NATIONAL CAPITAL REGION TRANSPORT CORPORATION

REGIONAL RAPID TRANSIT SYSTEM

R F P D O C U M E N T S

For

RFP No.: DA/GC/COR-OF/021: Carrying out Environmental and Social Impact Assessment (ESIA) and submitting report for Delhi-Gurugram-SNB Regional Rapid Transit System (RRTS) Corridor.

National Capital Region Transport Corporation Limited 7/6, Siri Fort Institutional Area, August Kranti Marg,

New Delhi – 110049 Tel: +91-11-41066943, Fax: +91-1141066953

Website: www.ncrtc.in

SELECTION OF CONSULTANTS

REQUEST FOR PROPOSALS

RFP No.: DA/GC/COR-OF/021

Selection of Consulting Services for: Carrying out Environmental and Social Impact Assessment (ESIA) and submitting report for Delhi-Gurugram-SNB Regional Rapid Transit System (RRTS) Corridor

National Capital Region Transport Corporation Limited 7/6, Siri Fort Institutional Area, August Kranti Marg,

New Delhi – 110049, India

Issued on 20.07.2020

Table of Contents

Section 1. Letter of Invitation ................................................................ 8

Section 2. Instructions to Consultants and Data Sheet .......................... 10

A. General Provisions ........................................................................... 10

1. Definitions ..................................................................................................................10

2. Introduction ...............................................................................................................11

3. Conflict of Interest ....................................................................................................11

4. Unfair Competitive Advantage ................................................................................12

5. Fraud and Corruption ...............................................................................................12

6. Eligibility ....................................................................................................................13

B. Preparation of Proposals ................................................................. 14

7. General Considerations ...................................................................................14 8. Cost of Preparation of Proposal .....................................................................14

9. Language ...........................................................................................................14

10. Documents Comprising the Proposal ............................................................14 11. Only One Proposal ...........................................................................................14 12. Proposal Validity ..............................................................................................15

13. Clarification and Amendment of RFP ...........................................................15 14. Preparation of Proposals – Specific Considerations ...................................16

15. Technical Proposal Format and Content ......................................................16

16. Financial Proposal............................................................................................17 C. Submission, Opening and Evaluation ............................................... 17

17. Submission, Sealing, and Marking of Proposals .........................................17

18. Confidentiality ..................................................................................................18 19. Opening of Technical Proposals .....................................................................19

20. Proposals Evaluation .......................................................................................19

21. Evaluation of Technical Proposals .................................................................19

22. Financial Proposals for QBS ...........................................................................19 23. Public Opening of Financial Proposals (for QCBS, FBS, and LCS methods) .....................................................................................................................19 24. Correction of Errors .........................................................................................20

25. Taxes ..................................................................................................................21

26. Conversion to Single Currency .......................................................................21 D. Negotiations and Award ................................................................... 22

E. Data Sheet ....................................................................................... 24

A. General ............................................................................................ 24

B. Preparation of Proposal ................................................................... 29

C. Submission, Opening and Evaluation ............................................... 34

D. Negotiations and Award .................................................................. 43

Section-3. Technical Proposal – Standard Forms .................................. 45

Section 4. Financial - Standard Forms ................................................ 86

Section 5. Eligible Countries ................................................................ 92

Section 6. Fraud and Corruption ......................................................... 94

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Section- 7. Employer’s Requirement-Terms of Reference ..................... 96

11.1 General .............................................................................................................112

11.2 Responsibility .................................................................................................112

Section- 8. General Conditions of Contract, Special Condition of Contract & Contract Form ................................................................................. 120

I. General Conditions of Contract .................................................. 120

A. GENERAL PROVISIONS ........................................................................ 120

1. Definitions ................................................................................................................120

2. Relationship between the Parties .........................................................................121

3. Law Governing Contract ........................................................................................121

4. Language ..................................................................................................................121

5. Headings ...................................................................................................................121

6. Communications .....................................................................................................121

7. Location ....................................................................................................................122

8. Authority of Member in Charge ............................................................................122

9. Authorized Representatives ...................................................................................122

10. Fraud and Corruption .............................................................................................122

B. COMMENCEMENT, COMPLETION, MODIFICATION AND TERMINATION OF

CONTRACT ............................................................................................ 121

11. Effectiveness of Contract ........................................................................................122

12. Termination of Contract for Failure to Become Effective .................................122

13. Commencement of Services ...................................................................................123

14. Expiration of Contract ............................................................................................123

15. Entire Agreement ....................................................................................................123

16. Modifications or Variations ...................................................................................123

17. Force Majeure ..........................................................................................................123

18. Suspension ...............................................................................................................124

19. Termination .............................................................................................................124

C. OBLIGATIONS OF THE CONSULTANT ...................................................... 126

20. General ......................................................................................................................126

21. Conflict of Interest ..................................................................................................127

22. Confidentiality .........................................................................................................128

23. Liability of the Consultant .....................................................................................128

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24. Insurance to be taken out by the Consultant ......................................................128

25. Accounting, Inspection and Auditing ...................................................................129

26. Reporting Obligations ............................................................................................129

27. Proprietary Rights of the Client in Reports and Records ..................................129

28. Equipment, Vehicles and Materials ......................................................................129

D. CONSULTANT’S EXPERTS AND SUB-CONSULTANTS................................... 130

29. Description of Key Experts ....................................................................................130

30. Replacement of Key Experts ..................................................................................130

31. Removal of Experts or Sub-consultants ...............................................................130

E. OBLIGATIONS OF THE CLIENT ............................................................... 130

32. Assistance and Exemptions ...................................................................................131

33. Access to Project Site ..............................................................................................131

34. Change in the Applicable Law Related to Taxes and Duties .............................131

35. Services, Facilities and Property of the Client ....................................................132

36. Counterpart Personnel ...........................................................................................132

37. Payment Obligation ................................................................................................132

F. PAYMENTS TO THE CONSULTANT ........................................................... 132

38. Contract Price ..........................................................................................................132

39. Taxes and Duties .....................................................................................................132

40. Currency of Payment ..............................................................................................132

41. Mode of Billing and Payment ................................................................................133

42. Interest on Delayed Payments ...............................................................................134

G. FAIRNESS AND GOOD FAITH ................................................................ 134

43. Good Faith ................................................................................................................134

H. SETTLEMENT OF DISPUTES .................................................................. 134

44. Amicable Settlement ...............................................................................................134

45. Dispute Resolution ..................................................................................................134

II. Special Conditions of Contract ................................................... 136

III. Appendices ................................................................................ 153

Appendix A - Key Experts ............................................................................................153

APPENDIX- B ................................................................................................................155

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Section 9: Contract Forms ................................................................... 156

FORM No. COF/1 ...........................................................................................................156

FORM No. COF/2 .........................................................................................................158

FORM No. COF/3 .........................................................................................................161

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ABBREVIATIONS CoC Codes of Conduct DG Diesel Generator DPR Detailed Project Report EHSG Environmental, Health, and Safety Guidelines ERP Emergency Response Plan E&S Environmental and Social ESA Environmental and Social Assessments ESCP Environment and Social Commitment Plan ESHS Environment, Social, Health and Safety ESF Environmental and Social Framework ESIA Environmental and Social Impact Assessment ESS Environmental and Social Standard ESMP Environmental and Social Management Plan FGD Focussed Group Discussions FPIC Free Prior and Informed Consent GBV Gender Based Violations GHG Green House Gases GIS Geographic Information System GOI Government of India GRC Grievance Redressal GRM Grievance Redressal Mechanism MBIR Manesar-Bawal Investment Region M&E Monitoring and Evaluation INA Name of Station near INA Colony NCR National Capital Region NCRPB National Capital Region, the National Capital Region Planning Board NCRTC National Capital Region Transport Corporation NGO No Government Organization NH National Highway NOC No Objection Certificate OHS Occupational Health and Safety O&M Operation and Maintenance PIA Project influence Area PMC Project Management Consultancy PPE Personal Protective Equipment RRTS Regional Rapid Transit System RAP Resettlement Action Plan R&R Resettlement and Rehabilitation SECs Special Environmental Clauses SKK Sarai Kale Khan SNB Shahjahanpur-Neemrana-Behror SOGI Sexual Orientation and Gender Identity SOP Standard Operating Procedure TDP Tribal Development Plan VEC Valued Environmental Components SEA Sexual Exploitation and Abuse SEP Stakeholder Engagement Plan SH Sexual Harassment ToR Terms of Reference WB World Bank

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PART I

Section 1. Letter of Invitation

RFP No. DA/GC/COR-OF/021 Delhi, Date: 20.07.2020

1. The National Capital Region Transport Corporation Ltd. (NCRTC), a joint

venture Company of Government of India and participating States, having its Corporate office at 7/6, Siri Fort Institutional Area, August Kranti Marg, New Delhi – 110049, India, invites Open e-proposals (Electronic Proposals) (Manual Proposals are not permitted) on Local Competitive Bidding (LCB) under single stage two packet system to provide the following consulting services (hereinafter called “Services”). More details on the Services are provided in the Terms of Reference (Section-7).

Name of Service: DA/GC/COR-OF/021: Carrying out Environmental and Social Impact Assessment (ESIA) and submitting report for Delhi-Gurugram-SNB Regional Rapid Transit System (RRTS) Corridor.

2. A firm will be selected under Quality and Cost Based Selection (QCBS) and in a Full

Technical Proposal (FTP) format as described in this RFP.

3. 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 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 - General Conditions of Contract,

Special Condition of Contract & Contract Form Section 9 - Alignment Map SKK-SNB. Section 10- Financial Proposal.

4. General Instructions on e-procurement

a. The intending consultants must be registered on e-procurement portal of NCRTC at {https://etenders.gov.in/eprocure/app}. Those who are not registered on the e- procurement Portal shall be required to get registered beforehand. After registration, the Consultant will get user-id and password. On login, Consultant can participate in procurement process and can witness various activities of the procurement process.

b. The authorized signatory of intending Consultant, as per notarized Power of Attorney (POA), must have valid class-III digital signature. The RFP document can only be downloaded from e-procurement portal of NCRTC. However, the Consultant shall upload their proposal on e-procurement portal of NCRTC using class-III digital signature of the authorized signatory only.

c. Proposal submissions shall be done online on e-procurement portal of NCRTC, after uploading the mandatory scanned documents towards Proposal Security as stated in the RFP document.

d. Submission of proposal shall be closed on e-procurement portal of NCRTC at

the date & time of submission prescribed in ITC clause 17.7 after which no proposal can be uploaded. It shall be the responsibility of the consultant to ensure that his proposal is uploaded online on e-procurement portal of NCRTC

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before the deadline of submission. NCRTC will not be responsible for non-receipt of RFP documents due to any delay and/or loss etc.

e. NCRTC reserves the right to accept or reject any or all proposals any time without assigning any reasons. No consultant shall have any cause of action or claim against the NCRTC for rejection of proposals.

f. Consultants are advised to keep in touch with e-procurement portal of NCRTC

for any updates.

g. The Letter of Acceptance (LOA) to the successful consultant shall be uploaded on e-procurement portal which can be downloaded by the successful consultant.

h. Consultants are advised to note the eligibility as stipulated in the RFP document.

4.1 Instructions for Online Proposal Submission:

The Consultants are required to submit soft copies of their proposals electronically on the e-procurement Portal specified in Data Sheet clause 10.4, using valid Digital Signature Certificates. The instructions given below are meant to assist the consultants in registering on the e-procurement Portal, prepare their proposals in accordance with the requirements and submitting their proposals online on the e-procurement Portal.

[More information useful for submitting online proposals on the CPP Portal may be obtained at e-procurement Portal {https://etenders.gov.in/eprocure/app}].

4.2 Communications-All communications including the submission of Proposal should be addressed to:

Group General Manager/ Procurement

National Capital Region Transport Corporation Ltd.

7/6, Siri Fort Institutional Area,

August Kranti Marg,

New Delhi – 110049

Tel: +91-11-41066943

Fax: +91-11-41066953

Email: - procurementcell@ncrtc.in

5. Details on the proposal’s submission date, time and address are provided in ITC 17.7 and 17.9.

Yours sincerely,

Group General Manager /Procurement National Capital Region Transport Corporation Ltd.

7/6, Siri Fort Institutional Area, August Kranti Marg, New Delhi-110049.

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Section 2. Instructions to Consultants and Data Sheet

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 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.

(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 that signs the [loan/financing/grant1] agreement with 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 an entity that may provide or provides the Services to the Client under the Contract.

(g) “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).

(h) “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.

(i) “Day” means a calendar day, unless otherwise specified as “Business Day”. A Business Day is any day that is an official working day of the Borrower. It excludes the Borrower’s official public holidays.

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

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

(l) “in writing” means communicated in written form (e.g. by mail, e-mail, fax, including, if specified in the Data Sheet, distributed or received through the electronic-procurement system used by the Client) with proof of receipt.

(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

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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) means the Instructions to Consultants that provides the Consultants with all information needed to prepare their Proposals.

(p) “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.

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

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

(s) “SPD-RFP” means the Standard Procurement Document - Request for Proposals, which must be used by the Client as the basis for the preparation of the RFP.

(t) “Services” means the work to be performed by the Consultant pursuant to the Contract.

(u) “Sub-consultant” means an entity to whom the Consultant intends to subcontract any part of the Services while the Consultant remains responsible to the Client during the whole performance of the Contract.

(v) “Terms of Reference (TORs)” (this Section 7 of the RFP) means the Terms of Reference that explains 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. Introduction 2.1 The Client named in the Data Sheet intends to select a Consultant from those listed in the Request for Proposals (RFP), in accordance with the method of selection specified in the Data Sheet.

2.2 The 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. Conflict of Interest

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

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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 foregoing, and unless stated otherwise in the Data Sheet, the Consultant shall not be hired under the circumstances set forth below:

a. Conflicting activities

(i) Conflict between consulting activities and procurement of goods, works or non-consulting services: a firm that has been engaged by the Client to provide goods, works, or non-consulting services for a project, or any of its Affiliates, shall be disqualified from providing consulting services resulting from or directly related to those goods, works, or non-consulting services. Conversely, a firm hired to provide consulting services for the preparation or implementation of a project, or 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.

b. Conflicting assignments

(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.

c. Conflicting relationships

(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. Unfair Competitive Advantage

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 Consultants together with this RFP all information that would in that respect give such Consultant any unfair competitive advantage over competing Consultants.

5. Fraud and Corruption

5.1 The Bank requires compliance with the Bank’s Anti-Corruption Guidelines and its prevailing sanctions policies and procedures as

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set forth in the WBG’s Sanctions Framework, as set forth in Section 6.

5.2 In further pursuance of this policy, Consultants shall permit and shall cause their agents (where declared or not), subcontractors, subconsultants, service providers, suppliers, and their personnel, to permit the Bank to inspect all accounts, records and other documents relating to any shortlisting process, Proposal submission, and contract performance (in the case of award), and to have them audited by auditors appointed by the Bank.

6. Eligibility 6.1 The Bank permits consultants (individuals and firms, including Joint Ventures and their individual members) from 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 Procurement Regulations.

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

a. Sanctions 6.3.1 A Consultant that has been sanctioned by the Bank, pursuant to the Bank’s Anti-Corruption Guidelines and in accordance with its prevailing sanctions policies and procedures as set forth in the WBG’s Sanctions Framework as described in Section VI, Fraud and Corruption, paragraph 2.2 d., shall be ineligible to be shortlisted for, submit proposals for, or be awarded a Bank-financed contract or benefit from a Bank-financed contract, financially or otherwise, during such period of time as the Bank shall have determined. The list of debarred firms and individuals is available at the electronic address specified in the Data Sheet.

b. Prohibitions 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.

c. Restrictions for State-owned Enterprises

State-owned enterprises or institutions in the Borrower’s country may be eligible to compete and be awarded a contract only if they can establish, in a manner acceptable to the Bank, that they: (i) are legally and financially autonomous, (ii)

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operate under commercial law, and (iii) are not under supervision of the Client.

d. Restrictions for public employees

Government officials and civil servants of the Borrower’s country are not eligible to be included as Experts, individuals, or members of a team of Experts in the Consultant’s Proposal unless:

(i) the services of the government official or civil servant are of a unique and exceptional nature, or their participation is critical to project implementation; and

(ii) their hiring would not create a conflict of interest, including any conflict with employment or other laws, regulations, or policies of the Borrower.

e. Borrower Debarment

A firm that is under a sanction of debarment by the Borrower from being awarded a contract is eligible to participate in this procurement, unless the Bank, at the Borrower’s request, is satisfied that the debarment; (a) relates to fraud or corruption, and (b) followed a judicial or administrative proceeding that afforded the firm adequate due process.

B. Preparation of Proposals

7. General Considerations

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

8. Cost of Preparation of Proposal

8.1 The Consultant shall bear all costs associated with the preparation and submission of its Proposal, and the Client shall 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.

9. Language 9.1 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.

10. Documents Comprising the Proposal

10.1 The Proposal shall comprise the documents and forms listed in the Data Sheet. 10.2 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). 10.3 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).

11. Only One Proposal

11.1 The Consultant (including the individual members of any Joint Venture) shall submit only one Proposal, either in its own name or as part of a Joint Venture in another Proposal. If a

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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.

12. Proposal Validity

12.1 The Data Sheet indicates the period during which the Consultant’s Proposal must remain valid after the Proposal submission deadline. 12.2 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. 12.3 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 ITC 5.

a. Extension of Validity Period

12.4 The Client will make its best effort to complete the negotiations and award the contract 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. 12.5 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, except as provided in ITC 12.7. 12.6 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 Key Experts at Validity Extension

12.7 If any of the Key Experts become unavailable for the extended validity period, the Consultant shall seek to substitute him with another Key Expert. The Consultant shall provide a written adequate justification and evidence satisfactory to the Client together with the substitution request. In such case, a substitute 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. 12.8 If the Consultant fails to provide a substitute 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-Contracting

12.9 The Consultant shall not subcontract the whole of the Services.

13. Clarification and Amendment of RFP

13.1 The Consultant may request a clarification of any part of the RFP during the period indicated in the Data Sheet before the 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 writing, or by standard electronic means, and will send written copies of the response (including an explanation of the query but without identifying its source) to all Consultants. Should the Client

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deem it necessary to amend the RFP as a result of a clarification, it shall do so following the procedure described below:

13.1.1 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 Consultants and will be binding on them. The Consultants shall acknowledge receipt of all amendments in writing. 13.1.2 If the amendment is substantial, the Client may extend the proposal submission deadline to give the Consultants reasonable time to take an amendment into account in their Proposals.

13.2 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.

14. Preparation of Proposals – Specific Considerations

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

14.1.1 If a 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. 14.1.2 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. 14.1.3 If stated in the Data Sheet, the Consultant shall 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. 14.1.4 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.

15. Technical Proposal Format and Content

15.1 The Technical Proposal shall be prepared using the Standard Forms provided in Section 3 of the RFP and shall comprise the documents listed in the Data Sheet. The Technical Proposal shall not include any financial information. A Technical Proposal containing material financial 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.

15.2 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.

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16. Financial Proposal

16.1 The Financial Proposal shall be prepared using the 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 Adjustment

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

b. Taxes 16.3 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 Proposal

16.4 The Consultant may express the price for its Services in 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 Payment

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

C. Submission, Opening and Evaluation

17. Submission, Sealing, and Marking of Proposals

17.1 The Consultant shall submit a signed and complete Proposal comprising the documents and forms in accordance with ITC 10 (Documents Comprising Proposal). Consultants shall mark as “CONFIDENTIAL” information in their Proposals which is confidential to their business. This may include proprietary information, trade secrets or commercial or financially sensitive information. 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.

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17.5 The original and all the copies of the Technical Proposal shall be placed inside 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) and its copies shall be placed inside of a separate sealed envelope clearly marked “FINANCIAL

PROPOSAL” , [name of the assignment], [reference number], [name and address of the Consultant], and with a warning “DO

NOT OPEN WITH THE TECHNICAL PROPOSAL.”

17.7 The sealed envelopes containing the Technical and Financial Proposals shall be placed into one outer envelope and sealed. This outer envelope shall be addressed to the Client and 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.

18. 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 Notification of Intention to Award the Contract. Exceptions to this ITC are where the Client notifies Consultants of the results of the evaluation of the Technical Proposals. 18.2 Any attempt by 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 shall do so only in writing.

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19. Opening of Technical Proposals

19.1 The Client’s evaluation committee shall conduct the opening of the Technical Proposals in the presence of the 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 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 ITC 23. 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.

20. Proposals Evaluation

20.1 Subject to provision of ITC 15.1, the 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 deadline except as permitted under ITC 12.7. While evaluating the Proposals, the Client will conduct the evaluation solely on the basis of the submitted Technical and Financial Proposals.

21. Evaluation of Technical Proposals

21.1 The Client’s evaluation committee shall evaluate the 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.

22. Financial Proposals for QBS

22.1 Following the ranking of the Technical Proposals, when 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.

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

23.1 After the technical evaluation is completed and the Bank has issued its no objection (if applicable), the Client shall notify those Consultants whose Proposals were considered non-responsive to the RFP and TOR or did not meet the minimum qualifying technical score, advising them the following:

(i) their Proposal was not responsive to the RFP and TOR or did not meet the minimum qualifying technical score;

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(ii) provide information relating to the Consultant’s overall technical score, as well as scores obtained for each criterion and sub-criterion;

(iii) their Financial Proposals will be returned unopened after completing the selection process and Contract signing; and

(iv) notify them of the date, time and location of the public opening of the Financial Proposals and invite them to attend.

23.2 The Client shall simultaneously notify in writing those Consultants whose Proposals were considered responsive to the RFP and TOR, and that have achieved the minimum qualifying technical score, advising them the following:

(i) their Proposal was responsive to the RFP and TOR and met the minimum qualifying technical score;

(ii) provide information relating to the Consultant’s overall technical score, as well as scores obtained for each criterion and sub-criterion;

(iii) their Financial Proposal will be opened at the public opening of Financial Proposals; and

(iv) notify them of the date, time and location of the public opening and invite them for the opening of the Financial Proposals.

23.3 The opening date should allow the Consultants sufficient time to make arrangements for attending the opening and shall be no less than seven (7) Business Days from the date of notification of the results of the technical evaluation, described in ITC 23.1 and 23.2.

23.4 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.

23.5 The Financial Proposals shall be opened publicly by the Client’s evaluation committee in the presence of the representatives of the Consultants and anyone else who chooses to attend. Any interested party who wishes to attend this public opening should contact the client as indicated in the Data Sheet. Alternatively, a notice of the public opening of Financial Proposals may be published on the Client’s website, if available. 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.

24. 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.

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a. Time-Based Contracts

24.1.1 If a Time-Based contract form is included in the 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 included 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 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 Contracts

24.2 If a Lump-Sum contract form is included in the RFP, the 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 ITC 25, specified in the Financial Proposal (Form FIN-1) shall be considered as the offered price. Where there is a discrepancy between the amount in words and the amount figures, the amount in words shall prevail.

25. 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.

26. Conversion to Single Currency

26.1 For the evaluation purposes, prices shall be converted to 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 Cost-Based Selection (QCBS)

27.1 In the case of QCBS, the total score is calculated by weighting the technical and financial scores and adding them as per the formula and instructions in the Data Sheet. The Consultant with the Most Advantageous Proposal, which is the Proposal that achieves the highest combined technical and financial scores will be invited for negotiations.

b. Fixed-Budget Selection (FBS)

27.2 In the case of FBS, those Proposals that exceed the budget indicated in Clause 14.1.4 of the Data Sheet shall be rejected.

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

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c. Least-Cost Selection

27.4 In the case of Least-Cost Selection (LCS), the Client will select the Consultant with the Most Advantageous Proposal, which is the Proposal with the lowest evaluated total price among those Proposals that achieved the minimum qualifying technical score, and invite such a Consultant to negotiate the Contract.

D. Negotiations and Award

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

a. Availability of Key Experts

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 ITC 12. 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.

b. Technical negotiations

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.

c. Financial negotiations

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

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.

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

29. Conclusion of Negotiations

29.1 The negotiations 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. Award of Contract

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

31. Procurement Related Complaint

31.1 The procedures for making a Procurement-related Complaint are as specified in the Data Sheet

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E. Data Sheet

A. General

ITC Reference

1 (b) Replace ITC 1 (b) as follows

“Applicable Law” means the laws and any other instruments having the force of law in India.

1 (l)

Electronic –Procurement System

The Client shall use the following electronic-procurement system to manage this Request for Proposal (RFP) process:

[https://etenders.gov.in/eprocure/app.]

Instructions of using e-procurement portal for Proposal Searching, Preparation and Submission:

The Consultants are required to submit soft copies of their Proposals electronically on the e-procurement procure portal of NIC https://etenders.gov.in/eprocure/app, using valid Digital Signature Certificates. The instructions given below are meant to assist the Consultants in registering on the e-Procurement Portal, prepare their Proposals in accordance with the requirements and submitting their Proposals online on the e-procurement Portal.

More information useful for submitting online Proposals on the Portal may be obtained on the same portal of NIC.

1)Consultants are required to enroll on the above mentioned e-Procurement portal by clicking on the link “Online Consultant Enrollment” on the Portal which is free of charge.

2)As part of the enrolment process, the Consultants will be required to choose a unique username and assign a password for their accounts.

3)Consultants are advised to register their valid email address and mobile numbers as part of the registration process. These would be used for any communication from the e-procurement Portal.

4)Upon enrolment, the Consultants will be required to register their valid Digital Signature Certificate (DSC) (Class III Certificates with signing key usage) issued by any Certifying Authority recognized by CCA India (e.g. Sify /nCode / eMudhra etc.), with their profile.

5)Only one valid DSC should be registered by a Consultant. Please note that the Consultants are responsible to ensure that they do not lend their DSC’s to others which may lead to misuse.

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6)Consultant then logs in to the site through the secured log-in by entering their user ID / password and the password of the DSC / e-Token.

SEARCHING FOR PROPOSAL DOCUMENTS

1)There are various search options built in the e-Procurement Portal, to facilitate Consultants to search active Proposals by several parameters. These parameters could include Proposal ID, Organization Name, Location, Date, Value, etc. There is also an option of advanced search for Proposals, wherein the Consultants may combine a number of search parameters such as Organization Name, Form of Contract, Location, Date, Other keywords etc. to search for a Proposal published on the e-procurement Portal.

2)Once the Consultants have selected the Proposals they are interested in, they may download the required documents / Proposal schedules. These Proposals can be moved to the respective ‘My Proposals’ folder. This would enable the e-procurement Portal to intimate the Consultants through SMS / e-mail in case there is any corrigendum issued to the Proposal document.

3)The Consultant should make a note of the unique Proposal ID assigned to each Proposal, in case they want to obtain any clarification / help from the Helpdesk.

PREPARATION OF PROPOSALS

1)Consultant should take into account any corrigendum/addendum published on the Proposal Document before submitting their Proposals.

2)Please go through the IFB and the Proposal document carefully to understand the documents required to be submitted as part of the Proposal. Please note the number of covers in which the Proposal documents have to be submitted, the number of documents - including the names and content of each of the document that need to be submitted. Any deviations from these may lead to rejection of the Proposal.

3)Consultant, in advance, should get ready the Proposal Documents to be uploaded as indicated in the Proposal Document / schedule and generally, they can be in PDF / XLS / RAR / DWF/JPG formats. Proposal documents may be scanned with 100 dpi with black and white option which helps in reducing size of the scanned document.

4)To avoid the time and effort required in uploading the same set of standard documents which are required to be uploaded as a part of every Proposal, a provision of uploading such standard documents (e.g. PAN card copy, annual reports, auditor certificates etc.) has been provided to the Consultants. Consultants can use “My Space” or ‘’Other Important Documents’’ area available to them to upload such documents. These documents may be directly submitted from the “My Space” area while submitting a Proposal and need not be uploaded again and again. This will lead to a reduction in the time required for Proposal submission process.

Note: My Documents space is only a repository given to the Consultants to ease the uploading process. If Consultant has uploaded his Documents in My Documents space, this does not automatically ensure these Documents being part of e-Technical Proposal.

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PRE-PROPOSAL CONFERENCE

The Consultant is requested to upload the Pre- Proposal queries on the e-Procurement portal not later than the date and time as mentioned in ITC clause-13 as per the standard proforma provided in Section-4 of the RFP Document (Form-TECH-12).

The text of the questions raised, (including questions raised during the meeting in writing) without identifying the source, and the responses given, together with any responses prepared after the meeting will be uploaded on e-Procurement portal, https://etenders.gov.in/eprocure/app. Any modification to the RFP Document that may in the sole discretion of the Client become necessary as a result of the pre- Proposal meeting shall be made by the Client exclusively through the use of an Addendum pursuant to ITC clause-13.

SUBMISSION OF PROPOSALS

1)Consultant should log into the web site well in advance for Proposal submission so that they can upload the Proposal in time i.e. on or before the Proposal submission time. Consultant will be responsible for any delay due to other issues.

2)The Digital signature (DSC) used for uploading of the Proposal submission should be in the name of the person to whom the power of attorney (POA) have been issued.

3)The Consultant has to digitally sign and upload the required Proposal documents one by one as indicated in the Proposal document.

4) Proposal processing fee by e-Procurement portal is NIL.

5) Proposal Security: Consultant should submit the Proposal Security as per the instructions specified in clause 10.4 of ITC of the Data Sheet.

Consultants are requested to note that they should necessarily submit their financial Proposals in the format provided and no other format is acceptable. If the Financial Proposal has been given as a standard BOQ format with the Proposal document, then the same is to be downloaded and to be filled by all the Consultants. Consultants are required to download the BOQ file, open it and complete the unprotected cells with their respective financial quotes and other details (such as name of the Consultant). No other cells should be changed. Once the details have been completed, the Consultant should save it and submit it online, without changing the file name. If the BOQ file is found to be modified by the Consultant, the Proposal shall be rejected.

(Note: - Financial Proposal and Price Proposal are synonymous whereever mentioned in the Proposal Documents)

6)The server time (which is displayed on the Consultants’ dashboard) will be considered as the standard time for referencing the deadlines for submission of the Proposals by the Consultants, opening of Proposals etc. The Consultants should follow this time during Proposal submission.

7)All the documents being uploaded by the Consultants would be encrypted using PKI encryption techniques to ensure the secrecy of the data. The data entered cannot be viewed by unauthorized persons until the time of Proposal opening. The confidentiality of the Proposals is maintained using the secured

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Socket Layer 128-bit encryption technology. Data storage encryption of sensitive fields is done. Any Proposal document that is uploaded to the server is subjected to symmetric encryption using a system generated symmetric key. Further this key is subjected to asymmetric encryption using buyers/Proposal openers public keys. Overall, the uploaded Proposal documents become readable only after the Proposal opening by the authorized Proposal openers.

8)The uploaded Proposal documents become readable only after the Proposal opening by the authorized Proposal openers.

9)Upon the successful and timely submission of Proposals (i.e. after Clicking “Freeze Proposal Submission” in the portal), the portal will give a successful Proposal submission message & a Proposal summary will be displayed with the Proposal no. and the date & time of submission of the Proposal with all other relevant details.

10)The Proposal summary has to be printed and kept as an acknowledgement of the submission of the Proposal. This acknowledgement may be used as an entry pass for any Proposal opening meetings.

ASSISTANCE TO CONSULTANTS

1)Any queries relating to the Proposal document and the terms and conditions contained therein should be addressed to the Proposal Inviting Authority for a Proposal or the relevant contact person indicated in the Proposal.

Any queries relating to the process of online Proposal submission or queries relating to e-procurement Portal in general may be directed to the 24x7 e-procurement Portal (CPP) Helpdesk.

For any Technical queries related to Operation of the Central Public Procurement Portal Contact at:

Tel: The 24 x 7 Telephonic Help Desk Number 0120-4200462, 0120-4001002, 0120-4001005, 0120-6277787.

E-Mail: cppp-nic[at]nic[dot]in, support-eproc[at]nic[dot]in.

2.1 Name of the Client: National Capital Region Transport Corporation Limited. Method of selection: Quality and Cost Based Selection (QCBS) under single stage two packet system.

2.2 Financial Proposal to be submitted together with Technical Proposal: Yes . The name of the assignment is: Carrying out Environmental and Social Impact Assessment (ESIA) and submitting report for Delhi-Gurugram-SNB Regional Rapid Transit System (RRTS) Corridor.

2.3 A pre- Proposal conference will be held: Yes. Date of pre-Proposal Meeting: 30.07.2020. Time: 1100 hrs (IST).

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The Pre- Proposal meeting shall be conducted through video conferencing (VC), the Prospective Consultants who wish to join the Video Conferencing shall send a request email on the Official email Id of Procurement Cell (i.e. procurementcell@ncrtc.in) by 29th July 2020 up to 15:00 hours so that a link for Video Conferencing can be sent by NCRTC at that email Id. Please note that the request received from the prospective Consultant (With details of the Company, its address, and the name and designation of the person attending the VC) will only be entertained. They should also mention the email id through which VC is desired to be joined.

Based on the number of requests received by various Consultants NCRTC may allow maximum of two email Ids for one company to participate in the VC.

Any request for VC received after the given date and time for sending the link for VC may not be entertained by NCRTC .

Prospective Consultants will be able to join the VC through the link provided to them on Email ID on which the link has been requested by them.

During this pre- Proposal meeting, prospective Consultants may request clarification of the Consultancy requirement or any other aspects of the RFP Document.

Contact person/conference coordinator: [insert name and title]. Non-attendance at the pre- Proposal meeting will not be a cause for disqualification of a Consultant.

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

1. Route Alignment map of SKK-SNB RRTS Corridor.

5.3 Add New ITC Clause 5.3 in Data Sheet as follows:

In case, it is found during the evaluation, or at any time before signing of the Agreement or after its execution and during the period of subsistence thereof, that the Consultant has made material misrepresentation or has given any materially incorrect or false information, the Consultant may be

(i) disqualified and banned for further business dealings for a period of 05 years with the Client forthwith if not yet appointed as the Consultant either by issue of Letter of Acceptance or entering into of the Agreement. In such an event, Client shall forfeit and appropriate the Proposal Security (to be treated as mutually agreed pre-estimated compensation and damages payable to the Client for, inter alia, time cost and efforts of the Client), without prejudice to any other right or remedy that may be available to the Client.

(ii) And if the Consultant has already been issued the Letter of Acceptance or has entered into the Agreement, as the case may be, the same shall, notwithstanding anything to the contrary contained therein or in this RFP document, be banned for further business dealings with the Client for a period of five years, by a communication in writing by the Client to the Consultant, without the Client being liable in any manner whatsoever to the Consultant, as the case may be. Further the Contract of the Consultant may be terminated and the decision of

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Client in this regard shall be final and binding on the Consultant. In case the contract is terminated, Client shall forfeit and appropriate the Performance Security (to be treated as mutually agreed pre-estimated compensation and damages payable to the Client for, inter alia, time cost and efforts of the Client), without prejudice to any other right or remedy that may be available to the Client.

6.1 Add following to ITC 6.1: A Subsidiary Company registered/incorporated in India, for the purpose of meeting the eligibility criteria, may utilize the financial (Only Turnover) and technical credentials of their parent/holding company having not less than 90% share in the subsidiary company. This will be subject to submission of an undertaking by the parent company that they will be providing the financial and technical back-up for the completion of the works in the subject Proposal by the Consultant and also will be wholly responsible for the services required to be rendered as per the scope of work in the subject Proposal. In such case the Consultant shall submit necessary documents to substantiate the shareholding of parent /holding company in the subsidiary company.

6.3.1 Not Applicable

B. Preparation of Proposal

9.1 This RFP has been issued in the English language.

Proposal shall be submitted in English language.

All correspondence exchange shall be in English language.

10.1 The proposal shall comprise the following:

The RFP Document consists of following documents which includes all the Sections indicated below, and should be read in conjunction with any Addenda/Corrigenda issued in accordance with ITC 13.

Section 1 - Letter of Invitation Section 2 - Instructions to Consultants and Data Sheet Section 3 - Technical Proposal (FTP) - Standard Forms 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 - General Conditions of Contract,

Special Condition of Contract & Contract Form Section 9 - Alignment Map SKK-SNB. Section 10- Financial Proposal -The financial Proposal is provided in the

Proposal documents in the form of MS-EXCEL file. The rates/ percentage shall be quoted in the MS-EXCEL file provided in the Proposal documents. The Consultant shall download the MS-EXCEL file and after quoting their rates/percentage upload the same accordingly. The rates/ percentage shall not be offered/quoted elsewhere in the technical submission/ Proposal submission. These prices should include all costs associated with

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the contract. The Consultant shall complete the Financial Proposal in accordance with the instructions given in the Financial Proposal.

10.2 Statement of Undertaking is required: YES

10.4 Add New ITC Clause 10.4 in Data Sheet as follows:

The Consultant shall furnish as part of its Proposal, a Proposal security in stipulated form with requisite validity up to 18.04.2021 and for INR 200,000/- (INR Two hundred thousand only). The Proposal security shall be, at the Consultant’s option, in any of the following forms:

The Proposal security shall be, at the Consultant’s option, in any of the following forms:

(a) Banker’s certified cheque or Bank draft drawn on a Scheduled Commercial Bank in India in favour of “National Capital Region Transport Corporation Ltd.” payable at New Delhi; or

(b) An irrevocable and unconditional Bank Guarantee (BG) using the Form given in Section 4: Technical Forms. The Bank Guarantee shall be from a Bank having minimum net worth of over INR 5000 million from the specified banks as under:

(i) a Scheduled Commercial Bank in India, or

(ii) a Foreign Bank which do not have operations in India is required to provide a counter-guarantee by a Scheduled Commercial Bank in India, or a Foreign Bank which has a correspondent bank in India is required to submit the Bank Guarantee through the correspondent bank in India,

(c) The Scheduled Commercial Bank issuing the Bank Guarantee shall

preferably be on “Structure Financial Messaging System (SFMS)” platform. A separate advice of the BG shall invariably be sent by the issuing Bank to the Purchaser’s Bank through SFMS. Further, the Proposal Security in Original form along with a copy of “MT760COV (in case of Bank Guarantee message) / MT767COV (in case of Bank Guarantee amendment message) Report” sent by the BG issuing Bank sealed in an envelope shall be submitted as stated in clause 10.4 of Data Sheet. The Issuing Bank shall send the SFMS to: Beneficiary: National Capital Region Transport Corporation Limited Bank Name: HDFC Bank Account No. 50200029737870 IFSC Code: HDFC0000003

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d) Fixed Deposit Receipt (FDR) of a Scheduled Commercial bank / Post office based in India duly pledged in favour of “National Capital Region Transport Corporation Ltd.”

The Proposal security shall be valid up to the date as mentioned in ITC clause 10.4 above.

Any Proposal is not accompanied by an enforceable and compliant Proposal security, as required above, the Client has the right to reject such Proposal.

The Proposal security of unsuccessful Consultants shall be returned as promptly as possible upon the successful Consultant’s furnishing of the performance security. However, Proposal security of those Consultants who have not been technically qualified shall be returned after opening of financial Proposal.

The Proposal security of the successful Consultant shall be returned as promptly as possible once the successful Consultant has furnished the required performance security and signed the Contract.

In case of joint venture, Bank Guarantee/FDR for Proposal security can be submitted by any JV partner / Joint Venture

jointly of required amount and validity as specified above.

10.5 Add New ITC Clause 10.5 in DATA SHEET as follows:

The Proposal security shall be forfeited:

a) if a Consultant withdraws its Proposal during the period of Proposal validity specified by the Consultant on the Letter of Proposals

b) if a Consultant misrepresents or omits the facts in order to influence the procurement process;

c) if the successful Consultant fails to:

(i) sign the Contract in accordance with ITC: 29.1;

(ii) furnish a performance security ;

(iii)accept the correction of its Proposal Price pursuant to ITC 24 or

(iv) furnish a domestic preference security if so required.

d) If the affidavit submitted by the Consultant or its constituents or any of the declarations of Letter of Technical Proposal submitted by the Consultant has been found to be false at any stage during the process of Proposal evaluation.

e) In case the Consultant who has been exempted for submission of Proposal Security being Micro & Small Enterprise/ Startup Business, and;

(i) withdraws his Proposal during the period of Proposal validity; or

(ii) becomes the successful Consultant, but fails to commence the work (for whatsoever reasons) as per terms & conditions of Proposal; or

(iii) refuses or neglects to execute the contract; or

31

(v) fails to furnish the required Performance Security within the specified time,

Then such Consultants shall be debarred from participating in future Proposals for a period of 01 year from the date of discharge of Proposal / date of cancellation of LOA / annulment of award of contract as the case may be. Thereafter, on expiry of period of debarment, the Consultant may be permitted to participate in the procurement process only on submission of required Proposal Cost / Proposal Security.

Further the Client may advise the authority responsible for issuing the exemption certificate to take suitable actions against the Consultant such as cancellation of enlistment certificate etc.

In case of joint venture, Bank Guarantee/FDR for Proposal security can be submitted by any JV partner / Joint Venture jointly of required amount and validity as specified in Data sheet ITC clause 10.4. In case the Bank Guarantee/FDR is submitted by JV partner / JV jointly then, the Consultant shall also submit undertaking as per Form TECH-13. In case the Proposal security is submitted in the form of Bank Guarantee/FDR, the same shall be verified by the Client from the issuing bank for its genuineness.

11.1 Participation of Sub-consultants, Key Experts and Non-Key Experts in more than one is permissible: No.

12.1

Proposal must remain valid for 180 calendar days after the Bid submission deadline.

13.1 Clarifications may be requested no later than 21 days (up to 17:00 Hrs. IST) prior to the submission deadline.

For clarification purposes the Client’s contact is through the e- Procurement portal https://etenders.gov.in/eprocure/app. Clarifications sought by the prospective Consultants and response thereto will be uploaded on the e-Procurement portal without identifying the source. The Client will respond to any request for clarification at least 10 days prior to the deadline for submission of proposals. The shortlisted Consultants shall remain responsible to view query and response thereto.

13.1.1 The Client will host the amendment to RFP, if any on the e-procurement portal at any time prior to the submission deadline. The shortlisted Consultants shall remain responsible to view amendment to RFP.

13.1.2 The Client will host extension of submission deadline on the e-procurement portal.

13.2 A Consultant may modify its Proposal in the following manner, by using the appropriate option for proposal modification on e-procurement portal, before the deadline for submission of Proposals.

(a) For proposal modification and consequential re-submission, the Consultant is not required to withdraw the proposal submitted earlier. The last modified

32

proposal submitted by the consultant within the proposal submission time shall be considered as the ‘Proposal’.

(b) For this purpose, modification/withdrawal by other means will not be accepted.

(c) The modification and consequential re-submission of Proposals is allowed any number of times.

(d) A consultant may withdraw its proposal by using the appropriate option for proposal withdrawal, before the deadline for submission of proposals. However, if the Proposal is withdrawn, re-submission is not allowed, as applicable to the e-procurement system.

14.1.2

Estimated input of Key Experts’ time-input: 30 person-months. Please refer Term of Reference for details.

14.1.3 for time-based contracts only

Not applicable

14.1.4 and 27.2 use for Fixed Budget method

Not applicable

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

Proposal is Invited on Lumpsum basis and the Lumpsum amount quoted by Consultants should be inclusive of cost for provisions of all the services as stipulated in the bid documents including all taxes, duties ,levies except GST. However, the consultant shall list cost associated with the assignment in Price Bid for:

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

33

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

16.2 A price adjustment provision applies to remuneration rates: No

16.3 Information on the Consultant’s tax obligations in the Client’s country should be checked with tax experts. All duties, taxes, royalties, cess and other levies payable by the Consultant under the Contract, or for any other cause (including standard specifications), as on the date 28 days prior to the deadline for submission of Proposals, shall be included in the rates and prices and the total Proposal Price submitted by the Consultant except Goods and Services Tax (GST). GST will be paid extra as applicable on the submission of GST Invoices for first RA bill. The subsequent RA bill shall be raised for payment upon submission of documentary evidence towards payment of GST collected on the previous bill to the GST Authorities. However, if subsequent bills are raised before return submission date of previous bill period, the documentary evidence towards payment of GST shall be provided within 7 days from the due date of such return filing. The Final bill/single bill payment shall be released on the undertaking by the contractor/supplier for providing evidence within 7 days from the due date of such return filing for final bill based on GST provision for due dates.

16.4 The Financial Proposal shall be stated in the Indian Rupees (INR).

C. Submission, Opening and Evaluation

17.1 The Consultants have to submit their s electronically.

The Client shall use the following electronic-procurement system to manage this Selection process:

[https://etenders.gov.in/eprocure/app]

The Consultants shall submit their Proposals electronically on the e-procurement portal.

The electronic submission procedures shall be as given in Data Sheet Clause 1(l).

17.7 and 17.9

The Proposals must be uploaded on the e-procurement portal no later than:

Date: 21 August 2020

Time: 1500 hrs (IST)

The proposal submission is through the e-Procurement portal https://etenders.gov.in/eprocure/app. However, the documents supporting the RFP documents to be submitted physically for Proposal Security are as specified in ITC 10.4.

The Consultant shall submit its Proposal before expiry of the date and time for proposal submission as specified herein.

For submitting Proposal Security in Original as specified in ITC 10.4, the Client’s address is:

Group General Manager /Procurement National Capital Region Transport Corporation Ltd. 7/6, Siri Fort Institutional Area,

34

August Kranti Marg, New Delhi – 110049 Tel: +91-11-41066943 Fax: +91-11-41066953 Email:- procurementcell@ncrtc.in The deadline for Proposal submission - online (ITC 17.9) and supporting documents is:

Date: 21 August 2020

Time: 1500 hrs (IST)

The deadline for submission of original Proposal security, physically (ITC 10.4) is:

Date: 21 August 2020

Time: 1500 hrs (IST)

Date for opening of e-Technical Proposal is

Date: 21 August 2020

Time: 1700 hrs (IST)

• Submit Proposals online: 20th July 2020 from 1100 hrs to 20 August 2020 up to 1500 hrs (IST)

19.1 The Client shall conduct the electronic opening of e-Technical Proposal on e- procurement portal as per the schedule date and time.

The e-Technical Proposal shall be opened one at a time, and the following read out and recorded: (a) the name of the Consultant; (b) the presence of a scanned copy of bid security (d) any other details as the Client may consider appropriate.

Only e- Procurement Proposals recorded at Proposal opening shall be considered for evaluation. No Proposal shall be rejected at the opening of Technical Proposals except the for late bids and Proposal(s) which are not accompanied

by “Original Proposal Security” in physical form.

The Financial Proposal submitted online on e- procurement portal will remain unopened in the e- procurement portal until the date and time of opening of Financial Proposal. The date and time of the opening of the Financial Proposal will be notified to all the bidders on e- procurement portal whose Proposal is found to be substantially responsive and qualified in technical evaluation.

The Client shall prepare a record of the opening of e-Technical Proposals that shall include, as a minimum: the name of the Consultant and the presence or absence of a “Original Proposal Security”.

The Client will also publish on the e-portal portal, the names of Consultant whose Proposal have not been found substantially responsive to the requirements of the RFP Document as a result of evaluation of Technical Proposal. The e-

35

Procurement portal will not open the financial Proposal of the technically non-responsive bidders.

After the evaluation of the Technical Proposal, the Client shall conduct the electronic opening of Financial Proposal of the Consultants who have submitted substantially responsive Technical Proposal and are qualified on the basis of evaluation of the Technical Proposal in accordance with the minimum eligibility criteria set out in the RFP Documents. The date and time of the opening of Financial Proposal will be published after the technical evaluation on e-Procurement portal.

The Client shall conduct the electronic opening of Financial Proposal on e-Procurement portal. The opening of the Financial Proposal and subsequent details can be viewed by the bidders by logging on the e-Procurement portal.

19.2 Envelopes holding the “Original Proposal Security” shall be opened one at a time, and the following read out and recorded:

(a) the name of the Consultant;

(b) the presence of a Proposal Security; and

(c) any other details as the Client may consider appropriate.

Only e- Procurement Proposals recorded at Proposal opening shall be considered for evaluation. No Proposal shall be rejected at the opening of

Technical Proposals except the for late bids and Proposal(s) which are not accompanied by “Original Proposal Security” in physical form.

The Client shall prepare a record of the opening of e-Technical Proposals that shall include, as a minimum: the name of the Consultant and the presence or absence of a “Original Proposal Security”.

21.1

Responsiveness:

21.1.1 The Evaluation will consist of checking the proposals to confirm whether they are substantially responsive to the administrative requirements, Compliance and Responsiveness of the Documents. The technical proposals found substantially responsive after check conforming criteria in 21.1.2 will only be evaluated for criteria in 21.1.3.

21.1.2 The following Administrative Requirements, Compliance and Responsiveness items will be checked for substantially responsiveness:

i.The Proposal Security is in the correct form, of the required amount and validity period, issued by a schedule bank of India and properly signed.

ii.The original power of attorney for the proposal signatory shall be in the acceptable form and properly notarized containing specimen signature of the authorized person.

iii.The Digital signature (DSC) used for uploading of the Proposal submission should be in the name of the person to whom the power of attorney (POA) have been issued.

36

iv. The Proposal is on the correct forms.

v. All Proposal Forms have been signed and stamped.

vi. All pages of Proposal are numbered.

vii. No Proposal Forms have been altered and are all signed.

viii.The undertaking for downloading RFP document/ addendum/ corrigendum / clarifications is submitted (Form TECH - 11).

ix. There is only One Proposal per Consultant.

x. There are no- conflicts of interests and the consultant has not been disqualified/debarred.

Evaluation:

21.1.3 The technical proposals of substantially responsive Consultants shall then be evaluated in two parts. Part A (as mentioned below) shall be the mandatory criteria that the consultants must meet Technical Proposal of Consultants, who meet the criteria in Part A, shall be evaluated further using the scoring scheme contained in Part B below. Part A: Mandatory Criteria:

S. No

.

Criteria Documents Required

1 The consultant firm should have minimum experience of ten years of conducting Environmental and Social Impact Assessment of Projects. Experience will be counted from the last date of submission of proposal. Remarks- Must meet requirement by the single entity/ By the incorporated JV/ Consortium.

TECH-8

2 Profit after tax (PAT) for at least 2 (two) out of last 5 (five) financial years should be positive. Remarks- Must meet requirement by the single entity/ By the incorporated JV/ By each partner of the JV/ Consortium.

TECH-14

3 Average annual turnover should be at least of INR 4.40 Crores as total certified payments received from contracts in progress or completed within last Five Financial Years (refer note below) for Consultancy Services.

TECH-15

37

Remarks- Must meet requirement by the single entity/ By incorporated JV / By partners of the JV jointly/ Consortium.

4 The Consultant should have positive net worth. This will be judged from the audited Balance Sheet of the last financial year ending on a date not prior to 18 months from the date of submission of the tender. Remarks- Must meet requirement by the single entity/ By the incorporated JV / By each partner of the JV/ Consortium.

TECH-14

Notes:

1. For Sl. No. 2 and 3 : In the event the Consultant certifies that the audited

accounts for the latest concluded Financial Year are not available, the

Consultant shall furnish information pertaining to the last four financial

years after ignoring the latest concluded financial year. In case the

Consultant submits audited financial information for the last four or more

years, only the figures for the latest years shall be considered for evaluation.

2. For Sl. No. 3: Average Annual Construction Turnover, in case the figure is

stated in currency other than INR, the same (currency of each financial year)

shall be converted to INR by adopting the Exchange rate between that

Currency and INR as on last day of the respective financial year. The Annual

turnover in INR or converted into INR as above from the currency other

than INR, shall be updated by 5% per annum compounded annually from

the last day of the respective financial year up to the last day of the latest

audited Financial Year.

The rates of exchange shall be taken from the web site of Financial

Benchmark India Private Limited (FBIL) as recommended by RBI.

In case the exchange rate of particular currency is not available on any date

in both these websites then the selling exchange rate as per the website of

the Central Bank of that country to which the currency belongs will be taken.

In case the exchange rate of that currency is not directly available in INR on

that website then the currency will be first converted to USD as per that web

site and then converted from USD to INR as Per RBI or FBIL.

Bidder should indicate the source used with documentary evidence for

conversion and conversion rates used for converting foreign currency into

INR.

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

38

S. No.

Criteria Points

(i) Specific experience of the Consultant (as a firm) relevant to the Assignment: For each “Similar Work” successfully completed during the last Five years commencing from 1st July 2015 –5 Marks for each “ Similar Work” as defined below: “ Similar Work” is defined as “Provision of consultancy services for preparation of Environmental and Social Impact Assessment (ESIA) Report for a transport sector project implemented by a Central Government/State Government including bodies controlled by them and/or International Govt. authorities /Corporations and/or multilateral /bilateral lending agencies/ funding agencies.” Note- The details of each “Similar Work” shall be submitted in Format -TECH-8 along with supporting documents.

[25]

(ii) Adequacy and quality of the proposed methodology, and work plan in responding to the Terms of Reference (TORs): {Notes to Consultant: For the evaluation of the above, in the technical package, the Consultant is required to submit a document covering his understanding of the scope of work, the methodology proposed to be adopted by him for carrying out the work including quality related aspects. 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}

[10]

(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: [Team Leader] [15]

Minimum requirement:

(i)Master’s Degree in Environmental or Social Science or Sociology/Economics/ Social Work/ Rural Development

(ii)Minimum of 15 years of working experience in ESIA survey and report for infrastructure projects

(iii)Relevant experience- Minimum of five transport infrastructure sector projects funded by multilateral / bilateral lending agencies / funding agencies) in conducting ESIA survey and submission of report for multilateral funding agencies with at least one in Team Leader position.

b)Position K-2: [Environmental Expert] [8]

Minimum requirement:

(i) Master’s degree in Environmental Engineering/ Technology

(ii) Minimum 15 years of experience of Environmental Impact assessment

[55]

39

(iii)Relevant experience- Minimum of five transport infrastructure sector projects funded by multilateral / bilateral lending agencies / funding agencies)

c) Position K-3:[ Pollution monitoring and modelling Specialist] [8]

Minimum requirement:

Masters degree in Environmental Engineering/ Technology

Minimum 10 years of experience of monitoring and modelling pollution pathways. S/he should have hands on experience of using standard software used in noise and/or vibration modelling for linear projects

Relevant experience- Minimum of 5 transport infrastructure sector projects funded by multilateral / bilateral lending agencies / funding agencies) in working on RRTS/Rail project in semi-urban/urban areas.

d) Position K-4 [Social Expert] [8]

Minimum requirement:

Master’s Degree in Development, Anthropology, or Social Work

Minimum 15 years of working on Social Impact Assessment of development projects. S/he should have led the preparation of social aspects and documentation (including RAP) of at least 5 projects independently

Relevant experience- Minimum of five transport infrastructure sector projects funded by multilateral / bilateral lending agencies / funding agencies) in conducting SIA survey and submission of report for multi-lateral funding agencies.

e) Position K-5 [Consultation/ stakeholder engagement Expert] [8]

Minimum requirement:

(i)Master’s Degree in Development related Subject

(ii)10 years of experience in Development Communication, including stakeholder identification and engagement. S/he should have undertaken stakeholder identification and interaction as well as consultation in an urban/peri-urban setting for at least 3 projects with multilateral funding support.

(iii) Relevant experience- Minimum of 5 transport infrastructure sector projects funded by multilateral / bilateral lending agencies / funding agencies) in conducting stakeholder engagement

f) Position K-6 [Gender Expert] [8]

Minimum requirement:

Master’s Degree in Social Science

Minimum 10 year experience undertaking gender studies in urban/semi-urban settings independently or as part of social assessments

40

Relevant experience- Minimum of 5 transport infrastructure projects funded by multilateral / bilateral lending agencies / funding agencies) in conducting Gender studies

Note: The number of points to be assigned to each of the above positions of (iii) above shall be determined considering the three sub-criteria and relevant points:

Sl. No.

Criteria Team Leader

K1

Key Expert

K2 to K5

Points Maximum Points

Points Maximum

Points

(i) General qualifications (general education, and experience):

4.0 2.0

Minimum education

1.0 0.5

Minimum Experience

1.0 0.5

Additional relevant higher education

1.0 0.5

Additional relevant experience- of one year

1.0 0.5

(ii) Adequacy for the Assignment relevant experience

in the similar assignments)

10.0 5.0

Minimum Similar Experience

7.0 3.5

Additional Experience of one similar project as team leader

1.0 0.5

(iii) working level fluency in local language- Hindi/knowle

1.0 1.0 1.0 1.0

41

dge of local culture or administrative system, government organization, etc.

15 8.0

(iv) Transfer of knowledge

(Relevance of approach and methodology- Details to be submitted for community interaction and training programme)

[10]

Total points [100]

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

Notes-

1. A Consultant shall not be considered for further evaluation, if the proposed Team Leader scores less than 50% of total marks allotted to it’s category. In case the selected Consultant has any key experts other than the Team Leader, who scores less than 50% (Fifty percent) of total marks allotted to its category, he would have to be replaced during negotiations, with a better candidate, who in the opinion of the Client, would score 50% (Fifty percent) or above of total marks allotted to its category. Key experts proposed by Consultant must qualify all minimum requirements stipulated above for its category. In case any of the proposed key expert by the Consultant does not meet the minimum requirements stipulated above for its category, the overall score of such key person shall be evaluated as NIL .

2. Consultants are required to submit detailed CV of the proposed key experts for each of the key positions as per the format enclosed at TECH-6. The copies of self-attested degree certificates must be enclosed with the CV to substantiate the fulfillment of minimum qualifications. The proposed key experts are also required preferably to submit service certificate issued by the Client to substantiate the fulfillment of work experience otherwise the declaration by the Expert explicitly mentioning which kind of documents he produced and signed of. In case of any discrepancy found during Proposal evaluation process, NCRTC can verify the said declaration / part of declaration from the owners of the project. Any such wrong declaration by the experts found during verifications, NCRTC has the right to reject such Proposals.

3. The degree qualification means the full-time degree from a recognized

institute. The qualification other than degree shall be supported by the certified document for its equivalency to degree which shall be duly recognized by Govt. of India

23.5 The client shall conduct the electronic opening of Financial Proposal of the Consultants who have submitted substantially responsive Technical Proposal and are qualified on the basis of evaluation of the Technical Proposal in accordance with the minimum eligibility criteria set out in the RFP Documents. The date and

42

time of the opening of Financial Bids will be published after the technical evaluation on e-Procurement portal.

The Client shall conduct the electronic opening of Financial Proposal on e-Procurement portal. The opening of the Financial Proposal and subsequent details can be viewed by the bidders by logging on the e-Procurement portal.

25.1 The Lumpsum Quoted amount in Price bid inclusive of all duties, taxes, royalties, cess and other levies payable by the Bidder under the Contract, or for any other cause (including standard specifications), as on the date 28 days prior to the deadline for submission of bids except Goods and Services Tax (GST). For the purpose of the evaluation, the Quoted Lumpsum amount in Price Bid/Summary sheet shall be considered.

26.1 Proposals should be submitted in Indian Rupees only.

27.1 (QCBS only)

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. The weights given to the Technical (T) and Financial (P) s are: T = 80% P = 20% 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%.

27.2 & 27.4 Not Applicable

D. Negotiations and Award

28.1 Expected date and address for contract negotiations: Date: To be Decided & Informed

30.1 The publication of the contract award information following the completion of the contract negotiations and contract signing will be published on : https://etenders.gov.in/eprocure/app . The publication will be done within 15 days after the contract signing.

30.2 Date of issue of letter of acceptance by the Client or the date mentioned in the LOA, whichever is later.

43

31.0 The procedures for making a Procurement-related Complaint are as follows:

If a Consultant wishes to make a Procurement-related Complaint, the Consultant shall submit its complaint following these procedures, In Writing (by the quickest means available, such as by email), to:

Group General Manager/ Procurement National Capital Region Transport Corporation Ltd. 7/6, Siri Fort Institutional Area, August Kranti Marg, New Delhi – 110049 Tel: +91-11-41066943 Fax: +91-11-41066953 Email: - procurementcell@ncrtc.in

A Procurement-related Complaint may challenge any of the following:

1. the terms of this Request for ;

2. the Client’s decision to exclude a Consultant from the procurement process prior to the award of contract; and

3. the Client’s decision to award the contract.

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Section-3. Technical Proposal – Standard Forms

CHECKLIST OF REQUIRED FORMS

All pages of the original Technical Proposal and Financial Proposal shall be initialled and submitted by the same authorized representative of the Consultant to whom POA is issued and who signs the Proposals.

FORM DESCRIPTION Page Limit

TECH-1 Technical Proposal Submission Form. 3 TECH-2 Consultant’s Organization and Experience.

1

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

2

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 To be submitted at the time of

Pre- Proposal Meeting

TECH-3B B. On the Counterpart Staff and Facilities Deleted

TECH-4 Description of the Approach, Methodology, and Work Plan for Performing the Assignment

5

TECH-5 Work Schedule and Planning for Deliverables 2 TECH-6 Team Composition, Key Experts Inputs, and attached

Curriculum Vitae (CV) 15

TECH-7 Affidavit 2 TECH-8 Work Experience - TECH-9 Power of Attorney 2 TECH-10 Format of Bank Guarantee for Proposal Security 2 TECH-11 Undertaking for Proposal download 1 TECH-12 Standard form for Proposal queries 1 TECH-13 Undertaking for encashment/forfeiture of Proposal

security 1

TECH-14 Financial Situation 1 TECH-15 Annual Turnover for the last 5 years 1 TECH-16 Form – Joint Venture Agreement

2

TECH-17 Consultant’s Information Form

3

TECH-18 Format For Power Of Attorney For Authorized Signatory Of Joint Venture (Jv) Partners-TECH-18

3

TECH-19 Format For Power Of Attorney To Lead Partner And Authorized Representative Of Joint Venture (Jv) -TECH-19

3

TECH20 Checklist for documents submitted 4

45

FORM TECH-1

TECHNICAL 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. We are hereby submitting our Proposal , which includes this Technical Proposal and a Financial Proposal. {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. (d) We meet the eligibility requirements as stated in ITC 6, and we confirm our

understanding of our obligation to a Proposal by the Bank’s policy in regard to Fraud and Corruption 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 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 Client’s country laws or official regulations or pursuant to a decision of the United Nations Security Council.

(f) 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

46

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.

(g) Our Proposal is binding upon us and subject to any modifications resulting

from the Contract negotiations. (h) If our Proposal is accepted, we commit to submit a performance security.

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 ITC 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,

Signature (of Consultant’s authorized representative) {In full and initials}: Full name: {insert full name of authorized representative} Title: {insert title/position of authorized representative} Name of Consultant (company’s name or JV’s name): Capacity: {insert the person’s capacity to sign for the Consultant} Address: {insert the authorized representative’s address} Phone/fax: {insert the authorized representative’s phone and fax number, if applicable} Email: {insert the authorized representative’s email address} {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}

47

Form TECH-2

CONSULTANT’S ORGANIZATION AND EXPERIENCE

Form TECH-2: a brief description of the Consultant’s organization and an outline of the recent experience 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 a joint venture – of each member for this assignment.

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

B – Summary of Consultant’s Similar work Experience

(As per Section-02 , clause 21.1.3 (Part-A))

1. List only previous similar assignments successfully completed in the last 10 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 members. 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.

Duration

Assignment name/& brief description of

main deliverables/outputs

Name of Client &

Country of Assignment

Approx. Contract

value (in INR equivalent)/ Amount paid to your firm

Role on the Assignment

{e.g., Jan.2009– Apr.2010}

{e.g., “Improvement quality of...............”: designed master plan for rationalization of ........; }

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

{e.g., INR mill/INR mill}

{e.g., Lead partner in a JV A&B&C}

{e.g., Jan-May 2008}

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

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

{e.g., INR 0.2 mil/INR 0.2 mil}

{e.g., sole Consultant}

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Form TECH-3

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

[to be submitted in TECH-12 pre- proposal queries}

B - On Counterpart Staff and Facilities

DELETED.

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Form TECH-4

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 : 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.}

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Section 3 – Technical – Standard Forms

Form TECH-5

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.

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Form TECH-6

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-... Hom

e Field Total

KEY EXPERTS

K-1

{e.g., Mr. Abbbb} [Team Leader]

[Home]

[2 month]

[1.0] [1.0]

[Field]

[0.5 m] [2.5] [0]

K-2

K-3

n

Subtotal

NON-KEY EXPERTS

N-1

[Home]

[Field]

N-2

n

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Subtotal

Total

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

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FORM TECH-6 (CONTINUED)

CURRICULUM VITAE (CV)

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

Education: {List college/university or other specialized education, giving names 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 title/position. Contact information for references

Country Summary of activities performed relevant to the Assignment

[e.g., May 2005-present]

[e.g., Ministry of ……, 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): ______________ ______________________________________________________________________

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Adequacy for the Assignment:

Detailed Tasks Assigned on Consultant’s Team of Experts:

Reference to Prior Work/Assignments that 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. {day/month/year}

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

Name of authorized Signature Date Representative of the Consultant (the same who signs the ) Notes:

1. Use separate sheet for each Key Personnel

2. The CV shall be signed in ink by both the Key Personnel concerned and by the Authorized Representative of the Consultant along with the seal of the tenderer. Scanned documents with signature of the expert shall also be accepted. Such scanned document shall be signed in ink by the Authorized representative of the Consultant.

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3. The information in the CV should be in details so as to correctly evaluate the proposed key person/expert in terms of the requirements of Clause 21.1 Part-B of Data sheet .

4. If an individual key Expert makes an averment regarding his qualification, experience, age or any other details in his CV and it turns out to be false, the Expert shall be debarred for future assignments in NCRTC and further action shall be taken in accordance with the clause 5.3 of ITC. Hence the Consultant is required to verify and satisfy himself about the details stated by the individual key experts, prior to its incorporation in its Proposal.

5. Bidders are required to submit detailed CV of the proposed key experts for each of the key positions as per the format. The copies of self-attested degree certificates must be enclosed with the CV to substantiate the fulfillment of minimum qualifications. The proposed key experts are also required preferably to submit service certificate issued by the Employer to substantiate the fulfillment of work experience otherwise the declaration by the Expert explicitly mentioning the experience should be submitted duly signed by the proposed key expert. In case of any discrepancy found during bid evaluation process, the Employer can verify the said declaration / part of declaration from the owners of the project. Any such wrong declaration by the experts found during verifications, the Employer has the right to reject such bids.

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TECH-7

AFFIDAVIT TO BE SUBMITTED BY CONSULTANT ALONGWITH THE PROPOSAL (To be Submitted by Sole Consultant/ JV partners)

(To be executed in presence of Public Notary on non-judicial stamp paper of the appropriate value in accordance with relevant stamp Act. The stamp paper has to be in the name of the

Consultant)** I …….. (Name and designation)**…… appointed as the attorney/authorized signatory of the Consultant (including its constituents), M/s. ________ (hereinafter called the Consultant) for the purpose of the Proposal for the work of _________ as per the RFP No._________ of NCRTC, do hereby solemnly affirm and state on behalf of the Consultant including its constituents as under:

1. We understand that Client requires that Consultants, suppliers, and contractors must observe the highest standard of ethics during the procurement and execution of such contracts. We confirm and undertake that we including our constituents, any subcontractors or suppliers for any part of the contract directly or otherwise have not been / shall not be engaged in corrupt, fraudulent, collusive, or coercive practices in competing for the Contract in accordance with ITC 5.

2. We understand that the Client has the right to reject our Proposal at any stage if it

determines that we have directly or otherwise, engaged in corrupt, fraudulent, collusive, or coercive practices in competing for the contract and will sanction a Consultant or its successor, including declaring ineligible, either indefinitely or for a stated period of time, to participate in Client’s activities, if it at any time determines that the Consultant has, directly or otherwise, engaged in corrupt, fraudulent, collusive, or coercive practices in competing for, or in executing a contract of the Client in accordance with ITC 5 and 6;

3. That the Consultant or any of its constituents has not been Blacklisted/ banned for

business dealings with MoHUA along with any of its attached and subordinate offices through an order issued by Ministry of Housing and Urban Affairs (MoHUA) or any of the attached and subordinate offices of MoHUA or any Metro Rail Corporation in India or by Ministry of Commerce at any time and/or no such blacklisting is in force as on the deadline for submission of Proposals.

4. That none of the previous contracts of the Consultant or any of its constituents had

been terminated/rescinded for Contractor’s failure by MoHUA along with any of its attached and subordinate offices or by any metro rail organizations in India during the period of last 2 years before the deadline for submission of Proposals.

5. That the Consultant or any of its constituents is neither Bankrupt/Insolvent nor is in

the process of winding-up nor such a case is pending before any Court on the deadline of submission of the Proposal.

6. That the name of the Consultant or any of its constituents is not on the list of “Poor

Performer” of MoHUA along with any of its attached and subordinate offices or of any metro rail organizations in India as on the deadline for submission of Proposal.

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7. We declare that financial data for last five financial years including that for the latest concluded financial year are being submitted duly certified by Chartered Accountant / Company Auditor.

OR

We declare and certify that financial data for the latest concluded financial year has not been finalized till date and that is why we are furnishing financial data for last 04 financial years ignoring the latest concluded financial year.

(# - Delete whichever is not applicable)**.

8. We declare and certify that we have not made any misleading or false representation in the forms, statements and attachments in proof of the qualification requirements.

9. We declare that the information and documents submitted along with the Proposal by

us are correct and we are fully responsible for the correctness of the information and documents, submitted by us.

10. We understand that in case we cease to fulfill the requirements of qualifying and

eligibility criteria at any time after opening of Proposals and till finalization of Proposals, it will be our bounden duty to inform the Client of our changed status immediately and in case of our failure to do so, the Client has right to reject our Proposal and forfeit our Proposal security. In case such failure comes to the notice of Client at any time after award of the contract, it will lead to termination of the contract and forfeiture of Proposal or Performance Security. We shall also be liable for Banning of Business dealings for a period of five years.

11. We understand that if the contents of the affidavit are found to be false at any stage

during Proposal evaluation, it will lead to rejection of our Proposal and forfeiture of the Proposal security. Further, we [insert name of the Consultant]**_______ and all our constituents understand that we shall be liable for banning of business dealings for a period of five years.

12. We also understand that if the contents of the affidavit are found to be false at any time

after the award of the contract it will lead to termination of the contract, forfeiture of Proposal or Performance Security and Banning of Business dealings of the Consultant and all its constituents for a period of five years.

(DEPONENT) SEAL AND SIGNATURE OF THE CONSULTANT Verification: Verified on ______ day of _____ at _________ that the contents of the above-mentioned affidavit are true and correct and nothing material has been concealed there from. (DEPONENT) SEAL AND SIGNATURE OF THE CONSULTANT ** The contents in Italics are only for guidance purpose and details as appropriate, are to be filled in suitably by Consultant. Attestation before Magistrate/Public Notary

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FORM TECH-08: Work Experience

[The following table shall be filled in for the Bidder]

Date: [insert date, month, year] Bidder’s Legal Name: [insert full name]

Bidder’s Party Legal Name: [insert full name] Page [insert page number] of [insert total number of pages]

Fill up one form per contract

Contract of Similar Size and Nature

Contract No. Contract Identification

Award Date Completion Date

Role in Contract ❑ Consultant ❑ Sub-

consultant ❑ Member of

JV/Consortium

Total Contract Value

In Equivalent INR

If partner in a JV or consortium specify participation in total contract value

Percentage of Total: Amount: INR

Employer’s Name, Current Address and Current Telephone/Fax Number, E-mail

Description of the similarity in accordance with Criteria 21.1.3 (Part-A) of Section 2

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Notes:

1. The bidder shall attach a copy of the Certificate(s) issued by the employer in support of the information being furnished in each TECH-2B form, failing which the claim of the bidder shall be liable to be rejected (in case of experience as a sub-consultant or a Consultant to the contractor to the employer , the employer shall be the owner of the Project who has engaged the main Contractor).

2. The bidder shall attach a copy of Letter of Award and Completion Certificate(s) issued by the employer in support of the information being furnished in each TECH-2B form failing which the claim of the bidder shall be liable to be rejected.

3. Use separate sheet for each Similar Work.

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TECH-9

POWER OF ATTORNEY (POA) FOR SUBMITTING

(For Single Entity/Sole Consultant only)

Know all men by these presents, we ……………………………………. (name and address of the registered office) do hereby constitute, appoint and authorise Mr./Ms……………………………..…………..(name and residential address) who is presently employed with us and holding the position of ………………………….as our attorney, to do in our name and on our behalf, all such acts, deeds and things necessary in connection with or incidental to our Proposal for the Project, including signing and submission of all documents and providing information/responses to NCRTC, representing us in all matters before NCRTC, and generally dealing with NCRTC in all matters in connection with our for the Project.

We hereby agree to ratify all acts, deeds and things lawfully done by our said attorney pursuant to this Power of Attorney and that all acts, deeds and things done by our aforesaid attorney shall always be deemed to have been done by us.

…………………………………. (Signature)

(Name, Title and address) of the Person Accepting the POA.

…………………………………. (Signature)

(Name, Title and address) of the Person issuing the POA.

Note:

(i) The Consultant should submit the notarised Power of Attorney. In case of Foreign Partners, Power of Attorney(s) and Board Resolution confirming authority on the persons issuing the Power of Attorney for such actions shall be submitted duly notarized by the notary public of country of origin and should be either stamped by Embassy/High Commission or Partner Countries of Hague convention may submit these document with “Apostille” stamp. Also in case the documents are in foreign language the translation of the same shall be authenticated by Embassy/High Commission.

(ii) The mode of execution of the Power of Attorney should be in accordance with the procedure, if any, laid down by the applicable law and the charter documents of the executant(s) and when it is so required the same should be under common seal affixed in accordance with the required procedure.

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(iii) The Consultant should submit following additional document in support of the POA as case to case basis:

a) Proprietorship Affidavit in case of Proprietary Consultant.

b) Partnership deed in case of partnership Consultant.

c) Board Resolution in case of a Public/Private limited company

d) Memorandum & Article of Association in case of a Public/Private limited company.

e) Board Resolution in case of a Limited Liability Partnership.

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TECH-10 Proposal Security

Bank Guarantee

(On non-judicial stamp paper of the appropriate value in accordance with Stamp Act. The stamp paper should be in the name of the Executing Bank). From: [Insert Bank’s Name, and Address of Issuing Branch or Office] To: National Capital Region Transport Corporation Ltd., 7/6, Siri Fort Institutional Area, August Kranti Marg, New Delhi-110049. Tele: +91-11-41066943, Fax+91-11-41066953 Beneficiary: National Capital Region Transport Corporation Ltd. (hereinafter called “the Client”) Date: Proposal Security No.: We have been informed that . . . . . [Insert name of the Consultant]............ (hereinafter called "the Consultant") intends to submit to you its Proposal (hereinafter called "the Proposal") for the execution of . . . . . . . . [name of contract ]. . . . . under Invitation for Proposals No. . . . . . . . . .dated………. (“the IFB”). WHEREAS, the Consultant is required to furnish Proposal Security for the sum of [Insert Value of Proposal Security required], in the form of Bank Guarantee, according to your conditions of Proposal. AND WHEREAS, ............[Insert Name of the Bank], with its Branch ...............[Insert Address] having its Headquarters office at........ [Insert Address], hereinafter called the Bank, acting through ..............[Insert Name and Designation of the authorised persons of the Bank], have, at the request of the Consultant, agreed to give guarantee for Proposal security as hereinafter contained, in favour of the Client: 1. KNOW ALL MEN that by these present that I/We the undersigned [Insert name(s) of authorized representatives of the Bank], being fully authorized to sign and incur obligations for and on behalf of the Bank, confirm that the Bank, hereby, unconditionally and irrevocably guarantee to pay to the Client full amount in the sum of [Insert Value of Proposal Security required] as above stated. 2. The Bank undertakes to immediately pay on presentation of demand by the Client any amount up to and including aforementioned full amount without any demur, reservation or recourse. Any such demand made by the Client on the Bank shall be final, conclusive and binding, absolute and unequivocal on the Bank notwithstanding any disputes raised/ pending before any Court, Tribunal, Arbitration or any Authority or any threatened litigation by the Consultant or Bank.

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3. The Bank shall pay the amount as demanded immediately on presentation of the demand by Client without any reference to the Consultant and without the Client being required to show grounds or give reasons for its demand of the amount so demanded. 4. The guarantee hereinbefore shall not be affected by any change in the constitution of the Bank or in the constitution of the Consultant. 5. The Bank agrees that no change, addition, modifications to the terms of the Proposal document or to any documents, which have been or may be made between the Client and the Consultant, will in any way absolve the Bank from the liability under this guarantee; and the Bank, hereby, waives any requirement for notice of any such change, addition or modification made by Client at any time. 6. That this Guarantee commences from the date hereof and shall remain in force till …………………. (Date to be filled as mentioned in clause ITC 10.4 7. The Bank Guarantee is unconditional and irrevocable. 8. The expressions Bank and Client herein before used shall include their respective successors and assigns. 9. The Bank hereby undertakes not to revoke the guarantee during its currency, except with the previous consent in writing of the Client. This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No.758. 10. The Guarantee shall be valid in addition to and without prejudice to any other security Guarantee (s) of Consultant in favour of the Client. The Bank, under this Guarantee, shall be deemed as Principal Debtor of the Client. 11. Notwithstanding anything contained herein: a) Our liability under this Bank Guarantee shall not exceed Rs ……………………….(Rupees…………) b) This Bank Guarantee shall be valid upto ………………………………… c) We are liable to pay the guarantee amount or part thereof under this Bank Guarantee only & only if you serve upon us a written claim or demand on or before ………… Date ………… ……………………………………… Place…………. Bank’s Seal and authorized signature(s) [Name in Block letters]……………….... [Designation]……………..………… [P/Attorney] No. Witness: 1 Signature Name & Address & Seal 2 Signature Bank’s Seal Name & address & Seal P/Attorney] No. Note: All italicized text is for guidance on how to prepare this bank guarantee and shall be deleted from the final document.

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TECH-11

UNDERTAKING FOR DOWNLOADED PROPOSAL DOCUMENT

We here by confirm that, we have downloaded / read the complete set of Proposal documents /addendum/corrigendum/clarifications along with the set of enclosures hosted on e- procurement website as mentioned in ITC 7.1. We confirm that we have gone through the Proposal documents, addendums/corrigendum’s and clarifications for this work placed up to the date of opening of Proposals on e- procurement portal as mentioned in ITC 17.1 . We confirm our unconditional acceptance for the same and have considered for these in the submission of our technical and financial Proposal.

STAMP & SIGNATURE OF AUTHORISED SIGNATORY

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TECH-12 STANDARD FORMAT FOR PRE-PROPOSAL QUERIES

RFP No. and Name of the Service: Name of Consultant:

S.No. Relevant Section/Clause

No. and complete

description of clause

Relevant Page No. of

Proposal document

Queries Replies (To be filled by NCRTC)

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TECH-13

UNDERTAKING FOR ENCASHMENT/FORFEITURE OF PROPOSAL SECURITY (Refer Clause 10.4 of ITC)

We,…………………………………………………………………(Legal Name of JV/ JV Partners) hereby confirm that Proposal Security submitted in the form of FDR/ bank Guarantee (tick whichever is applicable) for the RFP ……………………(RFP No) in the name of ……………(name of the JV partner on whose name Proposal Security is submitted) is on behalf of ……………………….(Legal Name of the JV/ JV Partner). We also undertake that in the event of encashment/forfeiture of Proposal Security by the Client in terms of Proposal provisions, none of the constituents partners of ……………………………(Legal Name of JV) will have any objection for the same.

STAMP & SIGNATURE OF AUTHORISED SIGNATOTRY Note: The undertaking is to be submitted in case the Proposal security (in form of FDR/bank Guarantee) is submitted in the name of any JV partner / JV.

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TECH-14: Financial Situation

NAME OF CONSULTANT: ______________________________

Financial Data for Last 5 Years [Indian Rupees]

Year 1: Year 2: Year 3: Year 4: Year 5:

1. Total Assets

2. Current Assets

3. Total Liabilities

4. Current Liabilities

5. Net Worth

[ Paid-up share capital +

All reserves - Accumulated

losses] #

6. Profit After Tax

(PAT)

# Revaluation reserves to be excluded.

_____________________________________

SEAL AND SIGNATURE OF THE CONSULTANT

Certified that all figures and facts submitted in this form have been furnished after full consideration of all observations/notes in Auditor’s reports.

______________________ (Signature of CA/Auditor)

Name of CA/Auditor:______________

Registration No: ______________ ______________________

(Seal)

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1. The Consultant shall note following:

• All such documents reflect the financial situation of the Consultant and not sister or parent companies.

• The details given in this Form FIN-14 shall be certified by CA/Auditor by generating Unique Document Identification Number (UDIN) as per Gazette Notification No. 1-CA (7)/192/2019 dated 02.08.2019, failing which Client has right to reject the Proposal. Copies of Annual Report shall not be enclosed.

2. Contents of this form should be certified by a Chartered Accountant/Auditor.

In the event the Consultant certify that the audited accounts for the latest concluded Financial Year are not available, the Consultant shall furnish information pertaining to the last 04 financial years after ignoring the latest concluded financial year. In case the Consultant submits audited financial information for other years, only the figures for the latest four years shall be considered for evaluation.

3. In case the financial data is in a currency other than Indian Rupees, the same shall be

converted into equivalent Indian Rupees by adopting Exchange rate as on 28 days prior

to the latest deadline for submission of bid.

The rates of exchange shall be taken from the web site of Financial Benchmark India

Private Limited (FBIL) as recommended by RBI.

In case the exchange rate of particular currency is not available on any date in both these websites then the selling exchange rate as per the website of the Central Bank of that country to which the currency belongs will be taken. In case the exchange rate of that currency is not directly available in INR on that website then the currency will be first converted to USD as per that web site and then converted from USD to INR as Per RBI or FBIL.

Bidder should indicate the source used with documentary evidence for conversion and conversion rates used for converting foreign currency into INR.

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TECH-15: Annual Turnover for the last 5 years

(FOR CONSULTANCY WORK ONLY)

NAME OF CONSULTANT:

Annual Turnover Data for the Last 5 Years

Year Turnover Amount

And Currency

Updated turnover (see note 4 below)

Exchange

Rate between INR and the foreign currency

Updated Turnover in Equivalent INR (see note 4 below)

Average Annual Turnover for last 5 years

1. Enclose following undertaking from Chartered account (CA) in case if the latest concluded financial year prior to Proposal submission is not audited:

“It is to certify that financial data for latest concluded financial year prior

to Proposal submission is not audited, hence, turnover for last four available audited financial years has been submitted”

2. The above information shall also be certified by Chartered Accountant/Company Auditor

under his/her signature, stamp and membership number

3. The details given in this Form FIN-15 shall be certified by CA/Auditor by generating Unique Document Identification Number (UDIN) as per Gazette Notification No. 1-CA (7)/192/2019 dated 02.08.2019, failing which Client has right to reject the Proposal. Copies of Annual Report shall not be enclosed.

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4. Average Annual Construction Turnover, in case the figure is stated in currency other

than INR, the same (currency of each financial year) shall be converted to INR by adopting

the Exchange rate between that Currency and INR as on last day of the respective financial

year. The Annual turnover in INR or converted into INR as above from the currency other

than INR, shall be updated by 5% per annum compounded annually from the last day of the

respective financial year up to the last day of the latest audited Financial Year.

The rates of exchange shall be taken from the web site of Financial Benchmark India Private

Limited (FBIL) as recommended by RBI.

In case the exchange rate of particular currency is not available on any date in both these

websites then the selling exchange rate as per the website of the Central Bank of that country

to which the currency belongs will be taken. In case the exchange rate of that currency is not

directly available in INR on that website then the currency will be first converted to USD as

per that web site and then converted from USD to INR as Per RBI or FBIL.

Bidder should indicate the source used with documentary evidence for conversion and

conversion rates used for converting foreign currency into INR.

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TECH-16 Form – Joint Venture Agreement

[Ref ITC Clause 17.2.1]

The Partners of the Joint Venture shall provide Joint Venture Agreement for Joint Venture

Participation in the name of M/s-----of which includes at least the followings:-

M/s_____________ having its registered office at ______________ (hereinafter referred

to as) is the Lead Partner of the Joint Venture and acting as the authorized representative of

the Joint Venture on first part; and

M/s_____________ having its registered office at ______________ (hereinafter referred

to as ‘_________________’) in the capacity of a Joint Partner of the Joint Venture on the

other part; and

M/s_____________ having its registered office at ______________ (hereinafter referred

to as ‘_________________’) in the capacity of a Joint Partner of the Joint Venture on the

other part; and

The expressions of _____________________ and _______________________ and

_____________________ shall wherever the context admits, mean and include their

respective legal representatives, successor interest and assigns and shall collectively be

referred to as “the Partners” and individually as “the Consultant”

WHEREAS:

National Capital Region Transport Corporation (NCRTC) [hereinafter referred to as “Client”]

has invited Proposals for ________________ “[Insert name of work]”

NOW, THEREFORE, THE PARTIES AGREE AS FOLLOWS:

1. The following documents shall be deemed to form and be read and construed as an

integral part of this JV agreement.

a) Letter of Invitation;

b) RFP Documents issued by the Client

c) Any Addendum/Corrigendum to the RFP Documents issued by the Client

d) T he Proposal submitted on our behalf jointly by the Authorized Representative

from the Lead Partners in the name of “____________” JV.

2. DELETED

3. Mr./Ms.___________________, authorized representative of the Lead Partner

and whose details are provided as under, shall be the Authorized Representative of the

Joint Venture for all intents and purpose. He / She shall have the authority to conduct

all business for and on behalf of any and all the Partners of JV during the procurement

process and in the event the JV is awarded the Contract, during Contract execution.

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Name, Designation, Address Tel/Fax no Email ID

4. We undertake that

a) The Lead Partner of our JV ------------ (Name of the Lead Partner) shall have

the majority share amongst the other partners of the JV.

b) The distribution of responsibilities in execution of Work and the percentage

participation amongst various Partners of the JV for the subject work shall be

as under:

Sl. No.

Name of the Partner

Role (Lead Partner / Partner)

Distribution of Responsibilities in execution of the Work

% Participation

5. JOINT AND SEVERAL RESPONSIBILITY

The partners undertake that they shall be jointly and severally liable to the Client in the

discharge of all the obligations and liabilities as per the contract with the Client and for

the performance of contract awarded to their JV.

In case one partner fails or delays to perform its obligations either partially or totally,

it shall be responsible for all the out comings concerned, and upon such conditions the

other partners shall be obliged to take measures to perform well all the obligations

under the contract with the Client.

6. ASSIGNMENT AND THIRD PARTIES

The partners shall cooperate throughout the entire period of this Joint Venture

Agreement on the basis of exclusively and neither of the Partners shall make

arrangement or enter into agreement either directly or indirectly with any other

Consultant or group of Consultants on matters relating to the Work except with prior

written consent of the other Consultant.

7. EXECUTIVE AUTHORITY

The said Joint Venture through its Authorized Representative (as specified above) shall

receive instructions, from the Client. The management structure for the work shall be

prepared by mutual consultations to enable completion of the Work to quality

requirements within accepted cost and schedule completion time.

8. GUARANTEES

Till the award of the work, all the Bank Guarantees to the Client shall be furnished in

compliance to clause 10.5 of ITC.

9. DOCUMENTS & CONFIDENTIALLY

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Each partner shall maintain in confidence and not use for any purpose other than those

related to the Project all commercial and technical information received or generated

in the course of preparation and submission of the Proposal.

10. ARBITATION

Any dispute, controversy or claim arising out of or relating to this agreement shall be

settled in the first instance amicably between the Consultants. If an amicable

settlement cannot be reached as above, it will be settled as per Arbitration and

Conciliation Act 1996 , as amended from time to time.

11. VALIDITY

This Agreement shall remain in force till the occurrence of the earliest to occur of the

following, unless by mutual consent, the Partners agree in writing to extend the validity

for a further period.

a) The Proposal submitted by the Joint Venture is declared unsuccessful, or

b) Cancellation/ shelving of the project by the Client for any reasons prior to award

of Work

c) Execution of detailed JV agreement by the Partners, setting out detailed terms

after award of work by the Client, substantially covering the requirements as

mentioned in RFP Documents.

12. This Joint Venture shall be constructed under the laws of India.

13. NOTICES

The names, addresses and fax number of Authorized Representative of the other

Partners of the Joint Venture to which notices may be given in writing by fax confirmed

by registered mail or commercial courier shall be as under:

a) ________[Name], _________[Designation] ________[Address]

________[Ph. No., Fax No., Email ID]

b) ________[Name], _________[Designation] ________[Address]

________[Ph. No., Fax No., Email ID]

c) ________[Name], _________[Designation] ________[Address]

________[Ph. No., Fax No., Email ID]

(For Consultants in India to be executed on non-judicial Stamp paper of appropriate

value. For Consultants from outside India, to be executed according to the applicable

laws in the Consultant’s country and by taking into account the Note shown below.)

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Note:

1. In case of existing Joint Venture, the certified copy of JV Agreement may be

furnished.

Signature) (Signature) (Signature) ………………… ………………….. …………….. (Name in Block letters of all Executants with Seal of Company)

WITNESS 1.

WITNESS 2.

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TECH-17: CONSULTANT’S INFORMATION FORM

To establish its qualifications to perform the contract in accordance with Section 2 (Data Sheet-Evaluation and Qualification Criteria) the Consultant shall provide the information requested in the corresponding Information Sheets included hereunder

Consultant’s Information

Consultant’s legal name

Consultant’s country of constitution

Consultant’s year of constitution

In case of JV, state the countries and year of constitution of each member)

Status of the Consultant

(Please tick against the relevant category)

Sole Proprietorship Firm :

Partnership Firm:

Private Limited Company:

Public Limited Company :

Limited Liability Partnership :

Joint Venture :

In case of JV, Legal name of each partner with percentage participation (also provide information of each member in separate sheet

Legal name of JV member % participation

1.

2.

3.

Name of Lead Member of JV

Consultant’s legal address in country of constitution and in India

Consultant’s authorized representative

(name, address, telephone numbers, fax numbers, e-mail address)

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Consultant’s bank account details for the refund of Proposal security (if submitted in the form of DD/BC) by RTGS/NEFT

* Consultant’s GST No.

(Please attach the relevant GST registration Certificate)

(* In case Consultant participates in JV, each individual member has to mention their GST No. in below mentioned “JV members information sheet” and attached the relevant GST certificates)

JV MEMBERS INFORMATION SHEET

(This Additional Sheet is to be submitted in case Consultant participates in JV)

MEMBER – 1

JV Member’s Legal Name

Legal status of the Member

Sole Proprietorship Firm / Partnership Firm / Private

Limited Company / Public Limited Company/ Limited

Liability Partnership (Tick any one)

Member’s country of constitution

Member’s legal address, telephone

numbers, fax numbers, email address)

Member’s authorized representative

(name, designation, address)

MEMBER-1 GST No. (Please attach the relevant GST registration Certificate)

MEMBER – 2

JV Member’s Legal Name

Legal status of the Member

Sole Proprietorship Firm / Partnership Firm / Private

Limited Company / Public Limited Company/ Limited

Liability Partnership (Tick any one)

Member’s country of constitution

Member’s legal address, telephone

numbers, fax numbers, email address)

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The following documents shall be submitted with this form (by each member in

case of JV) :

a) Affidavit in case of Proprietary firm.

b) Partnership Deed in case of partnership firm.

c) Incorporation Certificate , Memorandum & Article of Association in case of a Public/Private

limited company

d) Incorporation Certificate , Limited Liability Partnership Agreement in case of a Limited

Liability Partnership.

e) In case of JV, Joint Venture Agreement (duly notarized) entered into by the joint venture

containing intended percentage participation, nomination of Lead Member and division of

responsibility to clearly define the work of each member etc.

f) Authorization/POA in favour of authorized signatory of Consultant to sign the Proposal, and

also in favour of authorized representative of each member in case of JV.

Note: Consultants authorized representative shall be deemed to have authority to receive and deliver any correspondence and attend meetings with the Client related to the Proposal.

Member’s authorized representative

(name, designation, address)

MEMBER-2 GST No. (Please attach the relevant GST

registration Certificate)

MEMBER – 3

JV Member’s Legal Name

Legal status of the Member

Sole Proprietorship Firm / Partnership Firm / Private

Limited Company / Public Limited Company/ Limited

Liability Partnership (Tick any one)

Member’s country of constitution

Member’s legal address, telephone

numbers, fax numbers, email address)

Member’s authorized representative

(name, designation, address)

MEMBER-3 GST No. (Please attach the relevant GST registration Certificate)

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TECH-18

FORMAT FOR POWER OF ATTORNEY FOR AUTHORISED SIGNATORY OF JOINT VENTURE (JV)

PARTNERS

POWER OF ATTORNEY*

(To be executed on non-judicial stamp paper of the appropriate value in accordance with relevant stamp Act. The stamp paper to be in the name of the company who is

issuing the power of Attorney) Know all men by these presents, we…..… do hereby constitute, appoint and authorize Mr/Ms. …. who is presently employed with us and holding the position of ……as our attorney, to do in our name and on our behalf, all such acts, deeds and things necessary in connection with or incidental to our bid for the work of …Including signing and submission of all documents, withdrawal, substitution and modification of bid and providing information/responses to National Capital Region Transport Corporation Ltd., representing us in all matters, dealing with National Capital Region Transport Corporation Ltd. in all matters in connection with our bid for the said project. We hereby agree to ratify all acts, deeds and things lawfully done by our said attorney pursuant to this Power of Attorney and that all acts, deeds and things done by our aforesaid attorney shall and shall always be deemed to have been done by us. Dated this the ……… day of …………. 20.. (Signature of authorized Signatory) ……………………………………… (Signature and Name in Block letters of Signatory) Seal of Company Witness

Witness 1: Name:

Address:

Occupation:

Witness 2: Name:

Address:

Occupation:

*Notes:

i) To be executed by all the partners individually, in case of a Joint Venture. ii) The mode of execution of the Power of Attorney should be in accordance with the

procedure, if any, laid down by the applicable law and the charter documents of the executant(s) and when it is so required the same should be under common seal affixed in accordance with the required procedure.

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TECH-19

FORMAT FOR POWER OF ATTORNEY TO LEAD PARTNER AND AUTHORISED

REPRESENTATIVE OF JOINT VENTURE (JV)

(To be executed on non-judicial stamp paper of the appropriate value in accordance with relevant stamp Act. The stamp paper to be in the name of the company who is

issuing the power of Attorney)

POWER OF ATTORNEY2

Whereas National Capital Region Transport Corporation Ltd. limited has invited Bids for the work of Whereas, the partners of the Joint Venture comprising of M/s. …, M/s. ……, and M/s. …. are interested in submission of bid for the work of …[Insert name of work]… in accordance with the terms and conditions contained in the bidding documents. Whereas, it is necessary for the partners of the Joint Venture to designate one of them as the Lead Partner as the authorized representative, with all necessary power and authority to do, for and on behalf of the Joint Venture, all acts, deeds and things as may be necessary in connection with the Joint Ventures bid for the project. NOW THIS POWER OF ATTORNEY WITNESSETH THAT: We, M/s. ……………… (Lead Partner), M/s__________,……… and M/s_________ hereby designate M/s. ………………………………, being one of the partners of the Joint Venture, as the lead partner of the Joint Venture and designate Mr/Ms. ___________ being authorized representative of the Joint Venture, to do on behalf of the Joint Venture, all or any of the acts, deeds or things necessary or incidental to the Joint Venture's bid for the contract, including submission of bid, withdrawal, substitution and modification of bid, participating in conferences, responding to queries, submission of information/ documents and generally to represent the Joint Venture in all its dealings with the Railway or any other Government Agency or any person, in connection with the contract for the said work until culmination of the process of bidding till the contract agreement is entered into with the National Capital Region Transport Corporation Ltd. Corporation and thereafter till the expiry of the contract agreement. We hereby agree to ratify all acts, deeds and things lawfully done by lead partner, our said attorney, pursuant to this power of attorney and that all acts deeds and things done by our aforesaid attorney shall and shall always be deemed to have been done by us/ Joint Venture.

Dated this the ………… Day of ……….. 20..…………………….

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(Signature) (Signature) (Signature) ………………… ………………….. …………….. (Name in Block letters of all Executants with Seal of Company)

Witness 1: Name: Address: Occupation:

Witness 2: Name: Address:

Occupation: Notes:

1. To be executed by all the Authorized POA holders of each Partners of the JV. 2. The mode of execution of the Power of Attorney should be in accordance with the

procedure, if any, laid down by the applicable law and the charter documents of the executant(s) and when it is so required the same should be under common seal affixed in accordance with the required procedure.

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TECH-20

CHECK LIST OF THE DOCUMENTS TO BE SUBMITTED

Mode of : Special Limited E-Proposal - in Two Packet System

RFP No. :

Name of Service:

Name of the Consultant.:

Sl. No.

Item

Submitted Reference Page No. in the Technical Submittal

Yes No

A. CHECK SHEET FOR TECHNICAL PROPOSAL SUBMISSION

1. Proposal security

1.1 Is Proposal Security of requisite amount submitted in separate sealed envelope?

N.A.

(a)

Mode of Submitting Proposal Security (Please tick the appropriate category) : (i) Demand Draft (DD): (ii) Bank Guarantee (BG): iii) Banker’s Cheque: iv) FDR: (v) Seeking Exemption:

(b)

FDR/Banker’s Cheque/Demand Draft/ Bank Guarantee No. (FDR/Banker’s Cheque/DD/BG) No. : TECH-10

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(c) Date of issuing of FDR/Banker’s Cheque/DD/BG:

(d) In case of FDR/BG, validity date :

(e) Amount of FDR/Banker’s Cheque/DD/BG:

(f)

Name & Address of issuing Bank:

(g)

In case of Exemption, Exemption certificate submitted from (Please tick the appropriate category) : (i) MSME: (ii) NSIC : (iii) Startup :

(h)

Registration No. of Exemption Certificate:

2. NOTARISED POWER OF ATTORNEY and Other SUPPORTING DOCUMENTS

2.1 Copy of Notarised POA/authorization in favour of authorized signatory of Proposal documents. TECH-9

2.2 Board Resolution (in case of Private/Public Limited Company/LLP )

2.3 Incorporation Certificate and Memorandum and Articles of Association (MOA & AOA) (in case of Private/Public Limited Company)

2.4 Incorporation Certificate and Limited Liability Partnership Agreement in case of Limited Liability Partnership firms.

2.5 Proprietorship Affidavit (in case the Consultant is Proprietorship Consultant)

2.6 Partnership deed (in case the Consultant is Partnership Consultant)

3. DOCUMENTS REQUIRED AS PER PROPOSAL

3.1 Technical Proposal Submission Form- TECH-1 along with annexures

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3.2 Check List for Technical Proposal Submission- TECH-18

3.3 Consultants Organization and Experience-TECH-2, TECH-2A and TECH-2B

3.4 Comments or suggestions on the terms of reference and on counterpart staff and facilities to be provided by the Client TECH-3, TECH-3A and TECH-3B

3.5 Description of Approach, Methodology and the Work Plan for Performing the Assignment TECH-4

3.6 Work Schedule and Planning for deliverables TECH-5

3.7 Team Composition, Key Experts inputs and attached Curriculum Vitae (CV) TECH -6

3.8 Affidavit–TECH-7

3.9 Work experience-TECH-8

3.10 Undertaking for Proposal Document Download-TECH-11

3.11 Undertaking for Encashment/Forfeiture of Proposal Security TECH-13

3.12 Financial Situation -TECH-14:

3.13 Annual Turnover for the last 5 years- TECH-15:

3.14 Form – Joint Venture Agreement -TECH-16

3.15 Consultant’s Information Form- TECH-17

3.16 Format For Power Of Attorney For Authorized Signatory Of Joint Venture (JV) Partners-TECH-18

3.17

Format For Power Of Attorney To Lead Partner And Authorized Representative Of Joint Venture (JV) -TECH-19

4.

ADDITIONAL REQUIREMENT

4.1 PAN CARD

4.2

GST Registration

B. CHECK SHEET FOR FINANCIAL SUBMISSION

1.

The financial Proposal is provided in the documents in the form of MS-EXCEL file. The rates/total lumpsum cost shall be quoted in the MS-EXCEL file provided in the documents. The Consultant shall download the MS-EXCEL file and after quoting their rates/total lumpsum cost shall upload the same accordingly. The rates/ total lumpsum cost shall not be offered/quoted elsewhere in the technical Proposal submission/ Proposal submission. These prices should include all costs associated with the contract except GST. The Consultant shall complete the Financial Proposal in accordance with the instructions given in the Financial Proposal.

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Note: (i) The check list is indicative and not exhaustive. The Consultant must go through the

complete RFP documents and submit the required document accordingly.

(ii) If any of the above form or criteria is not applicable to the Consultant, then they can simply indicate N.A. against the relevant column.

I hereby confirm that:

(i) I have checked the above list with our submittal. I am also aware that if our Proposal is not containing the above documents, the Client has the right to reject our Proposal.

(ii) All the pages of Proposal submission are properly index and numbered.

Seal: Date: (Signature of Authorized representative of Consultant)

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Section 4. Financial - Standard Forms

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 FIN-4 Reimbursable expenses

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FORM FIN-1 FINANCIAL SUBMISSION FORM

Please Refer Price Bid

87

FORM FIN-2 SUMMARY OF COSTS

Please Refer Price Bid

88

FORM FIN-3 BREAKDOWN OF REMUNERATION

Please Refer Price Bid

89

FORM FIN-4 BREAKDOWN OF REIMBURSABLE EXPENSES

Please Refer Price Bid

90

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Section 5. Eligible Countries

In reference to ITC 6.3.2, for the information of 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): None Under the ITC 6.3.2 (b): None

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Section 6. Fraud and Corruption

1. Purpose

1.1 The Bank’s Anti-Corruption Guidelines and this annex apply with respect to procurement under Bank Investment Project Financing operations.

2. Requirements

2.1 The Bank requires that Borrowers (including beneficiaries of Bank financing); bidders (applicants/proposers), consultants, contractors and suppliers; any sub-contractors, sub-consultants, service providers or suppliers; any agents (whether declared or not); and any of their personnel, observe the highest standard of ethics during the procurement process, selection and contract execution of Bank-financed contracts, and refrain from Fraud and Corruption.

2.2 To this end, the Bank:

a. Defines, for the purposes of this provision, the terms set forth below as follows:

i. “corrupt practice” is the offering, giving, receiving, or soliciting, directly or indirectly, of anything of value to influence improperly the actions of another party;

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

iii. “collusive practice” is an arrangement between two or more parties designed to achieve an improper purpose, including to influence improperly the actions of another party;

iv. “coercive practice” is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or the property of the party to influence improperly the actions of a party;

v. “obstructive practice” is:

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

(b) acts intended to materially impede the exercise of the Bank’s inspection and audit rights provided for under paragraph 2.2 e. below.

b. Rejects a proposal for award if the Bank determines that the firm or individual recommended for award, any of its personnel, or its agents, or its sub-consultants, sub-contractors, service providers, suppliers and/ or their employees, has, directly or indirectly, engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for the contract in question;

c. In addition to the legal remedies set out in the relevant Legal Agreement, may take other appropriate actions, including declaring misprocurement, if the Bank determines

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at any time that representatives of the Borrower or of a recipient of any part of the proceeds of the loan engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices during the procurement process, selection and/or execution of the contract in question, without the Borrower having taken timely and appropriate action satisfactory to the Bank to address such practices when they occur, including by failing to inform the Bank in a timely manner at the time they knew of the practices;

d. Pursuant to the Bank’s Anti- Corruption Guidelines and in accordance with the Bank’s prevailing sanctions policies and procedures, may sanction a firm or individual, either indefinitely or for a stated period of time, including by publicly declaring such firm or individual ineligible (i) to be awarded or otherwise benefit from a Bank-financed contract, financially or in any other manner;3 (ii) to be a nominated4 sub-contractor, consultant, manufacturer or supplier, or service provider of an otherwise eligible firm being awarded a Bank-financed contract; and (iii) to receive the proceeds of any loan made by the Bank or otherwise to participate further in the preparation or implementation of any Bank-financed project;

e. Requires that a clause be included in bidding/request for proposals documents and in contracts financed by a Bank loan, requiring (i) bidders (applicants/proposers),, consultants, contractors, and suppliers, and their sub-contractors, sub-consultants, service providers, suppliers, agents personnel, permit the Bank to inspect5 all accounts, records and other documents relating to the procurement process, selection and/or contract execution, and to have them audited by auditors appointed by the Bank.

3 For the avoidance of doubt, a sanctioned party’s ineligibility to be awarded a contract shall include, without

limitation, (i) applying for pre-qualification, expressing interest in a consultancy, and bidding, either directly or as a nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider, in respect of such contract, and (ii) entering into an addendum or amendment introducing a material modification to any existing contract.

4 A nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider (different names are used depending on the particular bidding document) is one which has been: (i) included by the bidder in its pre-qualification application or bid because it brings specific and critical experience and know-how that allow the bidder to meet the qualification requirements for the particular bid; or (ii) appointed by the Borrower.

5 Inspections in this context usually are investigative (i.e., forensic) in nature. They involve fact-finding activities undertaken by the Bank or persons appointed by the Bank to address specific matters related to investigations/audits, such as evaluating the veracity of an allegation of possible Fraud and Corruption, through the appropriate mechanisms. Such activity includes but is not limited to: accessing and examining a firm's or individual's financial records and information, and making copies thereof as relevant; accessing and examining any other documents, data and information (whether in hard copy or electronic format) deemed relevant for the investigation/audit, and making copies thereof as relevant; interviewing staff and other relevant individuals; performing physical inspections and site visits; and obtaining third party verification of information.

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Section- 7. Employer’s Requirement-Terms of Reference

1.0 Project Background

The National Capital Region Transport Corporation (NCRTC) (the “Employer”) was incorporated in August, 2013 with a mandate to implement RRTS project. NCRTC is a Joint Venture Company formed under the Companies Act 1956 comprising of Central Government (through the Ministry of Urban Development) and State Governments of Delhi, Rajasthan, Haryana and Uttar Pradesh. NCRTC shall undertake design, construction, operation and maintenance of the RRTS project covering 4 states in NCR region. In order to enhance the connectivity within the National Capital Region, the National Capital Region Planning Board (NCRPB), proposed to connect the Urban, Industrial (SEZs/Industrial Parks), regional and sub-regional centers in the States of Delhi, Uttar Pradesh, Rajasthan and Haryana through a Regional Rapid Transit System (RRTS). The Integrated Transportation Plan 2032 had identified eight rail based rapid transit corridors to enhance the efficacy of the transportation system in the NCR in addition to providing other facilities including road network enhancements. The eight identified RRTS corridors are: (i) Delhi – Ghaziabad – Meerut

(ii) Delhi – Gurugram – Rewari – Alwar

(iii) Delhi – Sonepat – Panipat

(iv) Delhi – Faridabad – Ballabhgarh – Palwal

(v) Ghaziabad – Khurja

(vi) Delhi – Bahadurgarh – Rohtak

(vii) Ghaziabad – Hapur

(viii) Delhi – Shahadra – Baraut

Out of the proposed eight (8) corridors, three corridors viz Delhi- Gurugram-Alwar, Delhi-Ghaziabad-Meerut and Delhi-Sonepat- Panipat, have been prioritized for the implementation in the first phase. However, during 36th meeting of NCR Planning Board it was decided that Delhi-Alwar corridor will be implemented in three phases and in the first phase Delhi-SNB (Shahjahanpur-Neemrana-Behror) shall be implemented. The Detailed Project Report (DPR) of Delhi-Meerut corridor has been approved by Govt of India and the work is in progress. The DPR of Delhi (SKK)-SNB corridor has been approved by NCRTC Board, Govt of Haryana, Govt of Rajasthan and Govt of Delhi. The same is under active consideration for approval of Govt. of India. The DPR for remaining Delhi-Panipat has also been approved by NCRTC Board.

2.0 Project Description This corridor Delhi (SKK)-SNB RRTS Corridor originates from Sarai Kale Khan in Delhi and ends at SNB in Rajasthan. Key salient features are as follows:

• Route length: 106.5 Km

• States covered: 3 (Delhi, Haryana, Rajasthan)

• Districts covered:

• Delhi

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South Delhi New Delhi South-West Delhi South East Delhi

• Haryana Gurugram Rewari

• Rajasthan Alwar

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• Length of corridor by state: 82.49 km (Haryana), 22.08 km (Delhi) and 1.93 km (Rajasthan)

• Number of stations: 16

• Elevated/Underground sections: While almost entire route length in Delhi is Underground, the route length in Haryana is mostly elevated except 14.08 Km. underground. The route length in Rajasthan is completely elevated. Elevated portion of the RRTS corridor in Haryana state has been planned along median/left/right of old Delhi-Gurugram road, Sector-17 road in Gurugram area and along NH-48 up to SNB (Rajasthan State Border). In this corridor one maintenance depot at Dharuhera (at grade) and a stabling facility at Manesar have been planned.

A key plan showing alignment of the Delhi- Gurugram-SNB RRTS corridor

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Table 1 – RRTS Station Details

S. NO. STATION NAME TYPE OF STATION CENTRE LINE CHAINAGE IN

(KM)

1 SARAI KALE KHAN

STATION ELEVATED -0.48

2 INA UNDERGROUND 6.21 3 MUNIRKA STATION UNDERGROUND 11.28 4 AEROCITY STATION UNDERGROUND 16.66 5 UDYOG VIHAR STATION ELEVATED 24.44 6 SEC 17 STATION ELEVATED 28.24 7 RAJIV CHOWK STATION ELEVATED 31.76 8 KHERKI DAULA STATION UNDERGROUND 39.04 9 MANESAR STATION UNDERGROUND 46.17 10 PANCHGAON STATION ELEVATED 52.94 11 BILASPUR CHOWK ELEVATED 58.44 12 DHARUHERA STATION ELEVATED 70.10 13 MBIR STATION ELEVATED 79.96 14 REWARI STATION ELEVATED 83.47 15 BAWAL STATION ELEVATED 93.57 16 SNB STATION ELEVATED 105.41

The details of the corridor along with broad technical specifications are given below. These specifications and the alignment including location of stations may undergo some changes. The finalized specifications and the alignment shall be provided to the Consultant. The details of the corridor and broad system specifications are as under:

S.No. Item Details 1 No of Tracks 1.Nos (UP & DN) (Additional tracks at few stations)

2 Track Gauge 1435 mm (Standard gauge)

3 Axle Load 17 tonnes

4 Design Speed 180 kmph

5 Type of track Main line– Ballast less track Depot line- Ballasted track on concrete sleepers

6 Rolling stock AC coaches (Stainless Steel/Aluminium) Width – 3.2m length – 23 m

7 Traction OHE ( 1 x 25 or 2 x 25) The implementation of this RRTS corridor requires mainly permanent transfer of Govt./ Govt. agencies Land. However, acquisition of private land is also required for providing Entry/exit to the RRTS stations, parking/ circulating areas of the stations, alignment of elevated viaduct, ventilation shafts, substations, etc. Govt. land on temporary basis is also required for setting up casting yards, batching plants, site offices, etc.

3.0 Objective of the assignment As per the proposed financing scheme for this project, part of the funds required for the implementation of this RRTS corridor shall be provided by World Bank. For the loan processing purpose, Environmental and Social assessments (ESA) of the project needs to be conducted required to be prepared as per World Bank Environmental & Social Framework

99

(applicable from October 1, 2018) and applicable legal and regulatory framework of GOI and respective states. The objectives of this assignment are as follows:

a) Conduct an Environment and Social Impact Assessment in accordance to Environment and Social Standard ESS1: Assessment and Management of Environmental and Social Risks and Impacts, and will consider, in an integrated way, all relevant direct, indirect and cumulative environmental and social risks and impacts of the project i.e. Delhi (SKK)-SNB RRTS Corridor and its Associated facilities, including those specially identified according to the ESS 1 to 10;

b) Based on the assessment findings, prepare commensurate mitigation plans (ESMP including plans to meet the requirement of the relevant ESS; Resettlement Action Plan, Stakeholder Engagement Plan, etc.); and

c) Provide inputs to preparation of the Environment and Social Commitment Plan (ESCP).

4.0 Scope of Work In line with the requirements of the World Bank’s ESF, NCRTC now wishes to engage a Consulting Firm (hereafter named “the Consultant”) for the preparation of an Environmental and Social Impact Assessment (ESIA) and preparation of management/mitigation instruments to address project’s E&S risks and impacts to help ensure that project is environmentally & socially sound and sustainable & contribute to the development of environmental & social development goals. It will include assessing and monitoring the environmental and social risks and impacts of the project throughout the project life cycle. The assignment would be undertaken in broadly three stages – i) Inception Stage; ii) Conducting of ESIA; iii) Preparation of commensurate ESMP/Mitigation Plans. Details of activities and expected deliverables/outputs at each stage are described below: 4.1 Inception stage At this stage, the consultant shall familiarize with the project details. Specifically, the Consultant shall: i) study the project information to appreciate the context within which the ESIA should be

carried-out,

ii) identify the sources of secondary information on the project and on the project area,

iii) Undertake preliminary survey to understand environment and social settings, design and

developing formats for field and design survey;

iv) take cognizance of existing state and national’s social and environmental acts, rules and

regulations, the Consultant shall review environmental and social legal requirements set

forth per local regulations to assess their applicability to the project during its entire cycle

(pre-construction; construction stage e.g. labor laws and O&M phase). The permissions

and clearances required shall be listed beforehand for implementation of the project.

v) study the WB ESF 2016 and understand the scope of each Environment and Social

Standard (ESS) and requirements therein;

vi) shall define the ‘study area’ considering different environmental & social settings along

the project alignment, project activities and associated facilities6. Specify the boundaries

of the study area for the assessment: watersheds, enhanced access to sensitive/remote

areas such as parks/reserves/forests, in-migration and settlement, natural resource

exploitation and commercial development.

vii) prepare preliminary estimation of impacts on private and community properties (e.g.

land, trees, crops, structures, common property resources) including impacts on non-title

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holders;

viii) identify potential locations (or Gender Based Violence Hotspots) that could be in close

proximity to construction locations e.g. primary school; girls schools/colleges

ix) collect broad socio-economic profile of the project area from review of relevant secondary

literature;

x) collect information on the existing environment & social setting from authentic secondary

sources, and identify gaps to be filled, relevant to the environmental & social screening

needs from primary surveys. Primary surveys shall include baseline monitoring of air,

water, soil, noise and vibration at representative and sensitive locations, and identification

of all macro-level environmental & social issues within the project’s study area.

xi) survey the environmentally & socially sensitive locations on and along the corridor, as well

as within the project’s study area. All regionally or nationally recognized environmental

resources and features within the project’s study area shall be clearly identified, and

studies in relation to the proposed scope of the project. Typically, these will include

stretches of congested habitation/densely built up areas, trees within project area;

environmental and common property resources such as forests, water bodies; land use

types; archaeological sites and major/minor physical cultural properties such as temples,

shrines, mosques, etc. All these parameters for impact assessments shall be depicted using

on a strip map along the chainage. The information of longitude, latitude should be

recorded

xii) while planning baseline data collection shall ensure (a) relevance of baseline data to

predict impact and design mitigation measures; (b) identify data gaps and uncertainties

associated with prediction;(c) based on current information, assess the scope of the area

to be studied based on physical, biological, and socioeconomic conditions; (d) takes into

account current and proposed development activities within the project area but not

directly connected to the project.(This section should indicate the accuracy, reliability and

sources of the data and consequences for assessing impacts and their mitigation). This

section will address the separate Project influence Area (PIA) of each of the route under

assignment (i) and will present GIS map, as appropriate.

xiii) shall conduct a preliminary analysis of the nature, scale and magnitude of the impacts that

the project is likely to cause on the environment, especially on the identified sensitive

environmental receptors, and classify the same using established methods and tools. For

the negative impacts identified, alternative avoidance/mitigation/management options

shall be examined (in line with mitigation hierarchy outlined in the ESF), and the most

appropriate ones suggested. For the positive measures identified, alternative and

preferred enhancement measures shall be proposed

xiv) shall define boundaries of the project ESIA after careful consideration of the baseline

scenario, likely potential environmental risks and impacts on the identified sensitive

environmental receptors/VECs, and the proposed mitigation and enhancement measures.

The scoping shall include a listing of potential environment issues that do not deserve a

detailed examination in the project ESIA (covering induced impacts that may be outside

the purview of the client) along with a justification. The scoping needs to identify potential

environmental risks and impacts that should be studied during ESIA and recommend

additional studies needed to comply the requirements of Environmental and Social

Standards (ESSs) of the World Bank. If extensive study is recommended in future which

is beyond the scope of the project, the draft ToR should be attached in the Annex.

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xv) provide Environmental inputs to Engineering Feasibility Studies and shall make location-

specific design recommendations, wherever possible or required related to alignment

(major/minor shifts or bypass or altogether different route alternative), corridor

alignment cross-sections, construction material use, slope stabilisation, erosion control,

and mitigation & enhancement measures. For all the different alternative improvement

proposals under consideration, using acceptable/established valuation techniques, the

Consultant shall prepare {a} an estimate of economic costs of the environment damages,

and economic benefits from the direct positive impacts that the project is likely to cause,

and {b} an estimate of financial cost on the mitigation and enhancement measures that

the project is likely to require, and financial benefits, if any.

xvi) ascertain presence of tribals – whose characteristics match with requirements as listed

under ESS 7 or if any stretch is in Schedule V area and thereby assess relevance of this

ESS.

xvii) carry out identification of stakeholders, categorize these stakeholders into: affected

persons; other interested persons; and disadvantaged and vulnerable persons/groups

xviii) fine-tune the methodology to help collect data/information as per scope and requirements

of each relevant ESS;

xix) interact with the DPR Consultant to determine how the ESIA activities fits into the overall

project preparation/ project cycle; and to appropriately plan the timing of the deliverables

of the ESIA process. In addition, a mechanism for continuous interaction between the

engineering, environmental and social teams.

The Consultant shall consult with the engineering team and familiarize themselves with the project’s overall feasibility analyses models, so that the ESIA inputs are in conformity to the needs of the overall feasibility study. In addition, wherever economic and financial costs of the environmental impacts cannot be satisfactorily estimated, or in the cases of significant irreversible environmental impacts, the Consultant shall make recommendations to avoid generating such impacts. Deliverables at this stage

1. Inception Report including preliminary E&S screening findings. The reports will be revised in consideration of the comments of NCRTC and the World Bank.

2. Preliminary Stakeholder Engagement Plan (See Annexure 2 for TOC). 4.2 Conducting Environment and Social Impact Assessment Based on the findings at the inception stage, the Consultant shall deploy the necessary survey tools and resources to undertake the following tasks i) Review of Legal and Institutional Framework: Consultant shall review and assess

applicability of existing national and state’s laws relating to Environmental and social

issues as well as the institutional framework relevant to environmental and social

aspects. The review will provide a comparative analysis of these legislations to address

project’s E&S risks and impacts vis-à-vis World Bank’s each ESS (1-10) requirements;

identify gaps therein with respect to requirements in ESSs and recommend necessary gap

filling measures/actions.

ii) Undertake Baseline Surveys: The Consultant will {a} collect information from

secondary sources that are relevant to understand the baseline, as well as the design of

mitigation measures pertaining to physical, biological and socio-cultural environments;

{b} carry out site visits and identify environmentally sensitive features locations within

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direct or indirect project area and document them on the base maps to identify conflict

points with preliminary designs (including verification of these from authentic sources

of information, such as from the revenue and forest records); and {c} prepare detailed

specific maps showing details of candidate sites with opportunities to enhance positive

impacts of project.

All surveys shall be carried out in compliance with the applicable standards/guidelines/norms. Wherever such guidelines/norms are not available, the techniques, tools and samples employed for the surveys shall conform to the International practices. Whenever directly relevant secondary data is available, these should be used, while indirectly relevant data should be verified through primary survey. Environmental quality (air, water, noise and vibration) monitoring shall include an adequate number of samples, as established on a sampling network to provide a representative picture of pollution levels along all the corridor. Additional data for sensitive environmental / ecological receptors, if any, shall be collected such as to analyze and predict the possible risks and impacts to a degree and precision of acceptable standards. The surveys shall necessarily cover inventory of trees, streams/rivers, historical/cultural sites, construction material sources, settlements, land use, sensitive receptors etc. in project corridors, including preparation of tree cutting schedules and forest land diversion case. Further, additional specialized surveys, such as biodiversity assessment survey, and hydrological surveys shall be conducted, if and when required, as part of environmental scoping.

The Consultant shall collect information on all regionally or nationally recognized environmental resources and features within the project area, which shall be clearly identified and studied in relation to activities proposed under the project. These will include all protected areas (national parks, wildlife sanctuaries, reserved forests, biosphere reserves, wilderness zones), unprotected and community forests and forest patches, all wetlands, rivers, nallas and other surface water bodies. The Consultant shall consolidate all these information on maps of adequate scale (1:250,000 minimum), superimposed with the corridor alignment.

iii) The Consultant shall determine all relevant direct, indirect and cumulative environmental and social risks and impacts of the project related to key issues identified through the scoping, such as, but not limited to (a) construction impacts such water and soil contamination from wastewater generated from construction/workers camps; spillage and handlings of chemical and hazardous materials; damage to vegetation; air pollution due to fugitive dust from hill cutting and earthwork, and emission from operation of vehicle, equipment and plants; cutting of trees for corridor; reduction of natural resources base and degradation due to extraction/quarrying; land degradation from project induced development; change in aesthetic of landscape; impacts on archaeological and historical sites/assets, culturally and socially important common properties, religious properties/sites, (sacred groves on or near the project corridor); distress of public/community due disruption of utility services; and likely direct, indirect and induced impacts on ecological functions of forests, other natural habitats including protected areas; community health and safety risks and issues; (b) occupational health and safety risks and issues during construction and operation; (c) operation stage safety concerns and risks, considering increased speed and traffic volumes and community/ pedestrian safety issues; (d) environmental impacts during operational e.g. air pollution,

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noise and vibration induced by movement of rakes on the tracks, traffic safety in and around stations and other nodes , and impacts on wildlife if any, etc.

iv) The Consultant shall (a) identify feasible measures for resource efficiency i.e. energy use, water usage and management, and raw materials so as to minimize project’s foot prints on finite natural resources; (b) estimate carbon and GHG emissions due to implementation of project, identify feasible measures for reducing such emissions, creating carbon sink, and climate resilient measures to suite local needs and challenges, and by possible use of alternative technologies. The Consultant shall be responsible to validate project boundary, baseline data, tools and methods that shall be used for estimating GHG emission and designing mitigation measures.

v) The Consultant for identified environmental risks and impacts shall prepare

Environmental and Social Management Plan, in accordance to ‘mitigation hierarchy’, which will (a) identify the set of responses to potentially adverse impacts; (b) determine requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the means for meeting those requirements.

vi) Cumulative Impact Assessment of the proposed project activities, and of the induced

effects due to construction and operational activities of the project along with other actual or planned development activities in the project area. For this analysis, the Consultant will identify Valued Environmental Components specifically relevant to the Cumulative Impact Assessment based on inputs from stakeholders, and will assess the potential impacts of multiple development activities on the VECs.

vii) Analysis of alternatives: The Consultant while doing analysis of alternatives shall

compare feasible alternatives to the proposed project site, technology, design, and

operation—including environmental and social risks and impacts “with project” and

“without project” scenarios. Further, the consultant in this regard, shall follow the

principle of mitigation hierarchy: Avoid or Minimize or Compensate or Offset impacts.

viii) The Consultant shall suggest on efficient use of environment friendly construction

materials and technologies, energy and resource efficiency, water conservation and

management, reduction of GHG emission and increasing carbon sink, climate resilient

measures etc. The Consultant to the extent possible shall attaches economic values where

feasible.

ix) Hold consultations with stakeholders: Present a Stakeholder Analysis of local

stakeholders such as local government, associations, who could play a role in the project

implementation process (including R&R). Carry out meaningful consultations as

outlined under ESS 10 with each stakeholder category having positive/negative influence

on the outcomes. It shall record and analyze people’s perception of the project, its adverse

impacts, and minimum acceptable mitigation measures (relocation options, if any are

required assistance offered) that will enable them to cope with displacement or loss of

livelihoods – temporary or permanent in nature, if any. As part of this process,

disadvantaged and vulnerable groups will be identified and separate focused group

discussions (FGDs) with such groups besides women will be held.

x) Provisions for the Physically challenged: In accordance with Directive on Disabled

associated with ESS1, the Consultant shall identify locations, sections, areas where

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positive actions could be planned to enable/facilitate better access for those vulnerable

groups who are physically challenged e.g. access ramps to get into station or exit.

xi) Processes in case of Tribals: In case, tribals have been identified en-route the

corridor, the Consultant shall conduct consultations and identify if the project impacts

result in loss of land, livelihood, relocation; and has significant impacts on indigenous

peoples’ cultural heritage that is material to their identity and /or the

cultural/ceremonial/spiritual aspects of their lives and in such cases obtain Free Prior

and Informed Consent of the affected indigenous persons/tribals. In case FPIC cannot be

ascertained, the project will not proceed.

xii) Undertake quantitative Social survey: Quantitative survey shall be undertaken for

identification of adverse (on the finalized corridor alignment) and positive impacts of the

project. For this purpose, Consultant should undertake Census & Socio-economic survey

which should cover all categories of impacted persons and the results should be presented

segregated by gender and social category. It will help to establish impact categories that

is critical to the determination of potential adverse impacts and help analyze the relative

vulnerability of, and risks to, the affected communities. The assessment should analyse

key impacts on different groups of people (such as land owners, non-titleholders small

and marginal farmers; small businesses, shopkeepers; commercial establishments,

SCs/STs, disadvantaged and vulnerable groups and women), and communities (common

properties, lands). The impacts should be segregated by pre-construction and

construction stage (such as disruption, loss of access, temporary loss of business, loss of

livelihood, impact on host community, if any, issues arising due to labour influx, etc.).

Questionnaires administered on the household will also consider the Sexual Orientation

and Gender Identity (SOGI) aspects and therefore include questions relating to: i) third

gender and ii) sexual orientation.

xiii) Entitlement policy and assistance package: NCRTC already has a Resettlement

Policy Framework to help address the R&R issues arising from land taking in other

corridors e.g. Delhi-Meerut corridor, etc. Consultant should further review the provisions

in the RPF to better understand the processes and also whether the method meets the

requirements of ESS 5. Also, the gap analysis between this method and ESS5

requirements will cover the treatment of non-title holders, such as squatters and

encroachers. Hence, based on discussions with NCRTC and WB, the study will help

establish the criteria for eligibility of compensation and other resettlement assistance and

present entitlements by type of impacted assets and category of impacted persons

including disadvantaged and vulnerable persons.

xiv) Identification of gender concerns/gaps: In order to meet the Bank’s requirements

on gender, Consultant shall try and identify gender ‘gaps’ areas i.e. areas or aspects where

positive gender actions can be undertaken. E.g. specific assessment of access to stations

and safety concerns therein; female labor participation within the proposed project;

measures that would help to increase benefits in mobility. For this purpose, the

consultant shall hold separate Focus Group Discussions with women from the project

area households and potential Transport users; and explore areas for skill

development/enhancement. The exercise is expected to formulate commensurate actions

relating to gender and help devise suitable monitoring indicators.

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xv) Assessment of GBV and SEA/SH: To minimize the risk of GBV (and Sexual

Exploitation and Abuse), the consultant shall:

a) Assess the overall GBV risks in the project area based on (i) existing gender country diagnostics/country action plans; (ii) data on partner/non-partner physical violence against women; (iii) cultural practices vis-à-vis women (early marriage, physical practices); and (iv) information obtained from consultations carried out as part of consultations with stakeholders;

b) Prepare a mapping of GBV service providers in the project area that indicates the type of services, including formal service providers (i.e., hospitals, NGOs, government offices) and informal (i.e., women’s groups, community elders, etc). The mapping should indicate any capacity constraints of informal GBV service providers;

c) Confirm the GBV risk assessment rating provided by the World Bank for the project and assess the capacity of the implementing agency to supervise GBV mitigation measures;

d) Identify GBV mitigation measures linked to activities to manage labor influx (including specifications for placement of worker camps, signage, infrastructure for men and women, etc.);

e) For this purpose, Consultant shall hold a few consultations with: a) communities at potential GBV hotspots and with women’s groups – groups that advocate for children and adolescent rights, and other stakeholders. These consultations should feed into the identification of potential GBV issues and possible prevention and mitigation strategies. As part of these consultations, those affected by the project should be properly informed of GBV risks and project activities to get their feedback on project design and safeguard issues. Community consultations should never directly ask about experiences of GBV and should follow ethical protocols. b) with project officials on existing provisions/mechanisms to address GBV issues; c) collect information on incidents of eve teasing, harassment, etc from a few of the police stations en-route the corridor.

The draft ESIA report shall articulate the findings of the targeted consultations and GBV mapping and present a matrix off issues and recommendations of the consultant to mitigate the critical GBV issues, including the engagement third party monitoring, as required.

xvi) Identify modes for stakeholder engagement and information disclosure:

Consultant shall identify modes, frequency and mechanisms for holding consultations

with the identified set of stakeholders. Also, the consultant shall identify types of

information that needs to be disclosed by NCRTC, mechanisms for dissemination and

the feedback period. Revise the preliminary stakeholder analysis and plan, to identify

means to engage with citizen/communities in respect to design and mitigation measures,

monitoring, grievance mechanisms.

xvii) Institutional Capacity Building & Training: Institutional assessment would assess:

the current institutional structure of NCRTC to deal with overall project and in particular

the E&S aspects; current levels and modes of engagement with various stakeholders;

availability and access to grievance redressal mechanisms for communities to seek

redressal, etc. Based on this assessment, Consultant shall identify and recommend

commensurate mitigation measures in the form of: in house capacity enhancement,

external support in the form of PMC; contracting/hiring of E&S staff; training and

capacity building measures, etc.

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xviii) Assessment of existing Grievance Redressal Mechanism and procedures:

Assess existing grievance redressal mechanisms (as already utilized by NCRTC in its

various other corridor projects) in terms of: a) whether it is accessible to all different

stakeholders en-route the various corridor; b) if there is evidence of GRM mechanism

receiving grievances in other corridors; c) nature of grievances received; d) time taken to

resolve grievances and e) if there is an escalation provision of grievances to next level for

redressal; f) identify measures to strengthen existing GRM.

xix) Assessment of Labor related aspects: The Consultant shall assess: a) applicability

of labour laws, b) risks to non-discrimination and equal opportunity, c) potential risks of

child labor and forced labor, including the workers to be brought to the project by brokers

(sub-contractors); d) presence of grievance mechanism to all workers, occupation health

and safety aspects, etc. The assessment will scope out impact and absorptive capacity of

host communities to address risks that arises from labour influx. In context of COVID

situation, it will lay increased focus on the migrant labor and associated risks; and

identify measures that need to be incorporated in the bid documents for the civil works

contractor.

Deliverables at this stage

1. Draft ESIA Report (See Annexure 1 for TOC): The reports will be revised in consideration of the comments of NCRTC and the World Bank.

2. Draft Stakeholder Engagement Plan (See Annexure 2 for TOC): The reports will be revised in consideration of the comments of NCRTC and the World Bank.

4.3 Preparation of Environment and Social Management Plan Following the finalization of the ESIA at the previous stage, the consultant shall:

a) prepare Environment and Social Management (ESMP) including mitigation plans to meet the requirements of each ESS that has been identified as relevant.

b) provide inputs to bid documents so that relevant portions of the ESMP are incorporated into the bid-document; and

c) prepare Environment and Social Commitment Plan (ESCP) Specifically, the Consultant shall

i) Based on the environmental and social impacts assessed, separate ESMPs, RAP, TDP (as

required) for the alignment shall be prepared that consists a set of mitigation, monitoring,

and institutional measures required to eliminate/address adverse environmental and

social risks and impacts. These instruments shall be prepared as per the requirements of

WB’s ESSs and should identify responses to potentially adverse impacts; determine

requirements for ensuring timely responses; and describe the means for meeting those

requirements. The technical details for each mitigation measure shall include the type of

impact to which it relates, the conditions under which it is required (e.g., continuously or

in the event of contingencies), as well as preliminary design, equipment descriptions, and

operating procedures, as appropriate.

ii) Prepare GBV risk mitigation plan: Based on the risk level identified from the ESIA

and WB’s risk categorization7, prepare an action plan to address GBV related issues at

construction stage. This should cover aspects relating to: a) Operationalize or constitution

7 as per World Bank Gender Based Violence Risk Assessment Tool (RAT)

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of Internal Complaints Committee as per Prevention of Sexual Harassment at Workplace

procedure; b) implement appropriate project-level activities such as: separate, safe and

easily accessible facilities for women and men in the place of work and the labour camps.

(e.g. toilets should be located in separate areas, well-lit) display signs that the project site

is an area where SEA/SH is prohibited; c) ensure codes of Conduct are clearly understood

and signed by those with a physical presence at the project site; Train project staff on the

behaviour obligations under the CoCs and Disseminate CoCs (including visual

illustrations) and discuss with employees and local communities; d) undertake regular

M&E of progress on SEA/SH prevention and response activities, including reassessment

of risks as appropriate.

iii) Prepare Labor Management Procedures. In accordance with ESS2, the consultant

shall develop and implement written labor management procedures applicable to the

project. These procedures will set out the way in which project workers will be managed,

in accordance with the requirements of national law and this ESS. It will cover the

following aspects: a) Provisions on the treatment of direct, contracted, community, and

primary supply workers; b) Requirements on terms and conditions of work, non-

discrimination and equal opportunity and workers organizations; c) Provisions on child

labor and forced labor; d) Requirements on Occupational Health and Safety (OHS), in

keeping with the World Bank Group’s Environmental, Health, and Safety Guidelines

(EHSG); e) grievance mechanism for these workers and f) Estimate the total number of

workers including contracted and migrant workers, the skill requirement and timing and

the associated risks and the facilities to be provided as per the World Bank Group

occupational health and safety guidelines’ requirements. It will also highlight

considerations adopted in each of the above of the aspects in respect of COVID pandemic8.

Based on the above considerations, the Consultant shall prepare a Labor Management Plan

(See Annexure 4 for TOC). The Consultant shall also prepare a detailed management

plans with specific actions to be taken by the contractors and sub-contractors with regard

to working conditions and management of workers, management of chemical, hazardous

and non-hazardous material/waste, noise, occupational health and safety of workers and

community, labor influx (workers accommodation, HIV/ AIDS prevention etc.) and other

key impacts under contractors’ control.

iv) Prepare Resettlement Action Plan: The plan shall be prepared based on impacts

identified in the ESIA and should include estimated costs of the mitigation measures;

compensation to affected parties/persons for impacts, assistances by type of impact and

category of vulnerable person. The pan should also cover all aspects relating to resettlement

and rehabilitation, livelihood restoration, monitoring, evaluation and grievance redressal

(See Annexure 5 for indicative contents of RAP).

v) Prepare Tribal Development Plan: On the basis of the social assessment and in

consultation with the affected tribal communities, Consultant shall prepare an Tribal

Development Plan that sets out the measures through which the project will ensure that (a)

tribals affected by the project receive culturally appropriate social and economic benefits;

and (b) when potential adverse effects on tribals are identified, those adverse effects are

avoided, minimized, mitigated, or compensated for (See Annexure 6 for indicative

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contents of TDP).

vi) ESMP should cover: a) construction stage social impacts; b) provisions for the physically

challenged; c) management of labor influx9 through preparation of Labor Influx

management plan, etc.

vii) The Consultant shall recommend feasible and cost-effective measures to prevent or reduce

significant negative impacts to acceptable levels. Apart from mitigation of the potential

adverse impacts on the environmental component, the ESMP shall identify opportunities

that exist to induce positive impacts of project along the corridor. This shall include but not

limited to the enhancement of specific locations as water bodies; micro-watershed;

innovative storm water management practices - like rain water harvesting and bio-

retention apart from preventing water logging conditions in the adjoining settlements;

enhancement of community and cultural assets, etc. Residual impacts from the

environmental measures shall also be clearly identified. Include measures for emergency

response to accidental events (during construction or operation.), as appropriate

viii) The ESMP shall include: a) specific plans, such as for management and redevelopment of

quarries, borrow areas and construction camps; b) detailed specification, bill of quantities,

execution drawings and contracting procedures for execution of the environmental

mitigation and enhancement measures suggested, separate for pre-construction,

construction and operation period; c) actions identified based on assessment of potential

quarry sites if any are identified, conditions of primary supply workers with a focus on

child, forced labor and OHS; and d) good practice guides that relates to construction and

upkeep of plant and machinery.

ix) Responsibilities for execution and supervision of each of the mitigation and enhancement

measures shall be specified in the ESMP.

x) To monitor implementation of ESMP, for different stage of project (pre-construction,

construction, post construction), the Consultant shall identify the performance indicators,

approach of monitoring, and frequency. The performance indicators should include both

quantitative and qualitative types, but the Consultant shall consider practicality aspect and

provide approach for monitoring each identified indicator.

xi) The Consultant for unanticipated incidents arising from both natural and man-made

hazards, shall prepare Emergency Response Plan (ERP) particularly during construction

stage.

xii) The ESMP shall specify the environmental supervision, monitoring and auditing

requirements. The monitoring program shall specify performance indicators, monitoring

parameters (air, water, noise, soil and vibration), reference standards, monitoring method,

frequency, duration, location, and reporting on progress and results of mitigation. In

addition, the program will specify what action should be taken and by whom in the event

that the proposed mitigation measures fail, either partially or totally, to achieve the level of

environmental protection expected. An outline of the contents of the EMP to be included in

the project’s Operational Manual should be provided along with environmental/social

protection clauses for contracts and specifications.

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xiii) The ESMP shall highlight the special environmental clauses (SECs) to be included in the

Tender Document under General/Particular Specification. These clauses are aimed at

ensuring that the Contractor carries out his responsibility of implementing the EMP and

other environmental and safety measures. The ESMP shall also include a health safety plan

of the project to be included in the tender document.

xiv) Based on the assessment of existing institutional/organizational status to support timely

and effective of environmental and social project components, Consultant shall identify

actions to strengthen environmental and social management capability in NCRTC. The

ESMPs shall describe the implementation arrangement needed for the project, especially

the capacity building proposals including the staffing of the environment unit adequate to

implement the environmental mitigation and enhancement measures. For each staff

position recommended to be created, detailed job responsibilities shall be defined.

Equipment and resources required for the environment unit, training plan and modules

shall be specified, and bill of quantities prepared. All key actions identified essential for

capacity development for effective implementation of project’s E&S mitigation measures

shall be linked with ESCP.

xv) The Consultant in the ESMP shall provide implementation schedule for measures that must

be carried out as part of the project, showing phasing and coordination with overall project

implementation plans; and estimated cost and sources of funds for implementing the ESMP

(integrated into the total project cost tables).

Deliverables at this stage 1. Draft ESMP including relevant mitigation plans as per identified ESS:

5.0 Public Disclosure The Consultant will support NCRTC for in-country disclosure, specifying the timing and locations; translate the key documents, such as the executive summary of Environmental and Social Impact Assessment, Environmental and Social Management Plan and relevant mitigation plans such as RAP, SEP, etc. or any other documents in local language. The draft ESIA and management plans should also be available in a public place accessible to affected groups and local NGOs for appropriate consultation such as the District offices of the district that lie en-route the corridor to solicit feedback. Relevant materials will be provided to affected groups in a timely manner prior to consultation and in a form and language that is understandable and accessible to the groups being consulted. The Consultant should maintain a record of the public consultation and the records should indicate: means other than consultations) e.g, surveys) used to seek the views of affected stakeholders; the date and location of the consultation meetings, a list of the attendees and their affiliation and contact address; a video of the consultation workshop and summary minutes.

6.0 Provide inputs to preparation of ESCP The Consultant shall provide inputs to NCRTC in preparation of an ESCP which will include (a) measures, actions with timelines required for the project to achieve compliance with the ESSs requirements over specified timeframe for the corridor construction and maintenance, (b) process (reporting and managing) allowing adaptive management of propose project changes or unforeseen circumstances, (c) different management tools that borrower will develop proportionate to the risk and impacts of the project;

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7.0 Environment, Social, Health and Safety Requirements for Bidding Document

Based on the special environmental clauses (SECs) prepared as above – which need to be included in the Bidding documents - the Consultant shall prepare detailed specifications for environmental, social, health and safety (ESHS) requirements for the bidding documents. These would also cover NCRTC’s ESHS policies that will apply to the project, minimum requirements for bidder’s code of conduct, and requirement of contractors ESHS staff and other aspects identified as relevant to civil works.

8.0 Coordination and Assistance to the Authority “NCRTC” The Consultant will coordinate with the client, the World Bank, Indian Government, State Government & Local concerned bodies and the engineering design consultant hired by the client to ensure fulfillment of the Scope of work requirements as outlined above. The client will facilitate initial contacts with each agency and should be invited to all subsequent meetings so that they have the opportunity to attend. The consultant will furnish any relevant information required for obtaining clearance from various state and central government agencies such as:

• If required, to assist NCRTC in the submission of application and required documents for the Clearance of Reserved Forests to the Forest Departments, where necessary.

• If required, to assist NCRTC in the submission of forms and documents for obtaining Environmental Clearance for the project, where necessary.

• If required, to assist NCRTC in presentation to the relevant Wildlife Board or respective state/national authority in obtaining clearance for the section of the corridor passing through the Wildlife Reserves or Sanctuaries, etc., where necessary.

• Assistance to NCRTC in submission for any other clearance requirements with respect to the environmental components relevant to the project.

9.0 Existing data available with the Employer The Employer shall provide to the Consultant copies (hard or soft form as available) of all earlier relevant reports prepared for this RRTS corridor at appropriate times.

10.0 Duties and Responsibilities of the Consultant

The Consultant shall initiate in consultation with NCRTC, and actively pursue and involve itself in all investigations and enquiries, consultations, studies, collection and compliance with pertinent information and data, convening of and attendance at meetings, and in any other activities as are or may be necessary for completing the assignment and submission of reports, documents to the specified requirements. The Consultant shall carry out the Services in accordance with its own methods, in compliance with the provisions of the Agreement. Any and all changes necessary to ensure that the Consultant’s documents conform to the intent and purpose set out in the Agreement, shall be made at the Consultant’s own expense. The Consultant represents that it is a professional and experienced consultant providing full consultancy services, and hereby agrees to bear full responsibility for the correctness and technical merit of the services performed.

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11.0 Standard of Services

11.1 General

The Consultant shall be responsible for the correctness and merits of its submissions The Consultant shall ensure that qualified and experienced professionals are employed in sufficient number and that accurate, consistent, clear and easily read documents are produced in time. Various documents shall be submitted by the Consultant in a timely manner so as to give sufficient time for review and approval. All the documents provided by the Consultant shall be issued under the signatures of its authorized signatory.

11.2 Responsibility

12.0 Notwithstanding approval/acceptance by the Employer, the Consultant shall remain responsible for the quality and correctness of the documents submitted by the Consultant.

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Annexure 1 – Indicative Table of Contents for ESIA refer to ESS 1, ESF

1. Executive Summary 2. Legal and Institutional Framework 3. Project Description 4. Baseline Data 5. Environmental and Social Risks and Impacts 6. Mitigation Measures 7. Analysis of Alternatives 8. Design Measures 9. Key Measures and Actions for the Environmental and Social Commitment Plan (ESCP) 10. Appendices

Annexure 2 – Indicative Table of Contents for Stakeholder Engagement Plan

1. Project Description 2. Types of facilities to be created (Corridor, station, associated facilities) 3. Purpose of the Stakeholder Engagement Plan 4. Applicable legal and regulatory framework and World Bank Environmental and Social

Framework (ESF) 5. Brief Summary of previous stakeholder Engagement activities 6. Stakeholder identification across corridor 7. Stakeholder Engagement and Project cycle 8. Timelines for Information disclosure and Feedback 9. Stakeholder engagement in future phases of project 10. Implementation arrangements 11. Grievance redressal mechanism 12. Budget for implementation 13. Monitoring and Reporting (including Annual reporting back) 14. Training

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Annexure 3 – Indicative Table of Contents for Labor Management Procedure 1 Project Description

2 Assessment of Key Labor Risks

3 Brief Overview of Labor legislation – Terms and conditions

4 Brief Overview of Labor legislation – Occupational Health and Safety (OHS)

5 Responsible Staff

6 Policies and Procedures

7 Age of Employment

8 Grievance Mechanisms

9 Contractor Management

10 Community Workers

11 Primary Suppliers

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Annexure 4 – Indicative Table of Contents for Contractor’s Environment and Social Management Plan

1. Licensing Requirement

1.1 Statutory Permissions/NOC/Approvals/Labour License

1.2 Insurance

1.3 Use of approved quarry/borrow areas, if such material is required

1.4 Any other

2. Workforce management under COVID 19 considerations

2.1. Profile of work force – work activities, schedule, contract duration, workforce

rotation plan, workers place of stay, workers with underlying health issues

2.2. Measures to mitigate risks on account of COVID 19

2.3. Contingency plan covering – pre-health check-up, access restrictions, hygiene,

waste management, accommodation arrangements, PPE provision and usage

2.4. Reporting and handling of Instances of COVID 19 cases, training and

communication with workers, training and SOPs on communicating and contact

with community

3. Labour Influx and Labor Camp Management (if outside labour is

accommodated in a labour camp)

3.1. Labor influx management plan (including maximizing sourcing of local labor and

minimizing labor from outside the area)

3.2. Location of Labour Camp

3.3. Number of labour to be housed and duration

3.4. Break-up of labour workforce – male, female, children

3.5. Number of Units in Labour Camp

3.6. Source and Provision of Water and Power Connection including Drinking Water

3.7. Cooking Arrangement – Individual Kitchen/community Kitchen

3.8. Source, Type and Provision of Kitchen Fuel

3.9. Toilet facilities – individual/community; fixed/mobile and sewage disposal

arrangement

3.10. Waste collection and disposal arrangement from Labour Camp

3.11. Identify Risk of Community Interface – any fencing/separation requirement

3.12. Security and general lighting arrangement

4. Resource Planning

4.1. Water and power requirement for works and locations

4.2. Need for water line or electrical wiring

4.3. Raw material requirement and source(s)

4.4. Temporary storage(s) at site and location(s) – cover/uncovered

4.5. Transportation route from source to storage

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4.6. Identification of accident hotspots enroute the proposed corridor or associated

facilities

4.7. Need for speed breakers/governors/signage

5. Pollution Prevention

5.1. Potential of dust emission from openly stored raw material and mitigation

arrangement – covering, sprinkling, etc.

5.2. Potential of water pollution from spillage and leakage from raw material storage

and preventive measures

5.3. Potential of air emissions from works including toxic emissions from paints and

chemicals, emissions from DG sets and other construction equipment – locations

where potential is high, possibility of community impact, impact on workers,

preventive measures such as dust masks for workers, etc.

5.4. Potential of noise generation from works (use of equipment and machinery,

demolition work) including from any activity planned at nigh time – locations

where potential is high, possibility of community impact, impact on workers,

preventive measures such as ear muffs, etc.

5.5. Potential of water pollution from works – possibility of leakage to surface water or

accumulation in low lying areas; preventive measures/treatment requirement

5.6. Estimate of excavated earth/construction debris requiring disposal – quantum,

sources(s) of generation, identified dumping sites, transportation mode and route,

period of dumping and restoration plan

6. Occupation Health & Safety and Emergency Management

6.1. List of work locations, hazards/risks with PPE requirement and numbers

6.2. Lists of tasks and work zone critical for hazard prevention

6.3. Location of warning signage for hazard prevention

6.4. Requirement of first aid boxes and fire extinguishers – task and location wise

6.5. Key person(s) to be contacted during emergency

6.6. Protocol for deciding the level of emergency – need for hospitalization,

information to authorities, etc.

6.7. Process of accident analysis, corrective and preventive measures and need for

reporting

7. Addressing GBV Risks

7.1 Preventive measures – provision of lighting, separate toilet areas for men and

women, increased vigil and security arrangement for community sensitive GBV

hotspots, if identified by dam authorities.

7.2 Sensitizing and awareness of labour on Gender Based Valuation (GBV) issues

including penalties and legal action against offenders

7.3 Awareness about GRM

8. Code of Conduct

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8.1 Preparation of Code of conduct

8.2 Making labour aware of conduct with all the provisions, do’s and don’ts, penalties

for non-compliances, etc.

8.3 Displaying CoC and Do’s and Don’ts at prominent locations

8.4 Signing of CoC by workers

9. Awareness and Training

9.1 Plan for training and awareness covering Pollution Prevention, OHS, Use of PPEs,

Accident reporting and emergency management, CoC, GBV, GRM, etc.

9.2 Training schedule

9.3 Training records

10. Labor Grievance redressal Mechanism

10.1 Details of GRC

10.2 Process of receiving, redressing, escalation, reporting back

10.3 Consolidated statement on Grievances (segregated by non-COVID related &COVID

related)

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Annexure 5 – Indicative Table of Contents for Resettlement Action Plan (Refer to ESS 5)

1) Description of the project. 2) Potential impacts. 3) Objectives of the resettlement program. 4) Census survey and baseline socioeconomic studies. 5) Legal framework 6) Institutional framework 7) Eligibility 8) Valuation of and compensation for losses 9) Community participation 10) Implementation schedule. 11) Costs and budget 12) Grievance redress mechanism. 13) Monitoring and evaluation 14) Arrangements for adaptive management. Additional planning requirements where resettlement involves physical displacement

15) Transitional assistance. 16) Site selection, site preparation, and relocation. 17) Housing, infrastructure, and social services. 18) Environmental protection and management. 19) Consultation on relocation arrangements. 20) Integration with host populations. Additional planning requirements where resettlement involves economic displacement

21) Direct land replacement. 22) Loss of access to land or resources. 23) Support for alternative livelihoods. 24) Consideration of economic development opportunities 25) Transitional support

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Annexure 6 – Indicative Table of Contents for Tribal Development Plan 1. Summary of the Targeted Social Assessment, including the applicable legal and

institutional framework and baseline data;

2. A summary of the results of the meaningful consultation tailored to Tribals, and if the project involves the three circumstances, then the outcome of the process of FPIC carried out with the affected Tribals during project preparation;

3. A framework for meaningful consultation tailored to Tribals during project implementation;

4. Measures for ensuring Tribals receive social and economic benefits that are culturally appropriate and gender sensitive and steps for implementing them;

5. Measures to avoid, minimize, mitigate, or compensate Tribals for any potential adverse impacts that were identified in the social assessment, and steps for implementing them;

6. The cost estimates, financing plan, schedule, and roles and responsibilities or implementing the Tribals Plan;

7. Accessible procedures appropriate to the project to address grievances by the affected Tribals arising from project implementation; and

8. Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and reporting on the implementation of the Tribals Plan, including ways to consider input from project-affected Tribals in such mechanisms

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Section- 8. General Conditions of Contract, Special Condition of Contract & Contract Form

I. 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 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.

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

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

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

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

(f) “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).

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

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

(i) “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.

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

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

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

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(m) “Joint Venture (JV)” means an association with 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.

(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 Curricula Vitae (CV) was taken into account in the technical evaluation of the Consultant’s proposal.

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

(p) “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.

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

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

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

(t) “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.

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

2. Relationship between the Parties

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.

3. Law Governing Contract

3.1. This Contract, its meaning and interpretation, and the relation 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 matters relating to the meaning or interpretation of this Contract.

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

6. Communications 6.1. Any communication required or permitted to be given or made pursuant to this Contract shall be in writing in the language specified

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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.

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. Location 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 Member in Charge

8.1. In case the Consultant is a Joint Venture, the members hereby authorize the member specified in the SCC to act on their behalf in 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 Representatives

9.1. Any action required or permitted to be taken, and any 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. Fraud and Corruption

10.1 The Bank requires compliance with the Bank’s Anti-Corruption Guidelines and its prevailing sanctions policies and procedures as set forth in the WBG’s Sanctions Framework, as set forth in Attachment 1 to the GCC.

a. Commissions and Fees

10.2 The Client requires the Consultant to disclose any 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 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 Contract

11.1. This Contract shall come into force and effect on the date (the “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 Contract for Failure to

12.1. If this Contract has not become effective within such time period after the date of Contract signature as specified in the SCC, either Party may, by not less than twenty two (22) days written notice to the other Party, declare this Contract to be null and void, and in the

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Become Effective

event of such a declaration by either Party, neither Party shall have any claim against the other Party with respect hereto.

13. Commencement of Services

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

14. Expiration of Contract

14.1. Unless terminated earlier pursuant to Clause GCC 19 hereof, 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 Variations

16.1. Any modification or variation of the terms and conditions of 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.

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

17. Force Majeure

a. Definition 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 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 Contract

17.4. The failure of a Party to fulfill any of its obligations 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

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measures, all with the objective of carrying out the terms and conditions of this Contract.

c. Measures to be Taken

17.5. A Party affected by an event of Force Majeure shall continue 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 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 part or 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

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

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

(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 Fraud and Corruption 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.

b. By the Consultant

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.

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(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.

c. Cessation of Rights and Obligations

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 inspection, copying and auditing of their accounts and records set forth in Clause GCC 25 and to cooperate and assist in any inspection or investigation, and (iv) any right which a Party may have under the Applicable Law.

d. Cessation of Services

19.1.5. Upon termination of this Contract by notice of either 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.

e. Payment upon Termination

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 GCC 19.1.1, 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.

C. OBLIGATIONS OF THE CONSULTANT

20. General

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 accordance with generally accepted professional standards and practices, and

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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, the Consultant shall retain full responsibility for the Services.

b. Law Applicable to Services

20.4. The Consultant shall perform the Services in accordance with the Contract and the Applicable Law and shall take all practicable 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 Interest

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

a. Consultant Not to Benefit from Commissions, Discounts, etc.

21.1.1 The payment of the Consultant pursuant to GCC F (Clauses GCC 38 through 42) shall constitute the Consultant’s only payment in connection with this Contract and, subject to Clause GCC 21.1.3, the Consultant shall not accept for its own 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

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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 Regulations, 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.

b. Consultant and Affiliates Not to Engage in Certain Activities

21.1.3 The Consultant agrees that, during the term of this Contract and after its termination, the Consultant and any entity affiliated with the Consultant, as well as any Sub-consultants and any entity affiliated with such Sub-consultants, shall be disqualified from providing goods, works or non-consulting services resulting from or directly related to the Consultant’s Services for the preparation or implementation of the project.

c. Prohibition of Conflicting Activities

21.1.4 The Consultant shall not engage, and shall cause its Experts as well as its Sub-consultants not to engage, either 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 Disclose Conflicting Activities

21.1.5 The Consultant has an obligation and shall ensure that its Experts and Sub-consultants shall have an obligation to disclose any situation of actual or potential conflict that 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 Consultant

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

24. Insurance to be taken out by the Consultant

24.1 The Consultant (i) shall take out and maintain, and shall cause any Sub-consultants to take out and maintain, at its (or the Sub-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

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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, Inspection and Auditing

25.1 The Consultant shall keep, and shall make all reasonable efforts to cause its Sub-consultants to keep, accurate and systematic 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 Pursuant to paragraph 2.2 e. of Appendix to the General Conditions the Consultant shall permit and shall cause its subcontractors and subconsultants to permit, the Bank and/or persons appointed by the Bank to inspect the Site and/or the accounts and records relating to the performance of the Contract and the submission of the bid, and to have such accounts and records audited by auditors appointed by the Bank if requested by the Bank. The Consultant’s and its Subcontractors’ and subconsultants’ attention is drawn to Sub-Clause 10.1 which provides, inter alia, that acts intended to materially impede the exercise of the Bank’s inspection and audit rights constitute a prohibited practice subject to contract termination (as well as to a determination of ineligibility pursuant to the Bank’s prevailing sanctions procedures).

26. Reporting Obligations

26.1 The Consultant shall submit to the Client the reports and 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 of the Client in Reports and Records

27.1 Unless otherwise indicated in the SCC, all reports and relevant data and information such as maps, diagrams, plans, databases, other documents and software, supporting records or 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, Vehicles and Materials

28.1 Equipment, vehicles and materials made available to the Consultant by the Client, or purchased by the Consultant wholly or 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

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shall dispose of such equipment, vehicles and materials in accordance 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 AND SUB-CONSULTANTS

29. Description of Key Experts

29.1 The title, agreed job description, minimum qualification and 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 Experts

30.1 Except as the Client may otherwise agree in writing, no 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 or Sub-consultants

31.1 If the Client finds that any of the Experts or Sub-consultant has committed serious misconduct or has been charged with having committed a criminal action, or if the Client determines that a Consultant’s Expert or Sub-consultant has engaged in Fraud and Corruption 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.

E. OBLIGATIONS OF THE CLIENT

32. Assistance and Exemptions

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

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(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. Access to Project Site

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

34. Change in the Applicable Law Related to Taxes and Duties

34.1 If, after the date of this Contract, there is any change in the applicable law in the Client’s country with respect to taxes and duties which increases or decreases the cost incurred by the Consultant in 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

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Parties hereto, and corresponding adjustments shall be made to the Contract price amount specified in Clause GCC 38.1

35. Services, Facilities and Property of the Client

35.1 The Client shall make available to the Consultant and the Experts, for the purposes of the Services and free of any charge, the 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 Personnel

36.1 The Client shall make available to the Consultant free of 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 Obligation

37.1 In consideration of the Services performed by the Consultant 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.

F. PAYMENTS TO THE CONSULTANT

38. Contract Price 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 GCC 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.

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 Payment

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

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41. Mode of Billing and Payment

41.1 The total payments under this Contract shall not exceed the 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 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 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.

41.2.5 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.

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42. Interest on Delayed Payments

42.1 If the Client had delayed payments beyond fifteen (15) days 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.

G. FAIRNESS AND GOOD FAITH

43. 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 Settlement

44.1 The Parties shall seek to resolve any dispute amicably by 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.

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II. Special Conditions of Contract

Number of GC Clause

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

1.1(a) The Contract shall be construed in accordance with the law of INDIA. “Applicable Law” means the laws and any other instruments having the force of law in India.

1.1(h)-Effective Date

Date of issue of letter of acceptance by the Employer or the date mentioned in the LOA, whichever is later.

4.1 The language is: English.

6.1 and 6.2 The addresses are - Client- National Capital Region Transport Corporation Ltd. 7/6, Siri Fort Institutional Area, August Kranti Marg, New Delhi – 110049 Tel: +91-11-41066943 Fax: +91-11-41066953 Email:- procurementcell@ncrtc.in . Consultant : Name to be filled in at the time of preparation of Contract Agreement.

8.1

In case of Consultant is Joint Venture:

(i) The JV shall not have more than 3 partners with minimum share of at least 26% each.

(ii) Submit JV Agreement and Form Tech-01, Tech-09, Tech-

16,Tech-18 & Tech-19 given in Section 3: Standard Forms, at the time of submission of bid.

(iii) All partners of JV shall nominate a Representative through Power of Attorney (Form given in Section-3,Tech-09) who shall have the authority to conduct all business for and on behalf of any and all the parties of the JV during the bidding process and, in the event the JV is awarded the Contract, during contract execution.

(iv) Submit Power of Attorney by individual partners to the Lead Partner as per the form given in Section-03.

In case a Joint Venture is the successful bidder, the detailed Joint Venture Agreement should be entered by the Joint Venture partners.

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The duly signed Joint Venture Agreement should be submitted along with the Performance Security to the employer after notification of the award of contract within 28 day.

9.1 The Authorized Representatives are: For the Client: Full address of the Engineer shall be communicated to the successful Bidder after appointment of the Engineer or at the time of signing of contract agreement whichever is earlier. For the Consultant: Name and address of representative of successful Consultant.

11.1 The effectiveness conditions are the following: NA.

12.1 Termination of Contract for Failure to Become Effective: The time shall be two months.

13.1 Commencement of Services: The services shall be commenced by the Consultant within the fifteen days of the issue of Letter of Acceptance (LOA) and the date stipulated in LOA whichever is later. 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.

14.1 Expiration of Contract: The works shall be completed within a period of 06 months from the date of issue of Letter of Acceptance (LOA) and the date stipulated in LOA whichever is later.

21 b. 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.

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23.1 Liability of Consultant is Equal to the contract value as stated in the Letter of Acceptance issued by the Employer to the Consultant. 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 “Applicable Law.

24.1

The insurance coverage against the risks shall be as follows: (a) Professional liability insurance,- DELETED (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, -DELETED

(c) Third Party liability insurance, with a minimum coverage of -

DELETED (d) Client’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

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(iii) any documents prepared by the Consultant in the performance of the Services.

27.2

The Consultant shall not use these documents for purposes unrelated to this Contract without the prior written approval of the Client.

30.0 All persons employed by the Consultant shall be the employees of Consultant and not of the Client. The Consultant shall be solely responsible for any workers’ compensation obligations, withholding taxes, unemployment insurance, all statutory obligations and any other Employer obligations with respect to all employees working for the Consultant. The Employer will not normally consider request of the selected bidder for the substitution of Key Experts except under special circumstances. However such substitution shall be limited to once for each key expert for the whole contract period and in the event of such replacement, the replaced person shall have equal or better qualification & experience than the person replaced. In case the replacement of any key expert exceeds the above limit then penalty “ Rs 50,000 (Rs Fifty Thousand only) per key expert per additional replacement shall be levied on the Consultant which shall be recovered from the due payments of the Consultant. In case the Employer is not satisfied with the performance of any of the key expert of the Consultant, such key expert shall be replaced by the Consultant ,on receipt of a written notification from the Employer to this effect , with a person having qualification and experience equal to or better than the requirement of contract conditions. Such replacement shall also be considered as replacement for the purpose of levy of penalty. However, if the replacement is advised by the Employer for the reasons attributable to the Employer, no penalty shall be imposed.

1. In case of non-availability of any of the Key experts in carrying

out the designated tasks, penalty @ Rs 7,500 per day of the period

of absence for each of the key expert shall be levied on the

Consultant which shall be recovered from the due payments of the

Consultant.

2. In case of absence of Team leader during any scheduled meeting

for any non-justifiable reason to the satisfaction of NCRTC, a

penalty of Rs 10,000/- per meeting shall be made.

3. In case of absence of Key Expert during any Scheduled meeting

for any non-justifiable reason to the satisfaction of NCRTC a

penalty of Rs.5,000/- per meeting shall be made.

4. Penalty for substitution of key persons (excluding Team Leader)

will be 0.10% 0f contract value per expert per month.

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5. Penalty for substitution of Team Leader in the given

circumstances of disability or loss of life will be 0.15% 0f contract

value per month.

32.1 (a) to (e)

DELETED

32.1(f) DELETED

38.1 The employer shall make payment to the Consultant in accordance with the accepted lumpsum cost as per the Payment Schedule as per Clause 41.2 to the Special Conditions of Contract. The accepted lumpsum contract value for the provision of services to complete the contract scope of work shall cover all costs incurred by the Consultant for performing the stipulated Services. This shall not only include salaries, overheads and non-salary expenses, all allowance for contingencies, fees and profits, but all other costs and expenses incurred in carrying out the requirements of the Services, and the taxes duties, fees and other impositions under the Applicable Laws except Goods and Services Tax (GST) which shall be paid extra as per the prevailing tariff. These costs shall include all costs for Sub-Consultants, and any other professional fees or services incurred by the Consultant. The accepted contract value shall also include all costs, office expenses, travel charges, expenses and allowance paid to or on behalf of expatriate staff working in their own country or in India.

39.1 and 39.2 All duties, taxes, royalties, cess and other levies payable by the Bidder under the Contract, or for any other cause (including standard specifications), as on the date 28 days prior to the deadline for submission of bids, shall be included in the rates and prices and the total Bid Price submitted by the Bidder except Goods and Services Tax (GST). GST will be paid extra as applicable on the submission of GST Invoices for first RA bill. The subsequent RA bill shall be raised for payment upon submission of documentary evidence towards payment of GST collected on the previous bill to the GST Authorities. However, if subsequent bills are raised before return submission date of previous bill period, the documentary evidence towards payment of GST shall be provided within 7 days from the due date of such return filing. The Final bill/single bill payment shall be released on the undertaking by the contractor/supplier for providing evidence within 7 days from the due date of such return filing for final bill based on GST provision for due dates.

40.0 The currency for this bid is: Indian Rupees (INR).

41.2 The payment schedule:

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S.No Activity to be performed Payable % of total accepted lumpsum price

Payable cumulative % of total accepted lumpsum price

1 On Submission of an inception report and approval of the same by the Employer

10% 10%

2 Submission of Draft ESIA report & its approval by the employer

40% 50%

3a Submission of Draft ESMP, ESCP & Resettlement Plan (RP) and its approval by the Employer

15% 65%

3b After reports are accepted by funding agencies Includes Presentation of reports to be given to funding agencies (as inform by Client), replies to queries raised by funding agencies, incorporation of suggestions of funding agencies in the report.

10% 75%

4 Submission of the Final Report and approval of the same by the Employer.

25% 100%

41.2.1 DELETED

41.2.4 The accounts are: INR (Account details to be provided by the consultant).

42.1 DELETED

45.1

Disputes shall be settled in accordance with the following provisions:

1. Procedure of Claim-If the Consultant intends to claim any additional payment under any clause of these Conditions or otherwise, the Consultant shall give notice to the Engineer as soon as possible and in any event within 28 days of the start of the event giving rise to the claim. The Consultant shall also submit any other notices which are required by the Contract, and

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supporting particulars for the claim, all as relevant to such event or circumstance.

The Consultant shall keep such contemporary records as may be necessary to substantiate any claim, either on the Site or at any other location acceptable to the Engineer. Without admitting the Employer’s liability, the Engineer shall on receipt of such notice, inspect such records, monitor the record-keeping and/or may instruct the Consultant to keep further contemporary records. The Consultant shall permit the Engineer to inspect all such records, and shall (if instructed) submit copies to the Engineer.

Within 28 days of such notice, or such other time as may be agreed by the Engineer, the Consultant shall send to the Engineer a fully detailed claim which includes full supporting particulars of the basis of the claim and additional payment claimed. If the event or circumstance giving rise to the claim has a continuing effect:

a) this fully detailed claim shall be considered as interim;

b) the Consultant shall send further interim claims at monthly intervals, giving the accumulated amount claimed, and such further particulars as the Engineer may reasonably require; and

the Consultant shall send a final claim within 28 days after the end of the effects resulting from the event or circumstance, or within such other period as may be proposed by the Consultant and approved by the Engineer.

If the Consultant fails to comply with this Sub-Clause, he shall not be entitled to claim any additional payment.

2.Payment for Claim- The Consultant shall be entitled to have included in any Interim Payment Certificate such amount for any claim as the Engineer considers due, after taking approval from the Employer. If the particulars supplied are insufficient to substantiate the whole of the claim, the Consultant shall be entitled to payment for such part of the claim as has been substantiated.

3. No legal action till Dispute Settlement Procedure is

exhausted.- Any and all Disputes shall be settled in accordance with the provisions of Clause 60. No action at law concerning or arising out of any Dispute shall be commenced unless and until all applicable Dispute resolution procedures set out in Clause 60 shall have been finally exhausted in relation to that Dispute or any Dispute out of which that Dispute shall have arisen with which it may be or may have been connected.

4. Notice of Dispute- For the purpose of Sub-Clause 60.5, a Dispute

shall be deemed to arise when one party serves on the other party a notice in writing (hereinafter called a "Notice of Dispute") stating the nature of the Dispute provided that no such notice shall be served later than 28 days after the date of issue of Performance Certificate by the Engineer.

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5. Two stage for Dispute resolution- Disputes shall be settled through two stages:

a) Conciliation procedures as established by “The Arbitration and Conciliation Act-1996” & amended by the Arbitration & Conciliation ( Amendment ) Act, 2015 and any statutory modification or re-enactment thereof and in accordance with this Clause. In the event this procedure fails to resolve the Dispute then;

b) Arbitration procedures undertaken as provided by “The Arbitration and Conciliation Act -1996” & amended by the Arbitration & Conciliation (Amendment ) Act, 2015 and any statutory modification or re-enactment thereof. and in accordance with this Clause.

6. Conciliation- Within 60 days of receipt of Notice of Dispute, either party shall refer the matter in dispute to conciliation.

Conciliation proceedings shall be initiated within 30 days of one party inviting the other in writing to Conciliation. Conciliation shall commence when the other party accepts in writing this invitation. If the invitation is not accepted then Conciliation shall not take place. If the party initiating conciliation does not receive a reply within 30 days from the date on which he sends the invitation he may elect to treat this as a rejection of the invitation to conciliate and inform the other party accordingly.

The Conciliation shall be undertaken by one Conciliator selected from a panel of Conciliators maintained by the Employer. The Conciliator shall assist the parties to reach an amicable settlement in an independent and impartial manner.

7.Concilliation Procedure- a) The Employer shall maintain a panel of

Conciliators, who shall be from serving or retired engineers of Government Departments, or of Public Sector Undertakings. Out of this panel, a list of three Conciliators shall be sent to the Consultant who shall choose one of them to act as Conciliator and conduct conciliation proceedings in accordance with “The Arbitration and Conciliation Act, 1996” of India & amended by the Arbitration & Conciliation (Amendment) Act, 2015 2015 and any statutory modification or re-enactment thereof.

There will be no objection if conciliator so nominated is a serving employee of NCRTC who would be Deputy HOD level officer and above.

The Employer and the Consultant shall in good faith co-operate with the Conciliator and, in particular, shall endeavor to comply with requests by the Conciliator to submit written materials, provide evidence and attend meetings.

Each party may, on his own initiative or at the invitation of the Conciliator, submit to the Conciliator suggestions for the settlement of the dispute.

When it appears to the Conciliator that there exist elements of a settlement which may be acceptable to the parties, he shall formulate the terms of a possible settlement and submit them to the parties for their observations. After receiving the

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observations of the parties, the Conciliator may reformulate the terms of a possible settlement in the light of such observations.

If the parties reach agreement on a settlement of the dispute, they may draw up and sign a written settlement agreement. If requested by the parties, the Conciliator may draw up, or assist the parties in drawing up, the settlement agreement. When the parties sign the settlement agreement, it shall be final and binding on the parties and persons claiming under them respectively.

The Conciliator shall authenticate the settlement agreement and furnish a copy thereof to each of the parties. As far as possible, the conciliation proceedings should be completed within 60 days of the receipt of notice by the Conciliator.

The parties shall not initiate, during the conciliation proceedings, any arbitral or judicial proceedings in respect of a dispute that is the subject matter of the conciliation proceedings.

8. Termination of Conciliation proceedings- The conciliation

proceedings shall be terminated: a) by the signing of the settlement agreement by the parties on the

date of agreement; or

b) by written declaration of the conciliator, after consultation with the parties, to the effect further efforts at conciliation are no longer justified, on the date of declaration; or

c) by a written declaration of the parties to the conciliator to the effect that the conciliation proceedings are terminated, on the date of declaration; or

d) by a written declaration of a party to the other party and the conciliator, if appointed, to the effect that the conciliation proceedings are terminated, on the date of declaration.

Upon termination of the conciliation proceedings, the conciliator shall fix the costs of the conciliation and give written notice thereof to the parties. The costs shall be borne equally by the parties unless settlement agreement provides for a different apportionment. All other expenses incurred by a party shall be borne by that party.

9.Arbitration- If the efforts to resolve all or any of the disputes through

conciliation fails, then such disputes or differences, whatsoever arising between the parties, arising out of touching or relating to construction/ manufacture, measuring operation or effect of the Contract or the breach thereof shall be referred to Arbitration in accordance with the following provisions:

a) Only such dispute(s) in respect of which notice has been given under Clause 60.1 but could not be settled through DB, together with counter claims or set off, given by the Employer, shall be referred to arbitration. No other matter shall be included in the reference.

b) The Arbitration proceedings shall be presumed to have commenced from the day, a valid written notice for arbitration is received by Managing Director, National Capital Region Transport Corporation Limited, New Delhi (MD/NCRTC).

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(c ) Any dispute referred to arbitration shall be settled in accordance with the Arbitration & Conciliation Act, 1996 (26 of 1996) as amended from time to time.

Arbitration Tribunal:

Number of Arbitrators: The Parties to the contract have agreed that the arbitration tribunal shall consist of:

i) Sole Arbitrator in cases where the total value of all claims in question added together does not exceed Rs. 2.00 crores;

ii) Three arbitrators in all other cases.

10. The arbitrators shall be appointed as per following procedure: (i) In case of Sole Arbitrator: Within 60 days from the day when a

valid written notice for arbitration is received by MD/NCRTC, the Employer will forward a panel of three names to the Consultant. The Consultant shall have to choose one Arbitrator from the panel of three, to be appointed as Sole Arbitrator within 30 days of dispatch of the request by the Employer. In case the Consultant fails to choose one Arbitrator within 30 days of dispatch of the request of the Employer then the Managing Director/Delhi Metro Rail Corporation (MD/DMRC) shall appoint anyone as Arbitrator from the panel of three Arbitrators as a sole Arbitrator.

(ii) In case of three Arbitrators: (a) Within 60 days from the day when a valid written notice for

Arbitration is received by MD/NCRTC, the Employer will forward a panel of five names to the Consultant. The Consultant will then give his consent for any one name out of the panel to be appointed as one of the Arbitrators within 30 days of dispatch of the request by the Employer.

(b) Employer will decide on one name out of the panel as the second Arbitrator. MD/NCRTC shall appoint the two Arbitrators, including the one Arbitrator for whom consent was given by the Consultant, within 30 days from the receipt of the consent for one name of the Arbitrator from the Consultant. In case the Consultant fails to give his consent within 30 days of dispatch of the request of the Employer, then MD/NCRTC shall nominate both the Arbitrators from the panel.

(c ) The third Arbitrator shall be chosen by the two Arbitrators so appointed by the parties out of the panel of five Arbitrators or from the larger panel of Arbitrators to be provided to them by Employer on the request of two appointed Arbitrators (if so required) who shall act as the Presiding Arbitrator. In case of failure of the two appointed Arbitrators to reach upon consensus for the third Arbitrator within a period of 30 days from their appointment, then, upon the request of either the Consultant or Employer or both , the Presiding Arbitrator shall be appointed by the MD / NCRTC, New Delhi.

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(d) If an Arbitrator appointed as above refuses to act as Arbitrator or withdraws from his office as Arbitrator, or is unable or unwilling to perform his functions as Arbitrator for any reason or the office falls vacant due to death or in the opinion of the MD/NCRTC fails to act without undue delay, the MD/NCRTC shall appoint new Arbitrator to act in his place except in case of new Presiding Arbitrator, who shall be chosen following the same procedure as mentioned in para (ii)(c) above. Such re-constituted Tribunal may, at its discretion, proceed with the reference from the stage at which it was left by the previous Arbitrator(s).

(iii) The Employer at the time of offering the panel of Arbitrator(s) to be appointed as Arbitrator shall also provide information with regard to the qualifications of the said Arbitrators nominated in the panel along with their professional experience, phone nos. and addresses to the Consultant.

Qualification and Experience of Arbitrators The Arbitrators appointed under sub-clause 60.9.2 shall have qualifications and experience, as under:

(i) Arbitrator shall be:

(a) A Serving/ Retired Officer (not below E-8 grade in a Public Sector Undertaking (PSU) with which NCRTC has no business relationship) of any discipline of Engineering or Accounts / Finance department, having experience in Contract Management of Construction Contracts; or

(b) A Retired Officer ( retired not below the SAG level in Indian Railways ) of any Engineering Services of Indian Railways or Indian Railway Accounts Service, having experience in Contract Management of Construction Contracts; or a Retired Officer who should have retired more than 3 years prior to the date of appointment as Arbitrator (retired not below E-8 grade in NCRTC or a PSU with which NCRTC has no business relationship) of any Engineering discipline or Accounts / Finance department, having experience in Contract Management of Construction Contracts or retired judge of any High Court or the Supreme Court of India or reputed Chartered Accountant & should be member of ICAI, New Delhi.

(ii) No person other than the persons appointed as per above procedure

and having above qualification and experience shall act as Arbitrator.

Any new claim shall not be added during proceedings by the either party, provided a party may amend or supplement the original claim or defence thereof during the course of arbitration proceedings subject to acceptance by Tribunal having due regard to the delay in making it.

Neither party shall be limited in the proceedings before such

arbitrator(s) to the evidence or arguments put before the

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Engineer for the purpose of obtaining his decision. No decision given by the Engineer in accordance with the foregoing provisions shall disqualify him from being called as a witness and giving evidence before the arbitrator(s) on any matter, whatsoever, relevant to dispute referred to arbitrator/s. Neither party shall be limited in the proceedings before such arbitrators to the evidence nor did arguments previously put before during settlement through Conciliation proceedings.

It is agreed to by the Parties to the contract that in the case where

Arbitration Tribunal consists of sole Arbitrator, their disputes shall be resolved by fast track procedure specified in sub-section (3) of section 29B of the Arbitration and Conciliation Act, 1996 as amended from time to time.

If the Consultants does/do not prefer his/their specific and final

claims in writing, within a period of 90 days of receiving the intimation from the Employer/Engineer that the final bill is ready for signature of the Consultant (s), he/they will be deemed to have waived his/their claim(s) and the Employer shall be discharged and released of all liabilities under the contract in respect of these claims.

Arbitration proceedings shall be held at New Delhi, India and the

language of the arbitration proceedings and that of all documents and communications between the parties shall be in English.

The Arbitration Tribunal shall record its day to day proceedings.

The proceedings shall normally be conducted on the basis of documents and written statements. All arbitration awards shall be in writing and shall state item wise, the sum and detailed reasons upon which it is based. Endeavour shall be made for conduct of Arbitration proceedings within a period of 180 days. Both the Parties should endeavour to adhere to time schedule for early finalization of award.

The award of the sole Arbitrator or the award by majority of three

Arbitrators, as the case may be, shall be binding on all parties. Any ruling on award shall be made by a majority of members of Tribunal. In the absence of such a majority, the opinion of the Presiding Arbitrator shall prevail.

A party may apply for correction of any typographical or

computational errors or any other error of similar nature occurring in the award of a tribunal and interpretation of specific point of award to tribunal within 60 days of the receipt of award.

A party may apply to tribunal within 60 days of receipt of award

to make an additional award as to claims presented in the arbitral proceedings but omitted from the arbitral award.

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11. Interest on Arbitration award- Where the arbitral award is for the payment of money, no interest shall be payable on whole or any part of the money for any period, till the date on which the award is made.

12. Cost of Arbitration- The fees and other charges of the Arbitrators

shall be as per the scales fixed by the Employer from time to time irrespective of the fact whether the Arbitrator(s) is / are appointed by the Employer or by the court of law unless specifically directed by Hon’ble Court otherwise on the matter, and shall be shared equally by the Employer and the Consultant. However, the expenses incurred by each party in connection with the preparation, presentation will be borne by itself.

13. Jurisdiction of Court- Where recourse to a court is to be made in

respect of any matter, the court at Delhi/ New Delhi shall have the exclusive jurisdiction to try all disputes between the parties.

14. Suspension of Work on Account of Arbitration- (i) The ongoing work of the project shall in no case be interrupted

or stopped in view of making reference for conciliation/arbitration or its commencement.

(ii) The obligations of the Employer, Engineer and the Consultant shall not be altered by reasons of arbitration being conducted during the progress of the Works.

(iii) Neither party shall be entitled to suspend the work or part of the

work to which the dispute relates on account of arbitration and payments to the Consultant shall continue to be made in terms of the Contract.

46.0 Add following to SCC Clause- Performance Security- The Consultant shall, within 28 days of the notification of Contract award, provide a Performance Security for the due performance of the Contract for

amount of 10% of awarded contract value as stated in Letter of Acceptance.

The forms of acceptable Performance Security are: The Performance security shall be, at the Consultant’s option, in any of the following forms: (d) Banker’s certified cheque or Bank draft drawn on a Scheduled

commercial/Nationalized Bank in India in favour of “National Capital Region Transport Corporation Ltd.” payable at New Delhi; or

(e) An irrevocable and unconditional Bank Guarantee (BG) using the Form given in Section 8: Contract Forms. The Bank Guarantee shall be from a Bank having minimum net worth of over INR 5000 million from the specified banks as under:

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(i) a Scheduled Commercial Bank in India, or

(ii) a Foreign Bank which do not have operations in India is

required to provide a counter-guarantee by a Scheduled Commercial Bank in India, or a Foreign Bank which has a correspondent bank in India is required to submit the Bank Guarantee through the correspondent bank in India.,

(f) The Scheduled Commercial Bank issuing the Bank Guarantee

shall preferably be on “Structure Financial Messaging System (SFMS)” platform. A separate advice of the BG shall invariable be sent by the issuing Bank to the Purchaser’s Bank through SFMS. Further, the Performance Security in Original form along with a copy of “MT760COV (in case of Bank Guarantee message) / MT767COV (in case of Bank Guarantee amendment message) Report” sent by the BG issuing Bank shall be submitted as stated in clause 18 of GCC. The Issuing Bank shall send the SFMS to: Beneficiary: National Capital Region Transport Corporation Limited Bank Name: HDFC Bank Account No. 50200029737870

IFSC Code: HDFC0000003

Performance security is submitted in the form of a Bank Guarantee, it

shall be issued from a Scheduled Commercial Bank in India. Such bank

guarantee shall be valid for period stated in the Special Conditions of

Contract and in case of extension of time the validity of the same shall

be extended for further period. The Employer reserves the right to

forfeit the performance guarantee amount, in the event of termination

of the Contract in accordance with GCC Clause 19.

47.0 Add following to SCC Clause-

Validity & Release of Performance Security –

The Performance Security shall be discharged by the Client and returned to the Consultant not later than 28 days following the date of completion contract.

The Consultant shall be issued Performance Certificate by the Client stating that the consultant has completed his obligation to the Client’s satisfaction. Only the issue of Performance Certificate shall be deemed as fulfilment of consultant’s obligations with respect to this contract.

The Consultant shall submit Performance Security in two Parts of 5 % each. The first part of performance security (5%) shall initially remain

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valid up to 60 days beyond the issue of completion certificate and second part (5%) shall remain valid up to 60 days beyond the issue of performance certificate. In case of extension of time, the validity of the performance security shall be accordingly extended.

The first part (5%) of Performance Security shall be released on completion of entire work on issue of completion certificate. The second part (5%) of Performance Security shall be released after issue of performance certificate.

48.0 Add following to SCC Clause- Priority of documents-

The documents forming the part of the Contract are to be taken as mutually explanatory of one another. If there is an ambiguity or discrepancy in the documents, the Employer shall issue any necessary clarification or instruction to the Consultant which shall be binding on the Consultant; and priority of the documents shall be as follows:

i. The Contract Agreement; ii. The Letter of Acceptance;

iii. Addendum/Corrigendum iv. Reply to the pre-bid queries issued by the employer, if any v. Letter of Invitation ;

vi. Instructions to Consultants ; vii. Employers requirements – Terms of Reference

viii. The Special Conditions of Contract; ix. The General Conditions of Contract; x. Financial Bid;

xi. The Consultant’s Proposal; and Any other document forming part of the Contract.

49.0 Add following to SCC Clause-

Liquidated damages- Time is the essence of the Contract. It shall be the bounden duty of the Consultant to strictly adhere to the time for performance of various services indicated in the Contract. The contract key dates for various activities in relation to this contract are as given in the Special Conditions of Contract, Appendix-A. The above dates shall be referred for the imposition of liquidated damages on the Consultant for any delays. Rate of liquidated damages shall be 1/2 (half) percent of accepted contract value per week of delay, limited to 10 (ten) percent of total accepted value of the contract.

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50.0 Add following to SCC Clause –

I. Extension of time- The Consultant may apply for an extension of the Time for Completion if the Work is or will be delayed either before or after the Time for Completion by any of the following causes:

a. “Force Majeure” referred to in Clause 17 b. The Consultant’s work held up for not being given the

details to be provided by the client in accordance with the Contract

c. Instruction of the Engineer to suspend the Works and the Consultant not being in default as to reasons of suspension.

d. Acts or omissions of other agencies involved in the project not forming part of this Contract and on whose performance, the performance of the Consultant necessarily depends, as stipulated in the contract.

e. Any act of prevention or Breach of Contract by the Employer and not mentioned in this Clause

f. Any order of Court restraining the performance of the Contract in full or in any part thereof

g. Any other event or occurrence which, according to the Employer is not due to the Consultant’s failure or fault and is beyond his control without Employer being responsible for the same.

h. An Employer’s Variation However, the Consultant shall not be entitled to any extension of time where the instructions or acts of the Employer or the Engineer are necessitated by or intended to cure any default of or breach of Contract by the Consultant or where any delay is due to

a. the failure of Consultant, to commence or to carry out work in due time,

b. non-availability of inputs by the Consultant including its personnel

c. the Consultant not fulfilling his obligations under the contract

If the Consultant considers himself to be entitled to an extension of time for Completion, he shall give notice to the Engineer of such intention as soon as possible and in any event within 28 days of the start of the event giving rise to the delay and full and final supporting details of his application within 21 days of the last day of delay, together with any notice required by the Contract and relevant to such Clause. The Engineer shall proceed in accordance with the contract conditions to agree or determine either prospectively or retrospectively such extension of the Time for Completion as may be due. The Engineer shall notify the Consultant accordingly.

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II. Extension of time for completion for other

reasons

The Consultant shall not be entitled to an extension of time by reason of any delay to any activity in carrying out of the Works unless in the opinion of the Engineer such delay results in or may be expected to result in a delay to completion of the Works, or achievement of any Stage by the relevant Key Date. Whether or not the Consultant fails to achieve any key date by reason of any delay shall not by itself be material to the Consultant's entitlement to an extension of time.

Any extension to a Key Date shall not by itself entitle the Consultant to an extension to any other Key Date.

III. Extension of time for delays due to Consultant If the delay in the completion of the whole Works or a portion of the Works, for which an earlier completion period is stipulated, is due to the Consultant’s failure or fault, and the Engineer is of the view that the remaining Works or the portions of Works can be completed by the Consultant in a reasonable and acceptable short time, then, the Engineer may allow the Consultant extension or further extension of time at its discretion with or without liquidated damages, for completion, as he may decide.

IV. Issue of Notice

The Notice shall be given as soon as practicable after the Client/consultant became aware of the event or circumstances giving rise to the claim.

A notice relating to any extension of the Duration of Professional Liability shall be given before the expiry of such period.

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III. Appendices

APPENDIX A - KEY EXPERTS

Consultant Team

The consultant is free to deploy suitable team of experts to deliver the above scope of work.

The key positions and their minimum qualifications and time inputs are given below:

K1 - Team Leader (6 months)

The Team Leader shall have a post graduate degree in a relevant field (Environmental or

Social) with experience of at least 15 years. S/he should have undertaken at least 5 ESIAs for

multilateral funding agencies with at least 1 in Team Leader position. Preference will be given

to hands-on experience of delivering ESIA conforming to the ESF.

K2 -Environmental Expert: (6 months)

The Environmental Expert shall have a post graduate degree in a related field (Environmental

Science, Engineering or Technology) and at least 15 years of working on Environmental

Impact Assessment. S/he should have led the preparation of environmental aspects and

documentation of at least 5 projects independently. Experience of working in the project area

will be an advantage. Preference will be given to hands-on experience of delivering ESIA

conforming to the ESF

K3-Pollution monitoring and modelling Specialist (3 months)

The Pollution monitoring and modelling specialist will have an advance degree in

environmental engineering / science and at least 10 years of experience of monitoring and

modelling pollution pathways. S/he should have hands on experience of using standard

software used in noise and/or vibration modelling for linear projects. Working on RRTS/Rail

project in semi-urban/urban areas will be an advantage.

K4- Social Expert: (6 months)

The Social Expert shall have a post-graduate degree in a related field (Social Development,

Anthropology, or Social Work) and at least 15 years of working on Social Impact Assessment

of development projects. S/he should have led the preparation of social aspects and

documentation (including RAP) of at least 5 projects independently. Experience of working in

the project area will be an advantage. Preference will be given to hands-on experience of

delivering ESIA conforming to the ESF.

K5-Consultation/Stakeholder engagement expert (5 months)

The Consultation / Stakeholder Engagement expert will have an advance degree in

development related aspects with at least 10 years of experience in Development

Communication, including stakeholder identification and engagement. S/he should have

undertaken stakeholder identification and interaction as well as consultation in an

urban/peri-urban setting for at least 3 projects with multilateral funding support. Working on

linear projects would be an advantage.

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K6-Gender Expert (4 months)

The expert should have master’s degree in social sciences, with 7 to 10 years’ experience. She

should have undertaken gender studies in urban/semi-urban settings independently or as part

of social assessments. Previous experience of working on linear projects would be an

advantage

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

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APPENDIX- A

Deliverables and Time Schedule

The assignment covering the entire scope of work is to be completed in a period of Six

months (6 months) from the date of issue of Letter of Acceptance by the Employer, as

per the following schedule:

S No Activity to be performed Time schedule

1 Submission of an inception report covering Consultant’s understanding of the scope of work, proposed methodology, E&S screening, resources to be deployed for carrying out the complete scope of work, work plan in the form of bar chart etc. and approval of the same by the Client.

D + 21 days

2 Submission of Draft ESIA report, Draft SEP & its approval by the client.

D + 120 days

3a Submission of Draft ESMP including Resettlement Action Plan, (RAP), Labor Management Procedure

(LMP), Stakeholder Engagement (SEP) and and its approval by the Client.

D + 150 days

3b Presentation of reports to be given to funding agencies (as inform by Client), replies to queries raised by funding agencies, incorporation of suggestions of funding agencies in the report and its approval by the Funding agency.

D + 170 days

4 Submission of the Final Report. D +180 days

Where “D “ is the date of issue of Letter of Acceptance by the Employer.

Only on approval of the final Report plan by the employer the work shall be considered as completed. For each report, if required by the employer, the Consultant shall arrange for the presentation to the employer and incorporate the comments of employer/employer’s experts in its report and re-submit the report.

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Section 9: Contract Forms

This Section contains forms which, once completed, will form part of the Contract. The forms for Performance Security and Contract Agreement, when required, shall only be completed by the successful Bidder after contract award.

All italicized text is for guidance how to prepare the various forms and shall be deleted from the final documents.

FORM No. COF/1

Contract Agreement THIS AGREEMENT made the . . . . . .day of . . .., between . . .. [Name of the Employer. .. . .

. . (hereinafter “the Employer”), of the one part, and . . .. [name of the Consultant]. .10. .

.(hereinafter “the Consultant”), of the other part:

WHEREAS the Employer desires that the Works known as . . . . . [name of the Contract]. . . . .should be executed by the Consultant, and has accepted a Bid by the Consultant for the execution and completion of these Works and the remedying of any defects therein,

The Employer and the Consultant agree as follows:

1. In this Agreement words and expressions shall have the same meanings as are respectively assigned to them in the Contract documents referred to.

2. The following documents shall be deemed to form and be read and construed as part of this Agreement. This Agreement shall prevail over all other Contract documents. - the Letter of Acceptance - the Letter of Technical Bid - the Addenda Nos. . . . . [insert addenda numbers if any]. . . . . - Invitation for Bid - Instructions to Bidders with Bid Data Sheet, Evaluation &

Qualification Criteria and Bidding Forms - the Special Conditions of Contract - the General Conditions of Contract - Contract Forms - the TOR - the completed Schedules including (priced Bill of Quantities)

- Any other documents

3. In consideration of the payments to be made by the Employer to the Consultant as indicated in this Agreement, the Consultant hereby covenants with the Employer to execute the Works and to remedy defects therein in conformity in all respects with the provisions of the Contract.

4. The Employer hereby covenants to pay the Consultant in consideration of the execution and completion of the Works and the remedying of defects therein, the Contract Price or such other sum as may become payable under the provisions of the Contract at the times and in the manner prescribed by the Contract.

The Contract Price shall be INR ______________________

10In case Consultant is a Joint Venture the ‘name of the Consultant’ shall be inserted as under :

“the Joint Venture under the name and title of ……, comprising of ….[Lead Partner] ;…….; and …..”

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The above amount includes all taxes, royalties, duties, fees, cess, octroi, other levies etc. and any tax to be deducted at source except Goods and Services Tax (GST) which shall be paid as per the rules and guidelines of Govt. of India. The Consultant shall complete the Works within ______ months from the date as stipulated in in the Letter of Acceptance or Notice to Proceed, issued by the Employer.

IN WITNESS whereof the parties hereto have caused this Agreement to be executed in

accordance with the laws of . . . . . [name of the borrowing country]. . . . .on the day, month and year indicated above.

Signed by .......................................................... Signed by.....................................................................

for and on behalf of the Employer for and on behalf the Consultant in the presence of in the presence of Witness, Name, Signature, Address, Date Witness, Name, Signature, Address, Date

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FORM No. COF/2

FORM OF CONTRACT PERFORMANCE SECURITY (BANK GUARANTEE)

[Refer Clause 41 of Instructions to Bidders] (On non-judicial stamp paper of the appropriate value in accordance with stamp Act. The

stamp paper to be in the name of Executing Bank).

From: Name and Address of the Bank….. …………………………………….. To:

Group General Manager (Procurement ) National Capital Region Transport Corporation Ltd 7/6, Siri Fort Institutional Area August Kranti Marg,

New Delhi-110049 WHEREAS, National Capital Region Transport Corporation Ltd., hereinafter called the Employer, has accepted the bid of [Insert Name and address of the Consultant], hereinafter called the Consultant, for the work of [Insert Name of Work], vide Notification of Award No. [Insert Notification of Award No.].

AND

WHEREAS, the Consultant is required to furnish Performance Security for the sum of [Insert Value of Performance Security required], in the form of bank guarantee, being a condition precedent to the signing of the contract agreement. WHEREAS, [Insert Name of the Bank], with its Branch [Address] having its Headquarters office at [Address], hereinafter called the Bank, acting through [Designation(s) of the authorised person of the Bank], have, at the request of the[Insert name of the Consultant], agreed to give guarantee for performance security and additional performance security as hereinafter contained: 1 KNOW ALL MEN by these present that I/We the undersigned [Insert name(s) of

authorized representatives of the Bank], being fully authorized to sign and incur obligations for and on behalf of the Bank, confirm that the Bank, hereby, unconditionally and irrevocably guarantee to pay the Employer the full amount in the sum of [Insert Value of Performance Security required] as above stated.

2 The Bank undertakes to immediately pay on presentation of demand by the Employer

any amount up to and including aforementioned full amount without any demur, reservation or recourse. Any such demand made by the Employer on the Bank shall be final, conclusive and binding, absolute and unequivocal notwithstanding any disputes raised/ pending before any Court, Tribunal, Arbitration or any Authority or any threatened litigation by the Employer of Bank.

3 On payment of any amount less than aforementioned full amount, as per demand of the

Employer, the guarantee shall remain valid for the balance amount i.e. the aforementioned full amount less the payment made to the Employer.

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4 The Bank shall pay the amount as demanded immediately on presentation of the demand

by Employer without any reference to the Consultant and without the Employer being required to show grounds or give reasons for its demand or the amount demanded.

5. This Bank Guarantee is unconditional and irrevocable. 6 The guarantee hereinbefore shall not be affected by any change in the constitution of the

Bank or in the constitution of the Consultant. 7 The Bank agrees that no change, addition, modifications to the terms of the Contract

Agreement or to any documents, which have been or may be made between the Employer and the Consultant, will in any way release us from the liability under this guarantee; and the Bank, hereby, waives any requirement for notice of any such change, addition or modification to the Bank.

8 This guarantee is valid and effective from the date of its issue, which is [insert date of

issue]. The guarantee and our obligations under it will expire on [Date to be filled as mentioned in SCC]. All demands for payment under the guarantee must be received by us on or before that date.

9 The Bank agrees that the Employers right to demand payment of aforementioned full

amount in one instance or demand payments in parts totaling up to the aforementioned full amount in several instances will be valid until either the aforementioned full amount is paid to the Employer or the guarantee is released by Employer before the Expiry date.

10 The Bank agrees that its obligation to pay any amount demanded by the Employer before

the expiry of this guarantee will continue until the amount demanded has been paid in full.

11The expressions Bank and Employer herein before used shall include their respective

successors and assigns.

12 The Bank hereby undertakes not to revoke the guarantee during its currency, except with the previous consent in writing of the employer. This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No. 758.

13 The Guarantee shall be in addition to and without prejudice to any other security Guarantee (s) of the Consultant in favour of the Employer available with the Employer. The Bank, under this Guarantee, shall be deemed as Principal Debtor of the Employer.

Date ………… ……………………………………… Place…………. [Signature of Authorised person of Bank]

…………………….

[Name in Block letters]

…………………….. [Designation]

……….……………

[P/Attorney] No.

…………………….

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Bank’s Seal

[P/Attorney] No.…… Witness:

1. Signature Name & Address & Seal

2. Signature Name & address & Seal

Note:

1 All italicized text is for guidance on how to prepare this bank guarantee and shall be deleted from the final document.

2 In case the guarantee is issued by a foreign Bank, which does not have operations in India, the said bank shall have to provide a counter-guarantee by State Bank of India.

3, The Bank Guarantee should be duly attested by Notary public with notarial stamp of appropriate value affixed thereon.

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FORM No. COF/3

DETAILED JOINT VENTURE /CONSORTIUM AGREEMENT

THIS JOINT VENTURE / CONSORTIUM AGREEMENT is entered into on this the ………day of ………. 20…… AMONGST

(i) M/s ………………., and having its registered office at ………… (hereinafter referred to

as the “First Part” which expression shall, unless repugnant to the context include its successors and permitted assigns) acting as the Lead Partner,

and

(ii) M/s ………………., and having its registered office at ………… (hereinafter referred to as the “Second Part” which expression shall, unless repugnant to the context include its successors and permitted assigns) in the capacity of a Joint Partner,

and

(iii) M/s ………………., and having its registered office at ………… (hereinafter referred to as the “Third Part” which expression shall, unless repugnant to the context include its successors and permitted assigns) in the capacity of a Joint Partner,

The expressions of (i) ……(ii) …….and (iii) …………..( names of Joint Venture / Consortium Partners) shall wherever the context admits, mean and include their respective legal representatives, successors-in-interest and assigns and shall collectively be referred to as “ the Parties” and individually as “The Party”. WHEREAS:

(A) National Capital Region Transport Corporation Limited and having its registered office at 7/6 , Sirifort Institutional Area , August Kranti Marg , New Delhi -110049 [hereinafter referred to as the “Employer” which expression shall, unless repugnant to the context or meaning thereof, include its administrators, successors and assigns] , had invited bids by its Bid Invitation No. ………..dated ………….for ………………… “[Insert name of work] [hereinafter referred to as “Contract”] and the parties stated above had entered into a Memorandum of Understanding (MoU) for participation in the above bid as ____________(name of Joint Venture/ Consortium) and thereafter vide their offer dated …………… “[Insert date of bid submission] had participated in the bids, and the Employer on considering the offer and its subsequent communications, if any, has awarded the Contract vide Notification of Award No…………………(LOA No.).

(B) It is a necessary condition under the Bidding Document that the partners of the Joint Venture / Consortium shall enter into a Joint Venture / Consortium Agreement and furnish the same to the employer after notification of the award of contract within a period of 28 days.

NOW, THEREFORE, THE PARTIES AGREE AS FOLLOWS:

1. Definitions and Interpretations In this Agreement, the capitalised terms shall, unless the context otherwise requires, have the meaning ascribed thereto under the Bidding Document.

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2. Joint Venture / Consortium

2.1 The Parties do hereby irrevocably constitute a JV/ consortium (the “JV/Consortium”) for the purposes of jointly execution of work.

2.2 The Parties hereby undertake to execute the work only through this JV/ Consortium and not individually and/ or through any other JV/Consortium constituted for this work , either directly or indirectly or through any of their Associates.

3. Role of the Parties

The Parties hereby undertake to perform the roles and responsibilities as described below:

a) Party of the First Part shall be the Lead partner of the JV/Consortium and shall have the power of attorney from all Parties for conducting all business for and on behalf of the JV/ Consortium during the execution of work.

b) Party of the Second Part shall be {the Partner of the JV/ Consortium; and }

c) Party of the Third Part shall be {the Partner of the JV/ Consortium;}

4. The following documents shall be deemed to form and be read and construed as an integral part of this Agreement.

i) Notice of Invitation for Bid, and

ii) Bidding document

iii) Any Addendum/Corrigendum to the Bid document

iv) The offer submitted by the JV/Consortium.

(v) Notification of Award No………………… by the Employer awarding the Contract to JV/Consortium.

5. The `Parties’ have studied above documents and irrevocably agree with the same. The parties also agree to submit the Performance Security to the Employer for an amount and in the manner as stipulated in the bidding document.

6. For the purpose of submission of bid proposals, the parties had nominated …….. (Name

of lead Partner) as the Lead Partner duly authorized to sign and submit all documents and subsequent clarifications, if any, to the Employer. The same nomination will hold good for signing of the Contract Agreement and for doing all correspondences with the Employer during the execution of the contract, unless revoked with the approval of the Employer. However, M/s ……… shall not submit any such proposals, clarifications or commitments in relation to this contract to the Employer, before securing the written clearance / consent of the other Partners. All such communications done by the lead Partner on behalf of the JV/Consortium with the Employer shall be deemed to have the concurrence of all the Partners of the JV/Consortium and shall be binding on all the Partners.

7. The ‘Parties’ have resolved that the distribution of share and responsibilities between the JV/Consortium Partners is as under:-

a) Lead Partner share ……..% ;

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Responsibilities of Key Activities (i) ……… (ii) ……….

(iii) ………

b) Joint Venture /Consortium Partner Name……….and share ……..% ;

Responsibilities of Key Activities

(i) ……… (ii) ………. (iii) ……..

c) Joint Venture /Consortium Partner Name…………and share ……..% ;

Responsibilities of Key Activites

(i) ……… (ii) ………. (iii) ……..

8. JOINT AND SEVERAL RESPONSIBILITIES

The Parties undertake that they shall be jointly and severally liable to the Employer in the discharge of all the obligations and liabilities as per the contract with the Employer and for the performance of contract awarded to their JV/Consortium.

9. REPRESENTATION OF THE PARTIES

Each Party represents to the other Parties as of the date of this Agreement that:

a) Such Party is duly constituted, validly existing and in good standing under the laws of its incorporation and has all requisite power and authority to enter into this Agreement;

b) The execution, delivery and performance by such Party of this Agreement has been

authorized by all necessary and appropriate corporate or governmental authority and a copy of the extract of the charter documents and board resolution/ power of attorney in favour of the person executing this Agreement for the delegation of power and authority to execute this Agreement on behalf of the JV/Consortium Partner is annexed to this Agreement, and will not, to the best of its knowledge:

(i) require any consent or approval not already obtained; (ii) violate any applicable law in force and having applicability to it; (iii) violate the memorandum and articles of association, by-laws or other applicable

organizational documents thereof; (iv) violate any clearance, permit, concession, grant, license or other governmental

authorization, approval, judgement, order or decree or any mortgage agreement, indenture or any other instrument to which such Party is a party or by which such Party or any of its properties or assets are bound or that is otherwise applicable to such Party; or

(v) create or impose any liens, mortgages, pledges, claims, security interests, charges or Encumbrances or obligations to create a lien, charge, pledge, security interest, encumbrances or mortgage in or on the property of such Party, except for encumbrances that would not, individually or in the aggregate, have a material

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adverse effect on the financial condition or prospects or business of such Party so as to prevent such Party from fulfilling its obligations under this Agreement;

c) this Agreement is the legal and binding obligation of such Party, enforceable in

accordance with its terms against it; and d) there is no litigation pending or, to the best of such Party's knowledge, threatened

to which it or any of its Affiliates is a party that presently affects, or which would have a material adverse effect on the financial condition or prospects or business of such Party in the fulfilment of its obligations under this Agreement.

10. ASSIGNMENT

The assignment and the role of each of the JV partner shall be dealt as per relevant contract conditions.

11. EXCLUSIVITY

The parties shall co-operate throughout the entire period of this JV Agreement on the basis of exclusivity and neither of the Parties shall make arrangement or enter into agreement either directly or indirectly with any other party or group of parties on matters relating to the Project except with prior written consent of the other JV Partners and the Employer.

12. EXECUTIVE AUTHORITY

The said Joint Venture/Consortium through its authorized representative shall receive instructions from the Employer. The management structure for the project shall be prepared by mutual consultations to enable completion of project as per the contract requirements.

13. GUARANTEES AND BONDS

The Performance Security to be submitted by the JV/Consortium to the Employer shall be submitted by the JV/Consortium in accordance with the requirements of the Contract.

14. INDEMNITY

Each party hereby agrees to indemnify the other party against its respective parts in case of breach/default of the respective party of the contract works of any liabilities sustained by the Joint Venture/Consortium.

15. For the execution of the respective portions of works, the parties shall make their own arrangements to bring the required finance, plants and equipment, materials, manpower and other resources.

16. TAXES 16.1 Tax obligations

Each JV/Consortium Partner shall comply with all tax regulations concerning its Scope of work at its own risk and expense and for its own account. In particular, each JV/Consortium Partner shall be responsible for preparing and submitting all necessary tax returns and tax payments, as legally required.

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16.2 GST

If the JV/Consortium is subject to GST, the relevant tax obligations shall be satisfied by the JV/Consortium. Details of necessary procedures (with regard to invoicing procedure, tax declarations, documents and respective tax payments) will be agreed upon separately.

16.3 Taxation of the JV/Consortium It is the JV/Consortium partner’s common understanding that the implementation of the Project based on the principles of cooperation in this Agreement will not cause the JV/Consortium to register for corporate income tax purposes, whether as taxable entity or in another form. No JV/Consortium Partner shall take any action that may contradict such common understanding of the JV /Consortium Partners. If the tax authorities nevertheless should tax the JV/Consortium on the basis of income from the entire Contract, the JV/Consortium Partners shall closely cooperate and agree on a joint approach in responding to the tax authorities’ position. If the JV/Consortium should be taxable, the JV/Consortium Lead Partner will coordinate the tax filling and tax payment process. Details will be agreed upon separately. In principle, each JV/Consortium Partner shall bear the corporate income tax to the extent it relates to its Scope of Work. The calculation of each Consortium Partner’s proportional amount of tax will be subject to the local tax law, each JV/Consortium Partner’s pro-rata share of the taxable income and the relevant tax rate. If such calculation is not possible, the JV / Consortium Partners shall agree on another way of allocation of the respective tax. Taxes other than corporate income tax assessed on the JV/Consortium shall be borne by the JV/Consortium Partners pursuant to their Proportionate Values.

17. CONFIDENTIALITY

17.1 CONFIDENTIALITY OBLIGATION Each party shall keep the information and documents received from the other party secret and confidential and shall not disclose them to a third party without written consent of the other party providing the information / documents.

17.2 EXCLUSIONS Clause 17.1 does not apply to information which;

a) Is or become generally available to the public through no breach of the receiving party; b) Is within the receiving party’s lawful possession before the disclosure; c) Prior to the date of this Agreement, has been received from a Third Party having no

obligation of confidentiality. d) Is independently developed by the receiving party; e) The receiving Party is required to disclose by any court order or government action,

provided that prior to the disclosure, the receiving Party shall notify the disclosing Party.

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f) Is disclosed by either of the Parties to its affiliates or attorneys in connection with and for the purposes of the performance of this Agreement; or

g) Is disclosed as required by any law, the rules of any recognized stock exchange or regulatory body or any written requirements of any taxation authority.

18. ARBITRATION

Any dispute, controversy or claim arising out of or relating to this Agreement shall be settled in the first instance amicably between the parties. If an amicable settlement cannot be reached as above, it will be settled by arbitration in accordance with the Arbitration and Conciliation Act 1996(Act no 26 of 1996) as amended from time to time. The venue of the arbitration shall be Delhi.

19. VALIDITY

This Agreement shall remain in force till the occurrence of the earliest of any of the following, unless by mutual consent, the Parties agree in writing to extend the validity for a further period. a) The completion period of the Contract including its Defect Notification Period, or b) Termination of the contract awarded to JV/Consortium by the Employer c) Cancellation/ shelving of the Project by the Employer for any reasons

20. This Agreement is drawn in …. number of copies with equal legal strength and

status. One copy is held by M/s ………… (Lead Partner) and the other by M/s. ......,M/s ……& M/s….. and a copy submitted to the Employer.

21. MISCELLENEOUS

a) This Agreement shall be governed and construed in accordance with the Laws in force in India.

b) The Parties acknowledge and accept that this Agreement shall not be amended by the Parties without the prior written consent of the Employer.

22. NOTICES BETWEEN JV/CONSORTIUM PARTNERS Notices shall be given in writing confirmed by registered mail or commercial courier to the following addresses: Lead Partner. Other Partner Other Partner …………….. ……………… …………….. …………… ……………… …………….. (Name & Address) (Name & Address) (Name and Address) IN WITNESS WHEREOF THE PARTIES, have executed this Agreement the day, month and year first before written M/s………… M/s…………… M/s………….. …….………… ………………… ………………. (Seal) (Seal) (Seal)

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Witness 1…………………..(Name & Address) 2………………….. (Name & Address)

Notes: 1. The mode of the execution of the JV/ Consortium Agreement should be in accordance with the procedure, if any, laid down by the Applicable Law and the charter documents of the executant(s) and when it is so required, the same should be under common seal affixed in accordance with the required procedure.

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SECTION 9: ALIGNMENT MAP OF DELHI (SKK) GURUGRAM--SNB RRTS CORRIDOR

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