Volume-IV

Uttar Pradesh Expressways Industrial Development Authority

(UPEIDA)
GOVERNEMENT OF UTTAR PRADESH

Development of Bundelkhand Expressway

Package (VI)
From Bakhariya (District Auraiya) To Kudrail (District Etawah)
(Km 250+000 To Km 295+280)
In the State of Uttar Pradesh On EPC Basis

VOLUME IV

Chief Executive Officer UPEIDA

2nd Floor, Paryatan Bhawan
C-13, Vipin Khand, Gomti Nagar Lucknow – 226010
Contact No.: +91-522-2307542 / +91-522-2307592,
Email ID: ceo.eida_up@gov.in

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Table of Contents

ELIGIBLE COUNTRIES ......................................................................................................................................... 3

BANK POLICY - CORRUPT AND FRAUDULENT PRACTICES ................................................................................. 4
LETTER OF BID ................................................................................................................................................... 6
APPENDIX TO BID SCHEDULE OF ADJUSTMENT DATA ...................................................................................... 8
Table A. Local Currency ................................................................................................................................. 8
Table B. Summary of Payment Currencies .................................................................................................... 9
FORM EQU: EQUIPMENT ................................................................................................................................. 10
PERSONNEL...................................................................................................................................................... 11
Form PER-1: Proposed Personnel ................................................................................................................ 11
Form PER-2: Resume of Proposed Personnel.............................................................................................. 12
ESHS MANAGEMENT STRATEGIES AND IMPLEMENTATION PLANS ................................................................ 13
(ESHS-MSIP) ..................................................................................................................................................... 13
Code of Conduct: ............................................................................................................................................. 13
Environmental, Social, Health and Safety (ESHS) ........................................................................................ 13
BIDDERS QUALIFICATION WITHOUT PREQUALIFICATION ............................................................................... 14
Form ELI – 1: Bidder’s Information Sheet .................................................................................................... 14
Form ELI – 2: JV Information Sheet ............................................................................................................. 15
FORM CON – 2: HISTORICAL CONTRACT NON-PERFORMANCE ...................................................................... 16
Form CON – 3 .................................................................................................................................................. 17
ENVIRONMENTAL, SOCIAL, HEALTH, AND SAFETY PERFORMANCE DECLARATION ........................................ 17
FORM FIN – 1: FINANCIAL SITUATION ............................................................................................................. 18
Form FIN – 2: Average Annual Construction Turnover ................................................................................... 19
FORM FIN – 3: FINANCIAL RESOURCES ........................................................................................................... 20
FORM FIN – 4: CURRENT CONTRACT COMMITMENTS / WORKS IN PROGRESS ............................................. 21
FORM EXP – 1: GENERAL CONSTRUCTION EXPERIENCE ................................................................................. 22
FORM EXP – 2(a): SPECIFIC CONSTRUCTION EXPERIENCE .............................................................................. 23
FORM EXP – 2(b): SPECIFIC CONSTRUCTION EXPERIENCE IN KEY ACTIVITIES ................................................ 24
FORM OF BID SECURITY................................................................................................................................... 25

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ELIGIBLE COUNTRIES

Eligibility for the Provision of Goods, Works and Non Consulting Services in Bank-Financed Procurement
In reference to ITB 4.7 and 5.1, for the information of the Bidders, at the present time firms, goods and
services from the following countries are excluded from this bidding process:
Under ITB 4.7(a) and 5.1: None.
Under ITB 4.7(b) and 5.1: None.

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BANK POLICY - CORRUPT AND FRAUDULENT PRACTICES

Guidelines for Procurement of Goods, Works, and Non-Consulting Services under IBRD Loans and IDA
Credits & Grants by Bank of Baroda Borrowers, dated January 2011.
“Fraud and Corruption:
1.16 It is the Bank’s policy to require that Borrowers (including beneficiaries of Bank loans), bidders,
suppliers, contractors and their agents (whether declared or not), sub-contractors, sub-consultants, service
providers or suppliers, and any personnel thereof, observe the highest standard of ethics during the
procurement and execution of Bank-financed contracts.1 In pursuance of this policy, the Bank:
(a) defines, for the purposes of this provision, the terms set forth below as follows:
(i) “corrupt practice” is the offering, giving, receiving, or soliciting, directly or indirectly, of anything of value
to influence improperly the actions of another party;2;
(ii) “fraudulent practice” is any act or omission, including a misrepresentation, that knowingly or recklessly
misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an obligation;3
(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;4
(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;5
(v) “obstructive practice” is
(aa) deliberately destroying, falsifying, altering, or concealing of evidence material to the investigation or
making false statements to investigators in order to materially impede a Bank investigation into allegations
of a corrupt, fraudulent, coercive or collusive practice; and/or threatening, harassing or intimidating any
party to prevent it from disclosing its knowledge of matters relevant to the investigation or from pursuing
the investigation, or
(bb) acts intended to materially impede the exercise of the Bank’s inspection and audit rights provided for
under paragraph 1.16(e) below.
(b) will reject a proposal for award if it determines that the bidder recommended for award, or 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) will declare misprocurement and cancel the portion of the loan allocated to a contract if it determines at
any time that representatives of the Borrower or of a recipient of any part of the proceeds of the loan
engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices during the procurement or the
implementation of the contract in question, without the Borrower having taken timely and appropriate
action satisfactory to the Bank to address such practices when they occur, including by failing to inform the
Bank in a timely manner at the time they knew of the practices;
(d) will sanction a firm or individual, at any time, in accordance with the prevailing Bank’s sanctions
procedures,6 including by publicly declaring such firm or individual ineligible, either indefinitely or for a
stated period of time: (i) to be awarded a Bank-financed contract; and (ii) to be a nominated7;
(e) will require that a clause be included in bidding documents and in contracts financed by a Bank loan,
requiring bidders, suppliers and contractors, and their sub-contractors, agents, personnel, consultants,
service providers, or suppliers, to permit the Bank to inspect all accounts, records, and other documents

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relating to the submission of bids and contract performance, and to have them audited by auditors
appointed by the Bank.”

[1In this context, any action to influence the procurement process or contract execution for undue
advantage is improper.
2 For the purpose of this sub-paragraph, “another party” refers to a public official acting in relation to the
procurement process or contract execution. In this context, “public official” includes Bank of Baroda staff
and employees of other organizations taking or reviewing procurement decisions.
3 For the purpose of this sub-paragraph, “party” refers to a public official; the terms “benefit” and
“obligation” relate to the procurement process or contract execution; and the “act or omission” is intended
to influence the procurement process or contract execution.
4 For the purpose of this sub-paragraph, “parties” refers to participants in the procurement process
(including public officials) attempting either themselves, or through another person or entity not
participating in the procurement or selection process, to simulate competition or to establish bid prices at
artificial, non-competitive levels, or are privy to each other’s bid prices or other conditions.
5 For the purpose of this sub-paragraph, “party” refers to a participant in the procurement process or
contract execution.
6 A firm or individual may be declared ineligible to be awarded a Bank financed contract upon: (i)
completion of the Bank’s sanctions proceedings as per its sanctions procedures, including, inter alia, cross-
debarment as agreed with other International Financial Institutions, including Multilateral Development
Banks, and through the application the Bank of Baroda Group corporate administrative procurement
sanctions procedures for fraud and corruption; and (ii) as a result of temporary suspension or early
temporary suspension in connection with an ongoing sanctions proceeding. See footnote 14 and paragraph
8 of Appendix 1 of these Guidelines.
7 A nominated sub-contractor, consultant, manufacturer or supplier, or service provider (different names
are used depending on the particular bidding document) is one which has either 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.]

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LETTER OF BID

Date:
NCB No.:
Invitation for Bid No.: UPEIDA/xxxx/xxx/Package-VI

To:
Chief Executive Officer UPEIDA
2nd Floor, Paryatan Bhawan
C-13, Vipin Khand, Gomti Nagar Lucknow – 226010
India.

We, the undersigned, declare that:

(a) We have examined and have no reservations to the Bidding Documents, including Addenda issued in
accordance with Instructions to Bidders (ITB 8);
(b) We meet the eligibility requirements and have no conflict of interest in accordance with ITB 4;
(c) We have not been suspended nor declared ineligible by the Employer based on execution of a Bid
Securing Declaration in the Employer’s country in accordance with ITB 4.6
(d) We offer to execute in conformity with the Bidding Documents the following Work: Engineering,
Procurement and Construction (EPC) Contract for the Development of Bundelkhand Expressway Project
(Package-VI): Chainage 250+000 to Chainage 295+280 (Bakhariya, district Auraiya to Kudrail, district
Etawah)) in the state of Uttar Pradesh
(e) The total price of our Bid, including any discounts offered is: (currency: INR………………….) (amount in
figure) (amount in words Rupees…)
(f) Our bid shall be valid for a period of 120 days from the date fixed for the bid submission deadline (i.e. up
to (date) in accordance with the Bidding Documents, and it shall remain binding upon us and may be
accepted at any time before the expiration of that period;
(g) If our bid is accepted, we commit to obtain a performance security in accordance with the Bidding
Documents;
(h) We are not participating, as a Bidder or as a subcontractor, in more than one bid in this bidding process
in accordance with ITB 4.2(e);
(i) We, including any of our subcontractors or suppliers for any part of the contract, have not been declared
ineligible by the Bank, under the Employer’s country laws or official regulations or by an act of compliance
with a decision of the United Nations Security Council;
(j) We are not a government owned entity/ We are a government owned entity but meet the requirements
of ITB 4.5;1
(k) We have paid, or will pay the following commissions, gratuities, or fees with respect to the bidding
process or execution of the Contract:

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Name of Recipient
Address
Reason
Amount

(If none has been paid or is to be paid, indicate “none.”)

(l) We understand that this bid, together with your written acceptance thereof included in your notification
of award, shall constitute a binding contract between us, until a formal contract is prepared and executed;
and
(m) We understand that you are not bound to accept the lowest evaluated bid or any other bid that you
may receive.
(n) We hereby certify that we have taken steps to ensure that no person acting for us or on our behalf will
engage in any type of fraud and corruption.

Name of the Bidder*

Name of the person duly authorized to sign the Bid on behalf of the Bidder**

Title of the person signing the Bid Signature of the person named above

Date signed ___________day of ____________________,

--------------------------------------------
1 Bidder to use as appropriate.
* In the case of the Bid submitted by joint venture, specify the name of the Joint Venture as Bidder.
** Person signing the Bid shall have the power of attorney given by the Bidder to be attached with the Bid.

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APPENDIX TO BID SCHEDULE OF ADJUSTMENT DATA

[In Tables A, B and C below, the Bidder shall indicate its amount of local currency payment i.e. Indian
Rupees, In the case of very large and/or complex works contracts, it may be necessary to specify several
families of price adjustment formulae corresponding to the different works involved.]

Table A. Local Currency

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Table B. Summary of Payment Currencies

Table: Alternative A
For……………………….. [insert name of Section of the Works]

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FORM EQU: EQUIPMENT

The Bidder shall provide adequate information to demonstrate clearly that it has the capability to meet the
requirements for the key equipment listed in Evaluation and Qualification Criteria. A separate Form shall be
prepared for each item of equipment listed or for alternative equipment proposed by the Bidder.

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PERSONNEL

Form PER-1: Proposed Personnel

Bidders should provide the names of suitably qualified personnel to meet the specified requirements stated
in Evaluation and Qualification Criteria. The data on their experience should be submitted using the form
below for each personnel.

*as listed in Evaluation and Qualification Criteria

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Form PER-2: Resume of Proposed Personnel

The Bidder should submit resume of proposed personnel as per standard industry practice (highlighting
meeting of the requirements stipulated under Evaluation and Qualification Criteria ) or in the format
prescribed hereunder:

Summarize professional experience over the last 20 years, in reverse chronological order. Indicate
particular technical and managerial experience relevant to the project.

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ESHS MANAGEMENT STRATEGIES AND IMPLEMENTATION PLANS

(ESHS-MSIP)

The Bidder shall submit comprehensive and concise Environmental, Social, Health and Safety Management
Strategies and Implementation Plans (ESHS-MSIP) as required by ITB 11.1 (h). These strategies and plans
shall describe in detail the actions, materials, equipment, management processes etc. that will be
implemented by the Contractor, and its subcontractors.
In developing these strategies and plans, the Bidder shall have regard to the ESHS provisions of the contract
including those as may be more fully described in the following:
1. [the Works Requirements described in Conditions of Contract];
2. [Environmental and Social Management Plan (ESMP)];
3. [specify any other relevant document/s]

Code of Conduct:

Environmental, Social, Health and Safety (ESHS)

The Bidder shall submit the Code of Conduct that will apply to the Contractor’s employees and
subcontractors as required by ITB 11.1 (h). The Code of Conduct shall ensure compliance with the ESHS
provisions of the contract, including those as may be more fully described in the following:
1. [the Works Requirements described in Conditions of Contract];
2. [Environmental and Social Management Plan (ESMP)];
3. [specify any other relevant document/s]
In addition, the Bidder shall submit an outline of how this Code of Conduct will be implemented. This will
include: how it will be introduced into conditions of employment/engagement, what training will be
provided, how it will be monitored and how the Contractor proposes to deal with any breaches.

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BIDDERS QUALIFICATION WITHOUT PREQUALIFICATION

To establish its qualifications to perform the contract in accordance with Section III (Evaluation and
Qualification Criteria) the Bidder shall provide the information requested in the corresponding Information
Sheets included hereunder.

Form ELI – 1: Bidder’s Information Sheet

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Form ELI – 2: JV Information Sheet

Each partner / member of a JV must fill in this form

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FORM CON – 2: HISTORICAL CONTRACT NON-PERFORMANCE

[The following table shall be filled in for the Bidder and for each partner of a Joint Venture]

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Form CON – 3

ENVIRONMENTAL, SOCIAL, HEALTH, AND SAFETY PERFORMANCE DECLARATION

[The following table shall be filled in for the Bidder, each member of a Joint Venture and each Specialized
Subcontractor]

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FORM FIN – 1: FINANCIAL SITUATION

Each Bidder or member of a JV must fill in this form

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Form FIN – 2: Average Annual Construction Turnover

Each Bidder or member of a JV must fill in this form

The information supplied should be the Annual Turnover of the Bidder or each member of a JV in terms of
the amounts billed to clients for each year for work in progress or completed, converted to US$s at the rate
of exchange at the end of the period reported.

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FORM FIN – 3: FINANCIAL RESOURCES

Specify proposed sources of financing, such as liquid assets, unencumbered real assets, lines of credit,
and other financial means, net of current commitments, available to meet the total construction cash
flow demands of the subject contract or contracts as indicated in (Evaluation and Qualification Criteria)

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FORM FIN – 4: CURRENT CONTRACT COMMITMENTS / WORKS IN

PROGRESS

Bidders and each partner to a JV should provide information on their current commitments on all contracts
that have been awarded, or for which a letter of intent or acceptance has been received, or for contracts
approaching completion, but for which an unqualified, full completion certificate has yet to be issued.

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FORM EXP – 1: GENERAL CONSTRUCTION EXPERIENCE

Each Bidder or member of a JV must fill in this form

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FORM EXP – 2(a): SPECIFIC CONSTRUCTION EXPERIENCE

Fill up one (1) form per contract.

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FORM EXP – 2(b): SPECIFIC CONSTRUCTION EXPERIENCE IN KEY

ACTIVITIES

Fill up one (1) form per contract

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FORM OF BID SECURITY

(Demand Guarantee)
Beneficiary:
Chief Executive Officer UPEIDA
Lucknow

Invitation for Bids No: UPEIDA/xxxx/xxx/Package-VI

Date:
BID GUARANTEE No.: ______________________________________
Guarantor:
We have been informed that (hereinafter called "the Applicant") has submitted or will submit to the
Beneficiary its bid (hereinafter called "the Bid") for the execution of under Invitation for Bids No. (“the
IFB”).
Furthermore, we understand that, according to the Beneficiary’s conditions, bids must be supported by a
bid guarantee.
At the request of the Applicant, we , as Guarantor, hereby irrevocably undertake to pay the Beneficiary any
sum or sums not exceeding in total an amount of ( ) upon receipt by us of the Beneficiary’s complying
supported by the Beneficiary’s statement, whether in the demand itself or a separate signed document
accompanying or identifying the demand, stating either that the Applicant:
(a) has withdrawn its Bid during the period of bid validity specified by the applicant in the Letter of Bid, or
any extension thereto provided by the Applicant; or
(b) having been notified of the acceptance of its Bid by the Beneficiary during the period of bid validity, (i)
fails to execute the Contract Agreement or (ii) fails to furnish the performance security and if required, the
Environmental, Social, Health and Safety (ESHS) Performance Security, in accordance with the Instructions
to Bidders (“ITB”) of the Beneficiary’s bidding document.
This guarantee will expire: (a) if the Applicant is the successful bidder, upon our receipt of copies of the
contract agreement signed by the Applicant and the performance security issued to the Beneficiary in
relation to such contract agreement; or (b) if the Applicant is not the successful bidder, upon the earlier of
(i) our receipt of a copy of the Beneficiary’s notification to the Applicant of the results of the bidding
process; or (ii) twenty-eight days after the end of the Bid Validity Period i.e. __/__/20xx.
Consequently, any demand for payment under this guarantee must be received by us at the office indicated
above on or before that date.
This guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010 Revision, ICC
Publication No. 758.
_____________
[signature(s)]
Note: All italicized text is for use in preparing this form and shall be deleted from the final product.

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(Name of the Project)

(Declaration regarding excise duty / custom duty exemption for construction equipment / machinery /
goods / materials bought for the work – Clause 14.7 of ITB)

(Bidder’s Name and Address)

To: .........................
(Name of the Employer)
Dear Sir:
Re: [Name of Work]
Certificate for Import/Procurement of Goods (construction equipment / machinery / materials)
1. We confirm that we are solely responsible for obtaining Excise/Custom Duty waivers which we have
considered in our bid and in case of failure to receive such waivers for reasons whatsoever, the Employer
will not compensate us.
2. We are furnishing below the information required by the Employer for issue of the necessary certificates
in terms of the latest notification issued by the Government of India for excise duty / customs duty.
3. The goods for which certificates are required are as under:

4. We agree that no modification to the above list is permitted after bids are opened.
5. We agree that the certificate will be issued only to the extent considered reasonable by the Employer for
the work, based on the work requirements and the construction programme and methodology as furnished
by us along with the bid and no subsequent changes will be permitted.
6. We confirm that the above goods will be exclusively used for the construction of the above work and will
not be sold or otherwise disposed of in any manner for a period of five years from the date of acquisition.
Date:________________
Place: _______________
(Signature) _______________
(Printed Name)_____________
(Designation) _____________
(Common Seal) ____________

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