Tally for CAs in Industry Silver Edition (Single User) Tally Renewal (Auditor Edition) Need Tally for Clients? (Tie-up with us!!!)
Open DEMAT Account with in 24 Hrs and start investing now!
Tenders »
Open DEMAT Account in 24 hrs
 Karnataka State Urban Livelihoods Mission Society, Bangalore, Karnataka
 Security Printing & Minting Corporation of India Limited, Saifabad, Hyderabad
 Agricultural And Processed Food Products Export Development Authority, New Delhi, Delhi
 Punjab National Bank, New Delhi, Delhi
 Uttar Pradesh Health Systems Strengthening Project, Lucknow, Uttar Pradesh
 The Karnataka Food and Civil Supplies Corporation Limited, Bangalore, Karnataka
 Corrigendum Housing And Urban Development Corporation Limited, New Delhi, Delhi
 Corrigendum Kerala Infrastructure Investment Fund Board, Thiruvananthapuram, Kerala
 Jammu and Kashmir Small Scale Industries Development Coroporation Ltd, Srinagar, J&K
 Corrigendum 3 National Minorities Development And Finance Corporation, Laxmi Nagar, Delhi
 Corrigendum 2 Security Printing & Minting Corporation of India Limited, New Delhi, Delhi
 Bureau of Indian Standards, Bhubaneswar, Odisha
 Kerala Infrastructure Investment Fund Board, Thiruvananthapuram, Kerala
 State Bank of India, Hyderabad, Telangana
 IDBI Bank Limited, Mumbai, Maharashtra

Uttar Pradesh Health Systems Strengthening Project, Lucknow, Uttar Pradesh
June, 08th 2021

tandard Request for Proposals

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

SELECTION OF CONSULTANTS
REQUEST FOR PROPOSALS

RFP No.: [……………. /UPHSSP/INTERNAL AUDIT/RFP/2019-20
DATED ………………]

Hiring of a Chartered Accountant Firm for Internal Audit Services of PSU,
UPHSSP and 52 Hospitals of Uttar Pradesh

Client: Uttar Pradesh Health Systems Strengthening Project, Lucknow
Country: India

Project: Uttar Pradesh Health Systems Strengthening Project
Issued on ….-05-2019

i|Page
Standard Request for Proposals

Preface

This Request for Proposals (“RFP”) has been prepared by the Client and is based on
the Standard Request for Proposals (“SRFP”) issued by the World Bank1 (“the Bank”), dated
September 2011.

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

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

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

TABLE OF CLAUSES

PART I–SELECTION PROCEDURES AND REQUIREMENTSError! Bookmark not defined.

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 ...............................................................................6

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

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

7. General Considerations .....................................................................................9
8. Cost of Preparation of Proposal .........................................................................9
9. Language ..........................................................................................................9
10. Documents Comprising the Proposal.................................................................9
11. Only One Proposal ............................................................................................9
12. Proposal Validity ..............................................................................................9
13. Clarification and Amendment of RFP..............................................................10
14. Preparation of Proposals – Specific Considerations .........................................11
15. Technical Proposal Format and Content ..........................................................12
16. Financial Proposal...........................................................................................12

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

17. Submission, Sealing, and Marking of Proposals .............................................13
18. Confidentiality ................................................................................................14
19. Opening of Technical Proposals ......................................................................14
20. Proposals Evaluation.......................................................................................15
21. Evaluation of Technical Proposals...................................................................15
22. Financial Proposals for QBS ...........................................................................15
23. Public Opening of Financial Proposals (for QCBS, FBS, and LCS methods) ...15
24. Correction of Errors ........................................................................................16
25. Taxes ..............................................................................................................17
26. Conversion to Single Currency........................................................................17
27. Combined Quality and Cost Evaluation...........................................................17

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

28. Negotiations....................................................................................................18
29. Conclusion of Negotiations .............................................................................19
30. Award of Contract...........................................................................................19

iii | P a g e
Master Document for Selection of Consultants – Harmonized SRFP

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

Section 3. Technical Proposal – Standard Forms ........................................................... 31
Checklist of Required Forms ................................................................................31
Form TECH-1: Technical Proposal Submission Form...........................................32
Form TECH-2 (FTP): Consultant’s Organization and Experience .........................35
Form TECH-3 (FTP): Comments and Suggestions on Terms of Reference,
Counterpart Staff, and Facilities to be Provided by Client .....................................37
Form TECH-4 (FTP): Description of Approach, Methodology, and Work Plan in
Responding to the Terms of Reference..................................................................38
Form TECH-4 (STP): Description of Approach, Methodology, and Work Plan in
Responding to the Terms of Reference..................................................................39
Form TECH-5 (FTP/STP): Work Schedule and Planning for Deliverables............40
Form TECH-6 (FTP/STP): Team Composition, Assignment, and Key Experts’
Time Input; and CV Form 41

Section 4. Financial Proposal - Standard Forms............................................................. 45
Section 5. Eligible Countries ............................................................................................ 57
Section 6. Bank Policy – Corrupt and Fraudulent Practices .......................................... 59
Section 7. Terms of Reference ......................................................................................... 61

PART II –CONDITIONS OF CONTRACT AND CONTRACT FORMSError! Bookmark not defined.
Section 8. Conditions of Contract and Contract Forms .... Error! Bookmark not defined.

1. .............................................................................................................................T
ime-Based Form of Contract ................................... Error! Bookmark not defined.

2. .............................................................................................................................L
ump-Sum Form of Contract .................................................................................. 71
Section 1. Letter of Invitation

Ref. ………./UPHSSP/ INTERNAL AUDIT-RFP/2019-20 Dated ……………….

To,
……………………….
…………………………….
………………………………..

Sub: Request for submission of Technical and Financial Proposal on the prescribed format for
Internal Audit Services in UPHSSP, PSU & 52 Hospitals of Uttar Pradesh

1. The Government of India, New Delhi, India (hereinafter called ”Borrower”) has received
financing from the International Development Association (IDA) (the “Bank”) in the form of
a Credit No 5033-IN (hereinafter called “credit”) toward the cost of Uttar Pradesh Health
Systems Strengthening Project. The Uttar Pradesh Health Systems Strengthening Project, an
implementing agency of the Client, intends to apply a portion of the proceeds of this credit to
eligible payments under the contract for which this Request for Proposals is issued.

2. The Client now invites proposals to provide the following consulting services (hereinafter
called “Services”): Hiring of a Chartered Accountant Firm for Internal Audit Services in
UPHSSP, PSU & 52 Hospitals of Uttar Pradesh. More details on the Services are provided in
the Terms of Reference (Section 7).

3. This Request for Proposals (RFP) has been addressed to the shortlisted Consultants:

4. It is not permissible to transfer this invitation to any other firm.

5. A firm will be selected under [Consultant Qualification Based Selection -CQS ] procedures and
in a Full Technical Proposal (FTP) format as described in this RFP, in accordance with the
policies of the Bank detailed in the Consultants’ Guidelines which can be found at the
following website: www.worldbank.org/procure.

6. The RFP includes the following documents:

Section 1 - Letter of Invitation
Section 2 - Instructions to Consultants and Data Sheet

Section 3 - Technical Proposal (FTP) - Standard Forms with an affidavit in
appendix-E
Section 4 - Financial Proposal - Standard Forms
Section 5 – Eligible Countries
Section 6 – Bank’s Policy – Corrupt and Fraudulent Practices
Section 7 - Terms of Reference
Section 8 - Standard Forms of Contract (Lump-Sum)

7. Please inform us by ………/06/2019 in writing to the Project Director - Uttar
1|Page
Section 1. Letter of Invitation
Pradesh Health Systems Strengthening Project, SIHFW Campus, Block-C, Indira
Nagar, Lucknow – 226016, Uttar Pradesh, India, by facsimile 0522-2340538, or by
E-mail apd.uphssp@gmail.com

(a) that you have received the Letter of Invitation; and
(b) whether you intend to submit a proposal alone or intend to enhance your

experience by requesting permission to associate with other firm(s) (if
permissible under Section 2, Instructions to Consultants (ITC), Data Sheet.

8. Details on the proposal’s submission date, time and address are provided in the
bid data sheet

Note: Certified copy of agreement/work orders showing the address of the client,
email id, phone no. fax no. and consultancy fee (with break-up of consultants
rates) for the assignment should be attached. If documents were found fake/false
on verification, the firm will be eliminated from technical evaluation and action
will be taken for blacklisting of the firm, beside information to the World Bank
and other controlling institutions}

Yours sincerely,

(Dr. Harsh Sharma)
Additional Project Director
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,the
provisions of the Instructions to Consultants (ITC), shall be introduced through the Data Sheet only. “Notes to
the 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 that
directly or indirectly controls, is controlled by, or is under
common control with the Consultant.

(b) “Applicable Guidelines” means the policies of the Bank
governing the selection and Contract award process as set
forth in this RFP.

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

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

(e) “Borrower” means the Government, Government agency
or other entity that signs the financing agreement with the
Bank.

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

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

(h) “Contract” means a legally binding written agreement
signed between the Client and the Consultant and includes
all the attached documents listed in its Clause 1 (the
General Conditions of Contract (GCC), the Special
Conditions of Contract (SCC), and the Appendices).

(i) “Data Sheet” means an integral part of the Instructions to
Consultants (ITC) Section 2 that is used to reflect specific
country and assignment conditions to supplement, but not
to over-write, the provisions of the ITC.

3|Page
Section 2. Instructions to Consultants

(j) “Day” means a calendar day.

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

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

(m)“Joint Venture (JV)” means an association with or without
a legal personality distinct from that of its members, of
more than one Consultant where one member has the
authority to conduct all business for and on behalf of any
and all the members of the JV, and where the members of
the JV are jointly and severally liable to the Client for the
performance of the Contract.

(n) “Key Expert(s)” means an individual professional whose
skills, qualifications, knowledge and experience are
critical to the performance of the Services under the
Contract and whose CV is taken into account in the
technical evaluation of the Consultant’s proposal.

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

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

(q) “Non-Key Expert(s)” means an individual professional
provided by the Consultant or its Sub-consultant and who
is assigned to perform the Services or any part thereof
under the Contract and whose CVs are not evaluated
individually.

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

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

(t) “SRFP” means the Standard Request for Proposals, which
must be used by the Client as the basis for the preparation
of the RFP.

(u) “Services” means the work to be performed by the
2. Introduction Section 2. Instructions to Consultants

3. Conflict of Consultant pursuant to the Contract.
Interest
(v) “Sub-consultant” means an entity to whom the Consultant
intends to subcontract any part of the Services while
remaining responsible to the Client during the
performance of the Contract.

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

2.1 The Client named in the Data Sheet intends to select a
Consultant from those listed in the Letter of Invitation, in
accordance with the method of selection specified in the Data
Sheet.

2.2 The shortlisted Consultants are invited to submit a
Technical Proposal and a Financial Proposal, or a Technical
Proposal only, as specified in the Data Sheet, for consulting
services required for the assignment named in the Data Sheet.
The Proposal will be the basis for negotiating and ultimately
signing the Contract with the selected Consultant.

2.3 The Consultants should familiarize themselves with the
local conditions and take them into account in preparing their
Proposals; including attending a pre-proposal conference if one is
specified in the Data Sheet. Attending any such pre-proposal
conference is optional and is at the Consultants’ expense.

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

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

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

3.2.1 Without limitation on the generality of the

5|Page
Section 2. Instructions to Consultants

a. Conflicting foregoing, the Consultant shall not be hired under the
activities circumstances set forth below:

b. Conflicting (i) Conflict between consulting activities and procurement
assignments of goods, works or non-consulting services a firm that
c. Conflicting has been engaged by the Client to provide goods, works,
relationships or non-consulting services for a project, or any of its
Affiliates, shall be disqualified from providing
4. Unfair consulting services resulting from or directly related to
Competitive those goods, works, or non-consulting services.
Advantage Conversely, a firm hired to provide consulting services
for the preparation or implementation of a project, or
5. Corrupt and any of its Affiliates, shall be disqualified from
subsequently providing goods or works or non-
consulting services resulting from or directly related to
the consulting services for such preparation or
implementation.

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

(iii) Relationship with the Client’s staff: a Consultant
(including its Experts and Sub-consultants) that has a
close business or family relationship with a professional
staff of the Borrower (or of the Client, or of
implementing agency, or of a recipient of a part of the
Bank’s financing)who are directly or indirectly involved
in any part of (i) the preparation of the Terms of
Reference for the assignment, (ii) the selection process
for the Contract, or (iii) the supervision of the Contract,
may not be awarded a Contract, unless the conflict
stemming from this relationship has been resolved in a
manner acceptable to the Bank throughout the selection
process and the execution of the Contract.

4.1 Fairness and transparency in the selection process require
that the Consultants or their Affiliates competing for a specific
assignment do not derive a competitive advantage from having
provided consulting services related to the assignment in question.
To that end, the Client shall indicate in the Data Sheet and make
available to all shortlisted Consultants together with this RFP all
information that would in that respect give such Consultant any
unfair competitive advantage over competing Consultants.

5.1 The Bank requires compliance with its policy in regard to
Section 2. Instructions to Consultants

Fraudulent corrupt and fraudulent practices as set forth in Section 6.
Practices
6. Eligibility 5.2 In further pursuance of this policy, consultant shall permit and
shall cause its agents, Experts, Sub-consultants, sub-contractors,
a. Sanctions services providers, or suppliers to permit the Bank to inspect all
b. Prohibitions accounts, records, and other documents relating to the submission
of the Proposal and contract performance (in case of an award),
and to have them audited by auditors appointed by the Bank.

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

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

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

6.3.1 A firm or an individual sanctioned by the Bank in
accordance with the above Clause 5.1 or in accordance with
“Anti-Corruption Guidelines” shall be ineligible to be
awarded a Bank-financed contract, or to benefit from a
Bank-financed contract, financially or otherwise, during
such period of time as the Bank shall determine. The list of
debarred firms and individuals is available at the electronic
address specified in the Data Sheet.

6.3.2 Firms and individuals of a country or goods
manufactured in a country may be ineligible if so indicated
in Section 5 (Eligible Countries) and:

(a) as a matter of law or official regulations, the
Borrower’s country prohibits commercial relations with
that country, provided that the Bank is satisfied that
such exclusion does not preclude effective competition
for the provision of Services required; or

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

7|Page
Section 2. Instructions to Consultants

c. Restrictions for 6.3.3Government-owned enterprises or institutions in the
Government- Borrower’s country shall be eligible only if they can
owned establish that they (i) are legally and financially
Enterprises autonomous, (ii) operate under commercial law, and (iii)
that they are not dependent agencies of the Client
d. Restrictions for
public employees To establish eligibility, the government-owned enterprise or
institution should provide all relevant documents (including
its charter) sufficient to demonstrate that it is a legal entity
separate from the government; it does not currently receive
any substantial subsidies or budget support; it is not
obligated to pass on its surplus to the government; it can
acquire rights and liabilities, borrow funds, and can be liable
for repayment of debts and be declared bankrupt; and it is
not competing for a contract to be awarded by the
government department or agency which, under the
applicable laws or regulations, is its reporting or supervisory
authority or has the ability to exercise influence or control
over it.

6.3.4 Government officials and civil servants of the
Borrower’s country are not eligible to be included as
Experts in the Consultant’s Proposal unless such
engagement does not conflict with any employment or other
laws, regulations, or policies of the Borrower’s country, and
they

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

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

(in case of resignation or retirement, for a period of
at least 6 (six) months, or the period established by
statutory provisions applying to civil servants or
government employees in the Borrower’s country,
whichever is longer. Experts who are employed by
the government-owned universities, educational or
research institutions are not eligible unless they
have been full time employees of their institutions
for a year or more prior to being included in
Consultant’s Proposal.; and

(iii) their hiring would not create a conflict of interest.
Section 2. Instructions to Consultants

B. Preparation of Proposals

1. General 1.1 In preparing the Proposal, the Consultant is expected to
Considerations examine the RFP in detail. Material deficiencies in providing the
information requested in the RFP may result in rejection of the
Proposal.

2. Cost of 2.1 The Consultant shall bear all costs associated with the
Preparation of preparation and submission of its Proposal, and the Client shall
Proposal not be responsible or liable for those costs, regardless of the
conduct or outcome of the selection process. The Client is not
bound to accept any proposal, and reserves the right to annul the
selection process at any time prior to Contract award, without
thereby incurring any liability to the Consultant.

3. Language 3.1 The Proposal, as well as all correspondence and documents
relating to the Proposal exchanged between the Consultant and the
Client, shall be written in the language(s) specified in the Data
Sheet.

4. Documents 4.1 The Proposal shall comprise the documents and forms
Comprising the listed in the Data Sheet.
Proposal
4.2 If specified in the Data Sheet, the Consultant shall include
a statement of an undertaking of the Consultant to observe, in
competing for and executing a contract, the Client country’s laws
against fraud and corruption (including bribery).

4.3 The Consultant shall furnish information on commissions,
gratuities, and fees, if any, paid or to be paid to agents or any other
party relating to this Proposal and, if awarded, Contract execution,
as requested in the Financial Proposal submission form (Section
4).

5. Only One 5.1 The Consultant (including the individual members of any
Proposal Joint Venture) shall submit only one Proposal, either in its own
name or as part of a Joint Venture in another Proposal. If a
Consultant, including any Joint Venture member, submits or
participates in more than one proposal, all such proposals shall be
disqualified and rejected. This does not, however, preclude a Sub-
consultant, or the Consultant’s staff from participating as Key
Experts and Non-Key Experts in more than one Proposal when
circumstances justify and if stated in the Data Sheet.

6. Proposal Validity 6.1 The Data Sheet indicates the period during which the
Consultant’s Proposal must remain valid after the Proposal
submission deadline.

9|Page
Section 2. Instructions to Consultants

6.2 During this period, the Consultant shall maintain its
original Proposal without any change, including the availability of
the Key Experts, the proposed rates and the total price.

6.3 If it is established that any Key Expert nominated in the
Consultant’s Proposal was not available at the time of Proposal
submission or was included in the Proposal without his/her
confirmation, such Proposal shall be disqualified and rejected for
further evaluation, and may be subject to sanctions in accordance
with Clause 5 of this ITC.

a. Extension of 6.4 The Client will make its best effort to complete the
Validity Period negotiations within the proposal’s validity period. However,
should the need arise, the Client may request, in writing, all
Consultants who submitted Proposals prior to the submission
deadline to extend the Proposals’ validity.

6.5 If the Consultant agrees to extend the validity of its
Proposal, it shall be done without any change in the original
Proposal and with the confirmation of the availability of the Key
Experts.

6.6 The Consultant has the right to refuse to extend the validity
of its Proposal in which case such Proposal will not be further
evaluated.

b. Substitution of 6.7 If any of the Key Experts become unavailable for the
Key Experts at extended validity period, the Consultant shall provide a written
Validity adequate justification and evidence satisfactory to the Client
Extension together with the substitution request. In such case, a replacement
Key Expert shall have equal or better qualifications and
experience than those of the originally proposed Key Expert. The
technical evaluation score, however, will remain to be based on
the evaluation of the CV of the original Key Expert.

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

c. Sub- 6.9 The Consultant shall not subcontract the whole of the
Contracting Services.

7. Clarification and 7.1 The Consultant may request a clarification of any part of
Amendment of the RFP during the period indicated in the Data Sheet before the
RFP Proposals’ submission deadline. Any request for clarification must
be sent in writing, or by standard electronic means, to the Client’s
address indicated in the Data Sheet. The Client will respond in
Section 2. Instructions to Consultants

8. Preparation of writing, or by standard electronic means, and will send written
Proposals – copies of the response (including an explanation of the query but
Specific without identifying its source) to all shortlisted Consultants.
Considerations Should the Client deem it necessary to amend the RFP as a result
of a clarification, it shall do so following the procedure described
below:

7.1.1 At any time before the proposal submission
deadline, the Client may amend the RFP by issuing an
amendment in writing or by standard electronic means. The
amendment shall be sent to all shortlisted Consultants and
will be binding on them. The shortlisted Consultants shall
acknowledge receipt of all amendments in writing.

7.1.2 If the amendment is substantial, the Client may
extend the proposal submission deadline to give the
shortlisted Consultants reasonable time to take an
amendment into account in their Proposals.

7.2 The Consultant may submit a modified Proposal or a
modification to any part of it at any time prior to the proposal
submission deadline. No modifications to the Technical or
Financial Proposal shall be accepted after the deadline.

8.1 While preparing the Proposal, the Consultant must give
particular attention to the following:

8.1.1 If a shortlisted Consultant considers that it may
enhance its expertise for the assignment by associating with
other consultants in the form of a Joint Venture or as Sub-
consultants, it may do so with either (a) non-shortlisted
Consultant(s), or (b) shortlisted Consultants if permitted in
the Data Sheet. In all such cases a shortlisted Consultant
must obtain the written approval of the Client prior to the
submission 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 lead
member. If shortlisted Consultants associate with each other,
any of them can be a lead member.

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

8.1.3 If stated in the Data Sheet, the Consultant shall

11 | P a g e
Section 2. Instructions to Consultants

include in its Proposal at least the same time input (in the
same unit as indicated in the Data Sheet) of Key Experts,
failing which the Financial Proposal will be adjusted for the
purpose of comparison of proposals and decision for award
in accordance with the procedure in the Data Sheet.

8.1.4 For assignments under the Fixed-Budget selection
method, the estimated Key Experts’ time input is not
disclosed. Total available budget, with an indication whether
it is inclusive or exclusive of taxes, is given in the Data
Sheet, and the Financial Proposal shall not exceed this
budget.

9. Technical 9.1 The Technical Proposal shall not include any financial
Proposal Format information. A Technical Proposal containing material financial
and Content information shall be declared non-responsive.

15.1.1 Consultant shall not propose alternative Key
Experts. Only one CV shall be submitted for each Key
Expert position. Failure to comply with this requirement
will make the Proposal non-responsive.

9.2 Depending on the nature of the assignment, the Consultant
is required to submit a Full Technical Proposal (FTP), or a
Simplified Technical Proposal (STP) as indicated in the Data
Sheet and using the Standard Forms provided in Section 3 of the
RFP.

10. Financial 10.1 The Financial Proposal shall be prepared using the
Proposal Standard Forms provided in Section 4 of the RFP. It shall list all
costs associated with the assignment, including (a) remuneration
for Key Experts and Non-Key Experts, (b) reimbursable expenses
indicated in the Data Sheet.

a. Price 10.2 For assignments with a duration exceeding 18 months, a
Adjustment price adjustment provision for foreign and/or local inflation for
remuneration rates applies if so stated in the Data Sheet.

b. Taxes 10.3 The Consultant and its Sub-consultants and Experts are
responsible for meeting all tax liabilities arising out of the
Contract unless stated otherwise in the Data Sheet. Information
on taxes in the Client’s country is provided in the Data Sheet.

c. Currency of 10.4 The Consultant may express the price for its Services in
Proposal the currency or currencies as stated in the Data Sheet. If indicated
in the Data Sheet, the portion of the price representing local cost
shall be stated in the national currency.

d. Currency of 10.5 Payment under the Contract shall be made in the currency
Section 2. Instructions to Consultants

Payment or currencies in which the payment is requested in the Proposal.

C. Submission, Opening and Evaluation

11. Submission, Sealing, 17.1 The Consultant shall submit a signed and complete
and Marking of Proposal comprising the documents and forms in accordance
Proposals with Clause 10 (Documents Comprising Proposal). The
submission can be done by mail or by hand. If specified in the
Data Sheet, the Consultant has the option of submitting its
Proposals electronically.

17.2 An authorized representative of the Consultant shall
sign the original submission letters in the required format for
both the Technical Proposal and, if applicable, the Financial
Proposal and shall initial all pages of both. The authorization
shall be in the form of a written power of attorney attached to
the Technical Proposal.

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

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

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

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

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

13 | P a g e
Section 2. Instructions to Consultants

NOT OPEN WITH THE TECHNICAL PROPOSAL.”

17.7 The sealed envelopes containing the Technical and
Financial Proposals shall be placed into one outer envelope and
sealed. 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 the
submission deadline indicated in the Data Sheet]”.

17.8 If the envelopes and packages with the Proposal are not
sealed and marked as required, the Client will assume no
responsibility for the misplacement, loss, or premature opening
of the Proposal.

17.9 The Proposal or its modifications must be sent to the
address indicated in the Data Sheet and received by the Client
no later than the deadline indicated in the Data Sheet, or any
extension to this deadline. Any Proposal or its modification
received by the Client after the deadline shall be declared late
and rejected, and promptly returned unopened.

12. Confidentiality 18.1 From the time the Proposals are opened to the time the
Contract is awarded, the Consultant should not contact the
Client on any matter related to its Technical and/or Financial
Proposal. Information relating to the evaluation of Proposals
and award recommendations shall not be disclosed to the
Consultants who submitted the Proposals or to any other party
not officially concerned with the process, until the publication
of the Contract award information.

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

18.3 Notwithstanding the above provisions, from the time of
the Proposals’ opening to the time of Contract award
publication, if a Consultant wishes to contact the Client or the
Bank on any matter related to the selection process, it should do
so only in writing.

13. Opening of 19.1 The Client’s evaluation committee shall conduct the
Technical Proposals opening of the Technical Proposals in the presence of the
shortlisted Consultants’ authorized representatives who choose
to attend (in person, or online if this option is offered in the
Data Sheet). The opening date, time and the address are stated
Section 2. Instructions to Consultants

in the Data Sheet. The envelopes with the Financial Proposal
shall remain sealed and shall be securely stored with a reputable
public auditor or independent authority until they are opened in
accordance with Clause 23 of the ITC.

19.2 At the opening of the Technical Proposals the following
shall be read out: (i) the name and the country of the Consultant
or, in case of a Joint Venture, the name of the Joint Venture, the
name of the lead member and the names and the countries of all
members; (ii) the presence or absence of a duly sealed envelope
with the Financial Proposal; (iii) any modifications to the
Proposal submitted prior to proposal submission deadline; and
(iv) any other information deemed appropriate or as indicated
in the Data Sheet.

14. Proposals 20.1 Subject to provision of Clause 15.1 of the ITC, the
Evaluation evaluators of the Technical Proposals shall have no access to
the Financial Proposals until the technical evaluation is
concluded and the Bank issues its “no objection”, if applicable.

20.2 The Consultant is not permitted to alter or modify its
Proposal in any way after the proposal submission dead line
except as permitted under Clause 12.7 of this ITC. While
evaluating the Proposals, the Client will conduct the evaluation
solely on the basis of the submitted Technical and Financial
Proposals.

15. Evaluation of 21.1 The Client’s evaluation committee shall evaluate the
Technical Proposals Technical Proposals on the basis of their responsiveness to the
Terms of Reference and the RFP, applying the evaluation
criteria, sub-criteria, and point system specified in the Data
Sheet. Each responsive Proposal will be given a technical
score. A Proposal shall be rejected at this stage if it does not
respond to important aspects of the RFP or if it fails to achieve
the minimum technical score indicated in the Data Sheet.

16. Financial Proposals 22.1 Following the ranking of the Technical Proposals, when
for QBS the selection is based on quality only (QBS), the top-ranked
Consultant is invited to negotiate the Contract.

22.2 If Financial Proposals were invited together with the
Technical Proposals, only the Financial Proposal of the
technically top-ranked Consultant is opened by the Client’s
evaluation committee. All other Financial Proposals are
returned unopened after the Contract negotiations are
successfully concluded and the Contract is signed.

17. Public Opening of 23.1 After the technical evaluation is completed and the

15 | P a g e
Section 2. Instructions to Consultants

Financial Proposals Bank has issued its no objection (if applicable), the Client shall
(for QCBS, FBS, notify those Consultants whose Proposals were considered non-
and LCS methods) responsive to the RFP and TOR or did not meet the minimum
qualifying technical score (and shall provide information
relating to the Consultant’s overall technical score, as well as
scores obtained for each criterion and sub-criterion) that their
Financial Proposals will be returned unopened after completing
the selection process and Contract signing. The Client shall
simultaneously notify in writing those Consultants that have
achieved the minimum overall technical score and inform them
of the date, time and location for the opening of the Financial
Proposals. The opening date should allow the Consultants
sufficient time to make arrangements for attending the opening.
The Consultant’s attendance at the opening of the Financial
Proposals (in person, or online if such option is indicated in the
Data Sheet)is optional and is at the Consultant’s choice.

23.2 The Financial Proposals shall be opened by the Client’s
evaluation committee in the presence of the representatives of
those Consultants whose proposals have passed the minimum
technical score. At the opening, the names of the Consultants,
and the overall technical scores, including the break-down by
criterion, shall be read aloud. The Financial Proposals will then
be inspected to confirm that they have remained sealed and
unopened. These Financial Proposals shall be then opened, and
the total prices read aloud and recorded. Copies of the record
shall be sent to all Consultants who submitted Proposals and to
the Bank.

18. Correction of Errors 24.1 Activities and items described in the Technical Proposal
but not priced in the Financial Proposal, shall be assumed to be
included in the prices of other activities or items, and no
corrections are made to the Financial Proposal.

a. Time-Based 24.1.1 If a Time-Based contract form is included in the
Contracts RFP, the Client’s evaluation committee will (a) correct
any computational or arithmetical errors, and (b) adjust
the prices if they fail to reflect all inputs included for the
respective activities or items in the Technical Proposal. In
case of discrepancy between (i) a partial amount (sub-
total) and the total amount, or (ii) between the amount
derived by multiplication of unit price with quantity and
the total price, or (iii) between words and figures, the
former will prevail. In case of discrepancy between the
Technical and Financial Proposals in indicating quantities
of input, the Technical Proposal prevails and the Client’s
evaluation committee shall correct the quantification
Section 2. Instructions to Consultants

indicated in the Financial Proposal so as to make it
consistent with that indicated in the Technical Proposal,
apply the relevant unit price included in the Financial
Proposal to the corrected quantity, and correct the total
Proposal cost.

b. Lump-Sum 24.2 If a Lump-Sum contract form is included in the RFP, the
Contracts Consultant is deemed to have included all prices in the
Financial Proposal, so neither arithmetical corrections nor price
adjustments shall be made. The total price, net of taxes
understood as per Clause ITC25 below, specified in the
Financial Proposal (Form FIN-1) shall be considered as the
offered price.

19. Taxes 25.1 The Client’s evaluation of the Consultant’s Financial
Proposal shall exclude taxes and duties in the Client’s country
in accordance with the instructions in the Data Sheet.

20. Conversion to Single 26.1 For the evaluation purposes, prices shall be converted to

Currency a single currency using the selling rates of exchange, source

and date indicated in the Data Sheet.

27. Combined Quality
and Cost Evaluation

a. Quality- and 27.1 In the case of QCBS, the total score is calculated by
Cost-Based weighting the technical and financial scores and adding them as
Selection (QCBS) per the formula and instructions in the Data Sheet. The
Consultant achieving the highest combined technical and
financial score will be invited for negotiations.

b. Fixed-Budget 27.2 In the case of FBS, those Proposals that exceed the
Selection(FBS) budget indicated in Clause14.1.4 of the Data Sheet shall be
rejected.

27.3 The Client will select the Consultant that submitted the
highest-ranked Technical Proposal that does not exceed the
budget indicated in the RFP, and invite such Consultant to
negotiate the Contract.

17 | P a g e
Section 2. Instructions to Consultants

c. Least-Cost 27.4 In the case of Least-Cost Selection (LCS), the Client
Selection will select the Consultant with the lowest evaluated total price
28. Negotiations among those consultants that achieved the minimum technical
score, and invite such Consultant to negotiate the Contract.
a. Availability of
Key Experts D. Negotiations and Award

b. Technical 28.1 The negotiations will be held at the date and address
negotiations indicated in the Data Sheet with the Consultant’s
representative(s) who must have written power of attorney to
c. Financial negotiate and sign a Contract on behalf of the Consultant.
negotiations
28.2 The Client shall prepare minutes of negotiations that are
signed by the Client and the Consultant’s authorized
representative.

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

28.4 Notwithstanding the above, the substitution of Key
Experts at the negotiations may be considered if due solely to
circumstances outside the reasonable control of and not
foreseeable by the Consultant, including but not limited to
death or medical incapacity. In such case, the Consultant shall
offer a substitute Key Expert within the period of time specified
in the letter of invitation to negotiate the Contract, who shall
have equivalent or better qualifications and experience than the
original candidate.

28.5 The negotiations include discussions of the Terms of
Reference (TORs), the proposed methodology, the Client’s
inputs, the special conditions of the Contract, and finalizing the
“Description of Services” part of the Contract. These
discussions shall not substantially alter the original scope of
services under the TOR or the terms of the contract, lest the
quality of the final product, its price, or the relevance of the
initial evaluation be affected.

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

28.7 If the selection method included cost as a factor in the
Section 2. Instructions to Consultants

29. Conclusion of evaluation, the total price stated in the Financial Proposal for a
Negotiations Lump-Sum contract shall not be negotiated.

30. Award of Contract 28.8 In the case of a Time-Based contract, unit rates
negotiations shall not take place, except when the offered Key
Experts and Non-Key Experts’ remuneration rates are much
higher than the typically charged rates by consultants in similar
contracts. In such case, the Client may ask for clarifications
and, if the fees are very high, ask to change the rates after
consultation with the Bank.

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

29.1 Thenegotiations are concluded with a review of the
finalized draft Contract, which then shall be initialed by the
Client and the Consultant’s authorized representative.

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

30.1 After completing the negotiations the Client shall obtain
the Bank’s no objection to the negotiated draft Contract, if
applicable; sign the Contract; publish the award information as
per the instructions in the Data Sheet; and promptly notify the
other shortlisted Consultants.

30.2 The Consultant is expected to commence the
assignment on the date and at the location specified in the Data
Sheet.

19 | P a g e
Section 2. Instructions to Consultants

Instructions to Consultants

E. Data Sheet

[“Notes to Client” shown in brackets throughout the text are provided for guidance to
prepare the Data Sheet; they should be deleted from the final RFP to be sent to the shortlisted
Consultants]

A.General

ITC Clause
Reference

1 (c) INDIA

2.1 Name of the Client:

Project Director,

Uttar Pradesh Health Systems Strengthening Project,

Sector-C, Indira Nagar

Lucknow

Method of selection: Consultant Qualification based Selection (CQS)
as per Applicable Guidelines: Selection and Employment of Consultants under

IBRD Loans and IDA Credits &Grants by World Bank Borrowers, dated
January 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: Internal Audit Services for PSU & 52 Hospitals

2.3 A pre-proposal conference will be held: No

[If “Yes”, fill in the following:]

Date of pre-proposal conference:____________________________

Time: _________________________________________________

Address:

Telephone: Facsimile:

E-mail:

Contact person/conference coordinator:[insert name and

title]_____________________________

2.4 The Client will provide the following inputs, project data, reports, etc. to facilitate
4.1 Section 2. Instructions to Consultants
6.3.1
9.1 the preparation of the Proposals:

 Terms of Reference

 Any other information related with the hospitals, if needed

[If “Unfair Competitive Advantage” applies to the selection, explain how it is
mitigated, including listing the reports, information, documents, etc. and
indicating the sources where these can be downloaded or obtained by the

shortlisted Consultants] Not applicable

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

B. Preparation of Proposals

This RFP has been issued in the__English_ language.

[The choice of languages is: English, French, or Spanish. If the shortlist
comprises national firms only, the national or nationwide used language can be
used subject to prior agreement with the Bank.]

[If the RFP is issued in two languages as agreed with the Bank, add the
following text:

In addition, the RFP is translated into the_____________________[insert
national or nation-wide used]language[if there are more than one national
language, add “and in the ____________”[insert the second national language].
Consultant has a choice of submitting the Proposal in any of the languages stated
above. In case of winning, the Contract will be signed in the language of the
Proposal which shall be the governing language of the Contract.]

[If the Client’s country requires that contracts with local firms are signed in the
national language only, add the following text:

National Consultants should submit Proposal in English [national] language in
order to have the Contract signed (if awarded) in accordance with the
requirements of [include reference to the national legislation/regulation/law]

[If RFP is issued in one language only use the following text:

Proposals shall be submitted in English

All correspondence exchange shall be in English or Hindi language.

21 | P a g e
Section 2. Instructions to Consultants

10.1 The Proposal shall comprise the following:

10.2 For FULL TECHNICAL PROPOSAL (FTP):
11.1
12.1 1st Inner Envelope with the Technical Proposal:
13.1
14.1.1 (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

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

Statement of Undertaking is required : Yes

[If Yes, make sure to include paragraph (e) in Form TECH-1]

Participation of Sub-consultants, Key Experts and Non-Key Experts in more

than one Proposal is permissible: Yes

90 Proposals must remain valid for calendar days after the proposal

submission deadline (i.e., until: 08-10-2019)

Clarifications may be requested no later than 7 days prior to the submission

deadline.

Additional Project Director
Uttar Pradesh Health Systems Strengthening Project, Training Block-2, SIHFW
Campus, C-Block, Indira Nagar, Lucknow, Uttar Pradesh , India -226016,
Facsimile: +91-522-2340538
E-mail: apd.uphssp@gmail.com, pd.uphssp@gmail.com

Shortlisted Consultants may associate with
Section 2. Instructions to Consultants

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

Or

(b) other shortlisted Consultants: No

14.1.2 [If not used, state “Not applicable”. If used, insert the following:
(do not use
for Fixed Estimated input of Key Experts’ time-input: 60 (Sixty) man-days of Key
Budget Experts persons in 18 months contract period.
method)

14.1.3 “Not applicable”
for time-
based The Consultant’s Proposal must include the minimum Key Experts’ time-
contracts input of __________ person-months.
only
For the evaluation and comparison of Proposals only: if a Proposal includes
less than the required minimum time-input, the missing time-input
(expressed in person-month) is calculated as follows:

The missing time-input is multiplied by the highest remuneration rate for a
Key Expert in the Consultant’s Proposal and added to the total
remuneration amount. Proposals that quoted higher than the required
minimum of time-input will not be adjusted. ]

14.1.4 and Not Applicable
27.2
use for Fixed The total available budget for this Fixed-Budget assignment is: ___________
Budget (inclusive or exclusive of taxes). Proposals exceeding the total available
method budget will be rejected.

[If inclusive, indicate tax estimates separately]

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 the
Proposal being deemed non-responsive to the RFP requirements.

16.1 [A sample list is provided below for guidance. Items that are not applicable

should be deleted, others may be added. If the Client wants to set up maximum

ceilings for unit rates of certain type of expenses, such ceilings should be

indicated in the FIN forms:

(1) a per diem allowance, including hotel, for experts for every day of absence
from the home office for the purposes of the Services;

23 | P a g e

Section 2. Instructions to Consultants

(2) cost of travel by the most appropriate means of transport and the most direct
practicable route;

(3) cost of office accommodation, including overheads and back-stop support;

(4) communications costs;

(5) cost of purchase or rent or freight of any equipment required to be provided
by the Consultants;

(6) cost of reports production (including printing) and delivering to the Client;

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

(8) [insert relevant type of expenses, if/as applicable]

16.2 A price adjustment provision applies to remuneration rates: No

Applies to all Time-Based contracts with a duration exceeding 18 months. In
exceptional circumstances, can also apply to Lump-Sum contracts assignments
longer than 18 months in duration with prior agreement with the Bank.]

[If “Yes”, specify whether it applies to foreign and/or local inflation]

16.3 [If the Client has obtained a tax exemption applicable to the Contract, insert

“The Client has obtained an exemption for the Consultant from payment of

___________[insert the tax description. E.g., VAT, or local indirect taxes, etc.]

in the Client’s country as per [insert reference to the applicable official source

that issued an exemption].

[If there is no tax exemption in the Client’s country, insert the following:
“Information on the Consultant’s tax obligations in the Client’s country can
be found [insert reference to the appropriate official source].“

Not Applicable

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

Consultant may express the price for their Services in any fully convertible
currency, singly or in combination of up to three foreign currencies.

The Financial Proposal should state local costs in the Client’s country

currency (local currency): Only In Indian Rupees
Section 2. Instructions to Consultants

17.1 C. Submission, Opening and Evaluation

17.4 The Consultants [insert “shall” or “shall not have the option of submitting

17.7 and their Proposals electronically. No
17.9
The Consultant must submit:
(a) Technical Proposal: one (1) original and one additional copy in paper form;
(b) Financial Proposal: one (1) original in paper for in separate cover/envelop.

The Proposals must be submitted no later than:

Date: 8TH July, 2019 up to 4 PM

[If appropriate, add translation of the warning marking [“Do not open....”] in
the national language to the outer sealed envelope]

The Proposal submission address is:

Project Director
Uttar Pradesh Health Systems Strengthening Project, Training Block-2, SIHFW
Campus, C-Block, Indira Nagar, Lucknow, Uttar Pradesh , India -226016,
Facsimile: +91-522-2340538
E-mail: apd.uphssp@gmail.com, pd.uphssp@gmail.com

19.1 An online option of the opening of the Technical Proposals is offered: ------

----No-------------

[If yes, insert “The online opening procedure shall be: [describe the procedure
for online opening of Technical Proposals.]

The opening shall take place at:
[Insert: “same as the Proposal submission address” OR insert and fill in the
following:
Street Address:_______________
Floor, room number___________
City:_______________________
Country:____________________

Date: Same as the submission deadline indicated in 17.7.

:[insert time in 24h format, for example – “16:00 local time]
[The time should be immediately after the time for the submission deadline stated
in 17.7]

25 | P a g e
Section 2. Instructions to Consultants

19.2 In addition, the following information will be read aloud at the opening of

21.1 the Technical Proposals “Not Applicable”
(for FTP)
________ [insert “N/A” or state what additional information will be read out
and recorded in the opening minutes]

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

Points

(i) Specific experience of the Consultant (as a firm) relevant to the

Assignment: [10]

(ii) Adequacy and quality of the proposed methodology, and work plan in
responding to the Terms of Reference (TORs): [30]

{Notes to Consultant: the Client will assess whether the proposed
methodology is clear, responds to the TORs, work plan is realistic and
implementable; overall team composition is balanced and has an
appropriate skills mix; and the work plan has right input of Experts}

(iii) Key Experts’ qualifications and competence for the Assignment:
{Notes to Consultant: each position number corresponds to the same for the Key
Experts in Form TECH-6 to be prepared by the Consultant}

a) Position K-1, [Partner ]-1 No [20]
b) Position K-2, [Team Lead-1, PSU]-1 No [15]
c) Position K-3, [Team Lead-2, Hospitals]-1 No [15]

Total points for criterion (iii): [50]

The number of points to be assigned to each of the above positions shall be
determined considering the following three sub-criteria and relevant percentage
weights:

1) General qualifications(general education, training, and experience): 20%

2) Adequacy for the Assignment (relevant education, training, experience in the
sector/similar assignments ): 60%

3) [If relevant to the task, add the 3d sub-criterion:

Relevant experience in the region (working level fluency in local

language(s)/knowledge of local culture or administrative system, government

organization, etc.): 20%

Total weight: 100%
Section 2. Instructions to Consultants

(iv) Transfer of knowledge (training) program (relevance of approach and

methodology): [normally, not to exceed 10 points]

Total points for criterion (iv): [10]

(v) Participation by nationals among proposed Key Experts [0]

[not to exceed 10 points] [Sub-criteria shall not be provided. Calculated as

a ratio of the national Key Experts’ time-input (in person-months) to the

total number of Key Experts’ time-input (in person-months) in the

Consultant’s Technical Proposal]

Total points for the five criteria: 100

The minimum technical score (St) required to pass is:[insert number]

Not Applicable

[The indicative range is 70 to 85 on a scale of 1 to 100]

21.1 Criteria, sub-criteria, and point system for the evaluation of the Simplified
[for STP]
Technical Proposals are: Not Applicable

Points

(i) Adequacy and quality of the proposed methodology, and work plan in
responding to the Terms of Reference:

Total points for criterion (i): [20 - 40]

(ii) Key Experts’ qualifications and competence for the Assignment:
{Notes to Consultant: each position number corresponds to the same for Key

Experts in Form TECH-6 to be prepared by the Consultant}

a) Position K-1: [Team Leader] [Insert points]
b) Position K-2: [Insert position title] [Insert points]
c) Position K-3:[Insert position title] [Insert points]

Total points for criterion (ii): [ 60-80]

Total points for the two criteria:100

The minimum technical score (St) required to pass is: [insert number]
[The indicative range is 70 to 85 on a scale of 1 to 100]

27 | P a g e
Section 2. Instructions to Consultants

23.1 An online option of the opening of the Financial Proposals is offered: NO
25.1
[If yes, insert “The online opening procedure shall be: [describe the procedure
26.1 for online opening of Financial Proposals.]

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

Not Applicable

The single currency for the conversion of all prices expressed in various
currencies into a single one is:[indicate local currency or fully convertible
foreign currency]

The official source of the selling (exchange) rate is:

The date of the exchange rate is:
[The date shall not be earlier than four (4) weeks prior to the deadline for
submission of proposals and no later than the date of the original validity of
Proposals.]

Not Applicable

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

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

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

[or replace with another inversely proportional formula acceptable to the Bank]

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

T = [Insert weight], and
Section 2. Instructions to Consultants

P = _______[Insert weight]

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

D. Negotiations and Award

28.1 Expected date and address for contract negotiations:

Date: 31-07-2019

Address: Uttar Pradesh Health Systems Strengthening Project, Training Block-2,
SIHFW Campus, C-Block, Indira Nagar, Lucknow, Uttar Pradesh , India -
226016,

30.1 The publication of the contract award information following the completion

of the contract negotiations and contract signing will be done as following:

uphssp.org

________________[insert the website(s) address where the information will be

published.]

The publication will be done within 15 days after the contract signing.

30.2 Expected date for the commencement of the Services:

Date: 15th August., 2019

at: PSU & Hospital Locations as per TOR

29 | P a g e
Section 3. Technical Proposal – Standard Forms

{Notes to Consultant shown in brackets { } throughout Section 3 provide guidance to the
Consultant to prepare the Technical Proposal; they should not appear on the Proposals to be
submitted.}

CHECKLIST OF REQUIRED FORMS

Required for FORM DESCRIPTION Page Limit

FTP or STP

(√)

FTP STP

√ √ TECH-1 Technical Proposal Submission Form.
TECH-1
“√ “ If Attachment If the Proposal is submitted by a joint venture,
Power of attach a letter of intent or a copy of an existing
applicable Attorney agreement.
No pre-set format/form. In the case of a Joint
“√” If TECH-2 Venture, several are required: a power of attorney
applicable for the authorized representative of each JV
member, and a power of attorney for the
√ representative of the lead member to represent
all JV members
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 of

Reference and on Counterpart Staff and Facilities

to be 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)

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

31 | P a g e
Section 3. Technical Proposal – Standard Forms

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 of
assignment] in accordance with your Request for Proposals dated [Insert Date] and our
Proposal. [Select appropriate wording depending on the selection method stated in the RFP:
“We are hereby submitting our Proposal, which includes this Technical Proposal and a
FinancialProposal sealed ina separate envelope” or, if only a Technical Proposal is invited
“We hereby are submitting our Proposal, which includes this Technical Proposal only in a
sealed envelope.”].

{If the Consultant is a joint venture, insert the following: We are submitting our
Proposal a joint venture with: {Insert a list with full name and the legal address of each
member, and indicate the lead member}.We have attached a copy {insert: “of our letter of
intent to form a joint venture” or, if a JV is already formed, “of the JV agreement”} signed by
every participating member, which details the likely legal structure of and the confirmation of
joint 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 submitting
our Proposal with the following firms as Sub-consultants: {Insert a list with full name and
address of each Sub-consultant.}

We hereby declare that:

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

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

(c) We have no conflict of interest in accordance with ITC 3.
Section 3. Technical Proposal – Standard Forms

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

(e) We, along with any of our sub-consultants, subcontractors, suppliers, or service
providers for any part of the contract, are not subject to, and not controlled by
any entity or individual that is subject to, a temporary suspension or a
debarment imposed by a member of the World Bank Group or a debarment
imposed by the World Bank Group in accordance with the Agreement for
Mutual Enforcement of Debarment Decisions between the World Bank and
other development banks. Further, we are not ineligible under the Employer’s
country laws or official regulations or pursuant to a decision of the United
Nations Security Council;

(f) [Note to Client: Only if required in ITC10.2 (Data Sheet 10.2), include the
following: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,
including bribery, in force in the country of the Client.]

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

(h) Our Proposal is binding upon us and subject to any modifications resulting
from the Contract negotiations.

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

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

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):

33 | P a g e
Section 3. Technical Proposal – Standard Forms

{For a joint venture, either all members shall sign or only the lead member, in which
case the power of attorney to sign on behalf of all members shall be attached}
Section 3. Technical Proposal – Standard Forms

21.

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 the
recentexperience of the Consultant that is most relevant to the assignment. In the case of a
joint venture, information on similar assignments shall be provided for each partner. For each
assignment, 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, if
it was done in a form of a joint venture or a sub-consultancy, the amount paid to the
Consultant), 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 ajoint 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 5 years.
2. List only those assignments for which the Consultant was legally contracted by the Client
as a company or was one of the joint venture partners. Assignments completed by the
Consultant’s individual experts working privately or through other consulting firms cannot be
claimed as the relevant experience of the Consultant, or that of the Consultant’s partners or
sub-consultants, but can be claimed by the Experts themselves in their CVs. The Consultant
should be prepared to substantiate the claimed experience by presenting copies of relevant
documents and references if so requested by the Client.

35 | P a g e
Section 3. Technical Proposal – Standard Forms

Duration Assignment name/& brief Name of Client Approx. Role on the
description of main & Country of Contract value Assignment
deliverables/outputs Assignment
(in US$
equivalent)/
Amount paid to
your firm
Section 3. Technical Proposal – Standard Forms

FORM TECH-3 (FOR FULL TECHNICAL PROPOSAL)
COMMENTS AND SUGGESTIONS ON THE TERMS OF REFERENCE, COUNTERPART

STAFF, AND FACILITIES TO BE PROVIDED BY THE CLIENT

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

A - On the Terms of Reference

{Improvements to the Terms of Reference, if any}

B - On Counterpart Staff and Facilities

{comments on counterpart staff and facilities to be provided by the Client. For example,
administrative support, office space, local transportation, equipment, data, background
reports, etc., if any}

37 | P a g e
Section 3. Technical Proposal – Standard Forms

FORM TECH-4 (FOR FULL TECHNICAL PROPOSAL ONLY)

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

Form TECH-4: a description of the approach, methodology and work plan for performing the
assignment, including a detailed description of the proposed methodology and staffing for
training, 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 Methodology
b) Work Plan
c) Organization and Staffing}

a) Technical Approach and Methodology.{Please explain your understanding of the
objectives of the assignment as outlined in the Terms of Reference (TORs), the
technical approach, and the methodology you would adopt for implementing the tasks
to deliver the expected output(s), and the degree of detail of such output. Please do not
repeat/copy the TORs in here.}

b) Work Plan.{Please outline the plan for the implementation of the main activities/tasks
of the assignment, their content and duration, phasing and interrelations, milestones
(including interim approvals by the Client), and tentative delivery dates of the reports.
The proposed work plan should be consistent with the technical approach and
methodology, showing your understanding of the TOR and ability 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. The work plan should be
consistent with the Work Schedule Form.}

c) Organization and Staffing.{Please describe the structure and composition of your
team, including the list of the Key Experts, Non-Key Experts and relevant technical
and administrative support staff.}
Section 3. Technical Proposal – Standard Forms

FORM TECH-4 (FOR SIMPLIFIED TECHNICAL PROPOSAL ONLY)

NOT APPLICABLE

DESCRIPTION OF APPROACH, METHODOLOGY, AND WORK PLAN FOR
PERFORMING THE ASSIGNMENT

Form TECH-4: a description of the approach, methodology, and work plan for performing the
assignment, including a detailed description of the proposed methodology and staffing for
training, 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 in
the Terms of Reference (TOR), the technical approach,and the methodology you
would adopt for implementing the tasks to deliver the expected output(s); the degree
of 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 main
activities/tasks of the assignment, their content and duration, phasing and
interrelations, milestones (including interim approvals by the Client), and tentative
delivery dates of the reports. The proposed work plan should be consistent with the
technical approach and methodology, showing understanding of the TOR and ability
to translate them into a feasible working plan and work schedule showing the assigned
tasks for each expert. A list of the final documents (including reports) to be delivered
as final output(s) should be included here. The work plan should be consistent with the
Work 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 your
Proposal. Please also include comments, if any, on counterpart staff and facilities to be
provided by the Client. For example, administrative support, office space, local
transportation, equipment, data, background reports, etc.}

39 | P a g e
Section 3. Technical Proposal – Standard Forms

FORM TECH-5(FOR FTP)
WORK SCHEDULE AND PLANNING FOR DELIVERABLES

N° Deliverables 1 (D-..) Months

1 2 3 4 5 6 7 8 9 ..... n TOTAL

D-1 {e.g., Deliverable #1: Report A

1) data collection

2) drafting

3) inception report

4) incorporating comments

5) .........................................

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 phased
assignments, 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.
Section 3 – Technical Proposal – Standard Forms

FORM TECH-6(FOR FTP)
TEAM COMPOSITION, ASSIGNMENT, AND KEY EXPERTS’ INPUTS

N° Name Expert’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 [Team [Home] [2 month] [1.0] [1.0]
K-1 {e.g., Mr. Abbbb} Leader] [Field] [0.5 m] [2.5] [0]

K-2

K-3

n Subtotal

NON-KEY EXPERTS [Home]
N-1 [Field]
N-2

n
Subtotal
Total

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

41 | P a g e
Section 3. Technical Proposal – Standard Forms

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 country
outside the expert’s country of residence.

Full time input
Part time input
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 of
educational institutions, dates attended, degree(s)/diploma(s) obtained}
________________________________________________________________________
________________________________________________________________________

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

Period Employing organization and your Country Summary of activities
title/position. Contact infor for performed relevant to
[e.g., May references the Assignment
2005- [e.g., Ministry of ……,
present] advisor/consultant to…

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

Membership in Professional Associations and Publications:
______________________________________________________________________

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

43 | P a g e
Section 4 – Financial Proposal – Standard Forms

Adequacy for the Assignment:

Detailed Tasks Assigned on Consultant’s Reference to Prior Work/Assignments that
Team of Experts: Best Illustrates Capability to Handle the
Assigned Tasks
{List all deliverables/tasks as in TECH- 5
in 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 correctly
describes myself, my qualifications, and my experience, and I am available to undertake the
assignment in case of an award. I understand that any misstatement or misrepresentation
described herein may lead to my disqualification or dismissal by the Client, and/or sanctions
by the Bank.

Name of Expert Signature {day/month/year}
Date

Name of authorized Signature {day/month/year}
Representative of the Consultant Date
(the same who signs the Proposal)
Section 4 – Financial Proposal – Standard Forms

Section 4. Financial Proposal - Standard Forms

{Notes to Consultantshown in brackets { } provide guidance to the Consultant to prepare the
Financial 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 Proposal
according 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

45 | P a g e
Section 4 – Financial Proposal – Standard Forms
Section 4 – Financial Proposal – Standard Forms

FORM FIN-1
FINANCIAL 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 of
assignment] in accordance with your Request for Proposal dated [Insert Date] and our
Technical Proposal.

Our attached Financial Proposal is for the amount of {Indicate the corresponding to
the 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. The
estimated amount of local indirect taxes is {Insert currency} {Insert amount in words and
figures} which shall be confirmed or adjusted, if needed, during negotiations. {Please note
that all amounts shall be the same as in Form FIN-2}.

Our Financial Proposal shall be binding upon us subject to the modifications resulting
from Contract negotiations, up to expiration of the validity period of the Proposal, i.e. before
the 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 party
relating to preparation or submission of this Proposal and Contract execution, paid if we are
awarded the Contract, are listed below:

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

{If no payments are made or promised, add the following statement: “No commissions or
gratuities have been or are to be paid by us to agents or any third partyrelating to this
Proposal 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:

47 | P a g e
Section 4 – Financial Proposal – Standard Forms

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 be
attached}
Section 4 – Financial Proposal – Standard Forms

FORM FIN-2SUMMARY OF COSTS

Cost

{Consultant must state the proposed Costs in accordance with Clause 16.4 of the Data Sheet;
delete columns which are not used}

Item {Insert Foreign {Insert Foreign {Insert Foreign {Insert
Currency # 1} Currency # 2, if Currency # 3,if Local Currency, if
Cost of the Financial Proposal used} used}
Including: used and/or required (16.4
Data Sheet}

(1) Remuneration: For FY-2018-19 & 2019-20 (6 months)

(2) Reimbursable: For FY-2018-19 & 2019-20 (6 months)
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 sales tax}

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

(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).

49 | P a g e
Section 4 – Financial Proposal – Standard Forms

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 basis
for the calculation of the Contract’s ceiling amount;to calculate applicable taxes at contract negotiations; and, if needed, to establish
payments to the Consultant for possible additional services requested by the Client. This Form shall not be used as a basis for
payments under Lump-Sum contracts

A. Remuneration

No. Position (as Person-month Time Input in {Currency {Currency # {Currency# 3- {Local
in TECH-6) Remuneration Person/Month # 1- as in 2- as in FIN- as in FIN-2} Currency- as
Name 2}
Rate (from TECH-6) FIN-2} in FIN-2}

Key Experts

K-1 [Home]

[Field]

K-2

Non-Key Experts [Home]
N-1 [Field]
N-2

Total Costs
Section 4 – Financial Proposal – Standard Forms

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 from
headquarters or a home office. An attached Sample Form can be used to provide a
breakdown of rates.

1.2.If the RFP requests submission of a technical proposal only, the Sample Form is used by
the selected Consultant to prepare for the negotiations of the Contract. If the RFP
requests submission of the financial proposal, the Sample Form shall be completed and
attached to the Financial Form-3. Agreed (at the negotiations) breakdown sheets shall
form 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 statements
for the last three years, to substantiate its rates, and accept that its proposed rates and
other financial matters are subject to scrutiny. The Client is charged with the custody
of government funds and is expected to exercise prudence in the expenditure of these
funds.

1.4.Rate details are discussed below:

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

(ii) Bonuses are normally paid out of profits. To avoid double counting, any bonuses
shall not normally be included in the “Salary” and should be shown separately.
Where the Consultant’s accounting system is such that the percentages of social
costs and overheads are based on total revenue, including bonuses, those
percentages shall be adjusted downward accordingly. Where national policy
requires that 13 months’ pay be given for 12 months’ work, the profit element
need not be adjusted downward. Any discussions on bonuses shall be supported
by 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 cost
of a paid sick and/or annual leave. In this regard, a paid leave during public
holidays or an annual leave taken during an assignment if no Expert’s
replacement has been provided is not considered social charges.

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

51 | P a g e
Section 4 – Financial Proposal – Standard Forms

Leave cost as percentage of salary = total days leave x 100
[365 - w - ph - v - s]

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 not
charged for the leave taken.

(v) Overheadsare the Consultant’s business costs that are not directly related to
the execution of the assignment and shall not be reimbursed as separate items
under 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 of
Consultant’s personnel not currently employed on revenue-earning projects,
taxes on business activities, and business promotion costs. During
negotiations, audited financial statements, certified as correct by an
independent auditor and supporting the last three years’ overheads, shall be
available for discussion, together with detailed lists of items making up the
overheads and the percentage by which each relates to basic salary. The Client
does 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 the
monthly payments charged for sub-contracted Experts.

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

(vii) Away from Home Office Allowance or Premium or Subsistence
Allowances.Some Consultants pay allowances to Experts working away from
headquarters or outside of the home office. Such allowances are calculated as
a percentage of 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 social cost shall still be shown under social costs, with the net
allowance shown separately.

UNDP standard rates for the particular country may be used as reference to
determine subsistence allowances.
Section 4 – Financial Proposal – Standard Forms

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 records
and reflect the current rates of the Experts listed which have not been raised other than within
the 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 Consultant
has 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 the
firm’s average cost experiences for the latest three years as represented by the firm’s financial
statements; and

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

[Name of Consultant]

Signature of Authorized Representative Date

Name:

Title:

53 | P a g e
Section 4. Financial Proposal - Standard Forms

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
Profit2
Name Position Basic Social Overhead Subtotal Away from Proposed Fixed Proposed Fixed
Remuneration Charges1 Home Office Rate per Working Rate per Working
1 Allowance Month/Day/Hour Month/Day/Hour1
Rate per
Working
Month/Day/Year

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 1
2. Expressed as percentage of 4
Section 4 – Financial Proposal – Standard Forms

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 basis
for calculation of the Contract ceiling amount, to calculate applicable taxes at contract negotiations and, if needed, to establish
payments to the Consultant for possible additional services requested by the Client. This form shall not be used as a basis for
payments under Lump-Sum contracts

B. Reimbursable Expenses

N° Type of Reimbursable Unit Unit Cost Quantity {Currency # 1- {Currency # 2- {Currency# 3- {Local
Expenses as in FIN-2} as in FIN-2} as in FIN-2} Currency- as in

FIN-2}

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

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

{e.g., In/out airport {Trip}
transportation}
{e.g., Communication costs
between Insert place and Insert
place}

{ e.g., reproduction of reports}

{e.g., Office rent}

....................................

{Training of the Client’s
personnel – 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.

55 | P a g e
Section 5. Eligible Countries

In reference to ITC6.3.2, for the information of shortlisted Consultants, at the present time
firms, 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 the
Bank to apply the restriction or state “none”]
Under the ITC 6.3.2 (b): ________________[list country/countries or indicate “none”]

57 | P a g e
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 IDA
Credits &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 of
ethics 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 the
selection process or contract execution for undue advantage is improper.]. In pursuance 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 or indirectly,
of anything of value to influence improperly the actions of another party2;

(ii) “fraudulent practice” is any act or omission, including misrepresentation, that
knowingly or recklessly misleads, or attempts to mislead, a party to obtain financial
or other benefit or to avoid an obligation3;

(iii) “collusive practices” is an arrangement between two or more parties designed to
achieve an improper purpose, including to influence improperly the actions of
another party4;

(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 improperly
the actions of a party5;

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

3 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 the
selection process or contract execution.

4 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 in
the procurement or selection process, to simulate competition or to establish prices at artificial, non-competitive
levels, or are privy to each other’s bid prices or other conditions.

59 | P a g e
Section 6. Bank Policy – Corrupt and Fraudulent Practices

(v) “obstructive practice” is

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

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

(b) will reject a proposal for award if it determines that the consultant recommended for
award 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, engaged
in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for the
contract in question;

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

(d) will sanction a firm or an individual at any time, in accordance with prevailing Bank’s
sanctions procedures6, including by publicly declaring such firm or an ineligible, either
indefinitely or for a stated period of time: (i) to be awarded a Bank-financed contract, and
(ii) to be a nominated7 sub-consultant, supplier, or service provider of an otherwise
eligible firm being awarded a Bank-financed contract.

5For the purpose of this sub-paragraph, “party” refers to a participant in the selection process or contract
execution.

6 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 sanctions procedures for fraud
and corruption; and (ii) as a result of temporary suspension or early temporary suspension in connection with an
ongoing sanctions proceedings. See footnote 12 and paragraph 8 of Appendix 1 of these Guidelines.

7 A nominated sub-consultant, supplier, or service provider is one which has been either (i) included by the
consultant in its proposal because it brings specific and critical experience and know-how that are accounted for
in the technical evaluation of the consultant’s proposal for the particular services; or (ii) appointed by the
Borrower.
Section 7.

Terms of Reference of Internal Audit of UPHSSP & 52
Covered Hospitals

1. Background:
The Government of India (GOI) has received a credit of US $ 152 Million equivalent
(Credit No. 5033-IN) from the International Development Association (IDA) for
implementation and funding of Uttar Health Systems Strengthening Project
(UPHSSP). The IDA has agreed to fund the Project upto US $ 152 Million over a period
of 7 years. Under the Project, the Department of Medical, Health & Family Welfare,
Government of Uttar Pradesh (GoUP) has prepared detailed plans to strengthen the
management capability of the Directorate of Health by strengthening various Cells in
the Directorate of Medical & Health and to improve the quality of public health service
delivery by strengthening quality assurance cell in the Directorate of Medical & Health
and NABH accreditation of the selected health facilities and by better engagement
with the private sector.

2. Project Components:

Component 1: Strengthening management and accountability will support:
I. Strategic planning functions in the Health Department, working closely with
the recently established Health and Knowledge Resource Center (HKRC) in the
Family Welfare Department.

II. Improved use of data for program management in collaboration with the
existing Electronic Data Processing (EDP) Cell in the Department and
expanding its scope to function as a Data Resource Center.

III. Strengthening the use of financial information for improved decision making
through the existing accounting and auditing systems for treasury and society
funds and over time enable the State to move to a unified financial
management control system; and in undertaking the necessary procurement
reform and strengthening of procurement and supply chain management
systems; and

IV. Introducing and strengthening social accountability action research to
introduce community assessment of health and health care at the local level
and use assessment information to stimulate community action to demand
better services, enhance positive health behaviors and promote community
audits of service delivery; and introducing facility based provider incentives in
the public sector.

Component 2: Improving quality of service delivery and private sector engagement will
support:

61 | P a g e
Section 7. Terms of Reference

I. Strengthening the institutional capacity for service quality improvement and
supportive regulatory environment, this would include establishment and
capacity building of the Quality Assurance (QA), Environment Management
(EM) and Public Private Partnerships (PPP) Cells in the Directorate of Health.

II. Improvement of quality of service delivery at public sector hospitals to enable
accreditation under the National Accreditation Board of Hospitals (NABH);

III. Contracting with private sector for improving quality of service delivery,
which would include diagnostic services, non-clinical support services;

IV. Ensuring availability of the full complement of human resources required for
accreditation at each selected facility, and health managers at the facility level

3. Implementation Arrangements:

a. Institutional and implementation Arrangements:

 Project Governing Board (PGB) of the UPHSSP at the apex level, headed by the Chief
Secretary, GoUP.

 Project Steering Committee (PSC) of the UPHSSP headed by Principal Secretary
Medical, Health and Family Welfare

 Project Support Unit (PSU) headed by Project Director.
 Procurement Agent and Technical Services Provider

b. Financial Management Arrangements:

 Project is being implemented through the main stream State Treasury System. The
project implementing locations are the Project Support Unit, Indira Nagar, Lucknow
and 52 Hospitals as per the list attached.

 Disbursements from the World Bank will be made against Quarterly Interim
Unaudited Financial Reports (IUFRs), to be submitted within 45 days of close of each
Quarter. Expenditure as reported in the IUFRs will be subject to certification as per the
Annual Audit by CAG. Internal Audits of PSU & Hospitals will be conducted by firms
of Chartered Accountants appointed by PSU.

4. Objective of the Internal Audit:

The objectives of internal audit are as follows:

 To evaluate adequacy and effectiveness of the financial management and internal

control system

 To ensure compliance of laid down policies and procedures as documented in

Financial Management Manual of the project. To ensure that various payments for

civil work, goods, consultancy and services are done in the project in terms of the

contracts and guidelines of the Government.

 To expresses an independent professional opinion with regard to efficiency,

effectiveness and economy of the project operations

 Internal audit provides to the project management with timely information and

recommendations on financial management aspects to enable the management to take

corrective actions, wherever necessary, in due time
Section 6. Bank Policy – Corrupt and Fraudulent Practices

5. Need for Internal Audit:
As laid down in Project Appraisal Document (PAD), the internal audit of the Project
expenditure at PSU and hospitals shall be done by an Internal Auditors i.e. Chartered
Accountant Firm.

6. Scope of Audit:

The overall scope of Internal Audit will include:

(i) Enable the auditor to confirm compliance with Financial Management
Guidelines laid down for the project and achieve the objective of the internal
audit as mentioned in para 4 above.

(ii) Provide PSU with timely and real time information on financial management
aspects of the project, including internal controls, compliance with financing
agreement and areas in need for improvement and to enable follow-up action.
This will involve regular and frequent visits to PSU and Hospitals to check the
adherence with internal control requirement and quarterly reporting on
compliances, budget and expenditure.

(iii) To ensure that various payments under the Project are made as per the
financial management guidelines of the project, contracts and Financial
Handbooks (as applicable)

7. Coverage of Audit:
The audit would cover the entire project i.e., covering all sources and application of
funds for the project, as considered necessary for the audit. Internal audit of the PSU
and district hospitals will be conducted on yearly basis for the FY: 2018-19 and 6
month for FY: 2019-20. The selection of the hospitals shall be done in such a manner
that all the district hospitals are covered for audit in the 18 months period. It should be
carried out in accordance with the Internal Auditing Standards of Institute of
Chartered Accountants of India, and will include such substantive and control tests as
the Internal Auditor considers necessary under the circumstances. The Internal
Auditor will submit an Audit Schedule in advance to PSU and agree the schedule with
the PSU.

The internal auditor will conduct an assessment of the adequacy of the project
Financial Management system, including internal controls. This would include
aspects such as:-

a) Whether appropriate controls as specified by the Financial Management Manual
(FMM), Project Appraisal Document (PAD), General Financial Rules (GFRs),
Project Implementation Plan (PIP) and State Government rules and notifications
are operating satisfactorily. The auditor should suggest methods for improving
weak controls or creating them where these controls do not exist.

63 | P a g e
Section 7. Terms of Reference

b) That proper books of account as laid down in the Financial Management Manual
and adequate documentation is being maintained for timely and accurate reporting
for project activities.

c) An assessment of compliance with provisions of the financing agreements and
Project Agreements. Verify that expenditures charged under the project are eligible
for financing, correctly classified and all necessary supporting documents, records,
accounts and contracts have been kept in respect of all project
transactions/activities. The clear linkages exist between the accounting records,
IFRs and Project Financial statements.

d) An adequate system is in place to ensure that payments for goods, works and
services have been made as per the terms of the contract and have not exceeded the
contract value. The auditor should report such cases where these guidelines are not
followed.

e) That an appropriate system of accounting and financial reporting exists, on the
basis of which IUFR claims are prepared and submitted for reimbursement.

f) Adequate records are maintained regarding assets created and assets acquired by
the project, including details of cost, identification and location of assets.

g) Checking adherence to FM aspects of Disclosure Management requirement of the
project by implementing agencies.

h) Verifying compliance with the recommendation of the internal audit report of the
previous period (s) and provide comments thereon.

8. Reporting Requirement/Deliverables:

The Internal Auditor team will provide 2 copies of annual internal audit reports to the
project highlighting findings to enable the management to take timely action. This will be
in the form of a Management Letter (including executive summary highlighting key issues
for management) which will inter alia include;

 Comments and observations on the financial management system and internal
controls that were examined during the course of internal audit

 Deficiencies and areas of weakness in systems and controls and specific
recommendation for their improvement;

 Compliance with legal agreements and comments, if any, on internal and external
matters affecting such compliance;

 Matters that have come to attention during the internal audit that might have a
significant impact on the implementation of the project; and

 Any other matter that the internal auditors consider pertinent.
 Status of Compliance with / follow up on agreed actions from previous audit reports.
 The comments from the PSU and concerned officers must be incorporated in the report

as Management comments.
 Reports will be delivered to PSU for FY: 2018-19 by 30th September, 2019 and for FY:

2019-20 (6 months September ending) by 31st December, 2019. Failure in submission of
timely reports will be considered as unsatisfactory performance)
Section 6. Bank Policy – Corrupt and Fraudulent Practices

9. Duration of Assignment:

The auditor will be appointed for a period of 18 months beginning from April 01, 2018 and
ending on September 30th, 2019.

10. Team Composition & Qualification:

As project activities are also implemented in the field locations, the audit team should be

familiar with Local (Hindi) language and Government’s accounting/financial procedures. The

key personnel in the internal audit team, their minimum qualifications are indicated below:

Sl. Key Description of Services Experience No. of

No Professiona to be provided persons

l

Qualified Chartered

Accountant with at least 8 - 10

Overall coordination, & years of experience as a partner
with expertise in the area of
planning, team internal audit planning, 1 (shall be
execution and reporting. evaluated in
1 Partner leadership, reporting, Preference will be given to
those who have proven proposal)
liaison with client and knowledge and experience in

issuance of final audit

report

dealing with development

projects in the relevant sector.

Responsibility to lead Qualified Chartered 2 Nos. 1 for
the audit team, PSU and 1
planning, coordination, Accountant/Cost Accountant for district
liaison with PSU and hospitals
field offices and with at least 6-8 years of (shall be
execution of audit, evaluated in
2 Team preparation of audit experience and similar proposal)
leaders report as specified in
the TORs experiences of independent

internal audit with ability to

lead the team and interact with

senior level govt. officials

4 Nos (will

Audit Staff not be
(Semi
4 Qualified Field level audit evaluated
CA and
ICWA) Staff with experience in internal but shall
audit of at least 3-5 years.
need prior

approval

before start

of services).

65 | P a g e
Section 7. Terms of Reference

(The auditing firm will form 2 teams led by Team Leader and 2 audit staff each for PSU
and Hospitals)

11. Client’s Input and Counterpart Personnel:
The auditor will be given access to all legal documents, correspondence, Books of
Accounts, Finance Management Manual of the project, Project Implementation Plan
(PIP), Project Appraisal Document (PAD), Development Credit Agreement,
Government Orders, Office Orders, tenders, minutes, evaluation reports, contracts and
other files and documents/information associated with the Project and as deemed
necessary by the Auditor.

12. General:
The Internal Audit services will be required at PSU and 52 hospital locations only. The
selected firm will visit the hospitals mentioned in the TOR to carry out the audit of
expenditures made out of the Project's funds at the given hospitals. The Internal
Auditor will be required to form 2 teams (one team leader qualified CA and 2 Semi-
qualified staff) under the overall leadership of partner. Two Teams will visit hospitals
and one team will work at PSU, Lucknow for internal audit.

The Internal Auditor will ensure that PSU & all 52 hospitals under the project are
covered in the audit program of 18 months. Audit and reporting of PSU & 52 Hospitals
for the FY: 2018-19 will be completed by 30th September, 2019 and audit and reporting
of PSU/Hospitals for 6 months ending 30th September, 2019 shall be completed by
31st December, 2019. The Audit program of the PSU and Hospitals will be pre-
informed by the Auditor to agree upon the dates and availability of staff and records
for audit. The auditor will also meet at PSU for specific compliance discussion before
visit to hospitals in each year audit.

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

Annexure to TOR

SUGGESTED FORMAT OF INTERNAL AUDIT REPORT

Part A: Brief Name and address of the Auditee:

a. Name & Address of the Auditee :

b. Name of Office bearers :

c. Name/s of Audit Team members :

d. Days of audit :

e. Period covered in the previous audit :

f. Period covered in the current audit :

Part B: Executive Summary:

The Executive Summary should normally cover the following items:-

a) Objective of audit.
b) Methodology adopted for internal audit.
c) Status of implementation of the financial management system and compliance of rules

and regulations.
d) Status of compliance of previous audit reports, including major audit observations

pending compliance.
e) Key areas of weaknesses that need improvement, classified into the following areas:

i. Disallowance of expenditure as per the World Bank rules.
ii. Procedural Lapse.
iii. Accounting Laps.
iv. Accounting Books & records not maintained.
f) Recommendations for improvements.

Executive Summary to include the following format:-

Para Observations Implications Recommendations for Auditee’s s Agreed
No. with risks improvement Comments/fo Timeline for
involved r compliance Compliance

67 | P a g e
Section 7. Terms of Reference

Part C: Compliance to previous Audit Reports

In this part, provide status of compliance with previous reports and detail pending audit
observations. The views of the auditee should also be mentioned. In case there is any
difficulty or problem in resolution of audit findings, these should be clearly highlighted.

Part D: Serious Observations:

In this part, provide details of serious audit observations, such as ineligible expenses, major
lapses in internal controls, systemic weaknesses, procurement procedures not followed,
incorrect information submitted for reimbursement difference between cash drawn and
expenditure reported, procedural lapse, accounting lapse, accounting books & records not
maintained etc.

Part E: Other Observations:

Observations that are not serious in nature, but nonetheless require the attention of the project
should be detailed in this part.

Part F: Executive Summary and Suggestions/ Recommendations:

Provide an Executive Summary of the observations mentioned in Part C and D along with
suggestions/recommendations. Provide specific recommendations on internal control and
systemic weakness. In addition to audit reports, the auditor will provide a report to Project
Management highlighting findings during the period under review. This will be in the form of
a consolidated Management Letter, which will inter-alia include:

a) Comments and observations on the financial management records, systems and
controls that were examined during the course of the review.

b) Deficiencies and areas of weakness in systems and controls and recommendation for
their improvement.

c) Compliance with covenants in the financing agreement and comments, if any, on
internal and external matters affecting such compliance.

d) Matters that have come to attention during the review and might have a significant
impact on the implementation of the Project.

e) Any special review procedures required of a compliance nature (for example,
compliance of procurement procedures and procedure for selection of consultants etc.
recommended by the World Bank).

f) Any other matters that the auditor considers pertinent.
Section 6. Bank Policy – Corrupt and Fraudulent Practices

Annexure to TOR

List of 17 Hospitals selected for NABH Accreditation (Phase-1)

Sl. No. Name of Hospital

1 District Hospital (Female) Unnao

2 Dr Shyama Prasad Mukherji Hospital Lucknow

3 District Hospital (Female) Raebareilly

4 Veerangna Avanti Bai Hospital Lucknow

5 Balrampur Hospital Lucknow

6 District Hospital (Female) Hardoi

7 UHM Hospital Kanpur

8 Vrindavan Hospital Mathura

9 District Hospital (Male) Bahraich

10 TB Sapru Hospital Allahabad

11 District Hospital (Female) Allahabad

12 Pt Deen Dayal Upadhyaya Hospital Varanasi

13 SBD District Hospital (Male) Saharanpur

14 District Hospital (Female) Saharanpur

15 District Hospital (Female) Meerut

16 District Hospital (Female) MuzaffarNagar

17 District Hospital (Male) Bareilly

List of 23 Hospitals selected for NABH Accreditation (Phase-2)

Sl. No. Name of Hospital

1 District Hospital (Combined) Kannauj

2 District Hospital (Combined) Etawah

3 District Hospital (Male) Hamirpur

4 District Hospital (Male) Fatehpur

5 District Hospital (Male) Banda

6 District Hospital (Male) Jhansi

7 District Hospital (Female) Agra

8 District Hospital (Male) Mainpuri

9 Pt. Deen Dayal Upadhyay Joint Hospital Aligarh

10 District Hospital (Combined) Gautam Budh Nagar

11 District Hospital (Male) Gorakhpur

12 District Hospital (Combined) Kushinagar

13 District Hospital (Male) Faizabad

69 | P a g e
Section 7. Terms of Reference

14 OPEC Hospital Basti

15 District Hospital (Male) Gonda

16 Mahatama Jyotibha Phule Hospital (Combined) Ambedkar Nagar

17 District Hospital (Male) Sultanpur

18 District Hospital (Female) Azamgarh

19 District Hospital (Combined) Jaunpur

20 District Hospital (Male) Mirzapur

21 District Hospital (Male) Rampur

22 District Hospital (Male) Moradabad

23 District Hospital (Male) Badaun

List of 12 Hospitals selected for NABH program (Phase-3)

1 AHM Hospital, Kanpur

2 Rani Laxmi Bai Joint Hospital, Rajajipuram, Lucknow

3 Lok Bandhu Raj Narayan Joint Hospital, Kanpur Road, Luck.

4 District Hospital (Male), Agra

5 SSPG Hospital, Varanasi

6 District Hospital (Male), Meerut

7 District Hospital (Male),Azamgarh

8 District Hospital (Male),Firozabad

9 District Hospital (Male), Faizabad

10 Veerangana Jhalkari Bai Hospital, Lucknow

11 MMG District Hospital, Ghaziabad

12 Dr. Ram Manohar Lohia Hospital, Lucknow

============
UMP-SUM FORM OF CONTRACT

STANDARD FORM OF CONTRACT

Consultant’s Services

Lump-Sum

71 | P a g e
Consultant’s Services Lump-Based

Note : Page Serial numbers should be re-arranged

Contents

Preface ...............................................................................................................................75

I.Form of Contract ............................................................................................................77

II.General Conditions of Contract ....................................................................................81

A. General Provisions..................................................................................................81

1.Definitions ............................................................................................................81
2.Relationship Between the Parties ..........................................................................82
3.Law Governing Contract .......................................................................................83
4.Language ..............................................................................................................83
5.Headings ...............................................................................................................83
6.Communications ...................................................................................................83
7.Location ................................................................................................................ 83
8.Authority of Member in Charge ............................................................................83
9.Authorized Representatives ...................................................................................83
10.Corrupt and Fraudulent Practices.........................................................................83

B. Commencement, Completion, Modification and Termination of Contract .........84

11.Effectiveness of Contract ....................................................................................84
12.Termination of Contract for Failure to Become Effective ....................................84
13.Commencement of Services ................................................................................84
14.Expiration of Contract .........................................................................................84
15.Entire Agreement ................................................................................................84
16.Modifications or Variations.................................................................................84
17.Force Majeure .....................................................................................................84
18.Suspension ..........................................................................................................86
19.Termination ........................................................................................................86

C. Obligations of the Consultant ................................................................................88

20.General ...............................................................................................................88
21.Conflict of Interests.............................................................................................89
22.Confidentiality ....................................................................................................90
23.Liability of the Consultant ...................................................................................90
24.Insurance to be Taken out by the Consultant .......................................................90
25.Accounting, Inspection and Auditing ..................................................................90
26.Reporting Obligations .........................................................................................91
27.Proprietary Rights of the Client in Reports and Records ......................................91
28.Equipment, Vehicles and Materials ......................................................................91

D. Consultant’s Experts and Sub-Consultants...........................................................92

29.Description of Key Experts .................................................................................92

73 | P a g e
Consultant’s Services Lump-Based

30.Replacement of Key Experts............................................................................... 92
31.Removal of Experts or Sub-consultants............................................................... 92

E. Obligations of the Client ........................................................................................ 93

32.Assistance and Exemptions ................................................................................. 93
33.Access to Project Site ......................................................................................... 93
34.Change in the Applicable Law Related to Taxes and Duties ................................ 94
35.Services, Facilities and Property of the Client ..................................................... 94
36.Counterpart Personnel......................................................................................... 94
37.Payment Obligation ............................................................................................ 94

F. Payments to the Consultant ................................................................................... 94

38.Contract Price ..................................................................................................... 94
39.Taxes and Duties ................................................................................................ 95
40.Currency of Payment .......................................................................................... 95
41.Mode of Billing and Payment ............................................................................. 95
42.Interest on Delayed Payments ............................................................................. 96

G. Fairness and Good Faith........................................................................................ 96

43.Good Faith.......................................................................................................... 96

H. Settlement of Disputes ........................................................................................... 96

44. Amicable Settlement .......................................................................................... 96
45.Dispute Resolution.............................................................................................. 96

Attachment 1: Bank’s Policy – Corrupt and Fraudulent Practices ................................ 97

III.Special Conditions of Contract ................................................................................. 101

IV.Appendices ................................................................................................................. 111

Appendix A – Terms of Reference .............................................................................. 111

Appendix B - Key Experts........................................................................................... 111

Appendix C – Breakdown of Contract Price ................................................................ 111

Appendix D - Form of Advance Payments Guarantee .................................................. 113

74 | P a g e
Consultant’s Services Lump-Based

Pref ace

1. The standard Contract form consists of four parts: the Form of Contract to be signed by the
Client and the Consultant, the General Conditions of Contract (GCC), including Attachment
1 (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. The
Special Conditions of Contract that contain clauses specific to each Contract intend to
supplement, but not over-write or otherwise contradict, the General Conditions.

75 | P a g e
Consultant’s Services Lump-Based

CONTRACT FOR CONSULTANT’S SERVICES

Lump-Sum

Project Name___________________________
[Loan/Credit/Grant]No.____________________
Contract No.____________________________

between

[Name of the Client]

and

[Name of the Consultant]
Dated:

76 | P a g e
I. Form of Contract Lump-Sum

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 month
of [month], [year], between, on the one hand, [name of Client or Recipient] (hereinafter
called 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 to
read 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 jointly
and 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 as
defined in this Contract (hereinafter called the “Services”);

(b) the Consultant, having represented to the Client that it has the required professional
skills, expertise and technical resources, has agreed to provide the Services on the
terms 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 Services
and intends to apply a portion of the proceeds of this [loan/credit/grant] to eligible
payments under this Contract, it being understood that (i) payments by the Bank
will 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, or
for 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 under
Chapter VII of the Charter of the United Nations; and (iii) no party other than the
Client shall derive any rights from the [loan/financing/grant] agreement or have any
claim to the [loan/credit/grant] proceeds;

77 | P a g e
I. Form of Contract Lump-Sum

NOW THEREFORE the parties hereto hereby agree as follows:

1. The following documents attached hereto shall be deemed to form an integral part of
this 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 Reference
Appendix B: Key Experts
Appendix C: Breakdown of Contract Price
Appendix D: Form of Advance Payments Guarantee

In the event of any inconsistency between the documents, the following order of
precedence shall prevail: the Special Conditions of Contract; the General Conditions
of 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 forth
in the Contract, in particular:

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

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

IN WITNESS WHEREOF, the Parties hereto have caused this Contract to be signed in their
respective 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 case
the power of attorney to sign on behalf of all members shall be attached.

78 | P a g e
I. Form of Contract Lump-Sum

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

[Name of the lead member]

[Authorized Representative on behalf of a Joint Venture]
[add signature blocks for each member if all are signing]

79 | P a g e
II. General Conditions of Contract Lump-Sum

II. General Conditions of Contract

A. GENERAL PROVISIONS

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

(a) “Applicable Guidelines” means Guidelines for Selection and
Employment of Consultants under IBRD Loans and IDA
Credits & Grants by World Bank Borrowers, dated January
2011.

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

(c) “Bank” means the International Bank for Reconstruction and
Development (IBRD) or the International Development
Association (IDA).

(d) “Borrower” means the Government, Government agency or
other entity thatsigns the financing agreementwith the Bank.

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

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

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

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

(i) “Effective Date” means the date on which this Contract comes
into 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 JV
member(s) assigned by the Consultant to perform the Services
or any part thereof under the Contract.

81 | P a g e
II. General Conditions of Contract Lump-Sum

2. Relationship (k) “Foreign Currency” means any currency other than the currency
between the of the Client’s country.
Parties
(l) “GCC” means these General Conditions of Contract.

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

(n) “Joint Venture (JV)” means an associationwith or without a
legal personality distinct from that of its members, of more than
one entity where one member has the authority to conduct all
businesses for and on behalf of any and all the members of the
JV, and where the members of the JV are jointly and severally
liable 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 the
performance of the Services under the Contract and whose
Curricula Vitae (CV) was taken into account in the technical
evaluation 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 provided
by the Consultant or its Sub-consultant to perform the Services
or 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 the
GCC may be amended or supplemented but not over-written.

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

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

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

2.1. Nothing contained herein shall be construed as establishing a
relationship of master and servant or of principal and agent as
between the Client and the Consultant. The Consultant, subject to
this Contract, has complete charge of the Experts and Sub-
consultants, if any, performing the Services and shall be fully
responsible for the Services performed by them or on their behalf
hereunder.

82 | P a g e
II. General Conditions of Contract Lump-Sum

3. Law Governing 3.1. This Contract, its meaning and interpretation, and the relation
Contract between the Parties shall be governed by the Applicable Law.

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

6. Communications 5.1. The headings shall not limit, alter or affect the meaning of this
Contract.

6.1. Any communication required or permitted to be given or made
pursuant to this Contract shall be in writing in the language specified
in Clause GCC 4. Any such notice, request or consent shall be
deemed to have been given or made when delivered in person to an
authorized representative of the Party to whom the communication is
addressed, or when sent to such Party at the address specified in the
SCC.

7. Location 6.2. A Party may change its address for notice hereunder by giving
the other Party any communication of such change to the address
specified in the SCC.

7.1. The Services shall be performed at such locations as are
specified in Appendix A hereto and, where the location of a
particular task is not so specified, at such locations, whether in the
Government’s country or elsewhere, as the Client may approve.

8. Authority of 8.1. In case the Consultant is a Joint Venture, the members hereby
Member in authorize the member specified in the SCC to act on their behalf in
Charge exercising all the Consultant’s rights and obligations towards the
Client under this Contract, including without limitation the receiving
of instructions and payments from the Client.

9. Authorized 9.1. Any action required or permitted to be taken, and any
Representatives document required or permitted to be executed under this Contract by
the Client or the Consultant may be taken or executed by the officials
specified in the SCC.

10. Corrupt and 10.1. The Bank requires compliance with its policy in regard to
Fraudulent corrupt and fraudulentpractices as set forth in Attachment 1 to the
Practices GCC.

a. Commissions 10.2. The Client requires the Consultant to disclose any

and Fees commissions, gratuities or fees that may have been paid or are to be

paid to agents or any other party with respect to the selection process

or execution of the Contract. The information disclosed must

include at least the name and address of the agent or other party, the

amount and currency, and the purpose of the commission, gratuity or

83 | P a g e
II. General Conditions of Contract Lump-Sum

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

B. COMMENCEMENT, COMPLETION, MODIFICATION AND TERMINATION OF CONTRACT

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

12. Termination of 12.1. If this Contract has not become effective within such time
Contract for period after the date of Contract signature as specified in the SCC,
Failure to Become either Party may, by not less than twenty two (22) days written
Effective notice to the other Party, declare this Contract to be null and void,
and in the event of such a declaration by either Party, neither Party
shall have any claim against the other Party with respect hereto.

13. Commencement 13.1. The Consultant shall confirm availability of Key Experts and
of Services begin carrying out the Services not later than the number of days
after the Effective Date specified in the SCC.

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

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

16. Modifications or 16.1. Any modification or variation of the terms and conditions of
Variations this Contract, including any modification or variation of the scope
of the Services, may only be made by written agreement between
the Parties. However, each Party shall give due consideration to any
proposals for modification or variation made by the other Party.

17. Force Majeure 16.2. In cases of substantial modifications or variations, the prior
a. Definition written consent of the Bank is required.

17.1. For the purposes of this Contract, “Force Majeure” means an
event which is beyond the reasonable control of a Party, is not
foreseeable, is unavoidable, and makes a Party’s performance of its
obligations hereunder impossible or so impractical as reasonably to
be considered impossible under the circumstances, and subject to

84 | P a g e
II. General Conditions of Contract Lump-Sum

those requirements, includes, but is not limited to, war, riots, civil
disorder, earthquake, fire, explosion, storm, flood or other adverse
weather conditions, strikes, lockouts or other industrial action
confiscation or any other action by Government agencies.

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

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

b. No Breach of 17.4. The failure of a Party to fulfill any of its obligations

Contract hereunder shall not be considered to be a breach of, or default

under, this Contract insofar as such inability arises from an event of

Force Majeure, provided that the Party affected by such an event

has taken all reasonable precautions, due care and reasonable

alternative measures, all with the objective of carrying out the terms

and conditions of this Contract.

c. Measures to 17.5. A Party affected by an event of Force Majeure shall continue
be Taken to perform its obligations under the Contract as far as is reasonably
practical, and shall take all reasonable measures to minimize the
consequences of any event of Force Majeure.

17.6. A Party affected by an event of Force Majeure shall notify
the other Party of such event as soon as possible, and in any case not
later than fourteen (14) calendar days following the occurrence of
such event, providing evidence of the nature and cause of such
event, and shall similarly give written notice of the restoration of
normal conditions as soon as possible.

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

17.8. During the period of their inability to perform the Services as
a result of an event of Force Majeure, the Consultant, upon
instructions by the Client, shall either:

(a) demobilize, in which case the Consultant shall be
reimbursed for additional costs they reasonably and
necessarily incurred, and, if required by the Client, in

85 | P a g e
II. General Conditions of Contract Lump-Sum

reactivating the Services; or

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

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

18. Suspension 18.1. The Client may, by written notice of suspension to the
Consultant, suspend all payments to the Consultant hereunder if the
Consultant fails to perform any of its obligations under this Contract,
including the carrying out of the Services, provided that such notice
of suspension (i) shall specify the nature of the failure, and (ii) shall
request the Consultant to remedy such failure within a period not
exceeding thirty (30) calendar days after receipt by the Consultant of
such notice of suspension.

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

a. By the Client 19.1.1. The Client may terminate this Contract in case of the
occurrence of any of the events specified in paragraphs (a)
through (f) of this Clause. In such an occurrence the Client
shall give at least thirty (30) calendar days’ written notice of
termination to the Consultant in case of the events referred to in
(a) through (d); at least sixty (60) calendar days’ written notice
in 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 the
performance of its obligations hereunder, as specified in a
notice of suspension pursuant to Clause GCC 18;

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

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

(d) If, as the result of Force Majeure, the Consultant is

86 | P a g e
II. General Conditions of Contract Lump-Sum

b. By the unable to perform a material portion of the Services for a
Consultant period of not less than sixty (60) calendar days;

c. Cessation of (e) If the Client, in its sole discretion and for any reason
Rights and whatsoever, decides to terminate this Contract;
Obligations
(f) If the Consultant fails to confirm availability of Key
Experts as required in Clause GCC 13.

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

19.1.3. The Consultant may terminate this Contract, by not
less than thirty (30) calendar days’ written notice to the Client,
in case of the occurrence of any of the events specified in
paragraphs (a) through (d) of this Clause.

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

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

(c) If the Client fails to comply with any final decision
reached as a result of arbitration pursuant to Clause GCC
45.1.

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

19.1.4. Upon termination of this Contract pursuant to Clauses
GCC 12 or GCC 19 hereof, or upon expiration of this Contract
pursuant to Clause GCC 14, all rights and obligations of the
Parties hereunder shall cease, except (i) such rights and
obligations as may have accrued on the date of termination or
expiration, (ii) the obligation of confidentiality set forth in
Clause GCC 22, (iii) the Consultant’s obligation to permit

87 | P a g e
II. General Conditions of Contract Lump-Sum

d. Cessation of inspection, copying and auditing of their accounts and records
Services set forth in Clause GCC 25, and (iv) any right which a Party
may have under the Applicable Law.
e. Payment
upon 19.1.5. Upon termination of this Contract by notice of either
Termination Party to the other pursuant to Clauses GCC 19a or GCC 19b,
the Consultant shall, immediately upon dispatch or receipt of
such notice, take all necessary steps to bring the Services to a
close in a prompt and orderly manner and shall make every
reasonable effort to keep expenditures for this purpose to a
minimum. With respect to documents prepared by the
Consultant and equipment and materials furnished by the
Client, the Consultant shall proceed as provided, respectively,
by Clauses GCC 27 or GCC 28.

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

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

(b) in the case of termination pursuant to paragraphs (d) and
(e) of Clause GCC19.1.1, reimbursement of any
reasonable cost incidental to the prompt and orderly
termination of this Contract, including the cost of the
return travel of the Experts.

20. General C. OBLIGATIONS OF THE CONSULTANT
a. Standard of
Performance 20.1 The Consultant shall perform the Services and carry out the
Services with all due diligence, efficiency and economy, in
88 | P a g e accordance with generally accepted professional standards and
practices, and shall observe sound management practices, and employ
appropriate technology and safe and effective equipment, machinery,
materials and methods. The Consultant shall always act, in respect of
any matter relating to this Contract or to the Services, as a faithful
adviser to the Client, and shall at all times support and safeguard the
Client’s legitimate interests in any dealings with the third parties.

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

20.3. The Consultant may subcontract part of the Services to an
extent and with such Key Experts and Sub-consultants as may be
approved in advance by the Client. Notwithstanding such approval,
II. General Conditions of Contract Lump-Sum

the Consultant shall retain full responsibility for the Services.

b. Law 20.4. The Consultant shall perform the Services in accordance with

Applicable to the Contract and the Applicable Law and shall take all practicable

Services steps to ensure that any of its Experts and Sub-consultants, comply

with the Applicable Law.

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

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

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

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

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

a. Consultant 21.1.1 The payment of the Consultant pursuant to GCC F
Not to Benefit (Clauses GCC 38 through 42) shall constitute the Consultant’s
from only payment in connection with this Contract and, subject to
Commissions, Clause GCC 21.1.3, the Consultant shall not accept for its own
Discounts, etc. benefit any trade commission, discount or similar payment in
connection with activities pursuant to this Contract or in the
discharge of its obligations hereunder, and the Consultant shall
use its best efforts to ensure that any Sub-consultants, as well as
the Experts and agents of either of them, similarly shall not
receive 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 procurement
of goods, works or services, the Consultant shall comply with
the Bank’s Applicable Guidelines, and shall at all times exercise
such responsibility in the best interest of the Client. Any
discounts or commissions obtained by the Consultant in the
exercise of such procurement responsibility shall be for the
account of the Client.

89 | P a g e
II. General Conditions of Contract Lump-Sum

b. Consultant 21.1.3 The Consultant agrees that, during the term of this
and Affiliates Contract and after its termination, the Consultant and any entity
Not to Engage affiliated with the Consultant, as well as any Sub-consultants
in Certain and any entity affiliated with such Sub-consultants, shall be
Activities disqualified from providing goods, works or non-
consultingservices resulting from or directly related to the
Consultant’s Services for the preparation or implementation of
the project, unless otherwise indicated in the SCC.

c. Prohibition of 21.1.4 The Consultant shall not engage, and shall cause its
Conflicting Experts as well as its Sub-consultants not to engage, either
Activities directly or indirectly, in any business or professional activities
that would conflict with the activities assigned to them under
this Contract.

d. Strict Duty to 21.1.5 The Consultant has an obligation and shall ensure that
Disclose its Experts and Sub-consultants shall have an obligation to
Conflicting disclose any situation of actual or potential conflict that
Activities impacts 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 the
disqualification of the Consultant or the termination of its
Contract.

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

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

24. Insurance to be 24.1 The Consultant (i) shall take out and maintain, and shall cause
Taken out by the any Sub-consultants to take out and maintain, at its (or the Sub-
Consultant consultants’, as the case may be) own cost but on terms and
conditions approved by the Client, insurance against the risks, and for
the coverage specified in the SCC, and (ii) at the Client’s request,
shall provide evidence to the Client showing that such insurance has
been taken out and maintained and that the current premiums
therefore have been paid. The Consultant shall ensure that such
insurance is in place prior to commencing the Services as stated in
Clause GCC 13.

25. Accounting, 25.1 The Consultant shall keep, and shall make all reasonable
Inspection and efforts to cause its Sub-consultants to keep, accurate and systematic

90 | P a g e
II. General Conditions of Contract Lump-Sum

Auditing accounts and records in respect of the Services and in such form and
detail 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 the
Bank to inspect the Site and/or all accounts and records relating to
the performance of the Contract and the submission of the Proposal
to provide the Services, and to have such accounts and records
audited by auditors appointed by the Bank if requested by the Bank.
The Consultant’s attention is drawn to Clause GCC 10 which
provides, inter alia, that acts intended to materially impede the
exercise of the Bank’s inspection and audit rights provided for under
this Clause GCC25.2 constitute a prohibited practice subject to
contract termination (as well as to a determination of ineligibility
under the Bank’s prevailing sanctions procedures.)

26. Reporting 26.1 The Consultant shall submit to the Client the reports and
Obligations documents specified in Appendix A, in the form, in the numbers and
within the time periods set forth in the said Appendix.

27. Proprietary Rights 27.1 Unless otherwise indicated in the SCC, all reports and
of the Client in relevant data and information such as maps, diagrams, plans,
Reports and databases, other documents and software, supporting records or
Records material compiled or prepared by the Consultant for the Client in the
course of the Services shall be confidential and become and remain
the absolute property of the Client. The Consultant shall, not later
than upon termination or expiration of this Contract, deliver all such
documents to the Client, together with a detailed inventory thereof.
The Consultant may retain a copy of such documents, data and/or
software but shall not use the same for purposes unrelated to this
Contract without prior written approval of the Client.

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

28. Equipment, 28.1 Equipment, vehicles and materials made available to the
Vehicles and Consultant by the Client, or purchased by the Consultant wholly or
Materials partly with funds provided by the Client, shall be the property of the
Client and shall be marked accordingly. Upon termination or
expiration of this Contract, the Consultant shall make available to the
Client an inventory of such equipment, vehicles and materials and
shall dispose of such equipment, vehicles and materials in accordance

91 | P a g e
II. General Conditions of Contract Lump-Sum

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

28.2 Any equipment or materials brought by the Consultant or its
Experts into the Client’s country for the use either for the project or
personal use shall remain the property of the Consultant or the Experts
concerned, as applicable.

D. CONSULTANT’S EXPERTS ANDSUB-CONSULTANTS

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

30. Replacement of Key 30.1 Except as the Client may otherwise agree in writing, no

Experts changes shall be made in the Key Experts.

30.2 Notwithstanding the above, the substitution of Key Experts
during Contract execution may be considered only based on the
Consultant’s written request and due to circumstances outside the
reasonable control of the Consultant, including but not limited to
death or medical incapacity. In such case, the Consultant shall
forthwith provide as a replacement, a person of equivalent or better
qualifications and experience, and at the same rate of remuneration.

31. Removal of Experts 31.1 If the Client finds that any of the Experts or Sub-consultant
or Sub-consultants has committed serious misconduct or has been charged with having
committed a criminal action, or shall the Client determine that
Consultant’s Expert of Sub-consultant have engaged in corrupt,
fraudulent, collusive, coercive or obstructivepractice while
performing the Services, the Consultant shall, at the Client’s written
request, provide a replacement.

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

31.3 Any replacement of the removed Experts or Sub-consultants
shall possess better qualifications and experience and shall be
acceptable to the Client.

31.4 The Consultant shall bear all costs arising out of or incidental
to any removal and/or replacement of such Experts.

92 | P a g e
II. General Conditions of Contract Lump-Sum

32. Assistance and E. OBLIGATIONS OF THE CLIENT
Exemptions
32.1 Unless otherwise specified in the SCC, the Client shall use its
33. Access to Project best efforts to:
Site
(a) Assist the Consultant with obtaining work permits and such
other documents as shall be necessary to enable the Consultant
to perform the Services.

(b) Assist the Consultant with promptly obtaining, for the Experts
and, if appropriate, their eligible dependents, all necessary entry
and exit visas, residence permits, exchange permits and any
other documents required for their stay in the Client’s country
while carrying out the Services under the Contract.

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

(c) Issue to officials, agents and representatives of the Government
all such instructions and information as may be necessary or
appropriate for the prompt and effective implementation of the
Services.

(d) Assist the Consultant and the Experts and any Sub-consultants
employed by the Consultant for the Services with obtaining
exemption from any requirement to register or obtain any
permit to practice their profession or to establish themselves
either individually or as a corporate entity in the Client’s
country according to the applicable law in the Client’s country.

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

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

33.1 The Client warrants that the Consultant shall have, free of
charge, unimpeded access to the project site in respect of which
access is required for the performance of the Services. The Client
will be responsible for any damage to the project site or any property
thereon resulting from such access and will indemnify the Consultant
and each of the experts in respect of liability for any such damage,
unless such damage is caused by the willful default or negligence of

93 | P a g e
II. General Conditions of Contract Lump-Sum

the Consultant or any Sub-consultants or the Experts of either of
them.

34. Change in the 34.1 If, after the date of this Contract, there is any change in the
Applicable Law applicable law in the Client’s country with respect to taxes and duties
Related to Taxes which increases or decreases the cost incurred by the Consultant in
and Duties performing the Services, then the remuneration and reimbursable
expenses otherwise payable to the Consultant under this Contract
shall be increased or decreased accordingly by agreement between
the Parties hereto, and corresponding adjustments shall be made to
the Contract price amount specified in Clause GCC 38.1

35. Services, Facilities 35.1 The Client shall make available to the Consultant and the
and Property of the Experts, for the purposes of the Services and free of any charge, the
Client services, facilities and property described in the Terms of Reference
(Appendix A) at the times and in the manner specified in said
Appendix A.

36. Counterpart 36.1 The Client shall make available to the Consultant free of
Personnel charge such professional and support counterpart personnel, to be
nominated by the Client with the Consultant’s advice, if specified in
Appendix A.

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

37. Payment 37.1 In consideration of the Services performed by the Consultant
Obligation under this Contract, the Client shall make such payments to the
Consultant for the deliverables specified in Appendix A and in such
manner as is provided by GCC F below.

38. Contract Price F. PAYMENTS TO THE CONSULTANT

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

38.2 Any change to the Contract price specified in Clause 38.1 can
be made only if the Parties have agreed to the revised scope of
Services pursuant to Clause GCC 16 and have amended in writing the
Terms of Reference in Appendix A.

94 | P a g e
II. General Conditions of Contract Lump-Sum

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

39.2 As an exception to the above and as stated in the SCC, all
local identifiable indirect taxes (itemized and finalized at Contract
negotiations) are reimbursed to the Consultant or are paid by the
Client on behalf of the Consultant.

40. Currency of 40.1 Any payment under this Contract shall be made in the
Payment currency(ies) of the Contract.

41. Mode of Billing and 41.1 The total payments under this Contract shall not exceed the

Payment Contract price set forth in Clause GCC 38.1.

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

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

41.2.2 The Lump-Sum Installment Payments. The Client shall
pay the Consultant within sixty (60) days after the receipt by
the Client of the deliverable(s) and the cover invoice for the
related lump-sum installment payment. The payment can be
withheld if the Client does not approve the submitted
deliverable(s) as satisfactory in which case the Client shall
provide comments to the Consultant within the same sixty (60)
days period. The Consultant shall thereupon promptly make
any necessary corrections, and thereafter the foregoing process
shall be repeated.

41.2.3 The Final Payment .The final payment under this
Clause shall be made only after the final report l have been
submitted by the Consultant and approved as satisfactory by the
Client. The Services shall then be deemed completed and finally
accepted by the Client. The last lump-sum installment shall be

95 | P a g e
II. General Conditions of Contract Lump-Sum

deemed approved for payment by the Client within ninety (90)
calendar days after receipt of the final report by the Client unless
the Client, within such ninety (90) calendar day period, gives
written notice to the Consultant specifying in detail deficiencies in
the Services, the final report. The Consultant shall thereupon
promptly make any necessary corrections, and thereafter the
foregoing process shall be repeated. 41.2.4 All payments under
this Contract shall be made to the accounts of the Consultant
specified in the SCC.

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

42. Interest on Delayed 42.1 If the Client had delayed payments beyond fifteen (15) days
Payments after the due date stated in Clause GCC 41.2.2 , interest shall be paid
to the Consultant on any amount due by, not paid on, such due date
for each day of delay at the annual rate stated in the SCC.

43. Good Faith G. FAIRNESS AND GOOD FAITH

43.1 The Parties undertake to act in good faith with respect to
each other’s rights under this Contract and to adopt all reasonable
measures to ensure the realization of the objectives of this Contract.

H. SETTLEMENT OF DISPUTES

44. Amicable 44.1 The Parties shall seek to resolve any dispute amicably by
Settlement mutual consultation.

44.2 If either Party objects to any action or inaction of the other
Party, the objecting Party may file a written Notice of Dispute to the
other Party providing in detail the basis of the dispute. The Party
receiving the Notice of Dispute will consider it and respond in
writing within fourteen (14) days after receipt. If that Party fails to
respond within fourteen (14) days, or the dispute cannot be amicably
settled within fourteen (14) days following the response of that Party,
Clause GCC 45.1 shall apply.

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

96 | P a g e
II. General Conditions of Contract – Attachment 1 Lump-Sum

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 IDA
Credits & 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 of
ethics 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 the selection process or contract execution for undue advantage is improper.]. In
pursuance 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 or
indirectly, of anything of value to influence improperly the actions of another party8;

(ii) “fraudulent practice” is any act or omission, including misrepresentation, that
knowingly or recklessly misleads, or attempts to mislead, a party to obtain financial
or other benefit or to avoid an obligation9;

(iii) “collusive practices” is an arrangement between two or more parties designed to
achieve an improper purpose, including to influence improperly the actions of
another party10;

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

9 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 the
selection process or contract execution.

10 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 in
the procurement or selection process, to simulate competition or to establish prices at artificial, non-competitive
levels, or are privy to each other’s bid prices or other conditions.

97 | P a g e
II. General Conditions of Contract – Attachment 1 Lump-Sum

(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 improperly
the actions of a party11;

(v) “obstructive practice” is

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

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

(b) will reject a proposal for award if it determines that the consultant recommended for
award 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, engaged
in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for the
contract in question;

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

(d) will sanction a firm or an individual at any time, in accordance with prevailing Bank’s
sanctions procedures12, including by publicly declaring such firm or an ineligible, either
indefinitely or for a stated period of time: (i) to be awarded a Bank-financed contract, and
(ii) to be a nominated13 sub-consultant, supplier, or service provider of an otherwise
eligible firm being awarded a Bank-financed contract.

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

12 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 sanctions
procedures for fraud and corruption; and (ii) as a result of temporary suspension or early temporary suspension
in connection with an ongoing sanctions proceedings. See footnote 12 and paragraph 8 of Appendix 1 of these
Guidelines.

13 A nominated sub-consultant, supplier, or service provider is one which has been either (i) included by the
consultant in its proposal because it brings specific and critical experience and know-how that are accounted for

98 | P a g e
II. General Conditions of Contract – Attachment 1

in the technical evaluation of the consultant’s proposal for the particular services; or (ii) appointed by the
Borrower.

99 | P a g e
III. Special Conditions of Contract Lump-Sum

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 GC Amendments of, and Supplements to, Clauses in the General
Clause Conditions of Contract

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

[Bank-financed contracts normally designate the law of the
[Government’s/Client’s] country as the law governing the contract.
However, the Parties may designate the law of another country, in
which case the name of the respective country should be inserted, and
the square brackets should be removed.]

4.1 The language is: English

6.1 and 6.2 The addresses are:

Client :

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

Consultant :

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

8.1 [If the Consultant consists only of one entity, state “N/A”;

OR

If the Consultant is a Joint Venture consisting of more than one entity,

the name of the JV member whose address is specified in Clause

SCC6.1 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: [name, title]

For the Consultant: [name, title]

101 | P a g e
III. Special Conditions of Contract Lump-Sum

11.1 [Note: If there are no effectiveness conditions, state “N/A”]

12.1 OR
13.1
14.1 List here any conditions of effectiveness of the Contract, e.g., approval
21 b. of the Contract by the Bank, effectiveness of the Bank
[loan/credit/grant], receipt by the Consultant of an advance payment,
and by the Client of an advance payment guarantee (see Clause
SCC45.1(a)), etc.]

The effectiveness conditions are the following: [insert “N/A” or list
the conditions]

Termination of Contract for Failure to Become Effective:

The time period shall be_______________________[insert time
period, e.g.: four months].

Commencement of Services:

The number of days shall be_________________[e.g.: ten].

Confirmation of Key Experts’ availability to start the Assignment shall
be submitted to the Client in writing as a written statement signed by
each Key Expert.

Expiration of Contract:

The time period shall be________________________ [insert time
period, e.g.: twelve months].

The Client reserves the right to determine on a case-by-case basis
whether the Consultant should be disqualified from providing
goods, works or non-consulting services due to a conflict of a
nature described in Clause GCC 21.1.3

Yes______ No _____

102 | P a g e
III. Special Conditions of Contract Lump-Sum

23.1 No additional provisions.

[OR

The following limitation of the Consultant’s Liability towards the
Client 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 on
the part of the Consultant or on the part of any person
or a firm acting on behalf of the Consultant in carrying
out the Services, the Consultant, with respect to damage
caused by the Consultant to the Client’s property, shall
not be liable to the Client:

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

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

(b) This limitation of liability shall not

(i) affect the Consultant’s liability, if any, for damage to
Third Parties caused by the Consultant or any person or
firm acting on behalf of the Consultant in carrying out the
Services;

(ii) be construed as providing the Consultant with any
limitation or exclusion from liability which is prohibited
by the [insert “Applicable Law”, if it is the law of the
Client’s country, or insert “applicable law in the Client’s
country”, 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 the
Consultant in the Proposal to introduce exclusions/limitations of the
Consultant’s liability under the Contract should be carefully
scrutinized by the Client and discussed with the Bank prior to
accepting any changes to what was included in the issued RFP. In this
regard, the Parties should be aware of the Bank’s policy on this
matter which is as follows:

To be acceptable to the Bank, any limitation of the Consultant’s
liability should at the very least be reasonably related to (a) the

103 | P a g e
III. Special Conditions of Contract Lump-Sum

24.1 damage the Consultant might potentially cause to the Client, and (b)
104 | P a g e the Consultant’s ability to pay compensation using its own assets and
reasonably obtainable insurance coverage. The Consultant’s liability
shall not be limited to less than a multiplier of the total payments to
the Consultant under the Contract for remuneration and reimbursable
expenses. A statement to the effect that the Consultant is liable only
for the re-performance of faulty Services is not acceptable to the
Bank. Also, the Consultant’s liability should never be limited for loss
or damage caused by the Consultant’s gross negligence or willful
misconduct.

The Bank does not accept a provision to the effect that the Client shall
indemnify and hold harmless the Consultant against Third Party
claims, except, of course, if a claim is based on loss or damage
caused by a default or wrongful act of the Client to the extent
permissible by the law applicable in the Client’s country.]

The insurance coverage against the risks shall be as follows:

[Delete what is not applicable except (a)].

(a) Professional liability insurance, with a minimum coverage
of______________________[insert amount and currency which
should be not less than the total ceiling amount of the Contract];

(b) Third Party motor vehicle liability insurance in respect of motor
vehicles operated in the Client’s country by the Consultant or its
Experts or Sub-consultants, with a minimum coverage of [insert
amount and currency or state “in accordance with the applicable
law in the Client’s country”];

(c) Third Party liability insurance, with a minimum coverage of
[insert amount and currency or state “in accordance with the
applicable law in the Client’s country”];

(d) employer’s liability and workers’ compensation insurance in
respect of the experts and Sub-consultants in accordance with the
relevant 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 in
whole or in part with funds provided under this Contract, (ii) the
Consultant’s property used in the performance of the Services,
and (iii) any documents prepared by the Consultant in the
III. Special Conditions of Contract Lump-Sum

performance of the Services.

27.1 [If applicable, insert any exceptions to proprietary rights

provision____________________________________]

27.2 [If there is to be no restriction on the future use of these documents by

either Party, this Clause SCC 27.2 should be deleted. If the Parties

wish to restrict such use, any of the following options, or any other

option agreed to by the Parties, could be used:

[The Consultant shall not use these [insert what
applies…….documents and software………..]for purposes unrelated
to this Contract without the prior written approval of the Client.]

[OR]

[The Client shall not use these [insert what applies…….documents

and software………..]for purposes unrelated to this Contract

without the prior written approval of the Consultant.]

32.1 [OR]
(a) through (e)
32.1(f) [Neither Party shall use these [insert what applies…….documents
and software………..] for purposes unrelated to this Contract
38.1 without the prior written approval of the other Party.]

[List here any changes or additions to Clause GCC 32.1. If there are
no such changes or additions, delete this Clause SCC 321.]

[List here any other assistance to be provided by the Client. If there is
no such other assistance, delete this Clause SCC 32.1(f).]

The Contract price is: ____________________ [insert amount and
currency for each currency as applicable] [indicate: inclusive or
exclusive] of local indirect taxes.

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

105 | P a g e
III. Special Conditions of Contract Lump-Sum

39.1 and 39.2 The amount of such taxes is ____________________ [insert the
amount as finalized at the Contract’s negotiations on the basis of
the estimates provided by the Consultant in Form FIN-2 of the
Consultant’s Financial Proposal.

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

The Client warrants that [choose one applicable option consistent
with 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: “the
Consultant, the Sub-consultants and the Experts shall be exempt
from”

OR

If ITC16.3 does not indicate the exemption and, depending on whether
the 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 the
Consultant, the Sub-consultants and the Experts”]

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

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

(b) any equipment, materials and supplies brought into the
Client’s country by the Consultant or Sub-consultants for the
purpose of carrying out the Services and which, after having
been brought into such territories, will be subsequently
withdrawn by them;

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

(d) any property brought into the Client’s country by the
Consultant, any Sub-consultants or the Experts (other than

106 | P a g e
III. Special Conditions of Contract Lump-Sum

41.2 nationals or permanent residents of the Client’s country), or
41.2.1 the eligible dependents of such experts for their personal use
and which willsubsequently be withdrawn by them upon
their respective departure from the Client’s country,
provided that:

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

(ii) if the Consultant, Sub-consultants or Experts do not
withdraw but dispose of any property in the Client’s
country upon which customs duties and taxes have been
exempted, the Consultant, Sub-consultants or Experts,
as the case may be, (a) shall bear such customs duties
and taxes in conformity with the regulations of the
Client’s country, or (b) shall reimburse them to the
Client if they were paid by the Client at the time the
property in question was brought into the Client’s
country.

The payment schedule:
At each stage/deliverables, the draft report will be submitted and
shared with the Project authorities and after inputs/feedback of the
Project, the final reports will be submitted)

Proportionate payment of the contract value i.e. for each
semester on submission of final internal audit report with
executive summary for PSU and each of the hospitals covered in
audit in that semester.

[Total sum of all installments shall not exceed the Contract price set
up in SCC38.1.]

[The advance payment could be in either the foreign currency, or the
local currency, or both; select the correct wording in the Clause here
below. The advance bank payment guarantee should be in the same
currency(ies)]

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

(1) An advance payment [of [insert amount] in foreign currency]
[and of [insert amount] in local currency] shall be made within

107 | P a g e
III. Special Conditions of Contract Lump-Sum

41.2.4 [insert number] days after the receipt of an advance bank
42.1 payment guarantee by the Client. The advance payment will be
45.1 set off by the Client in equal portions against [list the payments
against which the advance is offset].
108 | P a g e
(2) The advance bank payment guarantee shall be in the amount and
in the currency of the currency (ies) of the advance payment.

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

The accounts are:

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

The interest rate is: [insert rate].

[In contracts with foreign consultants, the Bank requires that the
international commercial arbitration in a neutral venue is used.]

Disputes shall be settled by arbitration in accordance with the
following provisions:

1. Selection of Arbitrators. Each dispute submitted by a Party to
arbitration shall be heard by a sole arbitrator or an arbitration
panel composed of three (3) arbitrators, in accordance with the
following provisions:

(a) Where the Parties agree that the dispute concerns a
technical matter, they may agree to appoint a sole arbitrator
or, failing agreement on the identity of such sole arbitrator
within thirty (30) days after receipt by the other Party of the
proposal of a name for such an appointment by the Party
who initiated the proceedings, either Party may apply to
President, Institution of Engineers India, New Delhi for
a list of not fewer than five (5) nominees and, on receipt of
such list, the Parties shall alternately strike names
therefrom, and the last remaining nominee on the list shall
be the sole arbitrator for the matter in dispute. If the last
remaining nominee has not been determined in this manner
within sixty (60) days of the date of the list, President,
Institution of Engineers India, New Delhi shall appoint,
upon the request of either Party and from such list or
otherwise, a sole arbitrator for the matter in dispute.

(b) Where the Parties do not agree that the dispute concerns a
III. Special Conditions of Contract Lump-Sum

technical matter, the Client and the Consultant shall each
appoint one (1) arbitrator, and these two arbitrators shall
jointly appoint a third arbitrator, who shall chair the
arbitration panel. If the arbitrators named by the Parties do
not succeed in appointing a third arbitrator within thirty
(30) days after the latter of the two (2) arbitrators named by
the Parties has been appointed, the third arbitrator shall, at
the request of either Party, be appointed by Secretary, the
Indian Council of Arbitration, New Delhi

(c) If, in a dispute subject to paragraph (b) above, one Party
fails to appoint its arbitrator within thirty (30) days after the
other Party has appointed its arbitrator, the Party which has
named an arbitrator may apply to the Secretary, the Indian
Council of Arbitration, New Delhi to appoint a sole
arbitrator for the matter in dispute, and the arbitrator
appointed pursuant to such application shall be the sole
arbitrator for that dispute.

 

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

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

4. Nationality and Qualifications of Arbitrators. The sole arbitrator
or the third arbitrator appointed pursuant to paragraphs 1(a)
through 1(c) above shall be an internationally recognized legal or
technical expert with extensive experience in relation to the
matter in dispute and shall not be a national of the Consultant’s
home 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 the
Consultant consists of more than one entity, add: or of any
of their members or Parties]; or

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

109 | P a g e
III. Special Conditions of Contract Lump-Sum

(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 [select a country which is neither the Client’s
country nor the Consultant’s country];

(b) the [type of language] language shall be the official
language for all purposes; and

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

110 | P a g e
IV. Appendices Lump-Sum

IV. Appendices

APPENDIX A – TERMS OF REFERENCE

……………………………………………………………………………………………

APPENDIX B - 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 table
shall be based on [Form FIN-3 and FIN-4] of the Consultant’s Proposal and reflect any changes
agreed at the Contract negotiations, if any. The footnote shall list such changes made to [Form
FIN-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 the
following:

“The agreed remuneration rates shall be stated in the attached Model Form I. This form
shall 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 the
Client prior to the Contract’s negotiations.

Should these representations be found by the Client (either through inspections or
audits pursuant to Clause GCC 25.2 or through other means) to be materially
incomplete or inaccurate, the Client shall be entitled to introduce appropriate
modifications in the remuneration rates affected by such materially incomplete or
inaccurate representations. Any such modification shall have retroactive effect and, in
case 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 monthly
payment to the Consultants, or (ii) if there are no further payments to be made by the
Client to the Consultants, the Consultants shall reimburse to the Client any excess
payment within thirty (30) days of receipt of a written claim of the Client. Any such
claim by the Client for reimbursement must be made within twelve (12) calendar
months after receipt by the Client of a final report and a final statement approved by
the Client in accordance with Clause GCC 45.1(d) of this Contract.”]

111 | P a g e
IV. Appendices Lump-Sum

Model Form I
Breakdown 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 basic
fees 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
Profit2
Basic Social Away from Agreed Fixed Rate Agreed Fixed Rate
Remuneration Charges1
Name Position Overhead1 Subtotal Home Office per Working per Working
rate per
Working Allowance Month/Day/Hour Month/Day/Hour1
Month/Day/Year

Home Office

Work in the Client’s
Country

1 Expressed as percentage of 1
2 Expressed as percentage of 4

* If more than one currency, add a table

Signature Date

Name and Title:

112 | P a g e
IV. Appendices Lump-Sum

APPENDIX D - FORM OF ADVANCE PAYMENTS GUARANTEE:

NOT APPLICABLE

[See Clause GCC 41.2.1 and SCC 41.2.1]
{Guarantor letterhead or SWIFT identifier code}

Bank Guarantee for Advance Payment

Guarantor:___________________ [insert commercial Bank’s Name, and Address of Issuing
Branch or Office]

Beneficiary: _________________ [insert Name and Address of Client]

Date: ____________[insert date]____

ADVANCE PAYMENT GUARANTEE No.: ___________[insert number]______

We have been informed that ____________ [name of Consultant or a name of the Joint
Venture, same as appears on the signed Contract] (hereinafter called "the Consultant") has
entered into Contract No. _____________ [reference number of the contract] dated
___[insert date]_________ with the Beneficiary, for the provision of __________________
[brief description of Services] (hereinafter called "the Contract").

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

At the request of the Consultant, we, as Guarantor, hereby irrevocably undertake to pay the
Beneficiary any sum or sums not exceeding in total an amount of ___________ [amount in
figures] () [amount in words]1 upon receipt by us of the Beneficiary’s complying demand
supported by the Beneficiary’s a written statement, whether in the demand itself or in a
separate signed document accompanying or identifying the demand, stating that the
Consultant is in breach of their obligation under the Contract because the Consultant:

(a) has failed to repay the advance payment in accordance with the Contract conditions,
specifying the amount which the Consultant has failed to repay;

(b) has used the advance payment for purposes other than toward providing the Services
under the Contract.

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

113 | P a g e
IV. Appendices Lump-Sum

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

The maximum amount of this guarantee shall be progressively reduced by the amount of the
advance payment repaid by the Consultant as indicated in certified statements or invoices
marked as “paid” by the Client which shall be presented to us. This guarantee shall expire, at
the latest, upon our receipt of the payment certificate or paid invoice indicating that the
Consultant has made full repayment of the amount of the advance payment, or on the __ day
of _[month]__________, [year]__,2 whichever is earlier. Consequently, any demand for
payment under this guarantee must be received by us at this office on or before that date.

This guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010
revision, ICC Publication No. 758.

_____________________
[signature(s)]

{Note: All italicized text is for indicative purposes only to assist in preparing this form and
shall 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, the
Client would need to request an extension of this guarantee from the Guarantor. Such request must be in
writing 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: “The
Guarantor 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 Guarantor
before the expiry of the guarantee.”

114 | P a g e

Home | About Us | Terms and Conditions | Contact Us
Copyright 2021 CAinINDIA All Right Reserved.
Designed and Developed by Ritz Consulting