STANDARD PROCUREMENT

DOCUMENT

Initial Selection Document

Works
Engineer Procure
Construct/Turnkey Contract

(For use with a Request for Proposals)

January 2021
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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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Revisions
January 2021
This version includes provisions to reflect the Bank’s disqualification of contractors for non-
compliance with SEA/SH obligations. For contracts under Projects assessed as high risk for
Sexual Exploitation and Abuse (SEA) and/or Sexual Harassment (SH), the Bank’s
disqualification mechanism will be included in the request for proposals.
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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 (Engineer
Procure Construct/Turnkey) in Projects that are financed, in whole or in part, by the World Bank.
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.
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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 (Engineer
Procure Construct/Turnkey) funded by IBRD or IDA-financed projects whose Legal Agreement
makes reference to the Procurement Regulations for IPF Borrowers.
This SPD includes provisions to reflect the Bank’s disqualification of contractors for non-
compliance with SEA/SH obligations. For contracts under Projects assessed as high risk for
Sexual Exploitation and Abuse (SEA) and/or Sexual Harassment (SH), the Bank’s
disqualification mechanism will be included in the request for proposals.
It is important that, as part of procurement planning, the Employer weighs in the potential
benefits, limitations, risks and attributes of Engineer Procure Construct/Turnkey approach and
make an informed decision as to whether the use of Engineer Procure Construct/Turnkey 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.
Some of the benefits of EPC/Turnkey approach include: (i) certainty about a project’s final costs
and time for execution: brings greater certainty than is allowed under contracts that reflect the
traditional allocation of risks; (ii) lesser supervision and gain from innovations by the private
sector; (iii) reduced lead time: time needed for preparation of detailed engineering design is
saved; (iv) single point of responsibility: the Contractor takes total responsibility for the design
and execution of building or engineering works. The Contractor has greater flexibility in the
selection of design and other subcontractors, and can take advantage of procurement packaging,
bulk discounts, and value engineering opportunities.
Some of the limitations compared to Employer’s detailed design include: (i) the Employer need
to be able to evaluate objectively and properly the turnkey solutions (sometimes widely varying
solutions) that are being proposed; (ii) higher upfront cost (due to risk premium) and need to
issue change orders if design or scope is to be modified; (iii) lesser number of proposers, as cost
of proposal preparation in EPC packages is generally higher (proposers may need to conduct
extra due diligence to identify risks, as well as efforts involved in preparation of preliminary
drawings) in comparison to that for admeasurement type packages, and due to proposer’s
capacity to take and manage the risks, (iv) the contractor has the incentive to complete the
contract faster and make it less costly which may result in reduced quality of materials and
workmanship; and (v) risk of default by the Contractor due mainly to low profit margins and
weak project controls.
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.
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http://www.worldbank.org/
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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 (Engineer

Procure Construct/Turnkey)

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.

Section VI - Fraud and Corruption

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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 of the location, completion period,

functional and/or performance requirements, and other information of the Works
to be executed on EPC/Turnkey basis that are 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 Abuse
(SEA) and Sexual Harassment (SH)) which are to be satisfied by the Contractor in
executing the Works.
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Specific Procurement Notice – Initial Selection Document (ISD)

Template

Invitation for Initial Selection

Works
(Engineer Procure Construct/Turnkey Contract)

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
1
for [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 Works to be executed on
EPC/Turnkey basis, including purpose(s) for which the Works are intended, the scope,
completion period, 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
office hours if applicable, i.e. 0900 to 1700 hours]. A complete set of Initial Selection
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 cofinancing agency]. Procurement
process will be governed by the World Bank’s Procurement Regulations.”
 x

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
(Engineer Procure Construct/Turnkey)

Procurement of:
[insert identification of the Works – EPC/Turnkey]

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)
 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........................................................................................60
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

Section I - Instructions to Applicants (ITA)

Section I - Instructions to Applicants

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

Section I - Instructions to Applicants (ITA)

A.General
1. Scope of 1.1 In connection with the invitation for Initial Selection
Application 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 execution of the Works on EPC/Turnkey
basis described in Section VII, Scope of Employer’s
Requirements. In case proposals for the Works EPC/Turnkey
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 from the Loan (or other financing) Agreement or
have any claim to the proceeds of the loan (or credit).
3. Fraud and 3.1 The Bank requires compliance with the Bank’s Anti-
Corruption Corruption Guidelines and its prevailing sanctions policies
and procedures as set forth in the WBG’s Sanctions
Section I – Instructions to Applicants (ITA) 5

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, subconsultants, 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 4.1 Applicants shall meet the eligibility criteria as per this ITA
Applicants 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. The JV shall nominate an authorized
Representative 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 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
4.4 A firm and any of its affiliates (that directly or indirectly
control, are controlled by or are under common control with
that firm) are not permitted to submit more than one
application for initial selection for the same contract, either
individually, as joint venture or as a subcontractor among
them. 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
Section I – Instructions to Applicants (ITA) 6

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.
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 Requirements or have been
hired or proposed to be hired by the Employer or Borrower as
Engineer for contract implementation of the Works
EPC/Turnkey 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 Employer’s Requirements 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
Section I – Instructions to Applicants (ITA) 7

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) 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 EPC/Turnkey 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.
Section I – Instructions to Applicants (ITA) 8

B. Contents of the Initial Selection Document

6. Sections of Initial 6.1 This Initial Selection Document consists of parts 1 and 2
Selection which comprise all the sections indicated below, and which
Document 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 Requirements
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 7.1 An Applicant requiring any clarification of the Initial
Initial Selection Selection Document shall contact the Employer in writing at
Document and the Employer’s address indicated in the ISDS. The Employer
Pre-Application will respond in writing to any request for clarification
Meeting 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
Section I – Instructions to Applicants (ITA) 9

indicated in the ISDS, the Employer shall also promptly

publish its response at the web page 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 8.1 At any time prior to the deadline for submission of
Initial Selection Applications, the Employer may amend the Initial Selection
Document 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.

C. Preparation of Applications
9. Cost of 9.1 The Applicant shall bear all costs associated with the preparation
Applications and submission of its Application. The Employer will in no
Section I – Instructions to Applicants (ITA) 10

case be responsible or liable for those costs, regardless of the

conduct or outcome of the Initial Selection process.
10. Language of 10.1 The Application as well as all correspondence and documents
Application 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 11.1 The Application shall comprise the following:
Comprising the
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 12.1 The Applicant shall complete an Application Submission
Submission Letter as provided in Section IV, Application Forms. This
Letter Letter must be completed without any alteration to its format.
13. Documents 13.1 To establish its eligibility in accordance with ITA 4, the
Establishing the Applicant shall complete the eligibility declarations in the
Eligibility of the Application Submission Letter and Forms ELI (eligibility) 1.1
Applicant and 1.2, included in Section IV, Application Forms.
14. Documents 14.1 To establish its qualifications to perform the contract(s) in
Establishing the accordance with Section III - Initial Selection Criteria and
Qualifications of Requirements, the Applicant shall provide the information
the Applicant 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:
Section I – Instructions to Applicants (ITA) 11

(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 15.1 The Applicant shall prepare one original of the documents
Application and comprising the Application as described in ITA 11 and clearly
Number of mark it “ORIGINAL”. The original of the Application shall
Copies 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.

D. Submission of Applications
16. Sealing and 16.1 The Applicant shall enclose the original and the copies of the
Marking of Application in a sealed envelope that shall:
Applications
(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 17.1 Applicants may either submit their Applications by mail or by
Submission of hand. Applications shall be received by the Employer at the
Applications address and no later than the deadline indicated in the ISDS.
When so specified in the ISDS, Applicants have the option of
Section I – Instructions to Applicants (ITA) 12

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 19.1 The Employer shall open all Applications at the date, time and
Applications 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.

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 21.1 To assist in the evaluation of Applications, the Employer may,
Applications 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
Section I – Instructions to Applicants (ITA) 13

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 23.1 Unless otherwise specified in the ISDS, a margin of
Preference preference for domestic Proposers4 shall not apply in the RFP
process resulting from this Initial Selection.
24. Subcontractors 24.1 Unless otherwise stated in the ISDS, the Employer does not
intend to execute any specific elements of the Works
EPC/Turnkey 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 works, except the parts of the
works for which subcontracting is not permitted as stated in
the ISDS. Applicants planning to use such specialized
subcontractors shall specify, in the Application Submission
Letter, the parts of the Works proposed to be subcontracted
along with details of the proposed subcontractors including
their qualification and experience.
24.3 The Applicant shall not propose to subcontract works with a
total accumulated value greater than the percentage stated in
the ISDS.

4
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

F. Evaluation of Applications and Initial Selection of Applicants

25. Evaluation of 25.1 The Employer shall use the factors, methods, criteria, and
Applications 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 works. The subcontractor’s
qualifications shall not be used by the Applicant to qualify for
the Works EPC/Turnkey 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 the
ISDS.
25.3 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.
25.4 However, with respect to the specific experience under item
Section III (Qualification Criteria and Requirements), 4.2, the
Employer will select any one or more of the options as
identified below:
N is the minimum number of contracts
V is the minimum value of a single contract.
(a) Initial Selection for one Contract:
Option 1: (i) N contracts, each of minimum value V;
Or
Option 2: (i) N contracts, each of minimum value V,
Or
(ii) Less than or equal to N contracts, each of
minimum value V, but with total value of
Section I – Instructions to Applicants (ITA) 15

all contracts equal or more than N x V

(b) Initial Selection for Multiple Contracts
Option 1: (i) Minimum requirements for combined
contract(s) shall be the aggregate
requirements for each contract for which
the Applicant has applied for as follows,
and N1, N2, N3, etc. shall be different
contracts:
Lot 1: N1 contracts, each of minimum
value V1;
Lot 2: N2 contracts, each of minimum
value V2;
Lot 3: N3 contracts, each of minimum
value V3; ----etc.
Or
Option 2: (i) Minimum requirements for combined
contract(s) shall be the aggregate
requirements for each contract for which
the Applicant has applied for as follows,
and N1, N2, N3, etc. shall be different
contracts:
Lot 1: N1 contracts, each of minimum
value V1;
Lot 2: N2 contracts, each of minimum
value V2;
Lot 3: N3 contracts, each of minimum
value V3; ----etc.,
Or
(ii) Lot 1: N1 contracts, each of minimum
value V1; or number of contracts less
than or equal to N1, each of minimum
value V1, but with total value of all
contracts equal or more than N1 x V1
Lot 2: N2 contracts, each of minimum
value V2; or number of contracts less
than or equal to N2, each of minimum
value V2, but with total value of all
contracts equal or more than N2 x V2
Lot 3: N3 contracts, each of minimum
value V3; or number of contracts less
Section I – Instructions to Applicants (ITA) 16

than or equal to N3, each of minimum

value V3, but with total value of all
contracts equal or more than N3 x V3 ----
etc.
Or
Option 3: (i) Minimum requirements for combined
contract(s) shall be the aggregate
requirements for each contract for which
the Applicant has applied for as follows,
and N1, N2, N3, etc. shall be different
contracts:
Lot 1: N1 contracts, each of minimum
value V1;
Lot 2: N2 contracts, each of minimum
value V2;
Lot 3: N3 contracts, each of minimum
value V3; ----etc.,
Or
(ii) Lot 1: N1 contracts, each of minimum
value V1; or number of contracts less than
or equal to N1, each of minimum value
V1, but with total value of all contracts
equal or more than N1 x V1
Lot 2: N2 contracts, each of minimum
value V2; or number of contracts less
than or equal to N2, each of minimum
value V2, but with total value of all
contracts equal or more than N2 x V2
Lot 3: N3 contracts, each of minimum
value V3; or number of contracts less
than or equal to N3, each of minimum
value V3, but with total value of all
contracts equal or more than N3 x V3 ----
etc.,
Or
(iii) Subject to compliance as per (ii) above
with respect to minimum value of single
contract for each lot, total number of
contracts is equal or less than N1 + N2 +
N3 +--but the total value of all such
contracts is equal or more than N1 x V1 +
Section I – Instructions to Applicants (ITA) 17

N2 x V2 + N3 x V3 +---.
25.5 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.
26. Employer’s Right 26.1 The Employer reserves the right to accept or reject any
to Accept or Application, and to annul the Initial Selection process and
Reject reject all Applications at any time, without thereby incurring
Applications any liability to the Applicants.
27. Initial Selection 27.1 The range of Applicants that the Employer may Initially
of Applicants 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 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-
Section I – Instructions to Applicants (ITA) 18

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 28.1 The Employer shall notify all Initially Selected Applicants in
Initial Selection 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.
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 29.1 Promptly after the notification of the results of the Initial
Proposals 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
Section I – Instructions to Applicants (ITA) 19

the form and an amount to be 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 and subcontractors’ personnel that
includes the minimum requirements specified in the RFP
document.
29.6 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.
29.7 If specified in the ISDS, the Employer intends to require
Proposers to submit a Sexual Exploitation and Abuse (SEA)
and/or Sexual Harassment(SH) Declaration, using the Sexual
Exploitation and Abuse (SEA), and/or Sexual Harassment
(SH) declaration form included in the RFP documents.
29.8 Prior to Contract award, the Employer will verify that the
successful Proposer (including each member of a JV) is not
disqualified by the Bank due to noncompliance with
contractual SEA/SH prevention and response obligations.
The Employer will conduct the same verification for each
subcontractor proposed by the successful Proposer. If any
proposed subcontractor does not meet the requirement, the
Employer will require the Proposer to propose a replacement
subcontractor.
30. Changes in 30.1 Any change in the structure or formation of an Applicant after
Qualifications of being initially selected in accordance with ITA 27 and invited
Applicants 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 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
Section I – Instructions to Applicants (ITA) 20

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 31.1 The procedures for making a Procurement-related Complaint
Related are as specified in the ISDS.
Complaint
Section II – Initial Selection Data Sheet (ISDS) 21

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 to be 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 4.8 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 & 8.2Web page: [In case used, identify the widely used website or electronic portal of
free access where Initial Selection information is published]
Section II – Initial Selection Data Sheet (ISDS) 22

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.]”
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]
 Section II – Initial Selection Data Sheet (ISDS) 23

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]
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.]
 Section II – Initial Selection Data Sheet (ISDS) 24

The electronic Application opening procedures shall be: [insert a description of

the electronic Application opening procedures.]

E. Procedures for Evaluation of Applications

ITA 23.1 [The following provision should be included and the required corresponding
information inserted only if the Procurement Plan authorizes the
application of a margin of preference and the Employer intends to apply it
to the subject contract. Otherwise omit]
A margin of domestic preference [insert either “shall” or “shall not”]
___________apply

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

ITA 24.2 [Indicate N/A if there are no parts of the Works EPC/Turnkey for which
subcontracting is not permitted]
The parts of the Works EPC/Turnkey for which the Employer does not permit
Applicants to propose Subcontractors are designated as follows:
a. _______________
b. _______________
c. _______________

ITA 24.3 Maximum percentage of subcontracting proposed to be permitted for the Works
EPC/Turnkey that are the subject of this Initial Selection shall not exceed
[insert %] of the total contract amount.

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) 25

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 29.7 Choose one of the two options below:]

[Choose Option 1 for contracts under Projects assessed as high risk for Sexual
Exploitation and Abuse (SEA) and/or Sexual Harassment (SH); otherwise
choose Option 2. It is indicated here as “intends” in case the risk level
changes by the time of inviting bids.]
[The Employer intends to require Proposers to submit Sexual Exploitation and Abuse
(SEA) and/or Sexual Harassment (SH) Declaration.
[or]
The Employer does not intend to require Proposers to submit Sexual Exploitation
and Abuse (SEA) and/or Sexual Harassment (SH) Declaration.]

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
shall 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 26

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......................................................................29
4. Experience...............................................................................................................31
Table 2 – Rated Criteria and Requirements...........................34
1. Past Performance.....................................................................................................34
2. Contract/Project Management Capability...............................................................35
3. Employer’s Requirements.......................................................................................36
4. Sustainable Procurement.........................................................................................37
Section III – Initial Selection Criteria and Requirements 27

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 Single Entity Joint Venture Requirements Documentation
Requirements
All Members Each One Submission
No. Subject Requirement
Combined Member Member Requirements
1.1 Nationality Nationality in accordance with ITA Forms ELI – 1.1
Must meet Must meet Must meet
4.5 N/A and 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 Eligibility Not having been declared ineligible Application
Must meet Must meet Must meet
by the Bank, as described in ITA 4.7 N/A Submission Letter
requirement requirement requirement
and 5.1
1.4 State-owned Meets conditions of ITA 4.9 Must meet Must meet Must meet N/A Forms ELI – 1.1
enterprise or requirement requirement requirement and 1.2, with
institution of the attachments
Borrower
country
1.5 United Nations Not having been excluded as a result
resolution or of prohibition in the Borrower’s
Borrower’s country laws or official regulations
country law against commercial relations with Forms ELI – 1.1
Must meet Must meet Must meet
the Applicant’s country, or by an act N/A and 1.2, with
requirement requirement requirement
of compliance with UN Security attachments
Council resolution, both in
accordance with ITA 5.1 and
Section V.
Section III – Initial Selection Criteria and Requirements 28

2. Historical Contract Non-Performance

Criteria Single Entity Joint Venture Requirements Documentation

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

2.1 History of Non-performance of a contract5 did

Non- not occur as a result of contractor’s Must meet Must meet Must meet
default since 1st January [insert year]. N/A Form CON-2
Performing requirement requirements requirement6
Contracts
2.2 Suspensio Not under suspension based on
n Based execution of Bid or Proposal Securing
on Declaration pursuant to ITA 4.10.
Execution
of Bid or Must meet Must meet Must meet Application
N/A
Proposal requirement requirement requirement Submission Letter
Securing
Declaratio
n by the
Employer
2.3 Pending Applicant’s financial position and Must meet N/A Must meet N/A Form CON – 2
Litigation prospective long-term profitability still requirement requirement
sound according to criteria established
in 3.1 below and assuming that all

5
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.
6
This requirement also applies to contracts executed by the Applicant as JV member.
Section III – Initial Selection Criteria and Requirements 29

Criteria Single Entity Joint Venture Requirements Documentation

Requirements
All Members Each One Submission
No. Subject Requirement Combined Member Member Requirements
pending litigation will be resolved
against the Applicant
2.4 Litigation No consistent history of court/arbitral
Must meet Must meet Must meet
History award decisions against the Applicant7 N/A Form CON – 2
requirement requirement requirement
since 1st January [insert year]
2.5 Declaration: Declare any civil work contracts that Each must
Must make the
Environment have been suspended or terminated make the
declaration.
al and Social and/or performance security called by declaration.
Where there is
(ES) past an employer for reasons related to the Where there is
Specialized
performance non-compliance of any environmental, Specialized
Sub-
or social (including Sexual Sub- Form CON-3 ES
contractor/s
Exploitation and Abuse) N/A contractor/s N/A Performance
such
contractual obligations in the past such Declaration
Specialized
five years.8 Specialized
Sub-
Sub-
contractor/s
contractor/s
must make the
must make the
declaration.
declaration.

2.6 Bank’s SEA (a) At the time of Contract Award, not

and/or SH subject to disqualification by the Must meet
Bank for non-compliance with Must meet requirement
Disqualifica
tion SEA/ SH obligations requirement (including Application
(b) If the Applicant had been subject to N/A each N/A Submission Letter,
(including subcontractor Form CON-4
disqualification by the Bank for each
non-compliance with SEA/ SH proposed by
subcontractor) the Applicant)
obligations, the Applicant shall
either (i) provide evidence of an
7
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.
8
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 30

Criteria Single Entity Joint Venture Requirements Documentation

Requirements
All Members Each One Submission
No. Subject Requirement Combined Member Member Requirements
arbitral award on the
disqualification made in its favour;
or (ii) demonstrate that it has
adequate capacity and commitment
to comply with SEA/SH prevention
and response obligations; or (iii)
provide evidence that it has already
demonstrated such capacity and
commitment for another Bank
financed works contract.
Section III – Initial Selection Criteria and Requirements 31

3. Financial Situation and Performance

Criteria Single Entity Joint Venture Requirements Documentation

Requirements
All
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 N/A Form FIN – 3.1,
Capabilities that it has access to, or has requirement requirement with attachments
available, liquid assets,
unencumbered real assets, lines
of credit, and other financial
means (independent of any
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.]
Must meet Must meet N/A N/A
(ii) The Applicant shall also requirement requirement
demonstrate, to the satisfaction of
the Employer, that it has
adequate sources of finance to
meet the cash flow requirements
on contracts currently in progress
and for future contract
commitments.
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

(iii) The audited balance sheets or, if Must meet N/A Must meet N/A
not required by the laws of the requirement requirement
Applicant’s country, other
financial 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 Must meet Must meet Must meet Must meet Form FIN – 3.2
Annual construction turnover of US$ [insert requirement requirement [insert [insert
Turnover amount in US$ equivalent in words number] %, number] %,
and figures], calculated as total [insert [insert
certified payments received for percentage percentage
contracts in progress and/or in words] of in words] of
completed within the last [insert the the
number] years, divided by [insert requirement requirement
number of years in words] years. [In
case the contracts are to be procured
as individual contracts under a slice
and package (multiple contracts)
state the average annual turnover
requirement to qualify for individual
and multiple contracts.]
Section III – Initial Selection Criteria and Requirements 33

4. Experience

Criteria Single Entity Joint Venture Requirements Documentati

Requirements on
All
Each Submission
No. Subject Requirement Members One Member
Member Requirements
Combined
4.1 General Experience under construction Must meet N/A Must meet N/A Form EXP –
Construction contracts in the role of prime requirement requirement 4.1
Experience contractor, JV member,
subcontractor, or management
contractor for at least the last [insert
number] years, starting 1st January
[insert year].
4.2 Specific A minimum number of [state the Must meet Must meet N/A N/A Form EXP 4.2
(a) Experience number] similar contracts specified requirement requiremen
below that have been satisfactorily t12
and substantially9 completed as a
prime contractor, joint venture
member 10, management contractor or
subcontractor between 1st January
[insert year] and Application
submission deadline:

(i) N contracts, each of minimum

value V;
Or
(ii) Less than or equal to N contracts,

9
Substantial completion shall be based on 80% or more of the contract completed.
10
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 to meet this
requirement.
Section III – Initial Selection Criteria and Requirements 34

Criteria Single Entity Joint Venture Requirements Documentati

Requirements on
All
Each Submission
No. Subject Requirement Members One Member
Member Requirements
Combined
each of minimum value V, but with
total value of all contracts equal or
more than N x V; [insert values of N
& V, delete (ii) above if not
applicable].

[In case the Works are to be

procured as individual contracts
under a slice and package (multiple
contract) procedure, the minimum
number of contracts required for
purposes of evaluating qualification
shall be selected from the options
mentioned in ITA 25.4b]11

[Each of the contracts required

above shall meet the following
minimum key requirements: [Based
on Section VII, Scope of Employer’s
Requirements, specify the minimum
key requirements in terms of physical
size, functional characteristics,
performance, complexity,
methods/technology and/or other
characteristics]

11
The minimum experience requirement for multiple contracts will be the sum of the minimum requirements for respective individual contracts, unless specified otherwise.
12
In the case of JV, the value of contracts completed by its members shall not be aggregated to determine whether the requirement of the minimum value of a single contract has been
met. Instead, each contract performed by a member contributing to meeting the requirement shall satisfy the minimum value of a single contract as required for single entity. In
determining whether the JV meets the requirement of total number of contracts, only the number of contracts completed by members, each of value equal or more than the minimum
value required, shall be aggregated.
Section III – Initial Selection Criteria and Requirements 35

Criteria Single Entity Joint Venture Requirements Documentati

Requirements on
All
Each Submission
No. Subject Requirement Members One Member
Member Requirements
Combined
A minimum design experience, using
the above or other contracts,
in at least __ [insert the number of
contracts] contracts shall be
demonstrated for the following key
activities: ________________
[Specify design experience
requirement]
[State that the above specific
experience requirements may be met
by specialized subcontractors, if
permitted in accordance with ITA
25.2]
4.2 Specific For the contracts in 4.2 (a) above Must meet Must meet Must meet the Must meet the Form EXP –
(b) Experience in and/or any other contracts requirement requirement following following 4.2 (b)
managing ES [substantially completed and under requirements: requirements:
aspects implementation] as prime contractor, [list key [list key
joint venture member, or requirements requirements
Subcontractor between 1st January to be met by to be met by
[insert year] and Application each member one member
submission deadline, experience in otherwise otherwise
managing ES risks and impacts in the state: ”N/A”] state: ”N/A”]
following aspects: [Based on the ES
assessment, specify, as appropriate,
specific experience requirements to
manage ES aspects.]
[Note: Other specific experience e.g. in operation may be specified as necessary]
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 tables below are
examples 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 Performance

Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement

Number of similar contracts [select a In case of JV, Form EXP 4.2

[Number of satisfactorily and substantially completed Works contracts that exceed the maximum all members
number specified in Table 1, Sub-Factor 4.2(where this number is x) that are: score (out of combined will
100) between be evaluated.
1. similar to the Requirements (Reference Table 1, 4.2); and 30 and 40]
2. completed during the past___ years. [insert number equal or more than the number of
years specified in Table 1, Sub-Factor 4.2]]

Scoring methodology:

Number of contracts
[>=
[Number of satisfactorily and [x+3 [x+2 [x+1 [x
x+4 contracts] contracts] contracts] contracts]
substantially completed similar contracts]
contracts.]

Weighting [100] [70] [40] [10] [0]

Section III – Initial Selection Criteria and Requirements 37

2. Contract/Project Management Capability

Criteria Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement

[Contract/project management capability demonstrated in the following key areas: [select a In case of JV, Table 2-PM
[Note to Employer: consider putting a page limit on each of the responses] maximum the capability
score (out of of the lead
1. Description of project management system/s and how they will be applied (including 100) between member will
status of accreditation with recognized international standards applicable to the 20 and 30] be evaluated
industry)
2. Environmental and Social management practice, and
3. Use of value Engineering, innovation and continuous improvement.]

Scoring methodology:

Key areas: [Number and extent of key

[all 3] [2] [1] [0]
areas demonstrated.]

Initial score [67-100] [34-66] [1-33] [0]

Section III – Initial Selection Criteria and Requirements 38

3. Employer’s Requirements
Criteria Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement

[Note to Employer: consider putting a page limit on responses for 1 and 3 and requiring a [select a Table 2-ER
chart for 2] maximum
[Understanding of the Employer’s Requirements through an outline of the following: score (out of
100) between
1. Approach to the contract (including meeting Environmental and Social (ES) 20 and 30]
requirements)
2. Program of the main design and works activities, timeline and completion schedule
3. Key impacts and risks (including those of an ES nature).]

Scoring methodology:

Key aspects: [Number and extent of

[all 3] [2] [1] [0]
key areas demonstrated.]

Initial score [67-100] [34-66] [1-33] [0]

Section III – Initial Selection Criteria and Requirements 39

4. Sustainable Procurement
Criteria Scoring Documentation
Maximum Submission
Requirement Remark
score Requirement

[Sustainable procurement (to be specified by the Employer) practices demonstrated in the [select a In case of JV, at Table 2-SP
following key areas: maximum least one
score (out of member will be
1. Sustainable procurement practice, and evaluated.
2. Track record of delivering sustainable procurement outcomes. 100) between
0 and 20]
Scoring methodology:

Key aspects: [Number and extent of

[all 2] [1] [0]
key areas demonstrated.]

Initial score [51-100] [1-50] [0]

Section IV – Application Forms

Section IV - Application Forms

Table of Forms

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

Form ELI -1.1 Applicant Information Form.............................42
Form ELI -1.2 Applicant's JV Information Form.......................43
Form CON – 2 Historical Contract Non-Performance, Pending
Litigation and Litigation History...........................................44
Form CON – 3 ES Performance Declaration............................46
Form CON – 4 Sexual Exploitation and Abuse (SEA) and/or
Sexual Harassment Performance Declaration........................48
Form FIN – 3.1 Financial Situation and Performance..............50
Form FIN - 3.2 Average Annual Construction Turnover...........52
Form EXP - 4.1 General Construction Experience...................53
Form EXP - 4.2 (a) Specific Experience..................................54
Form EXP - 4.2(b) Specific Experience in Managing ES aspects
56
Table 2-PM Contract / Project Management Capability...........57
Table 2-ER Understanding of the Employer’s Requirements. .58
Table 2-SP Sustainable Procurement....................................59
Section IV – Application Forms

Application Submission Letter

Date: [insert day, month, and year]
ISD No. and title: [insert ISD 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) Sexual Exploitation and Abuse (SEA) and/or Sexual Harassment (SH): [select the
appropriate option from (i) to (v) below and delete the others].
We [where JV, insert: “including any of our JV members”], and any of our
subcontractors:
(i) [have not been subject to disqualification by the Bank for non-compliance
with SEA/ SH obligations.]
(ii) [are subject to disqualification by the Bank for non-compliance with SEA/ SH
obligations.]
(iii) [had been subject to disqualification by the Bank for non-compliance with
SEA/ SH obligations. An arbitral award on the disqualification case has been
made in our favor.]
(iv)[had been subject to disqualification by the Bank for non-compliance with
SEA/ SH obligations for a period of two years. We have subsequently
provided and demonstrated that we have adequate capacity and commitment
to comply with SEA and SH prevention and response obligations.]
Section IV – Application Forms

(v) [had been subject to disqualification by the Bank for non-compliance with
SEA/ SH obligations for a period of two years. We have attached documents
demonstrating that we have adequate capacity and commitment to comply
with SEA and SH prevention and response obligations.]
(f) 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];
(g) 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]
(h) 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]
________________ ________________ _______________ ________________
________________ ________________ _ ________________
________________ ________________ _______________ ________________
________________ ________________ _ ________________
_______________
_
_______________
_

[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.

________________________________________________________________________
Section IV – Application Forms

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

Form ELI -1.1

Applicant Information Form
Date: [insert day, month, year]
ISD No. and title: [insert ISD 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

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]

ISD No. and title: [insert ISD 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 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 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

Form CON – 2
Historical Contract Non-Performance, 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]
ISD No. and title: [insert ISD 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 name/ number, and any other identification]
percentage] 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

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:
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

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]
ISD No. and title: [insert ISD 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 Terminated Contract Identification Total Contract
contract or Amount (current
Suspended value, currency,
portion of exchange rate
contract and US$
equivalent)
[insert [insert Contract Identification: [indicate complete contract [insert amount]
year] amount and name/ number, and any other identification]
percentage] 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. gender based violence; sexual
exploitation or sexual abuse breaches]
[insert [insert Contract Identification: [indicate complete contract [insert amount]
year] amount and name/ number, and any other identification]
percentage] Name of Employer: [insert full name]
Address of Employer: [insert street/city/country]
Reason(s) for suspension or termination: [indicate
Section IV – Application Forms

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, [insert amount]
year] and 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 sexual
abuse breaches]
Section IV – Application Forms

Form CON – 4
Sexual Exploitation and Abuse (SEA) and/or Sexual
Harassment Performance Declaration

[The following table shall be filled in by the Applicant, each member of a Joint Venture and each
subcontractor proposed by the Applicant]
Applicant’s Name: [insert full name]
Date: [insert day, month, year]
Joint Venture Member’s or Subcontractor’s Name: [insert full name]
ISD No. and title: [insert ISD number and title]
Page [insert page number] of [insert total number] pages

SEA and/or SH Declaration

in accordance with Section III, Qualification Criteria, and Requirements

We:
 (a) have not been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations
 (b) are subject to disqualification by the Bank for non-compliance with SEA/ SH obligations
 (c) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations. An
arbitral award on the disqualification case has been made in our favor.
 (d) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations for
a period of two years. We have subsequently demonstrated that we have adequate capacity and
commitment to comply with SEA/ SH obligations.
 (e) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations for
a period of two years. We have attached evidence demonstrating that we have adequate capacity
and commitment to comply with SEA/ SH obligations.

[If (c) above is applicable, attach evidence of an arbitral award reversing the findings on the issues
underlying the disqualification.]

[If (d) or ( e) above are applicable, provide the following information:]

Period of disqualification: From: _______________ To: ________________

If previously provided for another Bank financed works contract, details of evidence that demonstrated
adequate capacity and commitment to comply with SEA/ SH obligations (as per (d) above)
Name of Employer: ___________________________________________
Name of Project: _____________________________________
Contract description: _____________________________________________________
Section IV – Application Forms

Brief summary of evidence provided: ________________________________________

______________________________________________________________________
Contact Information: (Tel, email, name of contact person): _______________________
______________________________________________________________________

As an alternative to the evidence under (d), other evidence demonstrating adequate capacity and
commitment to comply with SEA/ SH obligations (as per (e) above) [attach details as appropriate].
Section IV – Application Forms

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]
ISD No. and title: [insert ISD number and title]
Page [insert page number] of [insert total number] pages
1. Financial data
Type of Financial Historic information for previous _ [insert number] years,
information 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 Assets (TA)

Total Liabilities (TL)

Total Equity/Net Worth (NW)

Current Assets (CA)

Current Liabilities (CL)

Working 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

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 statements13 for the [number] years required above; and
complying with the requirements

13
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

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]
ISD No. and title: [insert ISD 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

Form EXP - 4.1

General Construction Experience
[The following table shall be filled in for the Applicant and in the case of a JV Applicant,
each Member]

Applicant’s Name: [insert full name]

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

[Identify contracts that demonstrate continuous construction work over the past [number]
years pursuant to Section III, Table 1 Qualification Criteria and Requirements, Sub-Factor 4.1.
List contracts chronologically, according to their commencement (starting) dates.]

Starting Ending Contract Identification Role of

Year Year Applicant

[indicate [indicate Contract name: [insert full name] [insert “Prime

year] year] Brief Description of the Contracts performed by the Contractor” or
Applicant: [describe contracts performed briefly] “JV Member” or
Amount of contract: [insert amount in currency, "Sub-contractor”
mention currency used, exchange rate and US$ or "Management
equivalent*] Contractor”]
Name of Employer: [indicate full name]
Address: [indicate street/number/town or city/country]
Contract name: [insert full name] [insert “Prime
Brief Description of the Contracts performed by the Contractor” or
Applicant: [describe contracts performed briefly] “JV Member” or
Amount of contract: [insert amount in currency, "Sub-contractor”
mention currency used, exchange rate and US$ or "Management
equivalent*] Contractor”]
Name of Employer: [indicate full name]
Address: [indicate street/number/town or city/country]
Contract name: [insert full name] [insert “Prime
Brief Description of the Contracts performed by the Contractor” or
Applicant: [describe contracts performed briefly] “JV Member” or
Amount of contract: [insert amount in currency, "Sub-contractor”
mention currency used, exchange rate and US$ or "Management
equivalent*] Contractor”]
Name of Employer: [indicate full name]
Address: [indicate street/number/town or city/country]
* Refer ITA 14 for date and source of exchange rate.
Section IV – Application Forms

Form EXP - 4.2 (a)

Specific 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]
ISD No. and title: [insert ISD 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, 2015]

Completion date [insert day, month, year, e.g., 03 October, 2017]

Role in Contract Prime Member in Management Sub-

[check the appropriate box] Contractor JV Contractor contractor
   

Total Contract Amount [insert total contract amount US$ [insert Exchange rate
in local currency] and total contract amount
in US$ equivalent] *

[insert a [insert total [insert exchange rate and

If member in a JV or sub-
percentage contract total contract amount in
contractor, specify share in value
amount] amount in US$ equivalent] *
in total Contract amount and roles
local
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

Information
Similar Contract No.
[insert number] of [insert
number of similar contracts
required]
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

Form EXP - 4.2(b)

Specific Experience in Managing ES aspects

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

Applicant’s Name: ________________

Date: ___________________
Applicant’s JV Member Name: __________________
ISD No. and title: _____________________
Page __________________of ________________pages

1. Key Requirement no 1 in accordance with 4.2 (b): ______________________

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 4.2 (b): ______________________

3. Key Requirement no 3 in accordance with 4.2 (b): ______________________
…
Section IV – Application Forms

Table 2-PM
Contract / Project Management Capability
Section IV – Application Forms

Table 2-ER
Understanding of the Employer’s Requirements
Section IV – Application Forms

Table 2-SP
Sustainable Procurement
Section V – Eligible Countries

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

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

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; 14 (ii) to be a nominated15 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 inspect 16 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.

14
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.
15
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.
16
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.
PART 2 Employer’s Requirements

PART 2 – Employer’s Requirements

Section VII – Scope of Employer’s Requirements

Section VII - Scope of Employer’s Requirements

Contents

1. Description of the Works (EPC/Turnkey)............................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

1. Description of the Works (EPC/Turnkey)

[Insert a summary of the technical requirements such as:

1. Outline description of the Works

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

2. Implementation Period
Section VII – Scope of Employer’s Requirements

3. Site and Other Data

Section VII – Scope of Employer’s Requirements

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 Abuse
(SEA) and Sexual Harassment (SH) 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.]