Standard Request for Proposals Selection of Consultants€¦ · SRFP may be used and further simplified for the purpose of a particular assignment. This SRFP is for use by Borrowers

Edited by C. Fletcher (Aug 10, 2011) – For submission to HOPs (July 28, 2011)

STANDARD PROCUREMENT DOCUMENTS

Standard Request forProposals

Selection of Consultants

The World Bank

October 2011

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This document is subject to copyright.

This document may be used and reproduced for non-commercial purposes only. Any commercialuse, including without limitation reselling, charging to access, redistribute, or for derivativeworks such as unofficial translations based on these documents is not allowed.

Standard Request for Proposals

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Foreword

1. This Standard Request for Proposals (“SRFP”) has been prepared by the World Bank1

(“Bank”) and is based on the Master Procurement Document for Selection ofConsultants (“Master Document”). The Master Document was prepared byparticipating Multilateral Development Banks (“MDBs”) and reflects what areconsidered “best practices”.

2. This SRFP follows the structure and the provisions of the Master Document, exceptwhere specific considerations within the respective institutions have required achange.

3. The text shown in Italics is “Notes to the Client”. It provides guidance to the entity inpreparing a specific RFP. “Notes to the Client” should be deleted from the final RFPissued to the shortlisted Consultants.

4. This SRFP can be used with different selection methods described in the Guidelinesfor Selection and Employment of Consultants under IBRD Loans and IDA Credits &Grants by World Bank Borrowers, dated January 2011 (“Consultants’ Guidelines”),including Quality- and Cost-Based Selection (“QCBS”), Quality-Based Selection(“QBS”), Selection under a Fixed Budget (“FBS”), and Least-Cost Selection (“LCS”).When mandating the use of this SRFP on the implementing agency, however, primaryconsideration should be given to the complexity and value of the assignment.

5. The use of this SRFP is not required for selections conducted under commercialpractice, use of country systems, selection of individual consultants, and in the case ofentering into an agreement with a UN agency in a format approved by the Bank. ForSelection Based on Consultant’s Qualifications (“CQS”) or assignments under anyselection method costing less than US$300,000 equivalent relevant elements of thisSRFP may be used and further simplified for the purpose of a particular assignment.This SRFP is for use by Borrowers only and shall not be used for selection ofconsultants under contracts signed between consultants and the Bank.

6. Before preparing a Request for Proposals (RFP) for a specific assignment, the usermust be familiar with the “Consultants ‘Guidelines”, and must have chosen anappropriate method and the appropriate contract form. The SRFP includes twostandard forms of contract: one for time-based assignments and the other for lump-sum assignments. The prefaces to these two contracts indicate the circumstances inwhich their use is most appropriate.

1 References in this SRFP to the “World Bank” or “Bank” include both the International Bank for Reconstructionand Development (IBRD) and International Development Association (IDA).


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SUMMARY DESCRIPTION

STANDARD REQUEST FOR PROPOSALS

PART I – SELECTION PROCEDURES AND REQUIREMENTS

Section 1: Letter of Invitation (LOI)

This Section is a template of a letter from the Client addressed to a shortlisted consulting firminviting it to submit a proposal for a consulting assignment. The LOI includes a list of allshortlisted firms to whom similar letters of invitation are sent, and a reference to the selectionmethod and applicable guidelines or policies of the financing institution that govern the selectionand award process.

Section 2: Instructions to Consultants and Data Sheet

This Section consists of two parts: “Instructions to Consultants” and “Data Sheet”. “Instructionsto Consultants” contains provisions that are to be used without modifications. “Data Sheet”contains information specific to each selection and corresponds to the clauses in “Instructions toConsultants” that call for selection-specific information to be added. This Section providesinformation to help shortlisted consultants prepare their proposals. Information is also providedon the submission, opening and evaluation of proposals, contract negotiation and award ofcontract. Information in the Data Sheet indicates whether a Full Technical Proposal (FTP) or aSimplified Technical Proposal (STP) shall be used.

Section 3: Technical Proposal – Standard Forms

This Section includes the forms for FTP and STP that are to be completed by the shortlistedconsultants and submitted in accordance with the requirements of Section 2.

Section 4: Financial Proposal – Standard Forms

This Section includes the financial forms that are to be completed by the shortlisted consultants,including the consultant’s costing of its technical proposal, which are to be submitted inaccordance with the requirements of Section 2.

Section 5: Eligible Countries

This Section contains information regarding eligible countries.

Section 6: Bank’s Policy – Corrupt and Fraudulent Practices

This Section provides shortlisted consultants with the reference to the Bank’s policy in regard tocorrupt and fraudulent practices applicable to the selection process. This Section is alsoincorporated in the standard forms of contract (Section 8) as Attachment 1.


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Section 7: Terms of Reference (TORs)

This Section describes the scope of services, objectives, goals, specific tasks required toimplement the assignment, and relevant background information; provides details on the requiredqualifications of the key experts; and lists the expected deliverables. This Section shall not beused to over-write provisions in Section 2.

PART II – CONDITIONS OF CONTRACT AND CONTRACT FORMS

Section 8: Standard Forms of Contract

This Section includes two types of standard contract forms for large or complex assignments: aTime-Based Contract and a Lump-Sum Contract. Each type includes General Conditions ofContract (“GCC”) that shall not be modified, and Special Conditions of Contract (“SCC”). TheSCC include clauses specific to each contract to supplement the General Conditions.

Each standard form of contract incorporates “Bank’s Policy – Corrupt and Fraudulent Practices”(Section 6 of Part I) in a form of Attachment 1.


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SELECTION OF CONSULTANTS

REQUEST FOR PROPOSALS

RFP No.: MoWHS/DHS/RRPD/WB-BUDPII-AF/2015/559

Selection of Consulting Services for: Preparation of National HumanSettlement Strategy

Department of Human Settlement, Ministry of Works and HumanSettlement

Bhutan

Project: Preparation of National Human Settlement Strategy

IDACredit #5431-BT

Issued on: October 05, 2015


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Preface

This Request for Proposals (“RFP”) has been prepared by the Client and is based onthe Standard Request for Proposals (“SRFP”) issued by the World Bank2 (“the Bank”), datedSeptember 2011.

The SRFP reflects the structure and the provisions of the Master ProcurementDocument for Selection of Consultants (“Master Document”) prepared by participatingMultilateral Development Banks (MDBs), except where specific considerations within therespective institutions have required a change.

[Notes to Client: In the case of assignments related to Information CommunicationTechnology (“ITC”), users are encouraged to familiarize themselves with the SRFP and withthe World Bank’s Information Technology (IT) Standard Bidding Documents, includingrelated guidance of the World Bank (www.worldbank.org/procure), to determine which typeof procurement document is more appropriate depending on the specifics of each case.]

2 References in this SRFP to the “World Bank” or “Bank” include both the International Bank for Reconstructionand Development (IBRD) and International Development Association (IDA).


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TABLE OF CLAUSES

PART I – SELECTION PROCEDURES AND REQUIREMENTS ...................................1

Section 1. Letter of Invitation ................................................................................................1

Section 2. Instructions to Consultants and Data Sheet.........................................................3

A. General Provisions .............................................................................................................3

1. Definitions......................................................................................................................3

2. Introduction....................................................................................................................5

3. Conflict of Interest .........................................................................................................5

4. Unfair Competitive Advantage ......................................................................................6

5. Corrupt and Fraudulent Practices...................................................................................7

6. Eligibility .......................................................................................................................7

B. Preparation of Proposals ...................................................................................................9

7. General Considerations.........................................................................................98. Cost of Preparation of Proposal ............................................................................99. Language...............................................................................................................910. Documents Comprising the Proposal....................................................................911. Only One Proposal ................................................................................................912. Proposal Validity ..................................................................................................913. Clarification and Amendment of RFP ................................................................1014. Preparation of Proposals – Specific Considerations ...........................................1115. Technical Proposal Format and Content.............................................................1216. Financial Proposal...............................................................................................12

C. Submission, Opening and Evaluation ............................................................................13

17. Submission, Sealing, and Marking of Proposals ...............................................1318. Confidentiality ....................................................................................................1419. Opening of Technical Proposals .........................................................................1420. Proposals Evaluation...........................................................................................1521. Evaluation of Technical Proposals......................................................................1522. Financial Proposals for QBS...............................................................................1523. Public Opening of Financial Proposals (for QCBS, FBS, and LCS methods) ...1624. Correction of Errors ............................................................................................1625. Taxes ...................................................................................................................1726. Conversion to Single Currency...........................................................................1727. Combined Quality and Cost Evaluation ............................................................ 17

D. Negotiations and Award ..................................................................................................18

28. Negotiations ....................................................................................................... 1829. Conclusion of Negotiations................................................................................ 1930. Award of Contract.............................................................................................. 19

E. Data Sheet .........................................................................................................................20


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Section 3. Technical Proposal – Standard Forms ..............................................................27

1. Checklist of Required Forms ................................................................................... 272. Form TECH-1: Technical Proposal Submission Form............................................ 283. Form TECH-2 (FTP): Consultant’s Organization and Experience.......................... 304. Form TECH-3 (FTP): Comments and Suggestions on Terms of Reference,

Counterpart Staff, and Facilities to be Provided by Client ...................................... 325. Form TECH-4 (FTP): Description of Approach, Methodology, and Work Plan in

Responding to the Terms of Reference.................................................................... 336. Form TECH-4 (STP): Description of Approach, Methodology, and Work Plan in

Responding to the Terms of Reference.................................................................... 347. Form TECH-5 (FTP/STP): Work Schedule and Planning for Deliverables............ 358. Form TECH-6 (FTP/STP): Team Composition, Assignment, and Key Experts’

Time Input; and CV Form........................................................................................ 36Section 4. Financial Proposal - Standard Forms ...............................................................41

Section 5. Eligible Countries ................................................................................................51

Section 6. Bank Policy – Corrupt and Fraudulent Practices ............................................53

Section 7. Terms of Reference..............................................................................................55

PART II – CONDITIONS OF CONTRACT AND CONTRACT FORMS .....................63

Section 8. Conditions of Contract and Contract Forms .....................................................63

1. Time-Based Form of Contract ................................................................................. 652. Lump-Sum Form of Contract................................................................................... 65

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PART I

Section 1. Letter of Invitation

Section 2. Instructions to Consultants

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Section 2. Instructions to Consultants and Data Sheet[“Notes to the Client”: this Section 2 - Instructions to Consultants shall not be modified. Any necessary changes,acceptable to the Bank, to address specific country and project issues, to supplement, but not over-write, theprovisions of the Instructions to Consultants (ITC), shall be introduced through the Data Sheet only. “Notes tothe Client” should be deleted from the final RFP issued to the shortlisted Consultants] .

A. General Provisions

1. Definitions (a) “Affiliate(s)” means an individual or an entity thatdirectly or indirectly controls, is controlled by, or is undercommon control with the Consultant.

(b) “Applicable Guidelines” means the policies of the Bankgoverning the selection and Contract award process as setforth in this RFP.

(c) “Applicable Law” means the laws and any otherinstruments having the force of law in the Client’scountry, or in such other country as may be specified inthe Data Sheet, as they may be issued and in force fromtime to time.

(d) “Bank” means the International Bank for Reconstructionand Development (IBRD) or the InternationalDevelopment Association (IDA).

(e) “Borrower” means the Government, Government agencyor other entity that signs the [loan/financing/grant3]agreement with the Bank.

(f) “Client” means the implementing agency that signs theContract for the Services with the selected Consultant.

(g) “Consultant” means a legally-established professionalconsulting firm or an entity that may provide or providesthe Services to the Client under the Contract.

(h) “Contract” means a legally binding written agreementsigned between the Client and the Consultant and includesall the attached documents listed in its Clause 1 (theGeneral Conditions of Contract (GCC), the SpecialConditions of Contract (SCC), and the Appendices).

(i) “Data Sheet” means an integral part of the Instructions toConsultants (ITC) Section 2 that is used to reflect specificcountry and assignment conditions to supplement, but not

3 [“loan agreement” term is used for IBRD loans; “financing agreement” is used for IDA credits; and “grantagreement” is used for Recipient-Executed Trust Funds administered by IBRD or IDA]


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to over-write, the provisions of the ITC.

(j) “Day” means a calendar day.

(k) “Experts” means, collectively, Key Experts, Non-KeyExperts, or any other personnel of the Consultant, Sub-consultant or Joint Venture member(s).

(l) “Government” means the government of the Client’scountry.

(m) “Joint Venture (JV)” means an association with orwithout a legal personality distinct from that of itsmembers, of more than one Consultant where onemember has the authority to conduct all business for andon behalf of any and all the members of the JV, and wherethe members of the JV are jointly and severally liable tothe Client for the performance of the Contract.

(n) “Key Expert(s)” means an individual professional whoseskills, qualifications, knowledge and experience arecritical to the performance of the Services under theContract and whose CV is taken into account in thetechnical evaluation of the Consultant’s proposal.

(o) “ITC” (this Section 2 of the RFP) means the Instructionsto Consultants that provides the shortlisted Consultantswith all information needed to prepare their Proposals.

(p) “LOI” (this Section 1 of the RFP) means the Letter ofInvitation being sent by the Client to the shortlistedConsultants.

(q) “Non-Key Expert(s)” means an individual professionalprovided by the Consultant or its Sub-consultant and whois assigned to perform the Services or any part thereofunder the Contract and whose CVs are not evaluatedindividually.

(r) “Proposal” means the Technical Proposal and theFinancial Proposal of the Consultant.

(s) “RFP” means the Request for Proposals to be prepared bythe Client for the selection of Consultants, based on theSRFP.

(t) “SRFP” means the Standard Request for Proposals, whichmust be used by the Client as the basis for the preparationof the RFP.


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(u) “Services” means the work to be performed by theConsultant pursuant to the Contract.

(v) “Sub-consultant” means an entity to whom the Consultantintends to subcontract any part of the Services whileremaining responsible to the Client during theperformance of the Contract.

(w)“TORs” (this Section 7 of the RFP) means the Terms ofReference that explain the objectives, scope of work,activities, and tasks to be performed, respectiveresponsibilities of the Client and the Consultant, andexpected results and deliverables of the assignment.

2. Introduction 2.1 The Client named in the Data Sheet intends to select aConsultant from those listed in the Letter of Invitation, inaccordance with the method of selection specified in the DataSheet.

2.2 The shortlisted Consultants are invited to submit aTechnical Proposal and a Financial Proposal, or a TechnicalProposal only, as specified in the Data Sheet, for consultingservices required for the assignment named in the Data Sheet.The Proposal will be the basis for negotiating and ultimatelysigning the Contract with the selected Consultant.

2.3 The Consultants should familiarize themselves with thelocal conditions and take them into account in preparing theirProposals, including attending a pre-proposal conference if one isspecified in the Data Sheet. Attending any such pre-proposalconference is optional and is at the Consultants’ expense.

2.4 The Client will timely provide, at no cost to theConsultants, the inputs, relevant project data, and reports requiredfor the preparation of the Consultant’s Proposal as specified in theData Sheet.

3. Conflict ofInterest

3.1 The Consultant is required to provide professional,objective, and impartial advice, at all times holding the Client’sinterests paramount, strictly avoiding conflicts with otherassignments or its own corporate interests, and acting without anyconsideration for future work.

3.2 The Consultant has an obligation to disclose to the Clientany situation of actual or potential conflict that impacts itscapacity to serve the best interest of its Client. Failure to disclosesuch situations may lead to the disqualification of the Consultantor the termination of its Contract and/or sanctions by the Bank.


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3.2.1 Without limitation on the generality of theforegoing, and unless stated otherwise in the Data Sheet, theConsultant shall not be hired under the circumstances set forthbelow:

a. Conflictingactivities

(i) Conflict between consulting activities and procurementof goods, works or non-consulting services: a firm thathas been engaged by the Client to provide goods, works,or non-consulting services for a project, or any of itsAffiliates, shall be disqualified from providingconsulting services resulting from or directly related tothose goods, works, or non-consulting services.Conversely, a firm hired to provide consulting servicesfor the preparation or implementation of a project, orany of its Affiliates, shall be disqualified fromsubsequently providing goods or works or non-consulting services resulting from or directly related tothe consulting services for such preparation orimplementation.

b. Conflictingassignments

(ii) Conflict among consulting assignments: a Consultant(including its Experts and Sub-consultants) or any of itsAffiliates shall not be hired for any assignment that, byits nature, may be in conflict with another assignment ofthe Consultant for the same or for another Client.

c. Conflictingrelationships

(iii) Relationship with the Client’s staff: a Consultant(including its Experts and Sub-consultants) that has aclose business or family relationship with a professionalstaff of the Borrower (or of the Client, or ofimplementing agency, or of a recipient of a part of theBank’s financing) who are directly or indirectlyinvolved in any part of (i) the preparation of the Termsof Reference for the assignment, (ii) the selectionprocess for the Contract, or (iii) the supervision of theContract, may not be awarded a Contract, unless theconflict stemming from this relationship has beenresolved in a manner acceptable to the Bank throughoutthe selection process and the execution of the Contract.

4. UnfairCompetitiveAdvantage

4.1 Fairness and transparency in the selection process requirethat the Consultants or their Affiliates competing for a specificassignment do not derive a competitive advantage from havingprovided consulting services related to the assignment in question.To that end, the Client shall indicate in the Data Sheet and makeavailable to all shortlisted Consultants together with this RFP allinformation that would in that respect give such Consultant any


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unfair competitive advantage over competing Consultants.

5. Corrupt andFraudulentPractices

5.1 The Bank requires compliance with its policy in regard tocorrupt and fraudulent practices as set forth in Section 6.

5.2 In further pursuance of this policy, Consultant shall permit andshall cause its agents, Experts, Sub-consultants, sub-contractors,services providers, or suppliers to permit the Bank to inspect allaccounts, records, and other documents relating to the submissionof the Proposal and contract performance (in case of an award),and to have them audited by auditors appointed by the Bank.

6. Eligibility 6.1 The Bank permits consultants (individuals and firms,including Joint Ventures and their individual members) from allcountries to offer consulting services for Bank-financed projects.

6.2 Furthermore, it is the Consultant’s responsibility to ensurethat its Experts, joint venture members, Sub-consultants, agents(declared or not), sub-contractors, service providers, suppliersand/or their employees meet the eligibility requirements asestablished by the Bank in the Applicable Guidelines.

6.3 As an exception to the foregoing Clauses 6.1 and 6.2above:

a. Sanctions 6.3.1 A firm or an individual sanctioned by the Bank inaccordance with the above Clause 5.1 or in accordance with“Anti-Corruption Guidelines” shall be ineligible to beawarded a Bank-financed contract, or to benefit from aBank-financed contract, financially or otherwise, duringsuch period of time as the Bank shall determine. The list ofdebarred firms and individuals is available at the electronicaddress specified in the Data Sheet.

b. Prohibitions 6.3.2 Firms and individuals of a country or goodsmanufactured in a country may be ineligible if so indicatedin Section 5 (Eligible Countries) and:

(a) as a matter of law or official regulations, theBorrower’s country prohibits commercial relations withthat country, provided that the Bank is satisfied thatsuch exclusion does not preclude effective competitionfor the provision of Services required; or

(b) by an act of compliance with a decision of the UnitedNations Security Council taken under Chapter VII ofthe Charter of the United Nations, the Borrower’sCountry prohibits any import of goods from that


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country or any payments to any country, person, orentity in that country.

c. Restrictions forGovernment-ownedEnterprises

6.3.3 Government-owned enterprises or institutions in theBorrower’s country shall be eligible only if they canestablish that they (i) are legally and financiallyautonomous, (ii) operate under commercial law, and (iii)that they are not dependent agencies of the Client

To establish eligibility, the government-owned enterprise orinstitution should provide all relevant documents (includingits charter) sufficient to demonstrate that it is a legal entityseparate from the government; it does not currently receiveany substantial subsidies or budget support; it is notobligated to pass on its surplus to the government; it canacquire rights and liabilities, borrow funds, and can be liablefor repayment of debts and be declared bankrupt; and it isnot competing for a contract to be awarded by thegovernment department or agency which, under theapplicable laws or regulations, is its reporting or supervisoryauthority or has the ability to exercise influence or controlover it.

d. Restrictions forpublic employees

6.3.4 Government officials and civil servants of theBorrower’s country are not eligible to be included asExperts in the Consultant’s Proposal unless suchengagement does not conflict with any employment or otherlaws, regulations, or policies of the Borrower’s country, andthey

(i) are on leave of absence without pay, or have resigned orretired;

(ii) are not being hired by the same agency they wereworking for before going on leave of absence without pay,resigning, or retiring

(in case of resignation or retirement, for a period ofat least 6 (six) months, or the period established bystatutory provisions applying to civil servants orgovernment employees in the Borrower’s country,whichever is longer. Experts who are employed bythe government-owned universities, educational orresearch institutions are not eligible unless theyhave been full time employees of their institutionsfor a year or more prior to being included inConsultant’s Proposal.; and


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(iii) their hiring would not create a conflict of interest.

B. Preparation of Proposals

7. GeneralConsiderations

7.1 In preparing the Proposal, the Consultant is expected toexamine the RFP in detail. Material deficiencies in providing theinformation requested in the RFP may result in rejection of theProposal.

8. Cost ofPreparation ofProposal

8.1 The Consultant shall bear all costs associated with thepreparation and submission of its Proposal, and the Client shallnot be responsible or liable for those costs, regardless of theconduct or outcome of the selection process. The Client is notbound to accept any proposal, and reserves the right to annul theselection process at any time prior to Contract award, withoutthereby incurring any liability to the Consultant.

9. Language 9.1 The Proposal, as well as all correspondence and documentsrelating to the Proposal exchanged between the Consultant and theClient, shall be written in the language(s) specified in the DataSheet.

10. DocumentsComprising theProposal

10.1 The Proposal shall comprise the documents and formslisted in the Data Sheet.

10.2 If specified in the Data Sheet, the Consultant shall includea statement of an undertaking of the Consultant to observe, incompeting for and executing a contract, the Client country’s lawsagainst fraud and corruption (including bribery).

10.3 The Consultant shall furnish information on commissions,gratuities, and fees, if any, paid or to be paid to agents or any otherparty relating to this Proposal and, if awarded, Contract execution,as requested in the Financial Proposal submission form (Section4).

11. Only OneProposal

11.1 The Consultant (including the individual members of anyJoint Venture) shall submit only one Proposal, either in its ownname or as part of a Joint Venture in another Proposal. If aConsultant, including any Joint Venture member, submits orparticipates in more than one proposal, all such proposals shall bedisqualified and rejected. This does not, however, preclude a Sub-consultant, or the Consultant’s staff from participating as KeyExperts and Non-Key Experts in more than one Proposal whencircumstances justify and if stated in the Data Sheet.

12. Proposal Validity 12.1 The Data Sheet indicates the period during which theConsultant’s Proposal must remain valid after the Proposal


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submission deadline.

12.2 During this period, the Consultant shall maintain itsoriginal Proposal without any change, including the availability ofthe Key Experts, the proposed rates and the total price.

12.3 If it is established that any Key Expert nominated in theConsultant’s Proposal was not available at the time of Proposalsubmission or was included in the Proposal without his/herconfirmation, such Proposal shall be disqualified and rejected forfurther evaluation, and may be subject to sanctions in accordancewith Clause 5 of this ITC.

a. Extension ofValidity Period

12.4 The Client will make its best effort to complete thenegotiations within the proposal’s validity period. However,should the need arise, the Client may request, in writing, allConsultants who submitted Proposals prior to the submissiondeadline to extend the Proposals’ validity.

12.5 If the Consultant agrees to extend the validity of itsProposal, it shall be done without any change in the originalProposal and with the confirmation of the availability of the KeyExperts.

12.6 The Consultant has the right to refuse to extend the validityof its Proposal in which case such Proposal will not be furtherevaluated.

b. Substitution ofKey Experts atValidityExtension

12.7 If any of the Key Experts become unavailable for theextended validity period, the Consultant shall provide a writtenadequate justification and evidence satisfactory to the Clienttogether with the substitution request. In such case, a replacementKey Expert shall have equal or better qualifications andexperience than those of the originally proposed Key Expert. Thetechnical evaluation score, however, will remain to be based onthe evaluation of the CV of the original Key Expert.

12.8 If the Consultant fails to provide a replacement Key Expertwith equal or better qualifications, or if the provided reasons forthe replacement or justification are unacceptable to the Client,such Proposal will be rejected with the prior Bank’s no objection.

c. Sub-Contracting

12.9 The Consultant shall not subcontract the whole of theServices.

13. Clarification andAmendment ofRFP

13.1 The Consultant may request a clarification of any part ofthe RFP during the period indicated in the Data Sheet before theProposals’ submission deadline. Any request for clarification must


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be sent in writing, or by standard electronic means, to the Client’saddress indicated in the Data Sheet. The Client will respond inwriting, or by standard electronic means, and will send writtencopies of the response (including an explanation of the query butwithout identifying its source) to all shortlisted Consultants.Should the Client deem it necessary to amend the RFP as a resultof a clarification, it shall do so following the procedure describedbelow:

13.1.1 At any time before the proposal submissiondeadline, the Client may amend the RFP by issuing anamendment in writing or by standard electronic means. Theamendment shall be sent to all shortlisted Consultants andwill be binding on them. The shortlisted Consultants shallacknowledge receipt of all amendments in writing.

13.1.2 If the amendment is substantial, the Client mayextend the proposal submission deadline to give theshortlisted Consultants reasonable time to take anamendment into account in their Proposals.

13.2 The Consultant may submit a modified Proposal or amodification to any part of it at any time prior to the proposalsubmission deadline. No modifications to the Technical orFinancial Proposal shall be accepted after the deadline.

14. Preparation ofProposals –SpecificConsiderations

14.1 While preparing the Proposal, the Consultant must giveparticular attention to the following:

14.1.1 If a shortlisted Consultant considers that it mayenhance its expertise for the assignment by associating withother consultants in the form of a Joint Venture or as Sub-consultants, it may do so with either (a) non-shortlistedConsultant(s), or (b) shortlisted Consultants if permitted inthe Data Sheet. In all such cases a shortlisted Consultantmust obtain the written approval of the Client prior to thesubmission of the Proposal. When associating with non-shortlisted firms in the form of a joint venture or a sub-consultancy, the shortlisted Consultant shall be a leadmember. If shortlisted Consultants associate with each other,any of them can be a lead member.

14.1.2 The Client may indicate in the Data Sheet theestimated Key Experts’ time input (expressed in person-month) or the Client’s estimated total cost of theassignment, but not both. This estimate is indicative and theProposal shall be based on the Consultant’s own estimates


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for the same.

14.1.3 If stated in the Data Sheet, the Consultant shallinclude in its Proposal at least the same time input (in thesame unit as indicated in the Data Sheet) of Key Experts,failing which the Financial Proposal will be adjusted for thepurpose of comparison of proposals and decision for awardin accordance with the procedure in the Data Sheet.

14.1.4 For assignments under the Fixed-Budget selectionmethod, the estimated Key Experts’ time input is notdisclosed. Total available budget, with an indication whetherit is inclusive or exclusive of taxes, is given in the DataSheet, and the Financial Proposal shall not exceed thisbudget.

15. TechnicalProposal Formatand Content

15.1 The Technical Proposal shall not include any financialinformation. A Technical Proposal containing material financialinformation shall be declared non-responsive.

15.1.1 Consultant shall not propose alternative KeyExperts. Only one CV shall be submitted for each KeyExpert position. Failure to comply with this requirementwill make the Proposal non-responsive.

15.2 Depending on the nature of the assignment, the Consultantis required to submit a Full Technical Proposal (FTP), or aSimplified Technical Proposal (STP) as indicated in the DataSheet and using the Standard Forms provided in Section 3 of theRFP.

16. FinancialProposal

16.1 The Financial Proposal shall be prepared using theStandard Forms provided in Section 4 of the RFP. It shall list allcosts associated with the assignment, including (a) remunerationfor Key Experts and Non-Key Experts, (b) reimbursable expensesindicated in the Data Sheet.

a. PriceAdjustment

16.2 For assignments with a duration exceeding 18 months, aprice adjustment provision for foreign and/or local inflation forremuneration rates applies if so stated in the Data Sheet.

b. Taxes 16.3 The Consultant and its Sub-consultants and Experts areresponsible for meeting all tax liabilities arising out of theContract unless stated otherwise in the Data Sheet. Informationon taxes in the Client’s country is provided in the Data Sheet.

c. Currency ofProposal

16.4 The Consultant may express the price for its Services inthe currency or currencies as stated in the Data Sheet. If indicatedin the Data Sheet, the portion of the price representing local cost


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shall be stated in the national currency.

d. Currency ofPayment

16.5 Payment under the Contract shall be made in the currencyor currencies in which the payment is requested in the Proposal.

C. Submission, Opening and Evaluation

17. Submission, Sealing,and Marking ofProposals

17.1 The Consultant shall submit a signed and completeProposal comprising the documents and forms in accordancewith Clause 10 (Documents Comprising Proposal). Thesubmission can be done by mail or by hand. If specified in theData Sheet, the Consultant has the option of submitting itsProposals electronically.

17.2 An authorized representative of the Consultant shallsign the original submission letters in the required format forboth the Technical Proposal and, if applicable, the FinancialProposals and shall initial all pages of both. The authorizationshall be in the form of a written power of attorney attached tothe Technical Proposal.

17.2.1 A Proposal submitted by a Joint Venture shall besigned by all members so as to be legally binding on allmembers, or by an authorized representative who has awritten power of attorney signed by each member’sauthorized representative.

17.3 Any modifications, revisions, interlineations, erasures,or overwriting shall be valid only if they are signed or initialedby the person signing the Proposal.

17.4 The signed Proposal shall be marked “ORIGINAL”, andits copies marked “COPY” as appropriate. The number of copiesis indicated in the Data Sheet. All copies shall be made fromthe signed original. If there are discrepancies between theoriginal and the copies, the original shall prevail.

17.5 The original and all the copies of the Technical Proposalshall be placed inside of a sealed envelope clearly marked“TECHNICAL PROPOSAL”, “[Name of the Assignment]“,reference number, name and address of the Consultant, andwith a warning “DO NOT OPEN UNTIL [INSERT THE DATE AND

THE TIME OF THE TECHNICAL PROPOSAL SUBMISSIONDEADLINE].”

17.6 Similarly, the original Financial Proposal (if requiredfor the applicable selection method) shall be placed inside of a


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sealed envelope clearly marked “FINANCIAL PROPOSAL”followed by the name of the assignment, reference number,name and address of the Consultant, and with a warning “DO

NOT OPEN WITH THE TECHNICAL PROPOSAL.”

17.7 The sealed envelopes containing the Technical andFinancial Proposals shall be placed into one outer envelope andsealed. This outer envelope shall bear the submission address,RFP reference number, the name of the assignment,Consultant’s name and the address, and shall be clearly marked“DO NOT OPEN BEFORE [insert the time and date of thesubmission deadline indicated in the Data Sheet]”.

17.8 If the envelopes and packages with the Proposal are notsealed and marked as required, the Client will assume noresponsibility for the misplacement, loss, or premature openingof the Proposal.

17.9 The Proposal or its modifications must be sent to theaddress indicated in the Data Sheet and received by the Clientno later than the deadline indicated in the Data Sheet, or anyextension to this deadline. Any Proposal or its modificationreceived by the Client after the deadline shall be declared lateand rejected, and promptly returned unopened.

18. Confidentiality 18.1 From the time the Proposals are opened to the time theContract is awarded, the Consultant should not contact theClient on any matter related to its Technical and/or FinancialProposal. Information relating to the evaluation of Proposalsand award recommendations shall not be disclosed to theConsultants who submitted the Proposals or to any other partynot officially concerned with the process, until the publicationof the Contract award information.

18.2 Any attempt by shortlisted Consultants or anyone onbehalf of the Consultant to influence improperly the Client inthe evaluation of the Proposals or Contract award decisionsmay result in the rejection of its Proposal, and may be subjectto the application of prevailing Bank’s sanctions procedures.

18.3 Notwithstanding the above provisions, from the time ofthe Proposals’ opening to the time of Contract awardpublication, if a Consultant wishes to contact the Client or theBank on any matter related to the selection process, it should doso only in writing.

19. Opening ofTechnical Proposals

19.1 The Client’s evaluation committee shall conduct theopening of the Technical Proposals in the presence of the


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shortlisted Consultants’ authorized representatives who chooseto attend (in person, or online if this option is offered in theData Sheet). The opening date, time and the address are statedin the Data Sheet. The envelopes with the Financial Proposalshall remain sealed and shall be securely stored with a reputablepublic auditor or independent authority until they are opened inaccordance with Clause 23 of the ITC.

19.2 At the opening of the Technical Proposals the followingshall be read out: (i) the name and the country of the Consultantor, in case of a Joint Venture, the name of the Joint Venture, thename of the lead member and the names and the countries of allmembers; (ii) the presence or absence of a duly sealed envelopewith the Financial Proposal; (iii) any modifications to theProposal submitted prior to proposal submission deadline; and(iv) any other information deemed appropriate or as indicatedin the Data Sheet.

20. ProposalsEvaluation

20.1 Subject to provision of Clause 15.1 of the ITC, theevaluators of the Technical Proposals shall have no access tothe Financial Proposals until the technical evaluation isconcluded and the Bank issues its “no objection”, if applicable.

20.2 The Consultant is not permitted to alter or modify itsProposal in any way after the proposal submission deadlineexcept as permitted under Clause 12.7 of this ITC. Whileevaluating the Proposals, the Client will conduct the evaluationsolely on the basis of the submitted Technical and FinancialProposals.

21. Evaluation ofTechnical Proposals

21.1 The Client’s evaluation committee shall evaluate theTechnical Proposals on the basis of their responsiveness to theTerms of Reference and the RFP, applying the evaluationcriteria, sub-criteria, and point system specified in the DataSheet. Each responsive Proposal will be given a technicalscore. A Proposal shall be rejected at this stage if it does notrespond to important aspects of the RFP or if it fails to achievethe minimum technical score indicated in the Data Sheet.

22. Financial Proposalsfor QBS

22.1 Following the ranking of the Technical Proposals, whenthe selection is based on quality only (QBS), the top-rankedConsultant is invited to negotiate the Contract.

22.2 If Financial Proposals were invited together with theTechnical Proposals, only the Financial Proposal of thetechnically top-ranked Consultant is opened by the Client’sevaluation committee. All other Financial Proposals arereturned unopened after the Contract negotiations are


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successfully concluded and the Contract is signed.

23. Public Opening ofFinancial Proposals(for QCBS, FBS,and LCS methods)

23.1 After the technical evaluation is completed and theBank has issued its no objection (if applicable), the Client shallnotify those Consultants whose Proposals were considered non-responsive to the RFP and TOR or did not meet the minimumqualifying technical score (and shall provide informationrelating to the Consultant’s overall technical score, as well asscores obtained for each criterion and sub-criterion) that theirFinancial Proposals will be returned unopened after completingthe selection process and Contract signing. The Client shallsimultaneously notify in writing those Consultants that haveachieved the minimum overall technical score and inform themof the date, time and location for the opening of the FinancialProposals. The opening date should allow the Consultantssufficient time to make arrangements for attending the opening.The Consultant’s attendance at the opening of the FinancialProposals (in person, or online if such option is indicated in theData Sheet) is optional and is at the Consultant’s choice.

23.2 The Financial Proposals shall be opened by the Client’sevaluation committee in the presence of the representatives ofthose Consultants whose proposals have passed the minimumtechnical score. At the opening, the names of the Consultants,and the overall technical scores, including the break-down bycriterion, shall be read aloud. The Financial Proposals will thenbe inspected to confirm that they have remained sealed andunopened. These Financial Proposals shall be then opened, andthe total prices read aloud and recorded. Copies of the recordshall be sent to all Consultants who submitted Proposals and tothe Bank.

24. Correction of Errors 24.1 Activities and items described in the Technical Proposalbut not priced in the Financial Proposal, shall be assumed to beincluded in the prices of other activities or items, and nocorrections are made to the Financial Proposal.

a. Time-BasedContracts

24.1.1 If a Time-Based contract form is included in theRFP, the Client’s evaluation committee will (a) correctany computational or arithmetical errors, and (b) adjustthe prices if they fail to reflect all inputs included for therespective activities or items in the Technical Proposal. Incase of discrepancy between (i) a partial amount (sub-total) and the total amount, or (ii) between the amountderived by multiplication of unit price with quantity andthe total price, or (iii) between words and figures, theformer will prevail. In case of discrepancy between theTechnical and Financial Proposals in indicating quantities


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of input, the Technical Proposal prevails and the Client’sevaluation committee shall correct the quantificationindicated in the Financial Proposal so as to make itconsistent with that indicated in the Technical Proposal,apply the relevant unit price included in the FinancialProposal to the corrected quantity, and correct the totalProposal cost.

b. Lump-SumContracts

24.2 If a Lump-Sum contract form is included in the RFP, theConsultant is deemed to have included all prices in theFinancial Proposal, so neither arithmetical corrections nor priceadjustments shall be made. The total price, net of taxesunderstood as per Clause ITC 25 below, specified in theFinancial Proposal (Form FIN-1) shall be considered as theoffered price.

25. Taxes 25.1 The Client’s evaluation of the Consultant’s FinancialProposal shall exclude taxes and duties in the Client’s countryin accordance with the instructions in the Data Sheet.

26. Conversion to SingleCurrency

26.1 For the evaluation purposes, prices shall be converted toa single currency using the selling rates of exchange, sourceand date indicated in the Data Sheet.

27. Combined Qualityand Cost Evaluation

a. Quality- andCost-BasedSelection (QCBS)

27.1 In the case of QCBS, the total score is calculated byweighting the technical and financial scores and adding them asper the formula and instructions in the Data Sheet. TheConsultant achieving the highest combined technical andfinancial score will be invited for negotiations.

b. Fixed-BudgetSelection (FBS)

27.2 In the case of FBS, those Proposals that exceed thebudget indicated in Clause 14.1.4 of the Data Sheet shall berejected.

27.3 The Client will select the Consultant that submitted thehighest-ranked Technical Proposal that does not exceed thebudget indicated in the RFP, and invite such Consultant tonegotiate the Contract.


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c. Least-CostSelection

27.4 In the case of Least-Cost Selection (LCS), the Clientwill select the Consultant with the lowest evaluated total priceamong those consultants that achieved the minimum technicalscore, and invite such Consultant to negotiate the Contract.

D. Negotiations and Award

28. Negotiations 28.1 The negotiations will be held at the date and addressindicated in the Data Sheet with the Consultant’srepresentative(s) who must have written power of attorney tonegotiate and sign a Contract on behalf of the Consultant.

28.2 The Client shall prepare minutes of negotiations that aresigned by the Client and the Consultant’s authorizedrepresentative.

a. Availability ofKey Experts

28.3 The invited Consultant shall confirm the availability ofall Key Experts included in the Proposal as a pre-requisite tothe negotiations, or, if applicable, a replacement in accordancewith Clause 12 of the ITC. Failure to confirm the Key Experts’availability may result in the rejection of the Consultant’sProposal and the Client proceeding to negotiate the Contractwith the next-ranked Consultant.

28.4 Notwithstanding the above, the substitution of KeyExperts at the negotiations may be considered if due solely tocircumstances outside the reasonable control of and notforeseeable by the Consultant, including but not limited todeath or medical incapacity. In such case, the Consultant shalloffer a substitute Key Expert within the period of time specifiedin the letter of invitation to negotiate the Contract, who shallhave equivalent or better qualifications and experience than theoriginal candidate.

b. Technicalnegotiations

28.5 The negotiations include discussions of the Terms ofReference (TORs), the proposed methodology, the Client’sinputs, the special conditions of the Contract, and finalizing the“Description of Services” part of the Contract. Thesediscussions shall not substantially alter the original scope ofservices under the TOR or the terms of the contract, lest thequality of the final product, its price, or the relevance of theinitial evaluation be affected.

c. Financialnegotiations

28.6 The negotiations include the clarification of theConsultant’s tax liability in the Client’s country and how itshould be reflected in the Contract.

28.7 If the selection method included cost as a factor in the


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evaluation, the total price stated in the Financial Proposal for aLump-Sum contract shall not be negotiated.

28.8 In the case of a Time-Based contract, unit ratesnegotiations shall not take place, except when the offered KeyExperts and Non-Key Experts’ remuneration rates are muchhigher than the typically charged rates by consultants in similarcontracts. In such case, the Client may ask for clarificationsand, if the fees are very high, ask to change the rates afterconsultation with the Bank.

The format for (i) providing information on remuneration ratesin the case of Quality Based Selection; and (ii) clarifyingremuneration rates’ structure under Clause 28.8 above, isprovided in Appendix A to the Financial Form FIN-3: FinancialNegotiations – Breakdown of Remuneration Rates.

29. Conclusion ofNegotiations

29.1 The negotiations are concluded with a review of thefinalized draft Contract, which then shall be initialed by theClient and the Consultant’s authorized representative.

29.2 If the negotiations fail, the Client shall inform theConsultant in writing of all pending issues and disagreementsand provide a final opportunity to the Consultant to respond. Ifdisagreement persists, the Client shall terminate thenegotiations informing the Consultant of the reasons for doingso. After having obtained the Bank’s no objection, the Clientwill invite the next-ranked Consultant to negotiate a Contract.Once the Client commences negotiations with the next-rankedConsultant, the Client shall not reopen the earlier negotiations.

30. Award of Contract 30.1 After completing the negotiations the Client shall obtainthe Bank’s no objection to the negotiated draft Contract, ifapplicable; sign the Contract; publish the award information asper the instructions in the Data Sheet; and promptly notify theother shortlisted Consultants.

30.2 The Consultant is expected to commence theassignment on the date and at the location specified in the DataSheet.


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Instructions to Consultants

E. Data Sheet

A. General

ITC ClauseReference

2.1 Name of the Client: Department of Human Settlement , Ministry of Works& Human Settlement, Royal Government of Bhutan, Thimphu, Bhutan

Method of selection: Quality and Cost Based Selection as per

Applicable Guidelines: Selection and Employment of Consultants underIBRD Loans and IDA Credits & Grants by World Bank Borrowers, datedJanuary 2011 available on www.worldbank.org/procure

2.2 Financial Proposal to be submitted together with Technical Proposal:Yes

The name of the assignment is: Consultancy Services for Preparation ofNational Human Settlement Strategy

2.3 A pre-proposal conference will be held: Yes

Date of pre-proposal conference: Will be informedTime: Will be informedAddress: Department of Human Settlement, MoWHSTelephone: +975-02-329948/322182 Facsimile: +975-02-335799E-mail: [email protected] person/conference coordinator: Tashi Penjor

2.4 The Client will provide the following inputs, project data, reports, etc. tofacilitate the preparation of the Proposals:

A national counterpart/ coordinator who will assist theconsulting team arrange meetings and discussions and theirtravel to and within Bhutan, if necessary.

Relevant Documents. Assist in identifying and contacting the stakeholders that

need to be consulted as part of the assignment.


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6.3.1 A list of debarred firms and individuals is available at the Bank’sexternal website: www.worldbank.org/debarr

B. Preparation of Proposals

9.1 This RFP has been issued in the English language.

Proposals shall be submitted in English

All correspondence exchange shall be in English language.

10.1 The Proposal shall comprise the following:

For FULL TECHNICAL PROPOSAL (FTP):1st Inner Envelope with the Technical Proposal:

(1) Power of Attorney to sign the Proposal(2) TECH-1(3) TECH-2(4) TECH-3(5) TECH-4(6) TECH-5(7) TECH-6

AND

2nd Inner Envelope with the Financial Proposal (if applicable):(1) FIN-1(2) FIN-2(3) FIN-3(4) FIN-4(5) Statement of Undertaking (if required under Data Sheet 10.2 below)

10.2 Statement of Undertaking is requiredYes

11.1 Participation of Sub-consultants, Key Experts and Non-Key Experts inmore than one Proposal is permissible: No

12.1 Proposals must remain valid for : 60 days after the submission date, i.e.until December 05, 2015


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13.1 Clarifications may be requested no later than seven days prior to thesubmission deadline.

The contact information for requesting clarifications is:Mr. Tashi Penjor,Dy.Chief Urban Planner, Regional and Rural Planning Division,Department of Human Settlement,Ministry of Works & Human Settlement, Royal Government of Bhutan, PostBox 791, Thimphu, BhutanTelephone: 00975-2-322182,329948; Facsimile: 00975-2-335799E-mail: [email protected]

14.1.1 Shortlisted Consultants may associate with

(a) non-shortlisted consultant(s): No

Or

(b) other shortlisted Consultants: No

15.2 The format of the Technical Proposal to be submitted is:FTP

Submission of the Technical Proposal in a wrong format may lead to theProposal being deemed non-responsive to the RFP requirements.

16.1 Please mention the reimbursable expenses that the consultant can claim andneeds to provide in their cost proposal. An indicative list is as below:

i) A per diem allowance, including hotel, for experts for everyday of absencefrom home or office for the purpose of the Services;

ii) Cost of travel by the most appropriate means of transport and the most directpracticable route;

iii) Cost of office accommodation, including overheads and back-stop support;iv) Communications costs;v) Cost of purchase or rent or freight of any equipment required to be provided

by the Consultants;vi) Cost of reports production(including printing)and delivering to the Client;

other allowances where applicable and provisional or fixed sums(if any

16.3 Amounts payable by the Client to the Consultant under the contract to besubject to local taxation (3% TDS for all Consulting Fees) : Yes

If affirmative, the Client will reimburse the Consultant for any such taxespaid by the Consultant.


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16.4 The Financial Proposal shall be stated in the following currencies:

The Financial Proposal should state local costs in the Client’s countrycurrency (local currency): Yes

C. Submission, Opening and Evaluation

17.1 The Consultants shall not have the option of submitting their Proposalselectronically.

17.4 The Consultant must submit:(a) Technical Proposal: one (1) original and two copies;(b) Financial Proposal: one (1) original.

17.7 and17.9

The Proposals must be submitted no later than:Date: November 04, 2015Time: 10:00 AM, Bhutan Standard Time

The Proposal submission address is:Director,Department of Human Settlement, Ministry of Works & Human Settlement,Royal Government of Bhutan, Post Box 791, Thimphu, BhutanTel.: 00975-2-322182/329947Fax: 00975-2-335799Email: [email protected]

19.1 An online option of the opening of the Technical Proposals is offered:No

19.2 In addition, the following information will be read aloud at the openingof the Technical Proposals : Submission of mandatory documentsincluding the Integrity pact, trade licence, power of attorney, whether itis a joint venture or sub-consultancy

21.1(for FTP)

Criteria, sub-criteria, and point system for the evaluation of the FullTechnical Proposals:

Points(I) Specific experience of the Consultancy firm relevant to the assignment: [10]

(II) Adequacy of the proposed methodology and work planin responding to the Terms of Reference:

a) Technical approach and methodology [10]b) Work plan [5]c) Organization and staffing [5]


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Total points for criterion (ii): [20]

(III) Key professional staff qualifications and competence for the assignment:

a) Urban Planner/Regional Planner/Urban Designer [15]b) Policy Analyst [10]c) Housing Expert [10]d) Socio-Economist [10]e) Transport Planner [5]f) Geographer [5]g) Demographer [5]h) Investment Planner [5]

Total points for criterion (iii): [65]

The number of points to be assigned to each of the above positions or disciplines shallbe determined considering the following three sub-criteria and relevant percentageweights:

1) General qualifications [15%]2) Adequacy for the assignment [60%]3) Experience in region and language [25%]

Total weight: 100%

IV) Transfer of Knowledge [5]Total points for the Four criteria: [100]

The minimum technical score (St) required to pass is: 75 Points

25.1 For the purpose of the evaluation, the Client will exclude: (a) all localidentifiable indirect taxes such as sales tax, excise tax, VAT, or similar taxeslevied on the contract’s invoices; and (b) all additional local indirect tax onthe remuneration of services rendered by non-resident experts in the Client’scountry. If a Contract is awarded, at Contract negotiations, all such taxes willbe discussed, finalized (using the itemized list as a guidance but not limitingto it) and added to the Contract amount as a separate line, also indicatingwhich taxes shall be paid by the Consultant and which taxes are withheldand paid by the Client on behalf of the Consultant.

26.1 The single currency for price conversions is: US$The source of official selling rates is: Royal Monetary AuthorityThe date of exchange rates is: 28 days prior to the deadline for submissionof bids

27.1(QCBSonly)

The lowest evaluated Financial Proposal (Fm) is given the maximumfinancial score (Sf) of 100.

The formula for determining the financial scores (Sf) of all otherProposals is calculated as following:


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Sf = 100 x Fm/ F, in which “Sf” is the financial score, “Fm” is the lowestprice, and “F” the price of the proposal under consideration.

The weights given to the Technical (T) and Financial (P) Proposals are:T = 0.8P = 0.2

Proposals are ranked according to their combined technical (St) and financial(Sf) scores using the weights (T = the weight given to the TechnicalProposal; P = the weight given to the Financial Proposal; T + P = 1) asfollowing: S = St x T% + Sf x P%.

D. Negotiations and Award

28.1 Expected date and address for contract negotiations:Date: December 07, 2015Address: Director, Department of Human Settlement, Ministry of Worksand Human Settlement, Thimphu.

30.1 The publication of the contract award information following thecompletion of the contract negotiations and contract signing will be doneas following: www.mowhs.gov.bt

The publication will be done within one day after the contract signing.

30.2 Expected date for the commencement of the Services:Date: December 09, 2015 at Thimphu, Bhutan

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Section 3. Technical Proposal – Standard Forms{Notes to Consultant shown in brackets { } throughout Section 3 provide guidance to theConsultant to prepare the Technical Proposal; they should not appear on the Proposals to besubmitted.}

CHECKLIST OF REQUIRED FORMS

All pages of the original Technical and Financial Proposal shall be initialled by the sameauthorized representative of the Consultant who signs the Proposal.

Required forFTP or STP

(√)

FORM DESCRIPTION Page Limit

FTP STP√ √ TECH-1 Technical Proposal Submission Form.

“√ “ Ifapplicable

TECH-1Attachment

If the Proposal is submitted by a joint venture,attach a letter of intent or a copy of an existingagreement.

“√” Ifapplicable

Power ofAttorney

No pre-set format/form. In the case of a JointVenture, several are required: a power of attorneyfor the authorized representative of each JVmember, and a power of attorney for therepresentative of the lead member to represent allJV members

√ TECH-2 Consultant’s Organization and Experience.

√ TECH-2A A. Consultant’s Organization√ TECH-2B B. Consultant’s Experience

√ TECH-3 Comments or Suggestions on the Terms ofReference and on Counterpart Staff and Facilities tobe provided by the Client.

√ TECH-3A A. On the Terms of Reference√ TECH-3B B. On the Counterpart Staff and

Facilities√ √ TECH-4 Description of the Approach, Methodology, and

Work Plan for Performing the Assignment√ √ TECH-5 Work Schedule and Planning for Deliverables√ √ TECH-6 Team Composition, Key Experts Inputs, and

attached Curriculum Vitae (CV)

Section 3. Technical Proposal – Standard Forms

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FORM TECH-1

TECHNICAL PROPOSAL SUBMISSION FORM

{Location, Date}

To: [Name and address of Client]

Dear Sirs:

We, the undersigned, offer to provide the consulting services for [Insert title ofassignment] in accordance with your Request for Proposals dated [Insert Date] and ourProposal. [Select appropriate wording depending on the selection method stated in the RFP:“We are hereby submitting our Proposal, which includes this Technical Proposal and aFinancial Proposal sealed in a separate envelope” or, if only a Technical Proposal is invited“We hereby are submitting our Proposal, which includes this Technical Proposal only in asealed envelope.”].

{If the Consultant is a joint venture, insert the following: We are submitting ourProposal a joint venture with: {Insert a list with full name and the legal address of eachmember, and indicate the lead member}. We have attached a copy {insert: “of our letter ofintent to form a joint venture” or, if a JV is already formed, “of the JV agreement”} signed byevery participating member, which details the likely legal structure of and the confirmation ofjoint and severable liability of the members of the said joint venture.

{OR

If the Consultant’s Proposal includes Sub-consultants, insert the following: We are submittingour Proposal with the following firms as Sub-consultants: {Insert a list with full name andaddress of each Sub-consultant.}

We hereby declare that:

(a) All the information and statements made in this Proposal are true and weaccept that any misinterpretation or misrepresentation contained in thisProposal may lead to our disqualification by the Client and/or may besanctioned by the Bank.

(b) Our Proposal shall be valid and remain binding upon us for the period of timespecified in the Data Sheet, Clause 12.1.

(c) We have no conflict of interest in accordance with ITC 3.


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(d) We meet the eligibility requirements as stated in ITC 6, and we confirm ourunderstanding of our obligation to abide by the Bank’s policy in regard tocorrupt and fraudulent practices as per ITC 5.

(e) In competing for (and, if the award is made to us, in executing) the Contract,we undertake to observe the laws against fraud and corruption, includingbribery, in force in the country of the Client.

(f) Except as stated in the Data Sheet, Clause 12.1, we undertake to negotiate aContract on the basis of the proposed Key Experts. We accept that thesubstitution of Key Experts for reasons other than those stated in ITC Clause12 and ITC Clause 28.4 may lead to the termination of Contract negotiations.

(g) Our Proposal is binding upon us and subject to any modifications resultingfrom the Contract negotiations.

We undertake, if our Proposal is accepted and the Contract is signed, to initiate theServices related to the assignment no later than the date indicated in Clause 30.2 of the DataSheet.

We understand that the Client is not bound to accept any Proposal that the Clientreceives.

We remain,

Yours sincerely,

Authorized Signature {In full and initials}:Name and Title of Signatory:Name of Consultant (company’s name or JV’s name):In the capacity of:

Address:Contact information (phone and e-mail):

{For a joint venture, either all members shall sign or only the lead member, in whichcase the power of attorney to sign on behalf of all members shall be attached}


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FORM TECH-2 (FOR FULL TECHNICAL PROPOSAL ONLY)

CONSULTANT’S ORGANIZATION AND EXPERIENCE

Form TECH-2: a brief description of the Consultant’s organization and an outline of therecent experience of the Consultant that is most relevant to the assignment. In the case of ajoint venture, information on similar assignments shall be provided for each partner. For eachassignment, the outline should indicate the names of the Consultant’s Key Experts and Sub-consultants who participated, the duration of the assignment, the contract amount (total and, ifit was done in a form of a joint venture or a sub-consultancy, the amount paid to theConsultant), and the Consultant’s role/involvement.

A - Consultant’s Organization

1. Provide here a brief description of the background and organization of your company, and– in case of a joint venture – of each member for this assignment.

2. Include organizational chart, a list of Board of Directors, and beneficial ownership

B - Consultant’s Experience

1. List only previous similar assignments successfully completed in the last [.....] years.

2. List only those assignments for which the Consultant was legally contracted by the Clientas a company or was one of the joint venture partners. Assignments completed by theConsultant’s individual experts working privately or through other consulting firms cannot beclaimed as the relevant experience of the Consultant, or that of the Consultant’s partners orsub-consultants, but can be claimed by the Experts themselves in their CVs. The Consultantshould be prepared to substantiate the claimed experience by presenting copies of relevantdocuments and references if so requested by the Client.


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Duration Assignment name/& briefdescription of maindeliverables/outputs

Name of Client& Country ofAssignment

Approx.Contract value

(in US$equivalent)/

Amount paid toyour firm

Role on theAssignment

{e.g.,Jan.2009–Apr.2010}

{e.g., “Improvementquality of...............”:designed master plan forrationalization of ........; }

{e.g., Ministry of......, country}

{e.g., US$1mill/US$0.5 mill}

{e.g., Leadpartner in a JVA&B&C}

{e.g., Jan-May2008}

{e.g., “Support to sub-national government.....” :drafted secondary levelregulations on..............}

{e.g.,municipalityof........., country}

{e.g., US$0.2mil/US$0.2 mil}

{e.g., soleConsultant}


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FORM TECH-3 (FOR FULL TECHNICAL PROPOSAL)

COMMENTS AND SUGGESTIONS ON THE TERMS OF REFERENCE, COUNTERPARTSTAFF, AND FACILITIES TO BE PROVIDED BY THE CLIENT

Form TECH-3: comments and suggestions on the Terms of Reference that could improve thequality/effectiveness of the assignment; and on requirements for counterpart staff and facilities,which are provided by the Client, including: administrative support, office space, localtransportation, equipment, data, etc.

A - On the Terms of Reference

B - On Counterpart Staff and Facilities

Refer data sheet


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FORM TECH-4 (FOR FULL TECHNICAL PROPOSAL ONLY)

DESCRIPTION OF APPROACH, METHODOLOGY, AND WORK PLAN INRESPONDING TO THE TERMS OF REFERENCE

Form TECH-4: a description of the approach, methodology and work plan for performing theassignment, including a detailed description of the proposed methodology and staffing fortraining, if the Terms of Reference specify training as a specific component of the assignment.

{Suggested structure of your Technical Proposal (in FTP format):

a) Technical Approach and Methodologyb) Work Planc) Organization and Staffing}

a) Technical Approach and Methodology. {Please explain your understanding of theobjectives of the assignment as outlined in the Terms of Reference (TORs), thetechnical approach, and the methodology you would adopt for implementing the tasksto deliver the expected output(s), and the degree of detail of such output. Please do notrepeat/copy the TORs in here.}

b) Work Plan. {Please outline the plan for the implementation of the mainactivities/tasks of the assignment, their content and duration, phasing andinterrelations, milestones (including interim approvals by the Client), and tentativedelivery dates of the reports. The proposed work plan should be consistent with thetechnical approach and methodology, showing your understanding of the TOR andability to translate them into a feasible working plan. A list of the final documents(including reports) to be delivered as final output(s) should be included here. Thework plan should be consistent with the Work Schedule Form.}

c) Organization and Staffing. {Please describe the structure and composition of yourteam, including the list of the Key Experts, Non-Key Experts and relevant technicaland administrative support staff.}


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FORM TECH-4 (FOR SIMPLIFIED TECHNICAL PROPOSAL ONLY)

DESCRIPTION OF APPROACH, METHODOLOGY, AND WORK PLAN FORPERFORMING THE ASSIGNMENT

Form TECH-4: a description of the approach, methodology, and work plan for performing theassignment, including a detailed description of the proposed methodology and staffing fortraining, if the Terms of Reference specify training as a specific component of the assignment.

{Suggested structure of your Technical Proposal}

a) Technical Approach, Methodology, and Organization of the Consultant’s team.{Please explain your understanding of the objectives of the assignment as outlined inthe Terms of Reference (TOR), the technical approach, and the methodology youwould adopt for implementing the tasks to deliver the expected output(s); the degreeof detail of such output; and describe the structure and composition of your team.Please do not repeat/copy the TORs in here.}

b) Work Plan and Staffing. {Please outline the plan for the implementation of the mainactivities/tasks of the assignment, their content and duration, phasing andinterrelations, milestones (including interim approvals by the Client), and tentativedelivery dates of the reports. The proposed work plan should be consistent with thetechnical approach and methodology, showing understanding of the TOR and abilityto translate them into a feasible working plan and work schedule showing the assignedtasks for each expert. A list of the final documents (including reports) to be deliveredas final output(s) should be included here. The work plan should be consistent with theWork Schedule Form.}

c) Comments (on the TOR and on counterpart staff and facilities)

{Your suggestions should be concise and to the point, and incorporated in yourProposal. Please also include comments, if any, on counterpart staff and facilities to beprovided by the Client. For example, administrative support, office space, localtransportation, equipment, data, background reports, etc.}

Section 3 – Technical Proposal – Standard Forms

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FORM TECH-5 (FOR FTP AND STP)

WORK SCHEDULE AND PLANNING FOR DELIVERABLES

N° Deliverables 1 (D-..)Months

1 2 3 4 5 6 7 8 9 ..... n TOTALD-1 {e.g., Deliverable #1: Report A

1) data collection2) drafting3) inception report4) incorporating comments5) .........................................6) delivery of final report to Client}

D-2 {e.g., Deliverable #2:...............}

n

1 List the deliverables with the breakdown for activities required to produce them and other benchmarks such as the Client’s approvals. For phasedassignments, indicate the activities, delivery of reports, and benchmarks separately for each phase.

2 Duration of activities shall be indicated in a form of a bar chart.3. Include a legend, if necessary, to help read the chart.


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FORM TECH-6 (FOR FTP AND STP)

TEAM COMPOSITION, ASSIGNMENT, AND KEY EXPERTS’ INPUTS

N° NameExpert’s input (in person/month) per each Deliverable (listed in TECH-5) Total time-input

(in Months)

Position D-1 D-2 D-3 ........ D-... Home Field Total

KEY EXPERTS

K-1{e.g., Mr. Abbbb} [Team

Leader][Home] [2 month] [1.0] [1.0][Field] [0.5 m] [2.5] [0]

K-2

K-3

n

SubtotalNON-KEY EXPERTS

N-1[Home]

[Field]

N-2

n

SubtotalTotal

1 For Key Experts, the input should be indicated individually for the same positions as required under the Data Sheet ITC21.1.


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2 Months are counted from the start of the assignment/mobilization. One (1) month equals twenty two (22) working (billable) days. One working (billable)day shall be not less than eight (8) working (billable) hours.

3 “Home” means work in the office in the expert’s country of residence. “Field” work means work carried out in the Client’s country or any other countryoutside the expert’s country of residence.

Full time inputPart time input

Section 3. Technical Proposal - Standard Forms

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FORM TECH-6(CONTINUED)

CURRICULUM VITAE (CV)

Position Title and No. {e.g., K-1, TEAM LEADER}Name of Expert: {Insert full name}Date of Birth: {day/month/year}Country of Citizenship/Residence

Education: {List college/university or other specialized education, giving names ofeducational institutions, dates attended, degree(s)/diploma(s) obtained}________________________________________________________________________________________________________________________________________________

Employment record relevant to the assignment: {Starting with present position, list inreverse order. Please provide dates, name of employing organization, titles of positions held,types of activities performed and location of the assignment, and contact information ofprevious clients and employing organization(s) who can be contacted for references. Pastemployment that is not relevant to the assignment does not need to be included.}

Period Employing organization and yourtitle/position. Contactinformation for references

Country Summary of activitiesperformed relevant tothe Assignment

[e.g., May2005-present]

[e.g., Ministry of ……,advisor/consultant to…

For references: Tel…………/e-mail……; Mr. Hbbbbb, deputyminister]

Membership in Professional Associations and Publications:______________________________________________________________________

Language Skills (indicate only languages in which you can work): ____________________________________________________________________________________


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Adequacy for the Assignment:

Detailed Tasks Assigned on Consultant’sTeam of Experts:

Reference to Prior Work/Assignments thatBest Illustrates Capability to Handle theAssigned Tasks

{List all deliverables/tasks as in TECH- 5in which the Expert will be involved)

Expert’s contact information: (e-mail …………………., phone……………)

Certification:I, the undersigned, certify that to the best of my knowledge and belief, this CV correctlydescribes myself, my qualifications, and my experience, and I am available to undertake theassignment in case of an award. I understand that any misstatement or misrepresentationdescribed herein may lead to my disqualification or dismissal by the Client, and/or sanctionsby the Bank.

{day/month/year}

Name of Expert Signature Date

{day/month/year}

Name of authorized Signature DateRepresentative of the Consultant(the same who signs the Proposal)

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Section 4. Financial Proposal - Standard Forms{Notes to Consultant shown in brackets { } provide guidance to the Consultant to prepare theFinancial Proposals; they should not appear on the Financial Proposals to be submitted.}

Financial Proposal Standard Forms shall be used for the preparation of the Financial Proposalaccording to the instructions provided in Section 2.

FIN-1 Financial Proposal Submission Form

FIN-2 Summary of Costs

FIN-3 Breakdown of Remuneration, including Appendix A “Financial Negotiations -Breakdown of Remuneration Rates” in the case of QBS method

FIN-4 Reimbursable expenses

Section 4 – Financial Proposal – Standard Forms

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FORM FIN-1FINANCIAL PROPOSAL SUBMISSION FORM

{Location, Date}

To: [Name and address of Client]

Dear Sirs:

We, the undersigned, offer to provide the consulting services for [Insert title ofassignment] in accordance with your Request for Proposal dated [Insert Date] and ourTechnical Proposal.

Our attached Financial Proposal is for the amount of {Indicate the corresponding tothe amount(s) currency(ies)} {Insert amount(s) in words and figures}, [Insert “including” or“excluding”] of all indirect local taxes in accordance with Clause 25.1 in the Data Sheet. Theestimated amount of local indirect taxes is {Insert currency} {Insert amount in words andfigures} which shall be confirmed or adjusted, if needed, during negotiations. {Please notethat all amounts shall be the same as in Form FIN-2}.

Our Financial Proposal shall be binding upon us subject to the modifications resultingfrom Contract negotiations, up to expiration of the validity period of the Proposal, i.e. beforethe date indicated in Clause 12.1 of the Data Sheet.

Commissions and gratuities paid or to be paid by us to an agent or any third partyrelating to preparation or submission of this Proposal and Contract execution, paid if we areawarded the Contract, are listed below:

Name and Address Amount and Purpose of Commissionof Agents Currency or Gratuity

{If no payments are made or promised, add the following statement: “No commissions orgratuities have been or are to be paid by us to agents or any third party relating to thisProposal and Contract execution.”}

We understand you are not bound to accept any Proposal you receive.

We remain,

Yours sincerely,

Authorized Signature {In full and initials}:Name and Title of Signatory:


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43

In the capacity of:Address:E-mail: _________________________

{For a joint venture, either all members shall sign or only the lead member/consultant,in which case the power of attorney to sign on behalf of all members shall beattached}


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FORM FIN-2 SUMMARY OF COSTS

Item

Cost{Consultant must state the proposed Costs in accordance with Clause 16.4 of the Data Sheet;

delete columns which are not used}

{Insert ForeignCurrency # 1}

{Insert ForeignCurrency # 2, ifused}

{Insert ForeignCurrency # 3, ifused}

{InsertLocal Currency, if

used and/or required (16.4Data Sheet}

Cost of the Financial Proposal

Including:

(1) Remuneration

(2) Reimbursables

Total Cost of the Financial Proposal:{Should match the amount in Form FIN-1}

Indirect Local Tax Estimates – to be discussed and finalized at the negotiations if the Contract is awarded

(i) {insert type of tax. e.g., VAT or salestax}

(ii) {e.g., income tax on non-residentexperts}

(iii) {insert type of tax}

Total Estimate for Indirect Local Tax:

Footnote: Payments will be made in the currency(ies) expressed above (Reference to ITC 16.4).


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FORM FIN-3 BREAKDOWN OF REMUNERATION

When used for Lump-Sum contract assignment, information to be provided in this Form shall only be used to demonstrate the basisfor the calculation of the Contract’s ceiling amount; to calculate applicable taxes at contract negotiations; and, if needed, to establishpayments to the Consultant for possible additional services requested by the Client. This Form shall not be used as a basis forpayments under Lump-Sum contracts

A. Remuneration

No.Name Position (as

in TECH-6)

Person-monthRemuneration

Rate

Time Input inPerson/Month(from TECH-6)

{Currency# 1- as inFIN-2}

{Currency #2- as in FIN-2}

{Currency# 3-as in FIN-2}

{LocalCurrency- as

in FIN-2}

Key Experts

K-1 [Home]

[Field]

K-2

Non-Key ExpertsN-1 [Home]

N-2 [Field]

Total Costs


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Appendix A. Financial Negotiations - Breakdown of Remuneration Rates

1. Review of Remuneration Rates

1.1. The remuneration rates are made up of salary or a base fee, social costs, overheads,profit, and any premium or allowance that may be paid for assignments away fromheadquarters or a home office. An attached Sample Form can be used to provide abreakdown of rates.

1.2. If the RFP requests submission of a technical proposal only, the Sample Form is usedby the selected Consultant to prepare for the negotiations of the Contract. If the RFPrequests submission of the financial proposal, the Sample Form shall be completed andattached to the Financial Form-3. Agreed (at the negotiations) breakdown sheets shallform part of the negotiated Contract and included in its Appendix D or C.

1.3. At the negotiations the firm shall be prepared to disclose its audited financial statementsfor the last three years, to substantiate its rates, and accept that its proposed rates andother financial matters are subject to scrutiny. The Client is charged with the custodyof government funds and is expected to exercise prudence in the expenditure of thesefunds.

1.4. Rate details are discussed below:

(i) Salary is the gross regular cash salary or fee paid to the individual in the firm’shome office. It shall not contain any premium for work away from headquartersor bonus (except where these are included by law or government regulations).

(ii) Bonuses are normally paid out of profits. To avoid double counting, any bonusesshall not normally be included in the “Salary” and should be shown separately.Where the Consultant’s accounting system is such that the percentages of socialcosts and overheads are based on total revenue, including bonuses, thosepercentages shall be adjusted downward accordingly. Where national policyrequires that 13 months’ pay be given for 12 months’ work, the profit elementneed not be adjusted downward. Any discussions on bonuses shall be supportedby audited documentation, which shall be treated as confidential.

(iii) Social Charges are the costs of non-monetary benefits and may include, inter alia,social security (including pension, medical, and life insurance costs) and the costof a paid sick and/or annual leave. In this regard, a paid leave during publicholidays or an annual leave taken during an assignment if no Expert’sreplacement has been provided is not considered social charges.

(iv) Cost of Leave. The principles of calculating the cost of total days leave perannum as a percentage of basic salary is normally calculated as follows:


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Leave cost as percentage of salary =s]- v-ph- w-[365

100 xleavedaystotal

Where w = weekends, ph = public holidays, v = vacation, and s = sick leave.

Please note that leave can be considered as a social cost only if the Client is notcharged for the leave taken.

(v) Overheads are the Consultant’s business costs that are not directly related tothe execution of the assignment and shall not be reimbursed as separate itemsunder the Contract. Typical items are home office costs (non-billable time,time of senior Consultant’s staff monitoring the project, rent of headquarters’office, support staff, research, staff training, marketing, etc.), the cost ofConsultant’s personnel not currently employed on revenue-earning projects,taxes on business activities, and business promotion costs. Duringnegotiations, audited financial statements, certified as correct by anindependent auditor and supporting the last three years’ overheads, shall beavailable for discussion, together with detailed lists of items making up theoverheads and the percentage by which each relates to basic salary. The Clientdoes not accept an add-on margin for social charges, overhead expenses, etc.for Experts who are not permanent employees of the Consultant. In such case,the Consultant shall be entitled only to administrative costs and a fee on themonthly payments charged for sub-contracted Experts.

(vi) Profit is normally based on the sum of the Salary, Social costs, and Overheads.If any bonuses paid on a regular basis are listed, a corresponding reductionshall be made in the profit amount. Profit shall not be allowed on travel or anyother reimbursable expenses.

(vii) Away from Home Office Allowance or Premium or Subsistence Allowances.Some Consultants pay allowances to Experts working away from headquartersor outside of the home office. Such allowances are calculated as a percentageof salary (or a fee) and shall not draw overheads or profit. Sometimes, by law,such allowances may draw social costs. In this case, the amount of this socialcost shall still be shown under social costs, with the net allowance shownseparately.

UNDP standard rates for the particular country may be used as reference todetermine subsistence allowances.


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Sample Form

Consultant: Country:Assignment: Date:

Consultant’s Representations Regarding Costs and Charges

We hereby confirm that:

(a) the basic fees indicated in the attached table are taken from the firm’s payroll recordsand reflect the current rates of the Experts listed which have not been raised other than withinthe normal annual pay increase policy as applied to all the Consultant’s Experts;

(b) attached are true copies of the latest pay slips of the Experts listed;

(c) the away- from- home office allowances indicated below are those that the Consultanthas agreed to pay for this assignment to the Experts listed;

(d) the factors listed in the attached table for social charges and overhead are based on thefirm’s average cost experiences for the latest three years as represented by the firm’s financialstatements; and

(e) said factors for overhead and social charges do not include any bonuses or other means ofprofit-sharing.

[Name of Consultant]

Signature of Authorized Representative Date

Name:

Title:


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Consultant’s Representations Regarding Costs and Charges(Model Form I)

(Expressed in {insert name of currency*})

Personnel 1 2 3 4 5 6 7 8

Name Position

BasicRemuneration

Rate perWorking

Month/Day/Year

SocialCharges1

Overhead1 Subtotal Profit2

Away fromHome OfficeAllowance

Proposed FixedRate per WorkingMonth/Day/Hour

Proposed FixedRate per WorkingMonth/Day/Hour1

Home Office

Client’s Country

{* If more than one currency is used, use additional table(s), one for each currency}1. Expressed as percentage of 12. Expressed as percentage of 4

Section 4. Financial Proposal - Standard Forms

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FORM FIN-4 BREAKDOWN OF REIMBURSABLE EXPENSES

When used for Lump-Sum contract assignment, information to be provided in this Form shall only be used to demonstrate the basisfor calculation of the Contract ceiling amount, to calculate applicable taxes at contract negotiations and, if needed, to establishpayments to the Consultant for possible additional services requested by the Client. This form shall not be used as a basis forpayments under Lump-Sum contracts

B. Reimbursable Expenses

N° Type of ReimbursableExpenses Unit Unit Cost Quantity {Currency # 1-

as in FIN-2}{Currency # 2-as in FIN-2}

{Currency# 3-as in FIN-2}

{LocalCurrency- as in

FIN-2}

{e.g., Per diem allowances**} {Day}

{e.g., International flights} {Ticket}

{e.g., In/out airporttransportation} {Trip}

{e.g., Communication costsbetween Insert place and Insertplace}{ e.g., reproduction of reports}

{e.g., Office rent}

....................................{Training of the Client’spersonnel – if required in TOR}

Total Costs

Legend:“Per diem allowance” is paid for each night the expert is required by the Contract to be away from his/her usual place of residence.Client can set up a ceiling.

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Section 5. Eligible Countries

In reference to ITC6.3.2, for the information of shortlisted Consultants, at the present timefirms, goods and services from the following countries are excluded from this selection:

Under the ITC 6.3.2 (a): ________________ [list country/countries following approval by theBank to apply the restriction or state “none”]

Under the ITC 6.3.2 (b): ________________ [list country/countries or indicate “none”]

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Section 6. Bank Policy – Corrupt and Fraudulent Practices(this Section 6 shall not be modified)

Guidelines for Selection and Employment of Consultants under IBRD Loans and IDACredits & Grants by World Bank Borrowers, dated January 2011:

“Fraud and Corruption

1.23 It is the Bank’s policy to require that Borrowers (including beneficiaries of Bank loans),consultants, and their agents (whether declared or not), sub-contractors, sub-consultants,service providers, or suppliers, and any personnel thereof, observe the highest standard ofethics during the selection and execution of Bank-financed contracts [footnote: In this context,any action taken by a consultant or any of its personnel, or its agents, or its sub-consultants,sub-contractors, services providers, suppliers, and/or their employees, to influence theselection process or contract execution for undue advantage is improper.]. In pursuance of thispolicy, 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 orindirectly, of anything of value to influence improperly the actions of another party4;

(ii) “fraudulent practice” is any act or omission, including misrepresentation, thatknowingly or recklessly misleads, or attempts to mislead, a party to obtain financialor other benefit or to avoid an obligation5;

(iii) “collusive practices” is an arrangement between two or more parties designed toachieve an improper purpose, including to influence improperly the actions ofanother party6;

(iv) “coercive practices” is impairing or harming, or threatening to impair or harm,directly or indirectly, any party or the property of the party to influence improperlythe actions of a party7;

4 For the purpose of this sub-paragraph, “another party” refers to a public official acting in relation to theselection process or contract execution. In this context “public official” includes World Bank staff andemployees of other organizations taking or reviewing selection decisions.

5 For the purpose of this sub-paragraph, “party” refers to a public official; the terms “benefit” and “obligation”relate to the selection process or contract execution; and the “act or omission” is intended to influence theselection process or contract execution.

6 For the purpose of this sub-paragraph, “parties” refers to participants in the procurement or selection process(including public officials) attempting either themselves, or through another person or entity not participating inthe procurement or selection process, to simulate competition or to establish prices at artificial, non-competitivelevels, or are privy to each other’s bid prices or other conditions.

Section 6. Bank Policy – Corrupt and Fraudulent Practices

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(v) “obstructive practice” is

(aa) deliberately destroying, falsifying, altering, or concealing of evidence materialto the investigation or making false statements to investigators in order tomaterially impede a Bank investigation into allegations of a corrupt,fraudulent, coercive, or collusive practice; and/or threatening, harassing, orintimidating any party to prevent it from disclosing its knowledge of mattersrelevant to the investigation or from pursuing the investigation, or

(bb) acts intended to materially impede the exercise of the Bank’s inspection andaudit rights;

(b) will reject a proposal for award if it determines that the consultant recommended foraward or any of its personnel, or its agents, or its sub-consultants, sub-contractors,services providers, suppliers, and/or their employees, has, directly or indirectly, engagedin corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for thecontract in question;

(c) will declare misprocurement and cancel the portion of the Loan allocated to a contract if itdetermines at any time that representatives of the Borrower or of a recipient of any part ofthe proceeds of the Loan were engaged in corrupt, fraudulent, collusive, coercive, orobstructive practices during the selection process or the implementation of the contract inquestion, without the Borrower having taken timely and appropriate action satisfactory tothe Bank to address such practices when they occur, including by failing to inform theBank in a timely manner they knew of the practices;

(d) will sanction a firm or an individual at any time, in accordance with prevailing Bank’ssanctions procedures8, including by publicly declaring such firm or an ineligible, eitherindefinitely or for a stated period of time: (i) to be awarded a Bank-financed contract, and(ii) to be a nominated9 sub-consultant, supplier, or service provider of an otherwiseeligible firm being awarded a Bank-financed contract.

7 For the purpose of this sub-paragraph, “party” refers to a participant in the selection process or contractexecution.

8 A firm or an individual may be declared ineligible to be awarded a Bank-financed contract upon (i) completionof the Bank’s sanctions proceedings as per its sanctions procedures, including inter alia: cross-debarment asagreed with other International Financial Institutions, including Multilateral Development Banks, and throughthe application of the World Bank Group corporate administrative procurement sanctions procedures for fraudand corruption; and (ii) as a result of temporary suspension or early temporary suspension in connection with anongoing sanctions proceedings. See footnote 12 and paragraph 8 of Appendix 1 of these Guidelines.

9 A nominated sub-consultant, supplier, or service provider is one which has been either (i) included by theconsultant in its proposal because it brings specific and critical experience and know-how that are accounted forin the technical evaluation of the consultant’s proposal for the particular services; or (ii) appointed by theBorrower.

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Section 7. Terms of Reference

Consultancy Services for formulation of National Human Settlement Strategy

1. Introduction

Bhutan is undergoing rapid socio-economic changes. These changes have implications forthe natural and the built environments and people’s way of life. The changes could alsoadversely affect Bhutan’s development objectives and policies if they are not managedwell. Specific challenges that Bhutan faces are the rapid rate of urbanization, the country’slocation on a geologically sensitive areas and the increased risks and vulnerabilities todisasters and climate change impacts. Therefore, the National Human Settlement Policyhas been drafted. Broadly, the policy provides for promotion of culture and heritage,conservation of environment, reduction and management of disaster risks, adaptation toclimate change and enabling socio-economic development. It is now necessary to developan implementation strategy for the policy.

In 2008 the Ministry of Works and Human Settlement (MoWHS) adopted the BhutanNational Urbanization Strategy (BNUS), 2008. The BNUS recognizes the rapid rates ofurbanization and the limited availability of serviced land as the two key urban sectorissues in Bhutan. With an aim to develop a strategy for a balanced and equitable regionaldevelopment, the document studied the distribution and movement of population based onthe Population and Housing Census of Bhutan 2005. It also studied the rates ofurbanization, urban population growth and the land area that would be necessary toaccommodate the increase in the urban population. Further, it studied and proposed thepotential areas for urban development in the country. However, the strategy looked at onlythe urban sector. Further, the data and the development trends used to make projectionsfor the BNUS have changed and the strategy needs review.

Therefore, it is proposed to develop a National Human Settlement Strategy. The mainobjective of the Strategy is to promote regionally balanced development and establish aclear roadmap for development of settlements in Bhutan. The Human Settlement Strategyshall cover, but not limited to, the following:

i. Both urban and rural settlements in the country.ii. Identify the potential human settlement areas considering the available land,

connectivity and access, water, etc.iii. Develop a priority list of potential areas for development of human settlements.iv. Produce maps identifying the protected and settlement areas.v. Recommend supporting policies, institutional and regulatory frameworks that are

necessary to implement the Human Settlement Policy and the Strategy.


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2. Objective

The objective of the ToR is to hire consultancy services for the formulation of theNational Human Settlement Strategy for Bhutan.

3. Scope of consultancy

The consultancy team shall perform the following minimum activities:

3.1.Review existing key policies and documents

i. Review the draft National Human Settlement Policy and identify the activitiesrequired for the implementation of the National Human Settlements Policy.

ii. Review the key observations and recommendations including the list and scope ofurban centres proposed by the BNUS 2008.

iii. Review the existing policies, strategies, documents and major developments - on-going and proposed - that have implications for human settlement. The key policydocuments include, but are not limited to:

a. Strategy for Gross National Happinessb. Bhutan 2020: A Vision for Peace, Prosperity and Happinessc. Road Sector Master Pland. Population Perspective Plane. Housing Policy 2002f. Economic Development Policyg. Bhutan Transport Vision 2040h. Local Government Act (Amended) 2014i. Land Act of Bhutan 2007j. National Environment Protection Act 2007k. Disaster Management Act of Bhutan, 2013

3.2.Review of international best practices

Carry out desk review of international best practices in human settlement planning andhuman settlement strategies.

3.3.Review of existing reports & site visits in Bhutan and analysis

i. Review the existing urban development plans and strategies.ii. Study land use maps available with different agencies.iii. Review the impact of on-going and proposed projects.iv. Review and study the implications of/for the declaration of Dzongkhag and Yenlag

Thromdes.v. Carry out site visits to towns and settlements to understand the ground issues,

emerging trends, development potential and opportunities, etc.


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vi. Produce maps that identify the existing and potential human settlement and non-settlement areas.

3.4.Development of the National Human Settlements Strategy

i. Propose a methodology for the development of the National Human SettlementsStrategy.

ii. Develop a strategy to identify development and human settlement potential of variouslocations within the country.

iii. Compile a report outlining the basic frameworks, principles and contents of theproposed human settlement strategy.

iv. Develop a comprehensive National Human Settlement Strategy, including relevantmaps and drawings, that is in line with Bhutan's development objectives and strategiesand covering but not limited to the following aspects:

a) Identification and scope of potential human settlement areas.b) Categorization of different settlements and the criteria used therein.c) Strategy for development of human settlements at the national, regional and local

levels.d) Development of declared Thromdes, commercial service centres and rural

settlements.e) Integration of urban centres and rural settlements.f) Identification of key issues related to urban and rural planning and development.g) Prioritized list and programme of activities for the development of human

settlements.

3.5.Presentations, stakeholder consultations and reviews

The consultancy team shall be required to carry out the following:

i. Submit and make presentations of inception, analyses and draft reports.ii. Carry out stakeholder consultation meetings, site visits and studies and process

reviews necessary in Bhutan.iii. Revise the reports and produce draft strategy incorporating the comments and

observations.iv. Propose recommendations for adoption of relevant follow up regulations, guidelines or

possible contradiction or synchronization with other existing polices and strategies.v. Submit the revised draft strategy and make presentations of the revised draft to the

client and representatives from other stakeholder agencies invited by the client.vi. Finalize and submit the final report of the strategy.vii. Conduct a training workshop for the implementation of the strategy.

4. Duration and duty station

The consultancy service is for a period of six months from the day of award of thecontract. The duty station will mainly be at the DHS, MoWHS, Thimphu with travels to


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other parts of Bhutan as necessary. If the consultancy team is an international firm, theconsultancy team shall be in Bhutan for at least 3 months which may be broken down intosmaller visits. However, the duration of each visit shall not be less than 2 weeks each. Thesame conditions shall apply if the consultancy team is a Joint Venture between Bhutaneseand foreign firm/s or if there are key personnel or staff members from outside Bhutan.

5. Qualification and experiences of key staff

The consultancy team shall have members with diverse professional background – urbanand regional planning, land use planning, economics, demography, geography, investmentplanning, policy analysis, mapping, institutional development, etc. The consulting teamshall have the following minimum qualifications and experiences:

i. Key staff for this assignment shall have professional degree in their respective fields.ii. The key staff shall possess skills and experiences in review, analysis and

formulation of policies and strategies.iii. The consultancy team member/s shall be able to write, speak and communicate

fluently in English.iv. Prior experiences of formulation strategies and working in the country/region shall

be considered an advantage.

Given the cross-cutting nature of the assignment, team members from professionals includingthose not listed above but as deemed necessary may be recruited. However, not all teammembers are expected to be stationed at the same time or engaged throughout the contractperiod. Members with specific professional specialty may be engaged as per the progress anddifferent stages of the assignment.

Key Personnel Minimum Qualification Min. Experience1 Urban Planner/ Regional

Planner/ Urban DesignerMasters in Urban or Regional Planning/Regional Development/ Urban Design

10 years

2 Policy Analyst Masters in Public Policy 10 years3 Housing Expert Masters degree with specialization in housing/

relevant field with specialization in housing.10 years

4 Socio-Economist Masters in Economics or Urban-economics 10 yearsAdditional staff

5 Transport Planner Degree in transport planning or specializationin transport planning.

5 years

6 Geographer Degree in Geography. 5 years7 Demographer Degree in Statistics/ Demography/ population

studies5 years

8 Investment Planner Degree in relevant field or specialization ininvestment planning.

5 years

The consultancy team shall appoint a team leader, either from amongst the key personnel oran additional member. The consultancy team shall also indicate the number of hours for each


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staff and the detailed task descriptions including the roles of the key personnel and how theywill be used shall be described in the methodology to be submitted.

A personnel with more than one or multiple qualifications, and fulfilling the minimumprofessional experience requirement, may be reflected under a maximum of 2 personnelpositions (1 key personnel position + 1 additional staff position or 2 additional staffpositions). However, time allocations and his/her engagement in the project shall beappropriately staggered and indicated in the work plan. Notwithstanding the above provision,there shall not be less than 5 members (key personnel and additional staff) in the consultancyteam.

6. Deliverables

The assignment is estimated to be completed within a period of six months from the dateof award of contract. An indicative schedule for the delivery of the various outputs underthe consultancy service is provided below.

Schedule Deliverables Report FormatWeek 1 Work award and signing of contract between

the consultancy team and the DHS, MoWHS3 sets of hardcopydocument.

End of week 2 Inception report Outline the schedule and programme of

activities for the entire contract period. Describe the methodology of undertaking the

assignment. Outline of planned discussions, consultation

meetings and site visits including anindicative timeline.

Schedule for submission of reports andactivities following each submission.

Presentation of the Inception Report.

3 sets of hardcopyreports(reports in A4 size,maps in A3).

Softcopy of the reportin MS Word.

MS PowerPoint.

End of week 8 Analyses report Highlighting the existing documents and

international best practices reviewed and theobservations.

Record of and observations from variousdiscussions and stakeholder consultationmeetings.

Roadmap of the proposed Human SettlementStrategy.

Presentation of the Analyses Report.



MS PowerPoint.


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End of week 14 First draft First draft of the NHS Strategy including:

- Report on the analyses, studies, findingsand recommendations with maps anddrawings.

- List of potential human settlement areas.- Prioritization of the potential settlement

areas.- Land use maps indicating various

settlement and non-settlement areas. Recommendations and proposals for

institutional and legal frameworks follow uppolicies, standards and guidelines and thecapacity building required for effectiveimplementation of the strategy.

Stakeholder consultations. Presentation of the first draft.



MS PowerPoint.

End of week 18 Second draft Revised draft strategy incorporating

comments and observations fromstakeholder consultation meetings anddiscussions.

Presentation of the second draft. Stakeholder consultations.



MS PowerPoint.End of Week 20 Submission of revised final draft after

incorporation of feedbacks/commentsA softcopy of the reportin MS Word.

Week 22 - 24 Final draft Submission of the final (revised) draft

documents, maps and any other reports ofthe assignment highlighting theincorporation of comments and observationson the first draft or its presentation.

Justifications for issues raised that could notbe incorporated.

Final presentation to stakeholders. Workshop/ training for implementation of

the strategy.



MS PowerPoint.

7. Services and resources to be provided by the client

The client shall provide the consultancy team with the following services and resources:


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i. A project coordinator who will assist the consultancy team arrange meetings anddiscussions.

ii. Provide the following documents:

a. Bhutan National Urbanization Strategy 2008.b. Draft National Human Settlement Policy of Bhutan.c. Population Perspective Plan of Bhutan 2010.d. Population and Housing Census of Bhutan 2005.e. Population projections and publications of the National Statistics Bureau.f. Urban Development Plans.g. Documents listed under 3.1(iii).

iii. Review the reports submitted by the consultancy team and provide feedback in atimely manner.

8. Reporting procedure

The consultancy team shall report to the Director, Department of Human Settlement,Ministry of Works and Human Settlement, Thimphu, Bhutan who will guide andsupervise the team’s output and monitor the timely completion and delivery of reports.

9. Schedule of Payment

The schedule of payment shall be as follows:

Stages of work Amount Payable1 Upon submission and review of the Inception

Report10% of the contract amount

2 Upon submission and review of the Analyses Report 20% of the contract amount3 Upon submission and review of the 1st draft Strategy 20% of the contract amount4 Upon submission and review of the 2nd draft Strategy 20% of the contract amount5 Upon submission and review of the final draft Strategy 30% of the contract amount

Mobilization advance will not be paid and the payment will be for the five stages of worksas stated above.


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PART II

Section 8. Conditions of Contract and Contract Forms

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TIME-BASED FORM OF CONTRACTLUMP-SUM FORM OF CONTRACT

H A R M O N I Z E D S T A N D A R D F O R M O FC O N T R A C T

Consultant’s ServicesLump-Sum

Consultant’s Services Lump-Based

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Contents

Preface .................................................................................................................................... 69

I. Form of Contract .............................................................................................................. 71

II. General Conditions of Contract ..................................................................................... 75

A. General Provisions........................................................................................................... 75

1. Definitions............................................................................................................... 752. Relationship Between the Parties............................................................................ 763. Law Governing Contract......................................................................................... 774. Language ................................................................................................................. 775. Headings.................................................................................................................. 776. Communications ..................................................................................................... 777. Location................................................................................................................... 778. Authority of Member in Charge.............................................................................. 779. Authorized Representatives .................................................................................... 7710. Corrupt and Fraudulent Practices.......................................................................... 77

B. Commencement, Completion, Modification and Termination of Contract ............... 78

11. Effectiveness of Contract ...................................................................................... 7812. Termination of Contract for Failure to Become Effective .................................... 7813. Commencement of Services.................................................................................. 7814. Expiration of Contract........................................................................................... 7815. Entire Agreement .................................................................................................. 7816. Modifications or Variations .................................................................................. 7817. Force Majeure ....................................................................................................... 7818. Suspension ............................................................................................................ 8019. Termination ........................................................................................................... 80

C. Obligations of the Consultant ......................................................................................... 82

20. General .................................................................................................................. 8221. Conflict of Interests............................................................................................... 8322. Confidentiality ...................................................................................................... 8423. Liability of the Consultant .................................................................................... 8424. Insurance to be Taken out by the Consultant ........................................................ 8425. Accounting, Inspection and Auditing ................................................................... 8526. Reporting Obligations ........................................................................................... 8527. Proprietary Rights of the Client in Reports and Records ...................................... 8528.Equipment, Vehicles and Materials........................................................................ 85

D. Consultant’s Experts and Sub-Consultants .................................................................. 86

29. Description of Key Experts................................................................................... 8630. Replacement of Key Experts................................................................................. 8631. Removal of Experts or Sub-consultants................................................................ 86

E. Obligations of the Client.................................................................................................. 87


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32. Assistance and Exemptions....................................................................................8733. Access to Project Site.............................................................................................8734. Change in the Applicable Law Related to Taxes and Duties .................................8835. Services, Facilities and Property of the Client.......................................................8836. Counterpart Personnel............................................................................................8837. Payment Obligation ...............................................................................................88

F. Payments to the Consultant .............................................................................................88

38. Contract Price.........................................................................................................8839. Taxes and Duties....................................................................................................8940. Currency of Payment .............................................................................................8941. Mode of Billing and Payment ................................................................................8942. Interest on Delayed Payments................................................................................90

G. Fairness and Good Faith .................................................................................................90

43. Good Faith .............................................................................................................90H. Settlement of Disputes......................................................................................................90

44. Amicable Settlement ..............................................................................................9045. Dispute Resolution.................................................................................................90

Attachment 1: Bank’s Policy – Corrupt and Fraudulent Practices ..................................91

III. Special Conditions of Contract......................................................................................93

IV. Appendices.....................................................................................................................103

Appendix A – Terms of Reference ..................................................................................103

Appendix B - Key Experts...............................................................................................103

Appendix C – Breakdown of Contract Price ...................................................................103

Appendix D - Form of Advance Payments Guarantee ....................................................107


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Preface

1. The standard Contract form consists of four parts: the Form of Contract to be signed by theClient and the Consultant, the General Conditions of Contract (GCC), including Attachment1 (Bank’s Policy – Corrupt and Fraudulent Practices); the Special Conditions of Contract(SCC); and the Appendices.

2. The General Conditions of Contract, including Attachment 1, shall not be modified. TheSpecial Conditions of Contract that contain clauses specific to each Contract intend tosupplement, but not over-write or otherwise contradict, the General Conditions.


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CONTRACT FOR CONSULTANT’S SERVICES

Lump-Sum

Consultancy Service for the Preparation of National Human Settlement Strategy

IDACredit #5431-BT

Contract No. ____________________________

between

[Name of the Client]

and

[Name of the Consultant]

Dated:

I. Form of Contract Lump-Sum

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I. Form of Contract

LUMP-SUM

(Text in brackets [ ] is optional; all notes should be deleted in the final text)

This CONTRACT (hereinafter called the “Contract”) is made the [number] day of the monthof [month], [year], between, on the one hand, [name of Client or Recipient] (hereinaftercalled the “Client”) and, on the other hand, [name of Consultant] (hereinafter called the“Consultant”).

[If the Consultant consist of more than one entity, the above should be partially amended toread as follows: “…(hereinafter called the “Client”) and, on the other hand, a Joint Venture(name of the JV) consisting of the following entities, each member of which will be jointlyand severally liable to the Client for all the Consultant’s obligations under this Contract,namely, [name of member] and [name of member] (hereinafter called the “Consultant”).]

WHEREAS

(a) the Client has requested the Consultant to provide certain consulting services asdefined in this Contract (hereinafter called the “Services”);

(b) the Consultant, having represented to the Client that it has the required professionalskills, expertise and technical resources, has agreed to provide the Services on theterms and conditions set forth in this Contract;

(c) the Client has received [or has applied for] a loan [or credit or grant] from the[insert as relevant, International Bank for Reconstruction and Development (IBRD)or International Development Association (IDA)]: toward the cost of the Servicesand intends to apply a portion of the proceeds of this [loan/credit/grant] to eligiblepayments under this Contract, it being understood that (i) payments by the Bankwill be made only at the request of the Client and upon approval by the Bank; (ii)such payments will be subject, in all respects, to the terms and conditions of the[loan/financing/grant] agreement, including prohibitions of withdrawal from the[loan/credit/grant] account for the purpose of any payment to persons or entities, orfor any import of goods, if such payment or import, to the knowledge of the Bank,is prohibited by the decision of the United Nations Security council taken underChapter VII of the Charter of the United Nations; and (iii) no party other than theClient shall derive any rights from the [loan/financing/grant] agreement or have anyclaim to the [loan/credit/grant] proceeds;


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NOW THEREFORE the parties hereto hereby agree as follows:

1. The following documents attached hereto shall be deemed to form an integral part ofthis Contract:

(a) The General Conditions of Contract (including Attachment 1 “Bank Policy –Corrupt and Fraudulent Practices);

(b) The Special Conditions of Contract;(c) Appendices:

Appendix A: Terms of ReferenceAppendix B: Key ExpertsAppendix C: Breakdown of Contract PriceAppendix D: Form of Advance Payments Guarantee

In the event of any inconsistency between the documents, the following order ofprecedence shall prevail: the Special Conditions of Contract; the General Conditionsof Contract, including Attachment 1; Appendix A; Appendix B; Appendix C;Appendix D. Any reference to this Contract shall include, where the context permits,a reference to its Appendices.

2. The mutual rights and obligations of the Client and the Consultant shall be as set forthin the Contract, in particular:

(a) the Consultant shall carry out the Services in accordance with the provisionsof the Contract; and

(b) the Client shall make payments to the Consultant in accordance with theprovisions of the Contract.

IN WITNESS WHEREOF, the Parties hereto have caused this Contract to be signed in theirrespective names as of the day and year first above written.

For and on behalf of [Name of Client]

[Authorized Representative of the Client – name, title and signature]

For and on behalf of [Name of Consultant or Name of a Joint Venture]

[Authorized Representative of the Consultant – name and signature]

[For a joint venture, either all members shall sign or only the lead member, in which casethe power of attorney to sign on behalf of all members shall be attached.


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For and on behalf of each of the members of the Consultant [insert the Name of the JointVenture]

[Name of the lead member]

[Authorized Representative on behalf of a Joint Venture]

[add signature blocks for each member if all are signing]

II. General Conditions of Contract Lump-Sum

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II. General Conditions of Contract

A. GENERAL PROVISIONS

1. Definitions 1.1. Unless the context otherwise requires, the following termswhenever used in this Contract have the following meanings:

(a) “Applicable Guidelines” means Guidelines for Selection andEmployment of Consultants under IBRD Loans and IDACredits & Grants by World Bank Borrowers, dated January2011.

(b) “Applicable Law” means the laws and any other instrumentshaving the force of law in the Client’s country, or in such othercountry as may be specified in the Special Conditions ofContract (SCC), as they may be issued and in force from timeto time.

(c) “Bank” means the International Bank for Reconstruction andDevelopment (IBRD) or the International DevelopmentAssociation (IDA).

(d) “Borrower” means the Government, Government agency orother entity that signs the financing agreement with the Bank.

(e) “Client” means the implementing agency that signs the Contractfor the Services with the Selected Consultant.

(f) “Consultant” means a legally-established professionalconsulting firm or entity selected by the Client to provide theServices under the signed Contract.

(g) “Contract” means the legally binding written agreement signedbetween the Client and the Consultant and which includes allthe attached documents listed in its paragraph 1 of the Form ofContract (the General Conditions (GCC), the SpecialConditions (SCC), and the Appendices).

(h) “Day” means a working day unless indicated otherwise.

(i) “Effective Date” means the date on which this Contract comesinto force and effect pursuant to Clause GCC 11.

(j) “Experts” means, collectively, Key Experts, Non-Key Experts,or any other personnel of the Consultant, Sub-consultant or JVmember(s) assigned by the Consultant to perform the Servicesor any part thereof under the Contract.


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(k) “Foreign Currency” means any currency other than the currencyof the Client’s country.

(l) “GCC” means these General Conditions of Contract.

(m) “Government” means the government of the Client’s country.

(n) “Joint Venture (JV)” means an association with or without alegal personality distinct from that of its members, of more thanone entity where one member has the authority to conduct allbusinesses for and on behalf of any and all the members of theJV, and where the members of the JV are jointly and severallyliable to the Client for the performance of the Contract.

(o) “Key Expert(s)” means an individual professional whose skills,qualifications, knowledge and experience are critical to theperformance of the Services under the Contract and whoseCurricula Vitae (CV) was taken into account in the technicalevaluation of the Consultant’s proposal.

(p) “Local Currency” means the currency of the Client’s country.

(q) “Non-Key Expert(s)” means an individual professional providedby the Consultant or its Sub-consultant to perform the Servicesor any part thereof under the Contract.

(r) “Party” means the Client or the Consultant, as the case may be,and “Parties” means both of them.

(s) “SCC” means the Special Conditions of Contract by which theGCC may be amended or supplemented but not over-written.

(t) “Services” means the work to be performed by the Consultantpursuant to this Contract, as described in Appendix A hereto.

(u) “Sub-consultants” means an entity to whom/which theConsultant subcontracts any part of the Services whileremaining solely liable for the execution of the Contract.

(v) “Third Party” means any person or entity other than theGovernment, the Client, the Consultant or a Sub-consultant.

2. Relationshipbetween theParties

2.1. Nothing contained herein shall be construed as establishing arelationship of master and servant or of principal and agent asbetween the Client and the Consultant. The Consultant, subject tothis Contract, has complete charge of the Experts and Sub-consultants, if any, performing the Services and shall be fullyresponsible for the Services performed by them or on their behalfhereunder.


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3. Law GoverningContract

3.1. This Contract, its meaning and interpretation, and the relationbetween the Parties shall be governed by the Applicable Law.

4. Language 4.1. This Contract has been executed in the language specified inthe SCC, which shall be the binding and controlling language for allmatters relating to the meaning or interpretation of this Contract.

5. Headings 5.1. The headings shall not limit, alter or affect the meaning of thisContract.

6. Communications 6.1. Any communication required or permitted to be given or madepursuant to this Contract shall be in writing in the language specifiedin Clause GCC 4. Any such notice, request or consent shall bedeemed to have been given or made when delivered in person to anauthorized representative of the Party to whom the communication isaddressed, or when sent to such Party at the address specified in theSCC.

6.2. A Party may change its address for notice hereunder by givingthe other Party any communication of such change to the addressspecified in the SCC.

7. Location 7.1. The Services shall be performed at such locations as arespecified in Appendix A hereto and, where the location of aparticular task is not so specified, at such locations, whether in theGovernment’s country or elsewhere, as the Client may approve.

8. Authority ofMember inCharge

8.1. In case the Consultant is a Joint Venture, the members herebyauthorize the member specified in the SCC to act on their behalf inexercising all the Consultant’s rights and obligations towards theClient under this Contract, including without limitation the receivingof instructions and payments from the Client.

9. AuthorizedRepresentatives

9.1. Any action required or permitted to be taken, and anydocument required or permitted to be executed under this Contract bythe Client or the Consultant may be taken or executed by the officialsspecified in the SCC.

10. Corrupt andFraudulentPractices

10.1. The Bank requires compliance with its policy in regard tocorrupt and fraudulent practices as set forth in Attachment 1 to theGCC.

a. Commissionsand Fees

10.2. The Client requires the Consultant to disclose anycommissions, gratuities or fees that may have been paid or are to bepaid to agents or any other party with respect to the selection processor execution of the Contract. The information disclosed mustinclude at least the name and address of the agent or other party, theamount and currency, and the purpose of the commission, gratuity or


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fee. Failure to disclose such commissions, gratuities or fees mayresult in termination of the Contract and/or sanctions by the Bank.

B. COMMENCEMENT, COMPLETION, MODIFICATION AND TERMINATION OFCONTRACT

11. Effectiveness ofContract

11.1. This Contract shall come into force and effect on the date (the“Effective Date”) of the Client’s notice to the Consultant instructingthe Consultant to begin carrying out the Services. This notice shallconfirm that the effectiveness conditions, if any, listed in the SCChave been met.

12. Termination ofContract forFailure to BecomeEffective

12.1. If this Contract has not become effective within such timeperiod after the date of Contract signature as specified in the SCC,either Party may, by not less than twenty two (22) days writtennotice to the other Party, declare this Contract to be null and void,and in the event of such a declaration by either Party, neither Partyshall have any claim against the other Party with respect hereto.

13. Commencementof Services

13.1. The Consultant shall confirm availability of Key Experts andbegin carrying out the Services not later than the number of daysafter the Effective Date specified in the SCC.

14. Expiration ofContract

14.1. Unless terminated earlier pursuant to Clause GCC 19 hereof,this Contract shall expire at the end of such time period after theEffective Date as specified in the SCC.

15. Entire Agreement 15.1. This Contract contains all covenants, stipulations andprovisions agreed by the Parties. No agent or representative of eitherParty has authority to make, and the Parties shall not be bound by orbe liable for, any statement, representation, promise or agreementnot set forth herein.

16. Modifications orVariations

16.1. Any modification or variation of the terms and conditions ofthis Contract, including any modification or variation of the scopeof the Services, may only be made by written agreement betweenthe Parties. However, each Party shall give due consideration to anyproposals for modification or variation made by the other Party.

16.2. In cases of substantial modifications or variations, the priorwritten consent of the Bank is required.

17. Force Majeure

a. Definition 17.1. For the purposes of this Contract, “Force Majeure” means anevent which is beyond the reasonable control of a Party, is notforeseeable, is unavoidable, and makes a Party’s performance of itsobligations hereunder impossible or so impractical as reasonably to


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be considered impossible under the circumstances, and subject tothose requirements, includes, but is not limited to, war, riots, civildisorder, earthquake, fire, explosion, storm, flood or other adverseweather conditions, strikes, lockouts or other industrial actionconfiscation or any other action by Government agencies.

17.2. Force Majeure shall not include (i) any event which is causedby the negligence or intentional action of a Party or such Party’sExperts, Sub-consultants or agents or employees, nor (ii) any eventwhich a diligent Party could reasonably have been expected to bothtake into account at the time of the conclusion of this Contract, andavoid or overcome in the carrying out of its obligations hereunder.

17.3. Force Majeure shall not include insufficiency of funds orfailure to make any payment required hereunder.

b. No Breach ofContract

17.4. The failure of a Party to fulfill any of its obligationshereunder shall not be considered to be a breach of, or defaultunder, this Contract insofar as such inability arises from an event ofForce Majeure, provided that the Party affected by such an eventhas taken all reasonable precautions, due care and reasonablealternative measures, all with the objective of carrying out the termsand conditions of this Contract.

c. Measures tobe Taken

17.5. A Party affected by an event of Force Majeure shall continueto perform its obligations under the Contract as far as is reasonablypractical, and shall take all reasonable measures to minimize theconsequences of any event of Force Majeure.

17.6. A Party affected by an event of Force Majeure shall notifythe other Party of such event as soon as possible, and in any case notlater than fourteen (14) calendar days following the occurrence ofsuch event, providing evidence of the nature and cause of suchevent, and shall similarly give written notice of the restoration ofnormal conditions as soon as possible.

17.7. Any period within which a Party shall, pursuant to thisContract, complete any action or task, shall be extended for a periodequal to the time during which such Party was unable to performsuch action as a result of Force Majeure.

17.8. During the period of their inability to perform the Services asa result of an event of Force Majeure, the Consultant, uponinstructions by the Client, shall either:

(a) demobilize, in which case the Consultant shall bereimbursed for additional costs they reasonably and


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necessarily incurred, and, if required by the Client, inreactivating the Services; or

(b) continue with the Services to the extent reasonablypossible, in which case the Consultant shall continue to bepaid under the terms of this Contract and be reimbursedfor additional costs reasonably and necessarily incurred.

17.9. In the case of disagreement between the Parties as to theexistence or extent of Force Majeure, the matter shall be settledaccording to Clauses GCC 44 & 45.

18. Suspension 18.1. The Client may, by written notice of suspension to theConsultant, suspend all payments to the Consultant hereunder if theConsultant fails to perform any of its obligations under this Contract,including the carrying out of the Services, provided that such noticeof suspension (i) shall specify the nature of the failure, and (ii) shallrequest the Consultant to remedy such failure within a period notexceeding thirty (30) calendar days after receipt by the Consultant ofsuch notice of suspension.

19. Termination 19.1. This Contract may be terminated by either Party as perprovisions set up below:

a. By the Client 19.1.1. The Client may terminate this Contract in case of theoccurrence of any of the events specified in paragraphs (a)through (f) of this Clause. In such an occurrence the Clientshall give at least thirty (30) calendar days’ written notice oftermination to the Consultant in case of the events referred to in(a) through (d); at least sixty (60) calendar days’ written noticein case of the event referred to in (e); and at least five (5)calendar days’ written notice in case of the event referred to in(f):

(a) If the Consultant fails to remedy a failure in theperformance of its obligations hereunder, as specified in anotice of suspension pursuant to Clause GCC 18;

(b) If the Consultant becomes (or, if the Consultant consistsof more than one entity, if any of its members becomes)insolvent or bankrupt or enter into any agreements withtheir creditors for relief of debt or take advantage of anylaw for the benefit of debtors or go into liquidation orreceivership whether compulsory or voluntary;

(c) If the Consultant fails to comply with any final decisionreached as a result of arbitration proceedings pursuant toClause GCC 45.1;


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(d) If, as the result of Force Majeure, the Consultant isunable to perform a material portion of the Services for aperiod of not less than sixty (60) calendar days;

(e) If the Client, in its sole discretion and for any reasonwhatsoever, decides to terminate this Contract;

(f) If the Consultant fails to confirm availability of KeyExperts as required in Clause GCC 13.

19.1.2. Furthermore, if the Client determines that theConsultant has engaged in corrupt, fraudulent, collusive,coercive or obstructive practices, in competing for or inexecuting the Contract, then the Client may, after givingfourteen (14) calendar days written notice to the Consultant,terminate the Consultant's employment under the Contract.

b. By theConsultant

19.1.3. The Consultant may terminate this Contract, by notless than thirty (30) calendar days’ written notice to the Client,in case of the occurrence of any of the events specified inparagraphs (a) through (d) of this Clause.

(a) If the Client fails to pay any money due to the Consultantpursuant to this Contract and not subject to disputepursuant to Clause GCC 45.1 within forty-five (45)calendar days after receiving written notice from theConsultant that such payment is overdue.

(b) If, as the result of Force Majeure, the Consultant is unableto perform a material portion of the Services for a periodof not less than sixty (60) calendar days.

(c) If the Client fails to comply with any final decisionreached as a result of arbitration pursuant to Clause GCC45.1.

(d) If the Client is in material breach of its obligationspursuant to this Contract and has not remedied the samewithin forty-five (45) days (or such longer period as theConsultant may have subsequently approved in writing)following the receipt by the Client of the Consultant’snotice specifying such breach.

c. Cessation ofRights andObligations

19.1.4. Upon termination of this Contract pursuant to ClausesGCC 12 or GCC 19 hereof, or upon expiration of this Contractpursuant to Clause GCC 14, all rights and obligations of theParties hereunder shall cease, except (i) such rights andobligations as may have accrued on the date of termination orexpiration, (ii) the obligation of confidentiality set forth in


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Clause GCC 22, (iii) the Consultant’s obligation to permitinspection, copying and auditing of their accounts and recordsset forth in Clause GCC 25, and (iv) any right which a Partymay have under the Applicable Law.

d. Cessation ofServices

19.1.5. Upon termination of this Contract by notice of eitherParty to the other pursuant to Clauses GCC 19a or GCC 19b,the Consultant shall, immediately upon dispatch or receipt ofsuch notice, take all necessary steps to bring the Services to aclose in a prompt and orderly manner and shall make everyreasonable effort to keep expenditures for this purpose to aminimum. With respect to documents prepared by theConsultant and equipment and materials furnished by theClient, the Consultant shall proceed as provided, respectively,by Clauses GCC 27 or GCC 28.

e. PaymentuponTermination

19.1.6. Upon termination of this Contract, the Client shallmake the following payments to the Consultant:

(a) payment for Services satisfactorily performed prior to theeffective date of termination; and

(b) in the case of termination pursuant to paragraphs (d) and(e) of Clause GCC 19.1.1, reimbursement of anyreasonable cost incidental to the prompt and orderlytermination of this Contract, including the cost of thereturn travel of the Experts.

C. OBLIGATIONS OF THE CONSULTANT

20. General

a. Standard ofPerformance

20.1 The Consultant shall perform the Services and carry out theServices with all due diligence, efficiency and economy, inaccordance with generally accepted professional standards andpractices, and shall observe sound management practices, and employappropriate technology and safe and effective equipment, machinery,materials and methods. The Consultant shall always act, in respect ofany matter relating to this Contract or to the Services, as a faithfuladviser to the Client, and shall at all times support and safeguard theClient’s legitimate interests in any dealings with the third parties.

20.2. The Consultant shall employ and provide such qualified andexperienced Experts and Sub-consultants as are required to carry outthe Services.

20.3. The Consultant may subcontract part of the Services to anextent and with such Key Experts and Sub-consultants as may be


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approved in advance by the Client. Notwithstanding such approval,the Consultant shall retain full responsibility for the Services.

b. LawApplicable toServices

20.4. The Consultant shall perform the Services in accordance withthe Contract and the Applicable Law and shall take all practicablesteps to ensure that any of its Experts and Sub-consultants, complywith the Applicable Law.

20.5. Throughout the execution of the Contract, the Consultantshall comply with the import of goods and services prohibitions inthe Client’s country when

(a) as a matter of law or official regulations, the Borrower’scountry prohibits commercial relations with that country;or

(b) by an act of compliance with a decision of the UnitedNations Security Council taken under Chapter VII of theCharter of the United Nations, the Borrower’s Countryprohibits any import of goods from that country or anypayments to any country, person, or entity in that country.

20.6. The Client shall notify the Consultant in writing of relevantlocal customs, and the Consultant shall, after such notification,respect such customs.

21. Conflict ofInterests

21.1. The Consultant shall hold the Client’s interests paramount,without any consideration for future work, and strictly avoid conflictwith other assignments or their own corporate interests.

a. ConsultantNot to BenefitfromCommissions,Discounts, etc.

21.1.1 The payment of the Consultant pursuant to GCC F(Clauses GCC 38 through 42) shall constitute the Consultant’sonly payment in connection with this Contract and, subject toClause GCC 21.1.3, the Consultant shall not accept for its ownbenefit any trade commission, discount or similar payment inconnection with activities pursuant to this Contract or in thedischarge of its obligations hereunder, and the Consultant shalluse its best efforts to ensure that any Sub-consultants, as well asthe Experts and agents of either of them, similarly shall notreceive any such additional payment.

21.1.2 Furthermore, if the Consultant, as part of the Services,has the responsibility of advising the Client on the procurementof goods, works or services, the Consultant shall comply withthe Bank’s Applicable Guidelines, and shall at all times exercisesuch responsibility in the best interest of the Client. Anydiscounts or commissions obtained by the Consultant in theexercise of such procurement responsibility shall be for the


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account of the Client.

b. Consultantand AffiliatesNot to Engagein CertainActivities

21.1.3 The Consultant agrees that, during the term of thisContract and after its termination, the Consultant and any entityaffiliated with the Consultant, as well as any Sub-consultantsand any entity affiliated with such Sub-consultants, shall bedisqualified from providing goods, works or non-consultingservices resulting from or directly related to the Consultant’sServices for the preparation or implementation of the project,unless otherwise indicated in the SCC.

c. Prohibition ofConflictingActivities

21.1.4 The Consultant shall not engage, and shall cause itsExperts as well as its Sub-consultants not to engage, eitherdirectly or indirectly, in any business or professional activitiesthat would conflict with the activities assigned to them underthis Contract.

d. Strict Duty toDiscloseConflictingActivities

21.1.5 The Consultant has an obligation and shall ensure thatits Experts and Sub-consultants shall have an obligation todisclose any situation of actual or potential conflict thatimpacts their capacity to serve the best interest of their Client,or that may reasonably be perceived as having this effect.Failure to disclose said situations may lead to thedisqualification of the Consultant or the termination of itsContract.

22. Confidentiality 22.1 Except with the prior written consent of the Client, theConsultant and the Experts shall not at any time communicate to anyperson or entity any confidential information acquired in the courseof the Services, nor shall the Consultant and the Experts make publicthe recommendations formulated in the course of, or as a result of,the Services.

23. Liability of theConsultant

23.1 Subject to additional provisions, if any, set forth in the SCC,the Consultant’s liability under this Contract shall be provided by theApplicable Law.

24. Insurance to beTaken out by theConsultant

24.1 The Consultant (i) shall take out and maintain, and shall causeany Sub-consultants to take out and maintain, at its (or the Sub-consultants’, as the case may be) own cost but on terms andconditions approved by the Client, insurance against the risks, and forthe coverage specified in the SCC, and (ii) at the Client’s request,shall provide evidence to the Client showing that such insurance hasbeen taken out and maintained and that the current premiumstherefore have been paid. The Consultant shall ensure that suchinsurance is in place prior to commencing the Services as stated inClause GCC 13.


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25. Accounting,Inspection andAuditing

25.1 The Consultant shall keep, and shall make all reasonableefforts to cause its Sub-consultants to keep, accurate and systematicaccounts and records in respect of the Services and in such form anddetail as will clearly identify relevant time changes and costs.

25.2 The Consultant shall permit and shall cause its Sub-consultants to permit, the Bank and/or persons appointed by theBank to inspect the Site and/or all accounts and records relating tothe performance of the Contract and the submission of the Proposalto provide the Services, and to have such accounts and recordsaudited by auditors appointed by the Bank if requested by the Bank.The Consultant’s attention is drawn to Clause GCC 10 whichprovides, inter alia, that acts intended to materially impede theexercise of the Bank’s inspection and audit rights provided for underthis Clause GCC25.2 constitute a prohibited practice subject tocontract termination (as well as to a determination of ineligibilityunder the Bank’s prevailing sanctions procedures.)

26. ReportingObligations

26.1 The Consultant shall submit to the Client the reports anddocuments specified in Appendix A, in the form, in the numbers andwithin the time periods set forth in the said Appendix.

27. Proprietary Rightsof the Client inReports andRecords

27.1 Unless otherwise indicated in the SCC, all reports andrelevant data and information such as maps, diagrams, plans,databases, other documents and software, supporting records ormaterial compiled or prepared by the Consultant for the Client in thecourse of the Services shall be confidential and become and remainthe absolute property of the Client. The Consultant shall, not laterthan upon termination or expiration of this Contract, deliver all suchdocuments to the Client, together with a detailed inventory thereof.The Consultant may retain a copy of such documents, data and/orsoftware but shall not use the same for purposes unrelated to thisContract without prior written approval of the Client.

27.2 If license agreements are necessary or appropriate between theConsultant and third parties for purposes of development of the plans,drawings, specifications, designs, databases, other documents andsoftware, the Consultant shall obtain the Client’s prior written approvalto such agreements, and the Client shall be entitled at its discretion torequire recovering the expenses related to the development of theprogram(s) concerned. Other restrictions about the future use of thesedocuments and software, if any, shall be specified in the SCC.

28. Equipment,Vehicles andMaterials

28.1 Equipment, vehicles and materials made available to theConsultant by the Client, or purchased by the Consultant wholly orpartly with funds provided by the Client, shall be the property of theClient and shall be marked accordingly. Upon termination orexpiration of this Contract, the Consultant shall make available to the


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Client an inventory of such equipment, vehicles and materials andshall dispose of such equipment, vehicles and materials in accordancewith the Client’s instructions. While in possession of such equipment,vehicles and materials, the Consultant, unless otherwise instructed bythe Client in writing, shall insure them at the expense of the Client inan amount equal to their full replacement value.

28.2 Any equipment or materials brought by the Consultant or itsExperts into the Client’s country for the use either for the project orpersonal use shall remain the property of the Consultant or the Expertsconcerned, as applicable.

D. CONSULTANT’S EXPERTS AND SUB-CONSULTANTS

29. Description of KeyExperts

29.1 The title, agreed job description, minimum qualification andestimated period of engagement to carry out the Services of each ofthe Consultant’s Key Experts are described in Appendix B.

30. Replacement of KeyExperts

30.1 Except as the Client may otherwise agree in writing, nochanges shall be made in the Key Experts.

30.2 Notwithstanding the above, the substitution of Key Expertsduring Contract execution may be considered only based on theConsultant’s written request and due to circumstances outside thereasonable control of the Consultant, including but not limited todeath or medical incapacity. In such case, the Consultant shallforthwith provide as a replacement, a person of equivalent or betterqualifications and experience, and at the same rate of remuneration.

31. Removal of Expertsor Sub-consultants

31.1 If the Client finds that any of the Experts or Sub-consultanthas committed serious misconduct or has been charged with havingcommitted a criminal action, or shall the Client determine thatConsultant’s Expert of Sub-consultant have engaged in corrupt,fraudulent, collusive, coercive or obstructive practice whileperforming the Services, the Consultant shall, at the Client’s writtenrequest, provide a replacement.

31.2 In the event that any of Key Experts, Non-Key Experts orSub-consultants is found by the Client to be incompetent or incapablein discharging assigned duties, the Client, specifying the groundstherefore, may request the Consultant to provide a replacement.

31.3 Any replacement of the removed Experts or Sub-consultantsshall possess better qualifications and experience and shall beacceptable to the Client.

31.4 The Consultant shall bear all costs arising out of or incidental


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to any removal and/or replacement of such Experts.

E. OBLIGATIONS OF THE CLIENT

32. Assistance andExemptions

32.1 Unless otherwise specified in the SCC, the Client shall use itsbest efforts to:

(a) Assist the Consultant with obtaining work permits and suchother documents as shall be necessary to enable the Consultantto perform the Services.

(b) Assist the Consultant with promptly obtaining, for the Expertsand, if appropriate, their eligible dependents, all necessary entryand exit visas, residence permits, exchange permits and anyother documents required for their stay in the Client’s countrywhile carrying out the Services under the Contract.

(c) Facilitate prompt clearance through customs of any propertyrequired for the Services and of the personal effects of theExperts and their eligible dependents.

(c) Issue to officials, agents and representatives of the Governmentall such instructions and information as may be necessary orappropriate for the prompt and effective implementation of theServices.

(d) Assist the Consultant and the Experts and any Sub-consultantsemployed by the Consultant for the Services with obtainingexemption from any requirement to register or obtain anypermit to practice their profession or to establish themselveseither individually or as a corporate entity in the Client’scountry according to the applicable law in the Client’s country.

(e) Assist the Consultant, any Sub-consultants and the Experts ofeither of them with obtaining the privilege, pursuant to theapplicable law in the Client’s country, of bringing into theClient’s country reasonable amounts of foreign currency for thepurposes of the Services or for the personal use of the Expertsand of withdrawing any such amounts as may be earned thereinby the Experts in the execution of the Services.

(f) Provide to the Consultant any such other assistance as may bespecified in the SCC.

33. Access to ProjectSite

33.1 The Client warrants that the Consultant shall have, free ofcharge, unimpeded access to the project site in respect of whichaccess is required for the performance of the Services. The Clientwill be responsible for any damage to the project site or any property


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thereon resulting from such access and will indemnify the Consultantand each of the experts in respect of liability for any such damage,unless such damage is caused by the willful default or negligence ofthe Consultant or any Sub-consultants or the Experts of either ofthem.

34. Change in theApplicable LawRelated to Taxesand Duties

34.1 If, after the date of this Contract, there is any change in theapplicable law in the Client’s country with respect to taxes and dutieswhich increases or decreases the cost incurred by the Consultant inperforming the Services, then the remuneration and reimbursableexpenses otherwise payable to the Consultant under this Contractshall be increased or decreased accordingly by agreement betweenthe Parties hereto, and corresponding adjustments shall be made tothe Contract price amount specified in Clause GCC 38.1

35. Services, Facilitiesand Property of theClient

35.1 The Client shall make available to the Consultant and theExperts, for the purposes of the Services and free of any charge, theservices, facilities and property described in the Terms of Reference(Appendix A) at the times and in the manner specified in saidAppendix A.

36. CounterpartPersonnel

36.1 The Client shall make available to the Consultant free ofcharge such professional and support counterpart personnel, to benominated by the Client with the Consultant’s advice, if specified inAppendix A.

36.2 Professional and support counterpart personnel, excludingClient’s liaison personnel, shall work under the exclusive directionof the Consultant. If any member of the counterpart personnel failsto perform adequately any work assigned to such member by theConsultant that is consistent with the position occupied by suchmember, the Consultant may request the replacement of suchmember, and the Client shall not unreasonably refuse to act uponsuch request.

37. PaymentObligation

37.1 In consideration of the Services performed by the Consultantunder this Contract, the Client shall make such payments to theConsultant for the deliverables specified in Appendix A and in suchmanner as is provided by GCC F below.

F. PAYMENTS TO THE CONSULTANT

38. Contract Price 38.1 The Contract price is fixed and is set forth in the SCC. TheContract price breakdown is provided in Appendix C.

38.2 Any change to the Contract price specified in Clause 38.1 canbe made only if the Parties have agreed to the revised scope of


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Services pursuant to Clause GCC 16 and have amended in writing theTerms of Reference in Appendix A.

39. Taxes and Duties 39.1 The Consultant, Sub-consultants and Experts are responsiblefor meeting any and all tax liabilities arising out of the Contractunless it is stated otherwise in the SCC.

39.2 As an exception to the above and as stated in the SCC, alllocal identifiable indirect taxes (itemized and finalized at Contractnegotiations) are reimbursed to the Consultant or are paid by theClient on behalf of the Consultant.

40. Currency ofPayment

40.1 Any payment under this Contract shall be made in thecurrency(ies) of the Contract.

41. Mode of Billing andPayment

41.1 The total payments under this Contract shall not exceed theContract price set forth in Clause GCC 38.1.

41.2 The payments under this Contract shall be made in lump-suminstallments against deliverables specified in Appendix A. Thepayments will be made according to the payment schedule stated inthe SCC.

41.2.1 Advance payment: Unless otherwise indicated in theSCC, an advance payment shall be made against an advancepayment bank guarantee acceptable to the Client in an amount(or amounts) and in a currency (or currencies) specified in theSCC. Such guarantee (i) is to remain effective until the advancepayment has been fully set off, and (ii) is to be in the form setforth in Appendix D, or in such other form as the Client shallhave approved in writing. The advance payments will be set offby the Client in equal portions against the lump-sum installmentsspecified in the SCC until said advance payments have beenfully set off.

41.2.2 The Lump-Sum Installment Payments. The Client shallpay the Consultant within sixty (60) days after the receipt bythe Client of the deliverable(s) and the cover invoice for therelated lump-sum installment payment. The payment can bewithheld if the Client does not approve the submitteddeliverable(s) as satisfactory in which case the Client shallprovide comments to the Consultant within the same sixty (60)days period. The Consultant shall thereupon promptly makeany necessary corrections, and thereafter the foregoing processshall be repeated.

41.2.3 The Final Payment .The final payment under thisClause shall be made only after the final report l have beensubmitted by the Consultant and approved as satisfactory by the


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Client. The Services shall then be deemed completed and finallyaccepted by the Client. The last lump-sum installment shall bedeemed approved for payment by the Client within ninety (90)calendar days after receipt of the final report by the Client unlessthe Client, within such ninety (90) calendar day period, giveswritten notice to the Consultant specifying in detail deficiencies inthe Services, the final report. The Consultant shall thereuponpromptly make any necessary corrections, and thereafter theforegoing process shall be repeated. 41.2.4 All payments underthis Contract shall be made to the accounts of the Consultantspecified in the SCC.

41.2.4 With the exception of the final payment under 41.2.3above, payments do not constitute acceptance of the wholeServices nor relieve the Consultant of any obligations hereunder.

42. Interest on DelayedPayments

42.1 If the Client had delayed payments beyond fifteen (15) daysafter the due date stated in Clause GCC 41.2.2 , interest shall be paidto the Consultant on any amount due by, not paid on, such due datefor each day of delay at the annual rate stated in the SCC.

G. FAIRNESS AND GOOD FAITH

43. Good Faith 43.1 The Parties undertake to act in good faith with respect toeach other’s rights under this Contract and to adopt all reasonablemeasures to ensure the realization of the objectives of this Contract.

H. SETTLEMENT OF DISPUTES

44. AmicableSettlement

44.1 The Parties shall seek to resolve any dispute amicably bymutual consultation.

44.2 If either Party objects to any action or inaction of the otherParty, the objecting Party may file a written Notice of Dispute to theother Party providing in detail the basis of the dispute. The Partyreceiving the Notice of Dispute will consider it and respond inwriting within fourteen (14) days after receipt. If that Party fails torespond within fourteen (14) days, or the dispute cannot be amicablysettled within fourteen (14) days following the response of that Party,Clause GCC 49.1 shall apply.

45. Dispute Resolution 45.1 Any dispute between the Parties arising under or related tothis Contract that cannot be settled amicably may be referred to byeither Party to the adjudication/arbitration in accordance with theprovisions specified in the SCC.

II. General Conditions of Contract – Attachment 1 Lump-Sum

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II. General Conditions

Attachment 1: Bank’s Policy – Corrupt and Fraudulent Practices(the text in this Attachment 1 shall not be modified)

Guidelines for Selection and Employment of Consultants under IBRD Loans and IDACredits & Grants by World Bank Borrowers, dated January 2011:

“Fraud and Corruption

1.23 It is the Bank’s policy to require that Borrowers (including beneficiaries of Bank loans),consultants, and their agents (whether declared or not), sub-contractors, sub-consultants,service providers, or suppliers, and any personnel thereof, observe the highest standard ofethics during the selection and execution of Bank-financed contracts [footnote: In thiscontext, any action taken by a consultant or any of its personnel, or its agents, or its sub-consultants, sub-contractors, services providers, suppliers, and/or their employees, toinfluence the selection process or contract execution for undue advantage is improper.]. Inpursuance of this policy, 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 orindirectly, of anything of value to influence improperly the actions of another party10;

(ii) “fraudulent practice” is any act or omission, including misrepresentation, thatknowingly or recklessly misleads, or attempts to mislead, a party to obtain financialor other benefit or to avoid an obligation11;

(iii) “collusive practices” is an arrangement between two or more parties designed toachieve an improper purpose, including to influence improperly the actions ofanother party12;

(iv) “coercive practices” is impairing or harming, or threatening to impair or harm,directly or indirectly, any party or the property of the party to influence improperlythe actions of a party13;

10 For the purpose of this sub-paragraph, “another party” refers to a public official acting in relation to theselection process or contract execution. In this context “public official” includes World Bank staff andemployees of other organizations taking or reviewing selection decisions.

11 For the purpose of this sub-paragraph, “party” refers to a public official; the terms “benefit” and “obligation”relate to the selection process or contract execution; and the “act or omission” is intended to influence theselection process or contract execution.

12 For the purpose of this sub-paragraph, “parties” refers to participants in the procurement or selection process(including public officials) attempting either themselves, or through another person or entity not participating inthe procurement or selection process, to simulate competition or to establish prices at artificial, non-competitivelevels, or are privy to each other’s bid prices or other conditions.

II. General Conditions of Contract – Attachment 1 Lump-Sum

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(v) “obstructive practice” is

(aa) deliberately destroying, falsifying, altering, or concealing of evidence materialto the investigation or making false statements to investigators in order tomaterially impede a Bank investigation into allegations of a corrupt,fraudulent, coercive, or collusive practice; and/or threatening, harassing, orintimidating any party to prevent it from disclosing its knowledge of mattersrelevant to the investigation or from pursuing the investigation, or

(bb) acts intended to materially impede the exercise of the Bank’s inspection andaudit rights;

(b) will reject a proposal for award if it determines that the consultant recommended foraward or any of its personnel, or its agents, or its sub-consultants, sub-contractors,services providers, suppliers, and/or their employees, has, directly or indirectly, engagedin corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for thecontract in question;

(c) will declare misprocurement and cancel the portion of the Loan allocated to a contract ifit determines at any time that representatives of the Borrower or of a recipient of any partof the proceeds of the Loan were engaged in corrupt, fraudulent, collusive, coercive, orobstructive practices during the selection process or the implementation of the contractin question, without the Borrower having taken timely and appropriate action satisfactoryto the Bank to address such practices when they occur, including by failing to inform theBank in a timely manner they knew of the practices;

(d) will sanction a firm or an individual at any time, in accordance with prevailing Bank’ssanctions procedures14, including by publicly declaring such firm or an ineligible, eitherindefinitely or for a stated period of time: (i) to be awarded a Bank-financed contract, and(ii) to be a nominated15 sub-consultant, supplier, or service provider of an otherwiseeligible firm being awarded a Bank-financed contract.

13 For the purpose of this sub-paragraph, “party” refers to a participant in the selection process or contractexecution.

14 A firm or an individual may be declared ineligible to be awarded a Bank-financed contract upon (i)completion of the Bank’s sanctions proceedings as per its sanctions procedures, including inter alia: cross-debarment as agreed with other International Financial Institutions, including Multilateral Development Banks,and through the application of the World Bank Group corporate administrative procurement sanctionsprocedures for fraud and corruption; and (ii) as a result of temporary suspension or early temporary suspensionin connection with an ongoing sanctions proceedings. See footnote 12 and paragraph 8 of Appendix 1 of theseGuidelines.

15 A nominated sub-consultant, supplier, or service provider is one which has been either (i) included by theconsultant in its proposal because it brings specific and critical experience and know-how that are accounted forin the technical evaluation of the consultant’s proposal for the particular services; or (ii) appointed by theBorrower.

III. Special Conditions of Contract Lump-Sum

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III. Special Conditions of Contract[Notes in brackets are for guidance purposes only and should be deleted in the final text of

the signed contract]

Number of GCClause

Amendments of, and Supplements to, Clauses in the GeneralConditions of Contract

1.1(b) and 3.1 The Contract shall be construed in accordance with the law ofBhutan

4.1 The language is: English

6.1 and 6.2 The addresses are:Client: Department of Human Settlement, Ministry of Worksand Human Settlement

Attention: Wangchuk Thayey, Director

Facsimile: +975-3-335799

E-mail: [email protected]

Consultant :

Attention :Facsimile :E-mail (where permitted) :

8.1 [If the Consultant consists only of one entity, state “N/A”;ORIf the Consultant is a Joint Venture consisting of more than one entity,the name of the JV member whose address is specified in ClauseSCC6.1 should be inserted here. ]The Lead Member on behalf of the JV is _________________________________________ [insert name of the member]

9.1 The Authorized Representatives are:

For the Client: Wangchuk Thayey, Director, DHSFor the Consultant:

11.1 The Client warrants that the Client shall pay on behalf of theConsultant, the Sub-Consultants and the Personnel, any indirect taxes,duties, fees, levies and other impositions imposed, under the


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Applicable Law, on the Consultant, the Sub-Consultants and thePersonnel in respect of:

(a) any equipment, materials and supplies brought into theGovernment’s country by the Consultant or Sub-Consultants forthe purpose of carrying out the Services and which, after havingbeen brought into such territories, will be subsequentlywithdrawn there from by them;

(b) any equipment imported for the purpose of carrying out theServices and paid for out of funds provided by the Client and which istreated as property of the Client;

12.1 Termination of Contract for Failure to Become Effective:

The time period shall be six months

13.1 Commencement of Services:

The number of days shall be immediately after the signing of thecontract agreement

Confirmation of Key Experts’ availability to start the Assignment shallbe submitted to the Client in writing as a written statement signed byeach Key Expert.

14.1 Expiration of Contract:

The time period shall be 6 months

21 b. The Client reserves the right to determine on a case-by-case basiswhether the Consultant should be disqualified from providinggoods, works or non-consulting services due to a conflict of anature described in Clause GCC 21.1.3:Yes


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23.1 No additional provisions.

[OR

The following limitation of the Consultant’s Liability towards theClient can be subject to the Contract’s negotiations:

“Limitation of the Consultant’s Liability towards the Client:

(a) Except in the case of gross negligence or willful misconduct onthe part of the Consultant or on the part of any personor a firm acting on behalf of the Consultant in carryingout the Services, the Consultant, with respect to damagecaused by the Consultant to the Client’s property, shallnot be liable to the Client:

(i) for any indirect or consequential loss or damage;and

(ii) for any direct loss or damage that exceeds [inserta multiplier, e.g.: one, two, three] times the totalvalue of the Contract;

(b) This limitation of liability shall not

(i) affect the Consultant’s liability, if any, for damage toThird Parties caused by the Consultant or any person orfirm acting on behalf of the Consultant in carrying out theServices;

(ii) be construed as providing the Consultant with anylimitation or exclusion from liability which is prohibitedby the [insert “Applicable Law”, if it is the law of theClient’s country, or insert “applicable law in the Client’scountry”, if the Applicable Law stated in Clause SCC1.1 (b)is different from the law of the Client’s country].

[Notes to the Client and the Consultant: Any suggestions made by theConsultant in the Proposal to introduce exclusions/limitations of theConsultant’s liability under the Contract should be carefullyscrutinized by the Client and discussed with the Bank prior toaccepting any changes to what was included in the issued RFP. In thisregard, the Parties should be aware of the Bank’s policy on thismatter which is as follows:

To be acceptable to the Bank, any limitation of the Consultant’sliability should at the very least be reasonably related to (a) thedamage the Consultant might potentially cause to the Client, and (b)


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the Consultant’s ability to pay compensation using its own assets andreasonably obtainable insurance coverage. The Consultant’s liabilityshall not be limited to less than a multiplier of the total payments tothe Consultant under the Contract for remuneration and reimbursableexpenses. A statement to the effect that the Consultant is liable onlyfor the re-performance of faulty Services is not acceptable to theBank. Also, the Consultant’s liability should never be limited for lossor damage caused by the Consultant’s gross negligence or willfulmisconduct.

The Bank does not accept a provision to the effect that the Client shallindemnify and hold harmless the Consultant against Third Partyclaims, except, of course, if a claim is based on loss or damagecaused by a default or wrongful act of the Client to the extentpermissible by the law applicable in the Client’s country.]

24.1 The risks and the coverage shall be as follows:

(a) Professional liability insurance, with a minimum coverageatleast equal to the contract price

(b)Third Party motor vehicle liability insurance in respect of motorvehicles operated in the Government’s country by the Consultantor its Personnel or any Sub-Consultants or their Personnel, with aminimum coverage of [Nu.1100.00 (One Thousand OneHundred only)];

(c) insurance against loss of or damage to (i) equipment purchased inwhole or in part with funds provided under this Contract, (ii) theConsultant’s property used in the performance of the Services,and (iii) any documents prepared by the Consultant in theperformance of the Services.

(d) employer’s liability and workers’ compensation insurance inrespect of the experts and Sub-consultants in accordance with therelevant provisions of the applicable law in the Client’s country,as well as, with respect to such Experts, any such life, health,accident, travel or other insurance as may be appropriate; and

(e) insurance against loss of or damage to (i) equipment purchased inwhole or in part with funds provided under this Contract, (ii) theConsultant’s property used in the performance of the Services,and (iii) any documents prepared by the Consultant in theperformance of the Services.


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27.1 N.A

27.2 The Consultant shall not use these documents and software forpurposes unrelated to this Contract without the prior written approvalof the Client.

38.1 The Contract price is: ____________________ [insert amount andcurrency for each currency as applicable] [indicate: inclusive orexclusive] of local indirect taxes.

Any indirect local taxes chargeable in respect of this Contract forthe Services provided by the Consultant shall [insert asappropriate: “be paid” or “reimbursed”] by the Client [insert asappropriate:”for“ or “to”] the Consultant.

The amount of such taxes is ____________________ [insert theamount as finalized at the Contract’s negotiations on the basis ofthe estimates provided by the Consultant in Form FIN-2 of theConsultant’s Financial Proposal.

39.1 and 39.2 [The Bank leaves it to the Client to decide whether the Consultant (i)should be exempted from indirect local tax, or (ii) should bereimbursed by the Client for any such tax they might have to pay (orthat the Client would pay such tax on behalf of the Consultant]

The Client warrants that [choose one applicable option consistentwith the ITC 16.3 and the outcome of the Contract’s negotiations(Form FIN-2, part B “Indirect Local Tax – Estimates”):

If ITC16.3 indicates a tax exemption status, include the following: “theConsultant, the Sub-consultants and the Experts shall be exemptfrom”

OR

If ITC16.3 does not indicate the exemption and, depending on whetherthe Client shall pay the withholding tax or the Consultant has to pay,include the following:

“the Client shall pay on behalf of the Consultant, the Sub-consultants and the Experts,” OR “the Client shall reimburse theConsultant, the Sub-consultants and the Experts”]

any indirect taxes, duties, fees, levies and other impositionsimposed, under the applicable law in the Client’s country, on theConsultant, the Sub-consultants and the Experts in respect of:


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(a) any payments whatsoever made to the Consultant, Sub-consultants and the Experts (other than nationals orpermanent residents of the Client’s country), in connectionwith the carrying out of the Services;

(b) any equipment, materials and supplies brought into theClient’s country by the Consultant or Sub-consultants for thepurpose of carrying out the Services and which, after havingbeen brought into such territories, will be subsequentlywithdrawn by them;

(c) any equipment imported for the purpose of carrying out theServices and paid for out of funds provided by the Client andwhich is treated as property of the Client;

(d) any property brought into the Client’s country by theConsultant, any Sub-consultants or the Experts (other thannationals or permanent residents of the Client’s country), orthe eligible dependents of such experts for their personal useand which will subsequently be withdrawn by them upontheir respective departure from the Client’s country,provided that:

(i) the Consultant, Sub-consultants and experts shallfollow the usual customs procedures of the Client’scountry in importing property into the Client’s country;and

(ii) if the Consultant, Sub-consultants or Experts do notwithdraw but dispose of any property in the Client’scountry upon which customs duties and taxes have beenexempted, the Consultant, Sub-consultants or Experts,as the case may be, (a) shall bear such customs dutiesand taxes in conformity with the regulations of theClient’s country, or (b) shall reimburse them to theClient if they were paid by the Client at the time theproperty in question was brought into the Client’scountry.

41.2 The payment schedule:

Stages of work Amount Payable1 Upon submission and review of

the Inception Report10% of the contractamount

2 Upon submission and review of theAnalyses Report

20% of the contractamount


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3 Upon submission and review of the1st draft Strategy


4 Upon submission and review of the2nd draft Strategy


5 Upon submission and review of thefinal draft Strategy


41.2.1 [The advance payment could be in either the foreign currency, or thelocal currency, or both; select the correct wording in the Clause herebelow. The advance bank payment guarantee should be in the samecurrency(ies)]

The following provisions shall apply to the advance payment and theadvance bank payment guarantee:

(1) An advance payment [of [insert amount] in foreign currency][and of [insert amount] in local currency] shall be made within[insert number] days after the receipt of an advance bankpayment guarantee by the Client. The advance payment will beset off by the Client in equal portions against [list the paymentsagainst which the advance is offset].

(2) The advance bank payment guarantee shall be in the amount andin the currency of the currency(ies) of the advance payment.

(3) The bank guarantee will be released when the advance paymenthas been fully set off.

41.2.4 The accounts are:

for foreign currency: [insert account].for local currency: [insert account].

42.1 The interest rate is: London Intra Bank Offered Rate (LIBOR) +1

45.1Disputes shall be settled by arbitration in accordance with thefollowing provisions:

1. Selection of Arbitrators. Each dispute submitted by a Party toarbitration shall be heard by a sole arbitrator or an arbitrationpanel composed of three (3) arbitrators, in accordance with thefollowing provisions:

(a) Where the Parties agree that the dispute concerns atechnical matter, they may agree to appoint a sole arbitrator


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or, failing agreement on the identity of such sole arbitratorwithin thirty (30) days after receipt by the other Party of theproposal of a name for such an appointment by the Partywho initiated the proceedings, either Party may apply to[name an appropriate international professional body, e.g.,the Federation Internationale des Ingenieurs-Conseil(FIDIC) of Lausanne, Switzerland] for a list of not fewerthan five (5) nominees and, on receipt of such list, theParties shall alternately strike names therefrom, and the lastremaining nominee on the list shall be the sole arbitrator forthe matter in dispute. If the last remaining nominee has notbeen determined in this manner within sixty (60) days ofthe date of the list, the Federation Internationale desIngenieurs-Conseil (FIDIC) of Lausanne, Switzerlandshall appoint, upon the request of either Party and fromsuch list or otherwise, a sole arbitrator for the matter indispute.

(b) Where the Parties do not agree that the dispute concerns atechnical matter, the Client and the Consultant shall eachappoint one (1) arbitrator, and these two arbitrators shalljointly appoint a third arbitrator, who shall chair thearbitration panel. If the arbitrators named by the Parties donot succeed in appointing a third arbitrator within thirty(30) days after the latter of the two (2) arbitrators named bythe Parties has been appointed, the third arbitrator shall, atthe request of either Party, be appointed by the SecretaryGeneral of the International Centre for Settlement ofInvestment Disputes, Washington, D.C].

(c) If, in a dispute subject to paragraph (b) above, one Partyfails to appoint its arbitrator within thirty (30) days after theother Party has appointed its arbitrator, the Party which hasnamed an arbitrator may apply to the the Secretary Generalof the International Centre for Settlement of InvestmentDisputes, Washington, D.C].to appoint a sole arbitrator forthe matter in dispute, and the arbitrator appointed pursuantto such application shall be the sole arbitrator for thatdispute.

2. Rules of Procedure. Except as otherwise stated herein, arbitrationproceedings shall be conducted in accordance with the rules ofprocedure for arbitration of the United Nations Commission onInternational Trade Law (UNCITRAL) as in force on the date ofthis Contract.


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3. Substitute Arbitrators. If for any reason an arbitrator is unable toperform his/her function, a substitute shall be appointed in thesame manner as the original arbitrator.

4. Nationality and Qualifications of Arbitrators. The sole arbitratoror the third arbitrator appointed pursuant to paragraphs 1(a)through 1(c) above shall be an internationally recognized legal ortechnical expert with extensive experience in relation to thematter in dispute and shall not be a national of the Consultant’shome country [If the Consultant consists of more than one entity,add: or of the home country of any of their members or Parties]or of the Government’s country. For the purposes of this Clause,“home country” means any of:

(a) the country of incorporation of the Consultant [If theConsultant consists of more than one entity, add: or of anyof their members or Parties]; or

(b) the country in which the Consultant’s [or any of theirmembers’ or Parties’] principal place of business is located;or

(c) the country of nationality of a majority of the Consultant’s[or of any members’ or Parties’] shareholders; or

(d) the country of nationality of the Sub-consultants concerned,where the dispute involves a subcontract.

5. Miscellaneous. In any arbitration proceeding hereunder:

(a) proceedings shall, unless otherwise agreed by the Parties,be held in New Delhi, India

(b) the English language shall be the official language for allpurposes; and

(c) the decision of the sole arbitrator or of a majority of thearbitrators (or of the third arbitrator if there is no suchmajority) shall be final and binding and shall beenforceable in any court of competent jurisdiction, and theParties hereby waive any objections to or claims ofimmunity in respect of such enforcement.

IV. Appendices Lump-Sum

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IV. AppendicesAPPENDIX A – TERMS OF REFERENCE

[This Appendix shall include the final Terms of Reference (TORs) worked out by the Clientand the Consultant during the negotiations; dates for completion of various tasks; location ofperformance for different tasks; detailed reporting requirements and list of deliverablesagainst which the payments to the Consultant will be made; Client’s input, includingcounterpart personnel assigned by the Client to work on the Consultant’s team; specific tasksor actions that require prior approval by the Client.

Insert the text based on the Section 7 (Terms of Reference) of the ITC in the RFP andmodified based on the Forms TECH-1 through TECH-5 of the Consultant’s Proposal.Highlight the changes to Section 7 of the RFP]

………………………………………………………………………………………………

APPENDIX B - KEY EXPERTS

[Insert a table based on Form TECH-6 of the Consultant’s Technical Proposal and finalizedat the Contract’s negotiations. Attach the CVs (updated and signed by the respective KeyExperts) demonstrating the qualifications of Key Experts.]

……………………………………………………………………………………………………

APPENDIX C – BREAKDOWN OF CONTRACT PRICE

[Insert the table with the unit rates to arrive at the breakdown of the lump-sum price. The tableshall be based on [Form FIN-3 and FIN-4] of the Consultant’s Proposal and reflect any changesagreed at the Contract negotiations, if any. The footnote shall list such changes made to [FormFIN-3 and FIN-4] at the negotiations or state that none has been made.]

When the Consultant has been selected under Quality-Based Selection method, also add thefollowing:

“The agreed remuneration rates shall be stated in the attached Model Form I. This formshall be prepared on the basis of Appendix A to Form FIN-3 of the RFP “Consultants’Representations regarding Costs and Charges” submitted by the Consultant to theClient prior to the Contract’s negotiations.

Should these representations be found by the Client (either through inspections oraudits pursuant to Clause GCC 25.2 or through other means) to be materially


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incomplete or inaccurate, the Client shall be entitled to introduce appropriatemodifications in the remuneration rates affected by such materially incomplete orinaccurate representations. Any such modification shall have retroactive effect and, incase remuneration has already been paid by the Client before any such modification, (i)the Client shall be entitled to offset any excess payment against the next monthlypayment to the Consultants, or (ii) if there are no further payments to be made by theClient to the Consultants, the Consultants shall reimburse to the Client any excesspayment within thirty (30) days of receipt of a written claim of the Client. Any suchclaim by the Client for reimbursement must be made within twelve (12) calendarmonths after receipt by the Client of a final report and a final statement approved bythe Client in accordance with Clause GCC 45.1(d) of this Contract.”]


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Model Form IBreakdown of Agreed Fixed Rates in Consultant’s Contract

We hereby confirm that we have agreed to pay to the Experts listed, who will be involved in performing the Services, the basicfees and away from the home office allowances (if applicable) indicated below:

(Expressed in [insert name of currency])*

Experts 1 2 3 4 5 6 7 8

Name Position

BasicRemuneration

rate perWorking

Month/Day/Year

SocialCharges1 Overhead1 Subtotal Profit2

Away fromHome OfficeAllowance

Agreed Fixed Rateper Working

Month/Day/Hour

Agreed Fixed Rateper Working

Month/Day/Hour1

Home Office

Work in the Client’sCountry

1 Expressed as percentage of 12 Expressed as percentage of 4

* If more than one currency, add a table

Signature Date

Name and Title:


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APPENDIX D - FORM OF ADVANCE PAYMENTS GUARANTEE

[See Clause GCC 41.2.1 and SCC 41.2.1]

Bank Guarantee for Advance Payment

_____________________________ [Bank’s Name, and Address of Issuing Branch or Office]

Beneficiary: _________________ [Name and Address of Client]

Date: ________________

ADVANCE PAYMENT GUARANTEE No.: _________________

We have been informed that ____________ [name of Consultant or a name of the JointVenture, same as appears on the signed Contract] (hereinafter called "the Consultant") hasentered into Contract No. _____________ [reference number of the contract] dated____________ with you, for the provision of __________________ [brief description ofServices] (hereinafter called "the Contract").

Furthermore, we understand that, according to the conditions of the Contract, an advancepayment in the sum of ___________ [amount in figures] ( ) [amount in words]is to be made against an advance payment guarantee.

At the request of the Consultant, we _______________ [name of bank] hereby irrevocablyundertake to pay you any sum or sums not exceeding in total an amount of ___________[amount in figures] ( ) [amount in words]1 upon receipt by us of your firstdemand in writing accompanied by a written statement stating that the Consultant are inbreach of their obligation under the Contract because the Consultant have used the advancepayment for purposes other than toward providing the Services under the Contract.

It is a condition for any claim and payment under this guarantee to be made that the advancepayment referred to above must have been received by the Consultant on their accountnumber ___________ at _________________ [name and address of bank].

The maximum amount of this guarantee shall be progressively reduced by the amount of theadvance payment repaid by the Consultant as indicated in copies of certified monthlystatements which shall be presented to us. This guarantee shall expire, at the latest, upon ourreceipt of the monthly payment certificate indicating that the Consultant has made full

1 The Guarantor shall insert an amount representing the amount of the advance payment and denominated eitherin the currency(ies) of the advance payment as specified in the Contract, or in a freely convertible currencyacceptable to the Client.


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repayment of the amount of the advance payment, or on the __ day of ___________, 2___,2

whichever is earlier. Consequently, any demand for payment under this guarantee must bereceived by us at this office on or before that date.

This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No.458.

_____________________[signature(s)]

Note: All italicized text is for indicative purposes only to assist in preparing this form andshall be deleted from the final product.

2 Insert the expected expiration date. In the event of an extension of the time for completion of the Contract, theClient would need to request an extension of this guarantee from the Guarantor. Such request must be inwriting and must be made prior to the expiration date established in the guarantee. In preparing this guarantee,the Client might consider adding the following text to the form, at the end of the penultimate paragraph: “TheGuarantor agrees to a one-time extension of this guarantee for a period not to exceed [six months][one year],in response to the Client’s written request for such extension, such request to be presented to the Guarantorbefore the expiry of the guarantee.”