1.2, with
requirement requirement requirement
attachments
1.2 Conflict of No conflicts of interest in accordance Must meet Must meet Must meet Application
N/A
Interest with ITA 4.6 requirement requirement requirement Submission Letter
1.3 Bank Not having been declared ineligible by Must meet Must meet Must meet N/A Application
Eligibility the Bank, as described in ITA 4.7 and 5.1 requirement requirement requirement Submission Letter

1.4 United Not having been excluded as a result of

Nations prohibition in the Borrower’s country
resolution laws or official regulations against
N/A Forms ELI – 1.1 and
or commercial relations with the Must meet Must meet Must meet
1.2, with
Borrower’s Applicant’s country, or by an act of requirement requirement requirement
attachments
country law compliance with UN Security Council
resolution, both in accordance with ITA
5.1 and Section V.
Section III – Initial Selection Criteria and Requirements 26

2. Historical Contract Non-Performance

Criteria Joint Venture Documentation

Single Entity
Requirements All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined

2.1 History of Non-performance of a contract1 did not Form CON-2

Non- occur as a result of contractor’s default Must meet Must meet Must meet
since 1st January [insert year]. N/A
Performing requirement1 requirements requirement2
Contracts
2.2 Suspension Not under suspension based on execution Application
Based on of Bid or Proposal Securing Declaration Submission Letter
Execution of pursuant to ITA 4.10.
Bid or
Must meet Must meet Must meet
Proposal N/A
requirement requirement requirement
Securing
Declaration
by the
Employer
2.3 Pending Applicant’s financial position and Form CON – 2
Litigation prospective long-term profitability still
sound according to criteria established in Must meet Must meet
N/A N/A
3.1 below and assuming that all pending requirement requirement
litigation will be resolved against the
Applicant
2.4 Litigation No consistent history of court/arbitral Must meet Must meet Must meet N/A Form CON – 2

1
Nonperformance, as decided by the Employer, shall include all contracts where (a) nonperformance was not challenged by the contractor, including through referral to the dispute
resolution mechanism under the respective contract, and (b) contracts that were so challenged but fully settled against the contractor. Nonperformance shall not include contracts
where Employers decision was overruled by the dispute resolution mechanism. Nonperformance must be based on all information on fully settled disputes or litigation, i.e. dispute
or litigation that has been resolved in accordance with the dispute resolution mechanism under the respective contract and where all appeal instances available to the applicant have
been exhausted.
2 This requirement also applies to contracts executed by the Applicant as JV member.
Section III – Initial Selection Criteria and Requirements 27

Criteria Joint Venture Documentation

Single Entity
Requirements All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
History award decisions against the Applicant3 requirement requirement requirement
since 1st January [insert year]
2.5 Declaration: Declare any civil work contracts that have Each must
Environment been suspended or terminated and/or make the
Must make the
al and Social performance security called by an declaration.
declaration.
(ES) past employer for reasons related to the non- Where there
Where there is
performance compliance of any environmental, or is
Specialized
social (including Sexual Exploitation Specialized
Sub-
and Assault or gender based violence) Sub- Form CON-3 ES
contractor/s
contractual obligations in the past five N/A contractor/s N/A Performance
such
years.4 such Declaration
Specialized
Specialized
Sub-
Sub-
contractor/s
contractor/s
must make the
must make
declaration.
the
declaration.

3 The Applicant shall provide accurate information on the related Application Form about any litigation or arbitration resulting from contracts completed or ongoing under its execution
over the last five years. A consistent history of awards against the Applicant or any member of a joint venture may result in rejection of the Application.
4 The Employer may use this information to seek further information or clarifications during the request for proposal stage and the associated due diligence.
Section III – Initial Selection Criteria and Requirements 28

3. Financial Situation and Performance

Criteria Joint Venture Requirements Documentation

Single Entity All
Requirements Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined

3.1 Financial (i) The Applicant shall demonstrate Must meet Must meet N/A Lead Form FIN – 3.1,
Capabilities that it has access to, or has available, requirement requirement member with attachments
liquid assets, unencumbered real must meet
assets, lines of credit, and other [50% of]
financial means (independent of any requirement
contractual advance payment)
sufficient to meet the cash flow
requirements estimated as USD $
[insert amount in US$] for the subject
contract(s) net of the Applicants other
commitments. [In case the contracts
are to be procured as individual
contracts under a slice and package
(multiple contracts) state the cash flow
requirement to qualify for individual
and multiple contracts.]

(ii) The Applicant shall also

Must meet Must meet Must meet N/A
demonstrate, to the satisfaction of the
requirement requirement requirement
Employer, that it has adequate sources
of finance to meet the cash flow
requirements on contracts currently in
progress and for future contract
commitments.

(iii) The audited balance sheets or, if

not required by the laws of the Must meet N/A N/A
Must meet
Applicant’s country, other financial requirement
requirement
Section III – Initial Selection Criteria and Requirements 29

Criteria Joint Venture Requirements Documentation

Single Entity All
Requirements Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
statements acceptable to the Employer,
for the last [insert number] years shall
be submitted and must demonstrate the
current soundness of the Applicant’s
financial position and indicate its
prospective long-term profitability.
3.2 Average Minimum average annual construction Must meet Must meet Must meet Lead Form FIN – 3.2
Annual turnover of US$ [insert amount in US$ requirement requirement [insert member
Turnover equivalent in words and figures], number] %, must meet
calculated as total certified payments [insert [insert
received for contracts in progress percentage number] %,
and/or completed within the last [insert in words] of [insert
number] years, divided by [insert the percentage
number of years in words] years. [In requirement in words] of
case the contracts are to be procured as the
individual contracts under a slice and requirement
package (multiple contracts) state the
average annual turnover requirement
to qualify for individual and multiple
contracts.]
Section III – Initial Selection Criteria and Requirements 30

4. Experience

Criteria Single Entity Joint Venture Requirements Documentation

Requirements

All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
4.1 DBO Employer shall delete (a) or (b) Must meet Must meet N/A N/A Form EXP - 4.1
Experience depending on whether it anticipates requirement requirement
there will be a sufficient number of
potential bidders with DBO
experience:

(a) Experience of similar DBO

contracts is a mandatory qualification
criterion to qualify for the long-list
under ISDS 27.2(c).] The experience
requirement is a minimum number of
[state the number] of similar DBO
contracts for [Water/ Wastewater]
treatment plants as prime contractor,
lead member of a joint venture, or
management contractor, which are
either operational at the date of
application, or in which the operations
period ended after 1st January [insert
year].

(b) Experience of similar DBO

contracts is not a mandatory
qualification criterion under Table 1,
but is a rated experience criterion
under Table 2. The rating experience
requirement is for similar DBO
contracts for [Water/ Wastewater]
Section III – Initial Selection Criteria and Requirements 31

Criteria Single Entity Joint Venture Requirements Documentation

Requirements

All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
treatment plants undertaken as prime
contractor, lead member of a joint
venture, or management contractor,
which are either operational at the
date of application, or in which the
operations period ended after 1st
January [insert year].

The selected DBO contracts shall:

 have a minimum design
capacity of [ …], and
 have been operating for at
least two years since
commissioning, and
 have been operating
satisfactorily since
commissioning.

4.2 Design A minimum number of [state the Must meet N/A Must meet Form EXP - 4.2
Experience number] contracts for the design of [ requirement requirement
water/ wastewater] treatment plants
undertaken as lead design engineer
between 1st January [insert year] and
Application submission deadline.

The selected design contracts shall

relate to treatment plant that:
 have been satisfactorily and
substantially completed, and
Section III – Initial Selection Criteria and Requirements 32

Criteria Single Entity Joint Venture Requirements Documentation

Requirements

All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined
 each have a minimum value
of [ …]
NB: The above specific experience
requirements may be met by
specialized subcontractors.
4.3 Construction A minimum number of [state the Must meet Must meet N/A N/A Form EXP - 4.3
Experience number] construction contracts for [ requirement requirement
water/ wastewater] treatment plants
that have been satisfactorily and
substantially completed as a prime
contractor, joint venture member,
management contractor or
subcontractor between 1st January
[insert year] and Application
submission deadline.

The value of the member’s

participation in each selected
construction contract shall be a
minimum of [ …],]

NB: The above specific experience

requirements may be met by
specialized subcontractors.

4.4 Operations Employer shall delete (a) or (b) Must meet N/A Lead Form EXP - 4.4
experience depending on whether it anticipates requirement member
there will be a sufficient number must meet
potential bidders with relevant requirement
operations experience:
Section III – Initial Selection Criteria and Requirements 33

Criteria Single Entity Joint Venture Requirements Documentation

Requirements

All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined

(a) Experience of similar operations

contracts is a mandatory qualification
criterion to qualify for the long-list
under ISDS 27.2(c).] The experience
requirement is a minimum number of
[state the number] of similar
operations contracts for [Water/
Wastewater] treatment plants as prime
contractor, lead member of a joint
venture, or management contractor,
which are either operational at the
date of application, or in which the
operations period ended after 1st
January [insert year].

(b) Experience of similar operations

contracts is not a mandatory
qualification criterion under Table 1,
but is a rated experience criterion
under Table 2. The rating experience
requirement is for similar operations
contracts for [Water/ Wastewater]
treatment plants undertaken as prime
contractor, lead member of a joint
venture, or management contractor,
which are either operational at the
date of application, or in which the
operations period ended after 1st
January [insert year].
Section III – Initial Selection Criteria and Requirements 34

Criteria Single Entity Joint Venture Requirements Documentation

Requirements

All
Each One Submission
No. Subject Requirement Members
Member Member Requirements
Combined

The selected operations contracts:

 Shall relate to treatment plant
with a minimum capacity of [
…]
 Shall have a contract period
of three years or more
 Shall have been operating
satisfactorily since
commencement

NB: The above specific experience

requirements may NOT be met by
specialized subcontractors]
4.5 Specific For the contracts in 4.2 to 4.4 above Must meet Must meet Must meet Must meet Form EXP – 4.5
Experience in and/or any other contracts requirement requirement the the
managing ES [substantially completed and under following following
aspects implementation] as prime contractor, requirement requirement
joint venture member, or s: [list key s: [list key
Subcontractor between 1st January requiremen requiremen
[insert year] and Application ts to be met ts to be met
submission deadline, experience in by each by one
managing ES risks and impacts in the member member
following aspects: [Based on the ES otherwise otherwise
assessment, specify, as appropriate, state: state:
specific experience requirements to ”N/A”] ”N/A”]
manage ES aspects.]
Section III – Initial Selection Criteria and Requirements 35

General notes for the Applicant:

1. The Applicant may use a single contract to satisfy two or more criteria requirements. In such cases, the Applicant shall complete separate EXP
forms for each subject contract type. (For example, if a contractor undertook both design and construction on a similar contract, it may use that
experience to qualify under Design Experience and Construction Experience. It such case it would complete forms EXP-4.2 and EXP-4.3.)

2. Substantial completion shall be based on 80% or more of the contract completed.

3. For contracts under which the Applicant participated as a joint venture member or sub-contractor, only the Applicant’s role and responsibilities
shall be considered as qualifying experience.

Notes for the Employer

1. If the contracts are to be procured as individual contracts under a slice and package arrangement (multiple contracts), the Employer should state
the requirements to qualify for individual and multiple contracts (e.g. number of contracts, minimum and aggregate values).

2. The manner JV members should meet the requirements may be modified depending on the market and specifics of the proposed contract.
Section III – Initial Selection Criteria and Requirements 36

Table 2 – Rated Criteria and Requirements

[Note to Employer: The criteria, requirements, maximum scores, weightings and scoring methodology contained in the table below is an
example only and may be modified to suit the nature and complexity of the contract. Only applications that are substantially responsive
to the qualification criteria and requirements in Table 1 are to be assessed against Table 2, Rated Criteria and Requirements]
1. Past Experience

Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement

Number of similar contracts [Select a In case of JV, Form EXP 4.1 –

[Number of satisfactory contracts that exceed the number specified in Table 1, Sub-Factor 4 (where maximum the experience 4.4
this number is z) that are: score] shall be
provided by
1. similar to the Requirements (Reference Table 1, 4); and the member or
2. completed during the past___ years. [insert number equal or more than the number of years members
specified in Table 1, Sub-Factor 4] ] indicated in
Scoring methodology: Table 1.
Number of satisfactory similar contracts (z)
Contract Type [>= z+4 z+3 [z+2 [z+1 [z contracts]
contracts] contracts] contracts] contracts]
Design-Build-Operate contracts* [insert no.
[100] [90] [75] [50] from
Table 1]
Design contracts [insert no.
[20] [20] [15] [10] from
Table 1]
Construction contracts [insert no.
[20] [20] [15] [10] from
Table 1]
Operations contracts* [insert no.
[50] [45] [40] [25] from
Table 1]
Section III – Initial Selection Criteria and Requirements 37

Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement
* In the case that DBO and/or Operations experience is not a mandatory qualifying requirement in Table 1 then their
corresponding value of “z” is zero.

The total evaluated score is the aggregate of the scores for each contract type. The total evaluated
score shall not exceed the maximum score in column 2.

[It is recommended that the Employer should include an example of how the scoring system will be
applied by providing a worked example similar to the following:

Example: Applicant A has the following experience in excess of the minimum number of contracts
required in Table 1: 1 DBO contract, 3 design contracts, 0 construction contracts, and 2 operations
contracts. Using the values in the scoring table above, the evaluated score would be 50 + 20 + 40 =
110. However, if the maximum score in Column 2 was 100, then the applicant would score only
100.]
Section IV – Application Forms 38

Section IV - Application Forms

Table of Forms

Application Submission Letter .............................................................................................39

Applicant Information Form ................................................................................................41
Applicant's JV Information Form ........................................................................................42
Historical Contract Non-Performance, and Pending Litigation and Litigation History 43
ES Performance Declaration ................................................................................................45
Financial Situation and Performance ..................................................................................47
Average Annual Construction Turnover .............................................................................49
Specific DBO Experience ......................................................................................................50
Specific Design Experience....................................................................................................52
Specific Construction Experience .........................................................................................54
Specific Operations Experience ............................................................................................56
Specific Experience in Managing ES aspects ......................................................................58
Section IV – Application Forms 39

Application Submission Letter

Date: [insert day, month, and year]
RFP No. and title: [insert RFP number and title]

To: [insert full name of Employer]

We, the undersigned, apply to be initially selected for the referenced Request for Proposal (RFP) and
declare that:

(a) No reservations: We have examined and have no reservations to the Initial Selection
Document, including Addendum(s) No(s). issued in accordance with ITA 8: [insert the
number and issuing date of each addendum].
(b) No conflict of interest: We have no conflict of interest in accordance with ITA 4.6;
(c) Eligibility: We (and our subcontractors) meet the eligibility requirements as stated in ITA 4, we
have not been suspended by the Employer based on execution of a Bid-Securing Declaration or
Proposal-Securing Declaration in accordance with ITA 4.10;
(d) Suspension and Debarment: We, along with any of our subcontractors, suppliers,
consultants, manufacturers, or service providers for any part of the contract, are not
subject to, and not controlled by any entity or individual that is subject to, a temporary
suspension or a debarment imposed by the World Bank Group or a debarment imposed by
the World Bank Group in accordance with the Agreement for Mutual Enforcement of
Debarment Decisions between the World Bank and other development banks. Further, we
are not ineligible under the Employer’s country laws or official regulations or pursuant to
a decision of the United Nations Security Council;
(e) State-owned enterprise or institution: [select the appropriate option and delete the other]
[We are not a state-owned enterprise or institution] / [We are a state-owned enterprise or
institution but meet the requirements of ITA 4.9];
(f) (f)Subcontractors and Specialized Subcontractors: We, in accordance with ITA 24.2
and 25.2, plan to subcontract the following parts of the contract:
[Insert any part of the contract which the Applicant intends to subcontract along with
complete details of the Specialized Subcontractors, their qualification and experience]
(g) Commissions, gratuities, fees: We declare that the following commissions, gratuities, or
fees have been paid or are to be paid with respect to the Initial Selection process, the
corresponding RFP process or execution of the Contract:

Name of Recipient Address Reason Amount

[insert full name for [insert street/ [indicate reason] [specify amount
each occurrence] number/city/country] currency, value,
exchange rate and
US$ equivalent]
Section IV – Application Forms 40

________________ ________________ ________________ ________________

________________ ________________ ________________ ________________
________________ ________________ ________________ ________________
________________ ________________ ________________ ________________
[If no payments are made or promised, add the following statement: “No commissions or gratuities
have been or are to be paid by us to agents or any third party relating to this Application]

(h) Not bound to accept: We understand that you may cancel the Initial Selection process at
any time and that you are neither bound to accept any Application that you may receive nor
to invite the initially selected Applicants to submit Proposal for the contract subject of this
Initial selection process, without incurring any liability to the Applicants, in accordance with
ITA 26.1.
(i) True and correct: All information, statements and description contained in the Application are
in all respect true, correct and complete to the best of our knowledge and belief.

Signed [insert signature(s) of an authorized representative(s) of the Applicant]

Name [insert full name of person signing the Application]

In the capacity of [insert capacity of person signing the Application]

Duly authorized to sign the Application for and on behalf of:

Applicant’s Name [insert full name of Applicant or the name of the JV]

Address [insert street number/town or city/country address]

Dated on [insert day number] day of [insert month], [insert year]

[For a joint venture, either all members shall sign or only the authorized representative, in
which case the power of attorney to sign on behalf of all members shall be attached]
Section IV – Application Forms 41

Form ELI -1.1

Applicant Information Form
Date: [insert day, month, year]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Applicant's name
[insert full name]
In case of Joint Venture (JV), name of each member:
[insert full name of each member in JV]
Applicant's actual or intended country of registration:
[indicate country of Constitution]
Applicant's actual or intended year of incorporation:
[indicate year of Constitution]
Applicant's legal address [in country of registration]:
[insert street/ number/ town or city/ country]
Applicant's authorized representative information
Name: [insert full name]
Address: [insert street/ number/ town or city/ country]
Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes]
E-mail address: [indicate e-mail address]
1. Attached are copies of original documents of
 Articles of Incorporation (or equivalent documents of constitution or association), and/or
documents of registration of the legal entity named above, in accordance with ITA 4.5.
 In case of JV, letter of intent to form JV or JV agreement, in accordance with ITA 4.2.
 In case of state-owned enterprise or institution, in accordance with ITA 4.9 documents
establishing:
 Legal and financial autonomy
 Operation under commercial law
 Establishing that the Applicant is not under supervision of the Employer
2. Included are the organizational chart, a list of Board of Directors, and the beneficial
ownership.
Section IV – Application Forms 42

Form ELI -1.2

Applicant's JV Information Form
[The following form is additional to Form ELI – 1.1., and shall be completed to provide information
relating to each JV member (in case the Applicant is a JV) as well as any Specialized Subcontractor
proposed to be used by the Applicant for any part of the Contract resulting from this Initial Selection]

Date: [insert day, month, year]

RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Applicant name:
[insert full name]
Applicant's JV Member’s name:
[insert full name of Applicant's JV Member]
Applicant's JV Member’s country of registration:
[indicate country of registration]
Applicant JV Member’s year of constitution:
[indicate year of constitution]
Applicant JV Member’s legal address in country of constitution:
[insert street/ number/ town or city/ country]
Applicant JV Member’s Lead Member information
Name: [insert full name]
Address: [insert street/ number/ town or city/ country]
Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes]
E-mail address: [indicate e-mail address]
1. Attached are copies of original documents of
 Articles of Incorporation (or equivalent documents of constitution or association), and/or registration
documents of the legal entity named above, in accordance with ITA 4.5.
 In case of a state-owned enterprise or institution, documents establishing legal and financial
autonomy, operation in accordance with commercial law, and they are not under the supervision of
the Employer, in accordance with ITA 4.9.
2. Included are the organizational chart, a list of Board of Directors, and the beneficial ownership.
Section IV – Application Forms 43

Form CON – 2
Historical Contract Non-Performance, and
Pending Litigation and Litigation History
[The following table shall be filled in for the Applicant and for each member of a Joint Venture]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member’s Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Non-Performed Contracts in accordance with Section III, Table 1 Qualification Criteria, and
Requirements
 Contract non-performance did not occur since 1st January [insert year] specified in Section III, –
Table 1 Qualification Criteria, and Requirements, Sub-Factor 2.1.
 Contract(s) not performed since 1st January [insert year] specified in Section III, – Table 1
Qualification Criteria, and Requirements, Sub-Factor 2.1.
Year Non- Contract Identification Total Contract
performed Amount (current
portion of value, currency,
contract exchange rate
and US$
equivalent)
[insert [insert amount Contract Identification: [indicate complete contract [insert amount]
year] and percentage] name/ number, and any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert street/city/country]
Reason(s) for nonperformance: [indicate main
reason(s)]
Pending Litigation, in accordance with Section III, Table 1 Qualification Criteria, and Requirements
 No pending litigation in accordance with Section III, Table 1 Qualification Criteria, and
Requirements, Sub-Factor 2.3.
 Pending litigation in accordance with Section III, Table 1 Qualification Criteria, and
Requirements, Sub-Factor 2.3 as indicated below.
Section IV – Application Forms 44

Year of Amount in dispute Contract Identification Total Contract

dispute (currency) Amount
(currency), USD
Equivalent
(exchange rate)
[insert [insert amount] Contract Identification: [indicate [insert amount]
year] complete contract name, number, and
any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert
street/city/country]
Matter in dispute: [indicate main issues
in dispute]
Party who initiated the dispute:
[indicate “Employer” or “Contractor”]
Status of dispute: [Indicate if it is being

treated by the Adjudicator, under

Arbitration or being dealt with by the

Judiciary]
Litigation History in accordance with Section III, Table 1 Qualification Criteria, and
Requirements
 No Litigation History in accordance with Section III, Table 1 Qualification Criteria, and
Requirements, Sub-Factor 2.4.
 Litigation History in accordance with Section III, Table 1 Qualification Criteria, and
Requirements, Sub-Factor 2.4 as indicated below.
Year of Outcome as Contract Identification Total Contract
award percentage of Net Amount
Worth (currency), USD
Equivalent
(exchange rate)
[insert [insert Contract Identification: [indicate [insert amount]
year] percentage] complete contract name, number, and
any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert
street/city/country]
Matter in dispute: [indicate main issues
in dispute]
Party who initiated the dispute:
[indicate “Employer” or “Contractor”]
Reason(s) for Litigation and award
decision [indicate main reason(s)]
Section IV – Application Forms 45

Form CON – 3
ES Performance Declaration
[The following table shall be filled in for the Applicant, each member of a Joint Venture and each
Specialized Subcontractor]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member’s or Specialized Subcontractor’s Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Environmental and Social Performance Declaration

in accordance with Section III, Qualification Criteria, and Requirements
 No suspension or termination of contract: An employer has not suspended or terminated a
contract and/or called the performance security for a contract for reasons related to
Environmental and Social (ES) performance since the date specified in Section III, Qualification
Criteria, and Requirements, Sub-Factor 2.5.
 Declaration of suspension or termination of contract: The following contract(s) has/have
been suspended or terminated and/or Performance Security called by an employer(s) for reasons
related to Environmental and Social (ES) performance since the date specified in Section III,
Qualification Criteria, and Requirements, Sub-Factor 2.5. Details are described below:
Year Suspended or Contract Identification Total Contract
terminated Amount (current
portion of value, currency,
contract exchange rate
and US$
equivalent)
[insert [insert amount Contract Identification: [indicate complete contract [insert amount]
year] and percentage] name/ number, and any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert street/city/country]
Reason(s) for suspension or termination: [indicate
main reason(s) e.g. for gender based violence ; sexual
exploitation or assault breaches]breaches]
[insert [insert amount Contract Identification: [indicate complete contract [insert amount]
year] and percentage] name/ number, and any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert street/city/country]
Reason(s) for suspension or termination: [indicate
Section IV – Application Forms 46

main reason(s)]
… … [list all applicable contracts] …
Performance Security called by an employer(s) for reasons related to ES performance
Year Contract Identification Total Contract
Amount (current
value, currency,
exchange rate and
US$ equivalent)
[insert Contract Identification: [indicate complete contract name/ number, and [insert amount]
year] any other identification]
Name of Employer: [insert full name]
Address of Employer: [insert street/city/country]
Reason(s) for calling of performance security: [indicate main reason(s)
e.g. gender-based violence; sexual exploitation or assault breaches]
Section IV – Application Forms 47

Form FIN – 3.1

Financial Situation and Performance
[The following table shall be filled in for the Applicant and for each member of a Joint Venture]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

1. Financial data
Type of Financial information Historic information for previous _ [insert number] years,
in [insert in words]
(currency) (amount in currency, currency, exchange rate*, USD
equivalent)
Year 1 Year 2 Year 3 Year4 Year 5

Statement of Financial Position (Information from Balance Sheet)

Total Asses (TA)

Total Liabilities (TL)

Total Equity/Net Worth (NW)

Curent Asses (CA)

Curent Labilités (CL)

Waring Capital (WC)

Information from Income Statement

Total Revenue (TR)

Profits Before Taxes (PBT)

Cash Flow Information

Cash Flow from Operating
Activities

* Refer ITA 14 for the exchange rate

Section IV – Application Forms 48

2. Sources of Finance

[The following table shall be filled in for the Applicant and all parties combined in case of a Joint
Venture]

Specify sources of finance to meet the cash flow requirements on contracts currently in
progress and for future contract commitments.

No. Source of finance Amount (US$ equivalent)

3. Financial documents

The Applicant and its parties shall provide copies of financial statements for [number] years pursuant
Section III, Table 1 –Qualification Criteria, and Requirements Sub-factor 3.1. The financial statements
shall:

(a) reflect the financial situation of the Applicant or in case of JV member, and not an affiliated
entity (such as parent company or group member).

(b) be independently audited or certified in accordance with local legislation.

(c) be complete, including all notes to the financial statements.

(d) correspond to accounting periods already completed and audited.

 Attached are copies of financial statements1 for the [number] years required above; and complying
with the requirements

1
If the most recent set of financial statements is for a period earlier than 12 months from the date of Application, the
reason for this should be justified.
Section IV – Application Forms 49

Form FIN - 3.2

Average Annual Construction Turnover
[The following table shall be filled in for the Applicant and for each member of a Joint Venture]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Annual Construction Turnover Data

Year Amount Exchange rate* USD equivalent
Currency
[indicate [insert amount and indicate
calendar currency]
year]

Average Annual
Construction
Turnover **

* Refer ITA 14 for date and source of exchange rate.

** Total USD equivalent for all years divided by the total number of years. See Section III, Table
1 Qualification Criteria, and Requirements, 3.2.
Section IV – Application Forms 50

Form EXP - 4.1

Specific DBO Experience
(Table 1, 4.1 and Table 2)

[The following table shall be filled in for contracts performed by the Applicant, each member
of a Joint Venture, and Specialized Sub-contractors]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Information
Similar Contract No.
[insert number] of [insert number of
similar contracts required]
Contract Identification [insert contract name and number, if applicable]
Award date [insert day, month, year, e.g., 15 June, 2014]
Design-Build Commissioning Date [insert day, month, year, e.g., 15 June, 2015]
Operations period completion date [insert day, month, year, e.g. 03 October, 2030]
(actual or expected)
Role in Contract Prime Member in Management
Sub-contractor
[check the appropriate box] Contract JV Contractor

or   

Total Contract Amount [insert total contract US$ [insert

amount in local currency] Exchange rate and total
contract amount in US$
equivalent] *
[insert a [insert total [insert exchange rate and total
If member in a JV or sub-contractor,
percentag contract amount contract amount in US$
specify share in value in total Contract
e amount] in local equivalent] *
amount and roles and responsibilities
currency]
[insert roles and responsibilities]
Description of the similarity in
accordance with Section III Table 1,
4.2
Physical size of required contracts [insert physical size of items]
items
Complexity [insert description of complexity]
Section IV – Application Forms 51

Methods/Technology [insert specific aspects of the methods/technology

involved in the contract]

Other Characteristics [insert other characteristics as described in Section VII,

Scope of Employer’s Requirements]
Employer's Name: [insert full name]
Address: [indicate street / number / town or city / country]

Telephone/fax number [insert telephone/fax numbers, including country and

E-mail: city area codes]
[insert e-mail address, if available]
* Refer ITA 14 for date and source of exchange rate.
Section IV – Application Forms 52

Form EXP - 4.2

Specific Design Experience
(Table 1, 4.2 and Table 2)

[The following table shall be filled in for contracts performed by the Applicant, each member
of a Joint Venture, and Specialized Sub-contractors]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Information
Similar Contract No.
[insert number] of [insert number
of similar contracts required]
Contract Identification [insert contract name and number, if applicable]
Award date [insert day, month, year, i.e., 15 June, 2015]
Completion date [insert day, month, year, i.e., 03 October, 2017]
Role in Contract Lead Process Detailed
Other
[check the appropriate boxes] design design design

  

Total Contract Amount [insert total contract amount US$ [insert

in local currency] Exchange rate and total
contract amount in US$
equivalent] *
[insert a [insert total [insert exchange rate and total
If member in a JV or sub-
percentage contract amount contract amount in US$
contractor, specify share in value in
amount] in local equivalent] *
total Contract amount and roles and
currency]
responsibilities
[insert roles and responsibilities]
Description of the similarity in
accordance with Section III Table 1,
4.2
Physical size of required contracts [insert physical size of items]
items
Complexity [insert description of complexity]
Methods/Technology [insert specific aspects of the methods/technology involved
in the contract]
Section IV – Application Forms 53

Other Characteristics [insert other characteristics as described in Section VII,

Scope of Employer’s Requirements]
Employer's Name: [insert full name]
Address: [indicate street / number / town or city / country]

Telephone/fax number [insert telephone/fax numbers, including country and

E-mail: city area codes]
[insert e-mail address, if available]
* Refer ITA 14 for date and source of exchange rate.
Section IV – Application Forms 54

Form EXP - 4.3

Specific Construction Experience
(Table 1, 4.3 and Table 2)

[The following table shall be filled in for contracts performed by the Applicant, each member
of a Joint Venture, and Specialized Sub-contractors]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Information
Similar Contract No.
[insert number] of [insert number
of similar contracts required]
Contract Identification [insert contract name and number, if applicable]
Award date [insert day, month, year, i.e., 15 June, 2015]
Completion date [insert day, month, year, i.e., 03 October, 2017]
Role in Contract Prime Member in Management
Sub-contractor
[check the appropriate box] Contractor JV Contractor

  

Total Contract Amount [insert total contract amount US$ [insert

in local currency] Exchange rate and total
contract amount in US$
equivalent] *
[insert a [insert total [insert exchange rate and total
If member in a JV or sub-
percentage contract amount contract amount in US$
contractor, specify share in value in
amount] in local equivalent] *
total Contract amount and roles and
currency]
responsibilities
[insert roles and responsibilities]
Description of the similarity in
accordance with Section III Table 1,
4.2
Physical size of required contracts [insert physical size of items]
items
Complexity [insert description of complexity]
Methods/Technology [insert specific aspects of the methods/technology involved
in the contract]
Section IV – Application Forms 55

Other Characteristics [insert other characteristics as described in Section VII,

Scope of Employer’s Requirements]
Employer's Name: [insert full name]
Address: [indicate street / number / town or city / country]

Telephone/fax number [insert telephone/fax numbers, including country and

E-mail: city area codes]
[insert e-mail address, if available]
* Refer ITA 14 for date and source of exchange rate.
Section IV – Application Forms 56

Form EXP - 4.4

Specific Operations Experience
(Table 1, 4.1 and Table 2)

[The following table shall be filled in for contracts performed by the Applicant, each member
of a Joint Venture, and Specialized Sub-contractors]

Applicant’s Name: [insert full name]

Date: [insert day, month, year]
Joint Venture Member Name: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages

Information
Similar Contract No.
[insert number] of [insert number
of similar contracts required]
Contract Identification [insert contract name and number, if applicable]
Award date [insert day, month, year, i.e., 15 June, 2015]
Contract Completion date [insert day, month, year, i.e., 03 October, 2017]
(actual/expected)
Role in Contract Prime Member in Management
Sub-contractor
[check the appropriate box] Contractor JV Contractor

  

Total Contract Amount [insert total contract amount US$ [insert

in local currency] Exchange rate and total
contract amount in US$
equivalent] *
[insert a [insert total [insert exchange rate and total
If member in a JV or sub-
percentage contract amount contract amount in US$
contractor, specify share in value in
amount] in local equivalent] *
total Contract amount and roles and
currency]
responsibilities
[insert roles and responsibilities]
Description of the similarity in
accordance with Section III Table 1,
4.2
Physical size of required contracts [insert physical size of items]
items
Complexity [insert description of complexity]
Methods/Technology [insert specific aspects of the methods/technology involved
Section IV – Application Forms 57

in the contract]

Other Characteristics [insert other characteristics as described in Section VII,

Scope of Employer’s Requirements]
Employer's Name: [insert full name]
Address: [indicate street / number / town or city / country]

Telephone/fax number [insert telephone/fax numbers, including country and

E-mail: city area codes]
[insert e-mail address, if available]
* Refer ITA 14 for date and source of exchange rate.
Section IV – Application Forms 58

Form EXP - 4.5

Specific Experience in Managing ES aspects

[The following table shall be filled in for contracts performed by the Proposer, and
each member of a Joint Venture]

Proposer Name: ________________

Date: ___________________
Proposer JV Member Name: __________________
RFP No. and title: _____________________
Page __________________of ________________pages

1. Key Requirement no 1 in accordance with 4.5: ______________________

Contract Identification
Award date
Completion date
Role in Contract Prime Member in Management
Subcontractor
Contractor JV Contractor

  
Total Contract Amount
US$

Details of relevant experience

2. Key Requirement no 2 in accordance with 4.5: ______________________

3. Key Requirement no 3 in accordance with 4.5: ______________________
Section V – Eligible Countries 59

Section V - Eligible Countries

Eligibility for the Provision of Goods, Works and Services in Bank-Financed
Procurement

In reference to ITA 5.1, for the information of the Applicants, at the present time firms and
individuals, supply of goods, or contracting of works or services, from the following countries are
excluded from this Initial Selection process:
Under ITA 5.1 (a) [insert a list of the countries following approval by the Bank to apply the
restriction or state “none”]
Under ITA 5.1 (b) [list the countries or state “none”]
Section VI – Fraud and Corruption 61

Section VI - Fraud and Corruption

(Text in this Section VI shall not be modified)

1. Purpose
1.1 The Bank’s Anti-Corruption Guidelines and this annex apply with respect to procurement
under Bank Investment Project Financing operations.
2. Requirements
2.1 The Bank requires that Borrowers (including beneficiaries of Bank financing); bidders
(applicants/proposers), consultants, contractors and suppliers; any sub-contractors, sub-
consultants, service providers or suppliers; any agents (whether declared or not); and any of
their personnel, observe the highest standard of ethics during the procurement process,
selection and contract execution of Bank-financed contracts, and refrain from Fraud and
Corruption.

2.2 To this end, the Bank:

a. Defines, for the purposes of this provision, the terms set forth below as follows:
i. “corrupt practice” is the offering, giving, receiving, or soliciting, directly or indirectly,
of anything of value to influence improperly the actions of another 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
other benefit or to avoid an obligation;
iii. “collusive practice” is an arrangement between two or more parties designed to achieve
an improper purpose, including to influence improperly the actions of another party;
iv. “coercive practice” is impairing or harming, or threatening to impair or harm, directly
or indirectly, any party or the property of the party to influence improperly the actions
of a party;
v. “obstructive practice” is:
(a) deliberately destroying, falsifying, altering, or concealing of evidence
material to the investigation or making false statements to investigators in
order to materially impede a Bank investigation into allegations of a corrupt,
fraudulent, coercive, or collusive practice; and/or threatening, harassing, or
intimidating any party to prevent it from disclosing its knowledge of matters
relevant to the investigation or from pursuing the investigation; or
(b) acts intended to materially impede the exercise of the Bank’s inspection and
audit rights provided for under paragraph 2.2 e. below.
Section VI – Fraud and Corruption 62

b. Rejects a proposal for award if the Bank determines that the firm or individual
recommended for award, any of its personnel, or its agents, or its sub-consultants, sub-
contractors, service providers, suppliers and/ or their employees, has, directly or indirectly,
engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing
for the contract in question;
c. In addition to the legal remedies set out in the relevant Legal Agreement, may take other
appropriate actions, including declaring misprocurement, if the Bank determines at any
time that representatives of the Borrower or of a recipient of any part of the proceeds of
the loan engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices during
the procurement process, selection and/or execution of the contract in question, without
the Borrower having taken timely and appropriate action satisfactory to the Bank to address
such practices when they occur, including by failing to inform the Bank in a timely manner
at the time they knew of the practices;
d. Pursuant to the Bank’s Anti-Corruption Guidelines, and in accordance with the Bank’s
prevailing sanctions policies and procedures, may sanction a firm or individual, either
indefinitely or for a stated period of time, including by publicly declaring such a firm or
individual ineligible (i) to be awarded or otherwise benefit from a Bank-financed contract,
financially or in any other manner;1 (ii) to be a nominated2 sub-contractor, consultant,
manufacturer or supplier, or service provider of an otherwise eligible firm being awarded
a Bank-financed contract; and (iii) to receive the proceeds of any loan made by the Bank
or otherwise to participate further in the preparation or implementation of any Bank-
financed project;
e. Requires that a clause be included in request for bid/request for proposals documents and
in contracts financed by a Bank loan, requiring (i) bidders (applicants/proposers),
consultants, contractors, and suppliers, and their sub-contractors, sub-consultants, service
providers, suppliers, agents personnel, permit the Bank to inspect3 all accounts, records
and other documents relating to the procurement process, selection and/or contract
execution, and to have them audited by auditors appointed by the Bank.

1 For the avoidance of doubt, a sanctioned party’s ineligibility to be awarded a contract shall include, without limitation, (i)
applying for pre-qualification, expressing interest in a consultancy, and bidding, either directly or as a nominated sub-
contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider, in respect of such
contract, and (ii) entering into an addendum or amendment introducing a material modification to any existing contract.
2
A nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider
(different names are used depending on the particular bidding document) is one which has been: (i) included by the bidder in
its pre-qualification Application or bid because it brings specific and critical experience and know-how that allow the bidder
to meet the qualification requirements for the particular bid; or (ii) appointed by the Borrower.
3
Inspections in this context usually are investigative (i.e., forensic) in nature. They involve fact-finding activities undertaken
by the Bank or persons appointed by the Bank to address specific matters related to investigations/audits, such as evaluating
the veracity of an allegation of possible Fraud and Corruption, through the appropriate mechanisms. Such activity includes
but is not limited to: accessing and examining a firm's or individual's financial records and information, and making copies
thereof as relevant; accessing and examining any other documents, data and information (whether in hard copy or electronic
format) deemed relevant for the investigation/audit, and making copies thereof as relevant; interviewing staff and other
relevant individuals; performing physical inspections and site visits; and obtaining third party verification of information.
Section VI – Fraud and Corruption 63

PART 2 – Employer’s Requirements

Section VII – Scope of Employer’s Requirements 65

Section VII - Scope of Employer’s Requirements

Contents

1. Description of the Works and Operation Services (Design, Build and Operation) .....66
2. Implementation Period ......................................................................................................67
3. Site and Other Data ...........................................................................................................68
4. Environmental and Social (ES) Requirement .................................................................69
Section VII – Scope of Employer’s Requirements 66

1. Description of the Works and Operation Services (Design,

Build and Operation)
[Insert a summary of the technical requirements including:

1. Outline description of the Works and Operations

2. Legal and Regulatory Requirements
3. Functional and/or Performance Requirements
4. Quality Assurance Requirement
5. Any other significant features
Section VII – Scope of Employer’s Requirements 67

2. Implementation Period

[Insert estimated implementation period (Design Build Period and Operation Period)]
Section VII – Scope of Employer’s Requirements 68

3. Site and Other Data

Section VII – Scope of Employer’s Requirements 69

4. Environmental and Social (ES) Requirement

[The Employer’s team preparing the ES requirements should include a suitably qualified
Environmental and Social specialist/s.
Based on the ES assessment, the Employer shall provide key ES risks and impacts and expectations
on contractors to manage the risks and impacts. This may include as appropriate, but not limited
to a summary of: key expectations in addressing Sexual Exploitation and Assault (SEA) risks and
impacts, managing labor and working conditions, protection of the environment, security of the
site, community health and safety, management of safety of hazardous materials, resource
efficiency and pollution prevention and management, biodiversity conservation and sustainable
management of living natural resources etc. Any summary (key) information provided here shall
not be inconsistent with the more detailed requirements in the RFP document.]