DEPARTMENT OF URBAN DEVELOPMENT

GOVERNMENT OF UTTAR PRADESH

REQUEST FOR PROPOSAL (RFP)

SELECTION OF CONSULTANCY FIRM
FOR
IMPLEMENTATION AND AUGMENTATION OF
ACCRUAL BASED DOUBLE ENTRY ACCOUNTING SYSTEM (ABDEAS)
IN
URBAN LOCAL BODIES OF UTTAR PRADESH
UNDER
ATAL MISSION FOR REJUVENATION AND URBAN TRANSFORMATION
(AMRUT)

Issued on: 26 November, 2019

Tender No.
Employer: Directorate of Urban Local Bodies, Uttar Pradesh
Department of Urban Development, Government of UP
Represented by:
Director, Urban Local Bodies, Uttar Pradesh
Directorate of Local Bodies
2nd Floor, Plot No-19, Sector-7, Gomti Nagar, Extension, Lucknow-226010

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 INDEX

SL TITLE PAGE NO.

1. Pretext 2
2. Section 1: Instructions to Consulting Firm/Agency 3
Part I: Standard Conditions (SC)
i.
Definitions 3
ii.
Introduction 4
iii.
Eligibility of Association of Consultants / Consortium 5
iv.Clarification and Amendment of RFP Documents 5
v.Conflict of Interest 6
vi.Unfair Advantage 6
vii.Proposal 6
viii.Proposal Validity 7
ix.Preparation of Proposals 7
x.Taxes 9
xi.Currency 9
xii.Earnest Money Deposit (EMD) and Bid Processing Fees 9
xiii.Preparation and Submission of the Application 10
xiv.Proposal Evaluation 11
xv.Negotiations 13
xvi.Award of Contract 14
xvii.Confidentiality 14
xviii.Part-II: Data Sheet Instructions To The Consulting Firm/ Agency 15
xix.Procedure for detailed Evaluation of Technical Qualifications. 17
Evaluation Criteria / Score
xx. Selection Process 19
xxi. Test of Responsiveness 19
3. Section2: Technical Proposal - Standard Forms 20
i. Form Tech-1:Letter of Proposal Submission 20
ii. Form Tech-2: Form 2: Agency’s Organization & Experience 21
iii. Form 2A: Format for details of Agency 21
iv. Form-2B: Format for financial capability of the agency 22
v. Form-2C: Agency’s Experience of Implementing Accrual Base Double Entry Accounting 22
System and other Reform Assignments undertaken
vi. Form Tech-3: Comments and Suggestions on the Terms of Reference and on counterpart Staff 22
and Facilities to be provided by the Employer
vii. Form Tech-4: Description of Approach, Methodology and Work Plan for performing the 24
Assignment/Job
viii. Form Tech-5: Team Composition and Task Assignment/Jobs 25
ix. Form Tech-6: Curriculum Vitae (CV) for proposed Professional Staff 26
x. Form Tech-7: Staffing Schedule 28
xi. Form Tech-8: Work Schedule 29
xii. Form Tech-9:Comments/ Modifications Suggested On Draft Contract 30
xiii. Form Tech-10: Information Regarding Any Conflicting Activities And Declaration Thereof 31
4. Section-3: Financial Proposal – Standard Forms 32
i. Form Fin-1: Financial Proposal Submission Form 32
ii. Form Fin-2: Summary Of Costs 33
iii. Form Fin-3: Breakdown Of Remuneration 34
iv. Form Fin-4: Breakdown Of Reimbursible Expenses 35
v. Appendix : Note For Preparation Of Financial Proposal 36
5. Section 4: Terms Of Reference 38
i. Project Background
ii. Objective of Appointing the State Level Agency for Implementing and augmenting Accrual- 38
Based DEAS in Local Bodies of U.P.
iii. Approach 39
iv. Scope of Work 40
6. A Schedule for Selection Process. 40

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Pretext
AMRUT Mission Statement and Guidelines envisage implementation of a set of reforms in ULBs as
precondition for sustainable improvement in the functioning of ULBs. The Mission Statement and
Guideline of AMRUT also extend support for reform implementation. According to Para 4.1 of the Mission
Guideline, 10% of the annual budgetary allocation has been made for the component of Incentive for
Reforms. The Guidelines specifically incentivize the reforms in Para 4.3 and earmark 10% additional
funding beyond GoI share to be made available to ULBs based on their performance in implementing
reforms. As per guideline, for such reforms, 100% assistance would be provided by Government of India to
the state government. The main objective of the Mission is to improve governance through a set of
Reforms. One of the key reform initiatives proposed in the Annexure-1 of AMRUT Guidelines is
“Augmenting Double Entry Accounting System” in the local bodies. The milestones stated against this
reform are:
i. Complete double entry accounting system and obtaining an audit certificate to the effect from
FY2012-13 onwards.
ii. Appointment of internal auditor.
iii. Publication of annual financial statement on website every year.
The Mission Statement and Guideline of AMRUT has also made specific provision in Para 3.1.8 for
Capacity Building. The capacity building will not be limited to the Mission Cities, but will be extended to
other ULBs as well. Continuation of the Comprehensive Capacity Building Programme (CCBP) after its
realignment towards the objective of AMRUT has also been clearly mentioned. Government of India shall
provide 100% funding for Capacity Building and Reforms support, based on existing norms and unit costs
set by the Apex Committee.

Government of Uttar Pradesh has vide notification nos.911/Na.Vi.-5-19-404SA/2017 & 912/Na.Vi.-5-19-

404SA/2017 dated March 8th 2019 mandated the adoption of Double-Entry Accounting System by all its
652 ULBs. The mandate directs the ULBs to move their accounting practices to accrual based double-entry
accounting system as laid out in U.P. Municipal Accounting Manual, 2018. The process of migration to
ABDEAS has been initiated by most of the local bodies with varying degrees of success. The government
recognizes that the ULBs need professional support for management of a smooth switchover to the new
accounting system in its letter and spirit.

The Department of Urban Development, Government of Uttar Pradesh, therefore, intends to hire the
services of an Agency/firm for augmenting Accrual Based Double Entry Accounting System (ABDEAS) in
Urban Local Bodies of Uttar Pradesh under AMRUT. The department is committed to execute the mandate
within a period of 2 years beginning November, 2019.

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Section 1: Instructions to Consulting firm/Agency
Part I: Standard conditions (SC)

1. DEFINITIONS

1.1 “Employer” means the Department who have invited the bids for consultancy services and/
or with which the selected Consultant signs the Contract for the Services and to which the
selected consultant shall provide services as per the terms and conditions and TOR of the
contract.
1.2 “Consulting firm/agency” means any entity, consortia of entities or person or associations
of person that may provide or provides the Services to the Employer under the Contract.
1.3 “Contract” means the Contract signed by the Parties and all the attached documents listed
in its Clause 1, that is the General Conditions (GC), the project Specific Conditions (SC),
and the Appendices.
1.4 “Project specific information” means such part of the Instructions to Consulting firm/
Agency used to reflect specific project and assignment conditions.
1.5 “Day” means calendar day.
1.6 “Government” means the Government of Uttar Pradesh
1.7 “Instructions to Consulting firm/ Agency (Section 1 of the RFP) means the document
which provides Consulting firm/ Agency with all information needed to prepare their
proposals.
1.8 “LOI” (Section 1 of the RFP) means the Letter of Invitation being sent by the Employer to
the Consulting firm/ Agency.
1.9 “Personnel” means professionals and support staff provided by the Consultant or by any
Sub-Consultant and assigned to perform the Services or any part thereof; “Foreign
Personnel” means such professionals and support staff who at the time of being so provided
had their domicile outside the Government’s country; “Domestic Personnel” means such
professionals and support staff who at the time of being so provided had their domicile in
India.
1.10 “Proposal” means the Technical Proposal and the Financial Proposal.
1.11 “RFP” means the Request for Proposal prepared by the Employer for the selection of
Consulting firm/ Agency.
1.12 “Assignment/ job” means the work to be performed by the Consultant pursuant to the
Contract.

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 1.13 “Sub-Consultant” means any person or entity with whom the Consultant subcontracts any
part of the Assignment/ job.
1.14 “Terms of Reference” (TOR) means the document included in the RFP as Section 5 which
explains the objectives, scope of work, activities, tasks to be performed, respective
responsibilities of the Employer and the Consulting firm/agency, and expected results and
deliverables of the Assignment/ job.
2. INTRODUCTION

2.1 The Employer named in the Part II:Data Sheet will select a consulting firm/organization
(the Consultant) from those to whom the LOI has been addressed, in accordance with the
method of selection specified in the Part II Data Sheet.
2.2 The name of the assignment/Job has been mentioned in Part II Data Sheet. Detailed scope
of the assignment/ job has been described in the Terms of Reference in Section 5.
2.3 The date, time and address for submission of the proposals has been given in Part II Data
Sheet.
2.4 The Consulting firm/ Agency are invited to submit their Proposal, for consulting
Assignment/ job named in the Part II Data Sheet. The Proposal will be the basis for
contract negotiations and ultimately for a signed Contract with the selected Consultant.
2.5 Applicant Consulting firm/ Agency are encouraged to contact the Employer’s
representative named in part II Data Sheet before submitting a proposal and to attend a pre-
proposal meeting if one is specified in the Part II Data Sheet. Attending the pre-proposal
meeting is optional. The employer would bear no cost for the Consulting firm/ Agency
attending the meeting.
2.6 The Employer will provide no cost to the Consulting firm/ Agency, the inputs and facilities
specified in the Part II Data Sheet, assist the Consulting firm/ Agency in obtaining licenses
and permits needed to carry out the Assignment/job, if any, or make available relevant
project data and reports.
2.7 Consulting firm/ Agency shall bear all costs associated with the preparation and submission
of their proposals and contract negotiation. The Employer 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 Consulting firm/ Agency.

Eligibility of association of consultants

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 3. ELIGIBILITY OF ASSOCIATION OF CONSULTANTS / CONSORTIUM

3.1 If the consultant has formed an association/ a consortium of consultants, each member of
the association of consultant shall be evaluated as per the qualification/ eligibility criteria
set forth in Part II data Sheet. Such association/ consortium should be of no more than 2
registered entities. The combined assessment of the each member of the association of
consultant shall be taken into account for evaluation purpose. If any member of the
association of consultants is dropped at the RFP stage, such an association of consultant is
liable to be rejected by the Employer.

3.2 A consultant may associate with consultants and/or individual expert at the time of
submission of proposal. Under such circumstances each member of the association of
consultant shall be evaluated as per the qualification/ eligibility criteria set forth in Part II
data Sheet. The Employer shall deal with only the lead member for the purpose of this
assignment. Although the contract shall be signed by all the members of the associations of
the consultants, the lead member of the association of the consultant shall be responsible
and liable to the Employer for every aspects of their proposal, contract etc. Managing intra-
consortium issues would be sole responsibility of the lead consultant. The consultants,
individual or those applying in form of a consortia, must consider nominating a team leader
and a resident assignment coordinator.

4. CLARIFICATION AND AMENDMENT OF RFP DOCUMENTS

4.1 Consulting firm/ Agency may request a clarification on any clause of the RFP documents
up to the number of days indicated in the Part II Data Sheet before the proposal submission
date. Any request for clarification must be sent in writing, or by standard electronic means
to the Employer’s address indicated in the Part II Data Sheet. The Employer 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 the source of inquiry) to all
Consulting firm/ Agency. Should the Employer deem it necessary to amend the RFP as a
result of a clarification, it shall do so following the procedure under para. 4.2 below.

4.2 At any time before the submission of Proposals, the Employer may amend the RFP by
issuing an addendum in writing or by standard electronic means. The addendum shall be
sent to all Consulting firm/ Agency and will be binding on them. Consulting firm/ Agency
shall acknowledge receipt of all amendments. To give Consulting firm/ Agency reasonable

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 time in which to take an amendment into account in their Proposals the Employer may, if
the amendment is substantial, extend the deadline for the submission of Proposals.
5. CONFLICT OF INTEREST

5.1 Employer requires that Consulting firm/ Agency provide professional, objective, and
impartial advice and at all times hold the Employer’s interests paramount, strictly avoid
conflicts with other Assignment/jobs or their own corporate interests and act without any
consideration for future work.
Conflicting relationships (iii) A Consultant (including its Personnel and Sub-Consulting
firm/ Agency) that has a business or family relationship with a member of the Employer’s
staff who is directly or indirectly involved in any part of (i) the preparation of the Terms of
Reference of the Assignment/job, (ii) the selection process for such Assignment/job, or (iii)
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 Employer throughout
the selection process and the execution of the Contract.
5.2 Consulting firm/ Agency have an obligation to disclose any situation of actual or potential
conflict that impacts their capacity to serve the best interest of their Employer, or that may
reasonably be perceived as having this effect. Any such disclosure shall be made as per the
Standard forms of technical proposal provided herewith. If the consultant fails to disclose
said situations and if the Employer comes to know about any such situation at any time, it
may lead to the disqualification of the Consultant during bidding process or the termination
of its Contract during execution of assignment.
5.4 No agency or current employees of the Employer shall work as Consulting firm/ Agency
under their own ministries, departments or agencies.
6. UNFAIR ADVANTAGE
6.1 If a Consultant could derive a competitive advantage from having provided consulting
Assignment/ job related to the Assignment/ job in question and which is not defined as
conflict of interest as per para 5 above, the Employer shall make available together with
this RFP all information that would in that respect give such Consultant any competitive
advantage over competing Consultants.

7. PROPOSAL
7.1 A consultant cannot submit more than on proposal. If a Consultant submits more than one
proposal or participates with more than one consultant, such proposals shall be disqualified.

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 8. PROPOSAL VALIDITY

8.1 The Part II Data Sheet to consultant indicates how long Consulting firm/ Agency’
Proposals must remain valid after the submission date. During this period, Consulting firm/
Agency shall maintain the availability of Professional staff nominated in the Proposal and
also the financial proposal unchanged. The Employer will make its best effort to complete
negotiations within this period. Should the need arise; however, the Employer may request
Consulting firm/ Agency to extend the validity period of their proposals. Consulting firm/
Agency who agree to such extension shall confirm that they maintain the availability of the
Professional staff nominated in the Proposal and their financial proposal remain
unchanged, or in their confirmation of extension of validity of the Proposal, Consulting
firm/ Agency could submit new staff in replacement, who would be considered in the final
evaluation for contract award. Consulting firm/ Agency who do not agree have the right to
refuse to extend the validity of their Proposals, under such circumstance the Employer shall
not consider such proposal for further evaluation.
9. PREPARATION OF PROPOSALS

9.1 The Proposal as well as all related correspondence exchanged by the Consulting firm/
Agency and the Employer shall be written in English language, unless specified otherwise.
9.2 In preparing their Proposal, Consulting firm/ Agency are expected to examine in detail the
documents comprising the RFP. Material deficiencies in providing the information
requested may result in rejection of a Proposal.

9.3 While preparing the Technical Proposal, Consulting firm/ Agency must give particular
attention to the following:
a. The estimated number of Professional staff-months for the Assignment/job as shown in
the Part II Data sheet. However, the Proposal shall be based on the number of
Professional staff-months or budget estimated by the Consulting firm/ Agency.
b. Alternative professional staff shall not be proposed, and only one curriculum vita (CV)
may be submitted for each position mentioned. CVs for only the key professionals may
be annexed with the proposals; however, roles assigned to other key staff may be
indicated with clear submission of required competencies as per the consultant’s
assessment;
9.4 Depending on the nature of the Assignment/job, Consulting firm/ Agency are required to
submit a Technical Proposal (TP) in forms provided in Section-III. The Part II Data sheet in
Section- II indicates the formats of the Technical Proposal to be submitted. Submission of the

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 wrong type of Technical Proposal will result in the Proposal being deemed non
responsive. The Technical Proposal shall provide the information indicated in the following
paras from (a) to (g) using the attached Standard Forms (Section 2). Form Tech – I in Section-2
is a sample letter of technical proposal which is to be submitted along with the technical
proposal.
a. A brief description of the consultant’s organization and in the case of a consortium/
joint venture, of each partner, will be provided in Form Tech-2. In the same Form, the
consultant will provide details of experience of assignments which are similar to the
proposed assignment/ job as per the terms of reference. For each Assignment/job, the
outline should indicate the duration of the Assignment/job, contract amount, and
Consultant’s involvement. Assignment/ jobs completed by individual Professional staff
working privately or through other consulting firms cannot be claimed as the
experience of the Consultant, or that of the Consultant’s associates, but can be claimed
by the Professional staff themselves in their CVs. Consulting firm/ Agency should be
prepared to substantiate the claimed experience along with the proposal and must
submit letter of award/ copy of contract and completion certificate for the assignments
mentioned in the proposal.
b. Comments and suggestions on the Terms of Reference including workable suggestions
that could improve the quality/ effectiveness of the Assignment/job; and on
requirements for counterpart staff and facilities including: administrative support, office
space, Domestic transportation, equipment, data, etc. (Form TECH-3 of Section 2).

c. A description of the approach, methodology and work plan for performing the
Assignment/job covering the following subjects: technical approach and methodology,
work plan, and organization and staffing schedule. Guidance on the content of this
section of the Technical Proposals is provided under Form TECH-4 of Section 2. The
work plan should be consistent with the Work Schedule (Form TECH-8 of Section 2)
which will show in the form of a bar chart the timing proposed for each activity.
d. The list of the proposed Professional staff team by area of expertise, the position that
would be assigned to each staff team member and their tasks is to be provided in Form
TECH-5 of Section 2.
e. Estimates of the staff input needed to carry out the Assignment/job needs to be given in
Form TECH-7 of Section 2. The staff-months input should be indicated separately for

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 each location where the Consulting firm/ Agency have to work and/ or provide their
key staff.
f. CVs of the Professional staff as mentioned in para 9.4 (d) above signed by the staff
themselves or by the authorized representative of the Professional Staff (Form TECH-6
of Section 2).
g. A detailed description of the proposed methodology and staffing for training needs to
be given, if the Part II Data sheet specifies training as a specific component of the
Assignment/job.
9.5 The Technical Proposal shall not include any financial information. A Technical Proposal
containing financial information may be declared non-responsive.
9.6 Financial Proposals: The Financial Proposal shall be prepared using the attached Standard
Forms (Section 3). It shall list all costs associated with the Assignment/job, including (a)
remuneration for staff and (b) reimbursable expenses indicated in the Part II Data sheet. If
appropriate, these costs should be broken down by activity and, expenditures. The financial
proposal shall not include any conditions attached to it and any such conditional financial
proposal shall be rejected summarily.
10. TAXES
10.1 The consultant shall fully familiarize them about the applicable taxes payable by
Employer under the Contract. All such taxes must be included by the consultant in financial
proposal separately.
11. CURRENCY

9.1 Consulting firm/ Agency shall express the price of their Assignment/job in Indian Rupees.

12. EARNEST MONEY DEPOSIT (EMD) AND BID PROCESSING FEES

12.1. Earnest Money Deposit

i. An EMD of Rs. 1.00 lakh only (Indian Rupees One lakh only), through RTGS in favour
of the Employer (Director, Urban Local Bodies) in the following account:
Name of the Bank : PUNJAB NATIONAL BANK
Account Name : NIDESHAK STHANIYA NIKAY UTTAR PRADESH
Account No : 4483000100051897
IFS Code : PUNB0448300

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 Proposals not accompanied by EMD shall be rejected as non-responsive.
ii. No interest shall be payable by the Employer for the sum deposited as earnest money
deposit. No bank guarantee will be accepted in lieu of the earnest money deposit.
12.2. The EMD shall be forfeited by the Employer in the following events:
i. If Proposal is withdrawn during the validity period or any extension agreed by the
consultant thereof.
ii. If the Proposal is varied or modified in a manner not acceptable to the Employer after
opening of Proposal during the validity period or any extension thereof.
iii. If the consultant tries to influence the evaluation process.
iv. If the First ranked consultant withdraws his proposal during negotiations failure to
arrive at consensus by both the parties shall not be construed as withdrawal of
proposal by the consultant.
12.3. Bid Processing Fee:
All bidders are required to pay Rs.10,000/- (Indian Rupees Ten thousand only) towards
Bid Processing Fees through NEFT/online transfer in favour of Director of Local Bodies,
Uttar Pradesh, Lucknow in the following bank account:
• Bank Name : PUNJAB NATIONAL BANK
• Branch Name : LUCKNOW RBB GOMTI NAGAR
• Account Name : NIDESHAK STHANIYA NIKAY UTTAR PRADESH
• Account No. : 4483000100051897
• IFSC : PUNB0448300

The Bid Processing Fee is Non-Refundable.

*Please note that the Proposal, which does not include the bid processing fees, would be
rejected as non-responsive.

=
13. PREPARATION AND SUBMISSION OF THE APPLICATION

13.1. The Applicant would provide all the information in terms of this RFP Document. Only
those Applications shall be evaluated that are received in the required format and complete in
all respects.
13.2. The Applicant shall submit digitally signed and complete Proposal comprising the
documents and forms in accordance with Clause 5.2. The submission shall be done
electronically only:
ONLINE SUBMISSION: THE TENDER APPLICATION SHALL BE UPLOADED ON
THE WEB PORTAL https://.etender.up.nic.in DULY DIGITALLY SIGNED. NO
PHYSICAL SUBMISSION OF APPLICATIONS SHALL BE ACCEPTED.

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 13.3. Bids submitted through e-mail or fax or some other means will not be considered.
13.4. The rate/price must be clearly written, or typed, in the bid format on the same sheet or on
the bidder’s sheet in the format provided without any alterations or overwriting in the rate/price.
In case of any unavoidable alterations/overwriting the full signature of the bidder should be put
next to such alterations/overwriting clearly indicating the changed rate/price.
13.6. The price quoted by the bidder in the price bid shall be firm and fixed during the period
and shall not be subject to any variation or escalation whatsoever, on any account.
13.7. The BIDDER shall submit its Proposal in the following folders:
13.8. FOLDER 1 – “Technical Proposal” for “Implementation and augmentation of
Accrual Based Double Entry Accounting System (ABDEAS) in Urban Local Bodies of
Uttar Pradesh”
FOLDER 2 – “Financial Proposal for “Implementation and augmentation of Accrual Based
Double Entry Accounting System (ABDEAS) in Urban Local Bodies of Uttar Pradesh”
13.9. The Proposals must be submitted online no later than the time and the date indicated in the
Data sheet, or any extension to this date in accordance with para 4.2 above.

14. PROPOSAL EVALUATION

14.1. The Employer shall open the Technical Proposals received online at the time, date and
place specified and in the presence of the Applicants who choose to attend. From the time the
Proposals are opened to the time the Contract is awarded, the Consulting firm/ Agency should
not contact the Employer on any matter related to its Technical and/or Financial Proposal. Any
effort by Consulting firm/ Agency to influence the Employer in the examination, evaluation,
ranking of Proposals, and recommendation for award of Contract may result in the rejection of
the Consulting firm/ Agency’s Proposal.
14.2. A Consultant Evaluation Committee (CEC) has been constituted to carry out the entire
evaluation process. The Consultant Evaluation Committee headed by Principal Secretary,
Department of Urban Development, will subsequently examine and evaluate the Proposals in
accordance with the provisions thereof. To facilitate evaluation of Proposals, the Client may,
at its sole discretion, seek clarifications in writing from any Applicant regarding its proposal.
14.3. Evaluation of Technical Proposals: CEC while evaluating the Technical Proposals shall
have no access to the Financial Proposals until the technical evaluation is concluded and the
competent authority accepts the recommendation.

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 14.4. The CEC shall evaluate the Technical Proposals on the basis of their responsiveness to the
Terms of Reference and by applying the evaluation criteria, sub-criteria specified in the Data
sheet. In the first stage of evaluation, a Proposal shall be rejected if it is found deficient as per
the requirement indicated in the Data sheet for responsiveness of the proposal. Only responsive
proposals shall be further taken up for evaluation. Evaluation of the technical proposal will start
first and at this stage the financial bid (proposal) will remain unopened. The qualification of the
consultant and the evaluation criteria for the technical proposal shall be as defined in the Data
sheet.
14.5. Public opening & evaluation of the Financial Proposals: Financial proposals of only
those firms who are technically qualified shall be opened publicly on the date & time specified
the Data sheet, in the presence of the Consulting firm/ Agency’ representatives who choose to
attend. The name of the Consulting firm/ Agency, their technical score (if required) and their
financial proposal shall be read aloud.
14.6. The CEC will correct any computational errors. When correcting computational errors, in
case of discrepancy between a partial amount and the total amount, or between word and
figures, the former will prevail. In addition to the above corrections the items described in the
Technical Proposal but not priced, shall be assumed to be included in the prices of other
activities or items. In case an activity or line item is quantified in the Financial Proposal
differently from the Technical Proposal, (i) if the Time-Based form of contract has been
included in the RFP, the 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, (ii) if the Lump-Sum form of contract has been included in the
RFP, no corrections are applied to the Financial Proposal in this respect. Normally, the date will
be the date of opening of the tender unless specified otherwise in the Data sheet.
14.7. After opening of financial proposals, appropriate selection method shall be applied to
determine the consultant who will be declared winner and be eligible for award of the contract.
The methods of selections are described in the Data Sheet. This selected consultant will then be
invited for negotiations, if considered necessary.
15. NEGOTIATIONS

15.1 Negotiations will be held at the date, time and address intimated to the qualified and
selected bidder. The invited Consultant will, as a pre-requisite for attendance at the
negotiations, confirm availability of all Professional staff. Representatives conducting

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 negotiations on behalf of the Consultant must have written authority to negotiate and
conclude a contract.
15.2 Technical negotiations: Negotiations will include a discussion of the Technical Proposal,
the proposed technical approach and methodology, work plan, and organization and staffing,
and any suggestions made by the Consultant to improve the Terms of Reference. The
Employer and the Consulting firm/ Agency will finalize the Terms of Reference, staffing
schedule, work schedule, logistics, and reporting. These documents will then be
incorporated in the Contract as “Description of Assignment/job”. Special attention will be
paid to clearly defining the inputs and facilities required from the Employer to ensure
satisfactory implementation of the Assignment/job. The Employer shall prepare minutes of
negotiations which will be signed by the Employer and the Consultant.
15.3 Financial negotiations: After the technical negotiations are over, financial negotiations
shall be carried out in order to reflect any change in financials due to change in scope of
work or due to clarification on any aspect of the technical proposal during the technical
negotiations. Under no circumstance, the financial negotiation shall result in to increase in
the price originally quoted by the consultant. Unless there are exceptional reasons, the
financial negotiations will involve neither the remuneration rates for staff nor other proposed
unit rates. For other methods, Consulting firm/ Agency will provide the Employer with the
information on remuneration rates described in the Appendix attached to Section 3 –
Financial Proposal – Standard Forms of this RFP.
15.4 Availability of Professional staff/experts: Having selected the Consultant on the basis of,
among other things, an evaluation of proposed Professional staff, the Employer expects to
negotiate a Contract on the basis of the Professional staff named in the Proposal. Before
contract negotiations, the Employer will require assurances that the Professional staff will be
actually available. The Employer will not consider substitutions during contract negotiations
unless both parties agree that undue delay in the selection process makes such substitution
unavoidable or for reasons such as death or medical incapacity or if the professional staff has
left the organisation. If this is not the case and if it is established that Professional staff were
offered in the proposal without confirming their availability, the Consultant may be
disqualified. Any proposed substitute shall have equivalent or better qualifications and
experience than the original candidate and be submitted by the Consultant within the period
of time specified in the letter of invitation to negotiate.
15.5 Conclusion of the negotiations: Negotiations will conclude with a review of the draft
Contract. To complete negotiations the Employer and the Consultant will initial the agreed

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 Contract. If negotiations fail, the employer will reject all the proposals received and invite
fresh proposals.
16. AWARD OF CONTRACT

16.1 After completing negotiations the Employer shall issue a Letter of Intent to the selected
Consultant and promptly notify all other Consulting firm/ Agency who have submitted
proposals about the decision taken.
16.2 The Consulting firm/ Agency will sign the contract after fulfilling all the formalities/pre-
conditions within 15 days of issuance of the letter of intent.
16.3 The Consultant is expected to commence the Assignment/job on the date and at the
location specified in the Part II Data Sheet.
17. CONFIDENTIALITY

17.1 Information relating to evaluation of Proposals and recommendations concerning awards

shall not be disclosed to the Consulting firm/ Agency who submitted the Proposals or to
other persons not officially concerned with the process, until the publication of the award of
Contract. The undue use by any Consultant of confidential information related to the process
may result in the rejection of its Proposal and may be subject to the provisions of the
Employer’s antifraud and corruption policy.

Part-II: Data Sheet instructions to the Consulting Firm/ Agency

Clause No. Particulars Instructions / Details
of Data
Sheet
1. Particulars Name of the Employer: Directorate of Urban Local Bodies, Uttar Pradesh,
Department of Urban Development,
Government of Uttar Pradesh
2. Name of the Assignment/job is: “Implementation and augmentation of Accrual Based
Double Entry Accounting System (ABDEAS) in Urban
Local Bodies of Uttar Pradesh”

3. A pre-proposal meeting will be held: YES

Date: 09 December 2019, Time: 01:00 PM.
Venue: Conference Hall, Ground Floor, Directorate of Urban
Local Bodies, Lucknow

4. Date & time and address for submission Online submission

of proposal/ bid: https://.etender.up.nic.in
Date 31 December 2019
Time 03:00 PM

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 5. The Employer’s representative is: Mr. Shiv Pujan Yadav, Add. Municipal Commissioner
Address: (Attached) Directorate of Local Bodies, U.P., Lucknow
Telephone: 0522 - 2838110
Facsimile: 0522-
E-mail: diruplb2012@gmail.com
6. The Employer will provide the following Working Space may be provided by the
inputs and facilities: State.
7. Proposals must remain valid days after 90 days
the submission date, i.e. until:
8. Clarifications may be requested not later 06 December 2019, Time: 03:00 PM
than Venue: Conference Hall, Ground Floor, Directorate of Urban
The address for requesting clarifications Local Bodies, Lucknow
is:
9. Proposal In addition to Technical proposal,
Consulting firm/ Agency is required to submit Financial
proposal online (as per forms prescribed in Section 4).
Submission of the technical and financial proposal in
improper form will render the proposal liable to be rejected.
10 The formats of the Technical Proposal to be submitted are:

Form Tech 1: Letter of Proposal The language for Proposal is English.

submission

Form Tech 2 : Consultant’s organization

& experience
Form Tech 3 : Comments & Suggestions on
TOR
Form Tech 4 : Approach & methodology Maximum of 20 pages including charts
and diagrams
Form Tech 5 : Team composition
Form Tech 6 : Curriculum vitae
Form Tech 7 : Staffing Schedule
Form Tech 8 : Work Schedule
Form Tech 9: Comment/ modification
suggested on draft contract.
Form Tech 10: Information regarding any
conflicting activities and declaration thereof.
11 The formats of the Financial Proposal to be submitted are:

FORM FIN-1 Component-4 of the Scope of Work i.e. “Delivery of

Training” is time-based component of the assignment cost of
Financial Proposal Submission Form which will be borne by the client on mutually agreed terms
with the Agency.
Thus, the Financial Proposal will NOT include the cost of
“Delivery of Training”.
FORM FIN-2 : Summary of Costs
FORM FIN-3:
Breakdown of Remuneration
FORM FIN-4
Breakdown of Reimbursable Expenses
12 Consortium Consortium is NOT allowed
13 Is Delivery of Training a component of this YES. It is a time-based component cost which will be borne
Assignment/job? entirely by the Government. Cost of this component will
NOT be part of the Financial proposal.

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 14 Consultant to state the Indian Rupees
cost in
15 Evaluation Criteria : Detailed evaluation of Technical proposal as per the
Evaluation criteria prescribed in the RFP
16 Method of Selection Quality (70%) cum Cost (30%) Based
Selection (QCBS – 70:30)
17 Contract The Contract shall be construed in accordance with the law of
India.
18 • Expected Commencement of Assignment February 2020,

• Termination of Contract for failure to The time period shall be one month
become Effective:

19 24 months from the date of signing the Contract

Duration of Contract

20 Arbitration Principal Secretary, Department of Urban Development,

Government of Uttar Pradesh shall be the sole Arbitrator in
case of a dispute...

21 Payment Schedule: Pay Deliverables Timeline from Payment

ment the Contract (% of the
Signing Date total contract)
I Inception Within 1 month of 10%
Report contract
signature

II Status Report Within 3 months 10 %

& Roll-out of contract
Plan signature

III Draft Training Within 6 months of 10%

Modules contract
IV Final Training Within 9 months 10%
Modules &
Training Plan
V Implementatio 9th Month onwards Each
n& 15 monthly instalment of
Management instalments 4% each.
of ABDEAS
22 Advance Payment The following provisions shall apply to the advance payment and the
advance bank payment guarantee:
1. An interest free advance payment of 10% of the contract
price shall be made within 20 days after the receipt of an
advance bank payment guarantee by the Client. The
advance payment will be set off by the Client in one year
against payments.
2. The bank guarantee will be released when the advance
payment has been fully set off.

19. PROCEDURE FOR DETAILED EVALUATION OF TECHNICAL QUALIFICATIONS

19. 1 Qualification Requirements:

For eligibility, the Consultant shall have the following qualifications:

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The Agency must be a firm or a company incorporated under Companies Act. It must have
minimum 10 years of experience and proven track record of having supported the Government or
its undertakings / authorities in implementing the Urban Sector Reforms.
Other requirements are as follow:
1. Proven experience in managing, planning, monitoring, supporting, and implementing
accounting reforms in at least 50 Local Bodies/ in Urban Local Bodies (ULBs)
2. Proven experience of Training and capacity building in Urban Sector and Local Bodies.
3. In-depth understanding and proven exposure to the policy and decision making processes
in the government sector and the functioning of Urban Local Bodies.
4. Relevant exposure of working with Municipalities of Uttar Pradesh will be preferred.
5. Consortium/ Consortia is NOT allowed.

19.2 Evaluation methodology of technical proposal:

The detailed technical evaluation of Proposals satisfying minimum eligibility conditions as

above shall be done. The Criteria, sub-criteria for evaluation shall be as follows:
EVALUATION CRITERIA / SCORE
S.No. Particulars Marks
1 Experience in implementing ABDEAS in Urban Local Bodies 40
(Assignments completed satisfactorily by the Agency will be used to assess the
experience of the Agency)
• At least 300 ULBs 40 marks
• At least 150 ULBs 25 marks
• At least 50 ULBs 15 marks
Attach completion certificates for the assignments mentioned.
2 Experience in Training & Capacity Building in Urban Local Bodies 10
(Assignments completed satisfactorily by the Agency will be used to assess the
experience of the Agency)
• 30 training programmes 10 marks
• 20 training programmes 07 marks
• 10 training programmes 04 marks
Attach completion certificates for the assignments mentioned
3 Understanding of Assignment & Technical Proposal 20
4 Team Composition of Experts 15
i. Team Leader: CA/ MBA with minimum 10 years experience in
accounting and reforms management in the government sector
preferably with Urban Local Bodies.
(4 marks)
ii. Sr. Specialist (Accounting) : CA with minimum 15 years
professional experience with exposure to accounting in government
bodies/ Urban Local Bodies. (3 marks)
iii. Specialists (Accounting)- Two Positions: CA with minimum 10
years professional experience with exposure to accounting in
government bodies/ Urban Local Bodies. (2 marks)
iv. Specialist (Training): Minimum experience of 15 years in TNA,

17 | P a g e
 developing training design and Modules. (2 marks)
v. Specialist (Legal): Minimum experience of 15 years in Legal practice
and indepth exposure to Municipal Laws and Rules. (2 marks)
Attach CVs of the Team Members.
5 Exposure of implementing reforms in Urban Local Bodies 10
• At least 03 projects 10 marks
• At least 02 projects 05 marks
• At least 01 projects 03 marks
Attach completion certificates of the assignments mentioned
6 Financial Capacity 10
(Contract value of the assignments completed satisfactorily by the Agency
during last 5 years will be used to assess the financial capacity of the Agency)
• At least 02 assignments with contract value of Rs. 1.5 crores each
10 marks
• At least 01 assignment with contract value of Rs. 1.5 crores
05 marks
• At least 02 assignments with contract value of Rs. 50 lakhs each
03 marks
Attach completion certificates of the assignments mentioned
7 Experience of working in the Urban Local Bodies of Uttar Pradesh 5
Total Marks 100
19.3 The employer has constituted a Consultant Evaluation Committee (CEC) which will
carry out the entire evaluation process. The Employer shall open the Technical Proposals
received online at the time, date and the place specified and in the presence of the Applicants
who choose to attend. The Consultant Evaluation Committee headed by Principal Secretary,
Department of Urban Development, will subsequently examine and evaluate the Proposals in
accordance with the provisions thereof. To facilitate evaluation of Proposals, the Client may,
at its sole discretion, seek clarifications in writing from any Applicant regarding its proposal.
20. SELECTION PROCESS
The selection of State Level Agency will be done by Quality-cum- Cost Based Selection (QCBS) method as
per the following weightage:

i. Technical: 70%
ii. Financial : 30%

The technical quality of the proposal will be given weight of 70%, the method of evaluation of
technical qualification will follow the procedure given in para-14 above. The price bids of only
those Consulting firm/ Agency who qualify technically (Minimum Qualifying Marks: 70%) will
be opened. The proposal with the lowest cost may be given a financial score of 100 and the other
proposal given financial score that are inversely proportionate to their prices. The financial
proposal shall be allocated weight of 30%. For working out the combined score, the employer
will use the following formula: The proposals will be ranked in terms of total points scored. The
proposal with the highest total points (H-1) will be considered for award of contract and will be
called for negotiations.

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21. TEST OF RESPONSIVENESS

21.1. As a first step towards evaluation of Technical Proposals, the Client shall determine
whether each Technical Proposal is responsive to the requirements of this RFP. A Technical
Proposal shall be considered responsive only if:
a Technical Proposal is received online as per the format including Forms 1 to 10;
b Technical Proposal does not contain any condition or qualification;
c it is not non-responsive in terms hereof.

21.2 The Client reserves the right to reject any Technical Proposal which is non-responsive
and no request for alteration, modification, substitution or withdrawal shall be entertained by
the Authority in respect of such Proposal.

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 Section2: Technical Proposal - Standard Forms

FORM TECH-1
LETTER OF PROPOSAL SUBMISSION

[Location, Date]

To: The Director Local Bodies, Uttar Pradesh

Dear Sirs:
We, the undersigned, offer to provide the consulting Assignment/job for “Implementation and
augmentation of Accrual Based Double Entry Accounting System (ABDEAS) in Urban Local
Bodies of Uttar Pradesh” in accordance with your Request for Proposal dated [_ _ _ _] and our
Proposal. We are hereby submitting our Proposal, which includes this Technical Proposal, and a
Financial Proposal and requisite EMD and bid processing fees.
We are submitting our Proposal in association with: [Insert a list with full name and address of the
associated Consultant, if any]
We hereby declare that all the information and statements made in this Proposal are true and
accept that any misinterpretation contained in it may lead to our disqualification.
If negotiations are held during the period of validity of the Proposal, i.e., before the date indicated
in Paragraph 4 of the Part II Data Sheet, we undertake to negotiate on the basis of this proposal.
Our Proposal is binding upon us and subject to the modifications resulting from Contract
negotiations.
We understand you are not bound to accept any Proposal you receive.
We remain,

Yours sincerely,
Authorized Signature [In full and initials]:
Name and Title of Signatory:
Name of Firm:
Address:

20 | P a g e
FORM TECH-2
Form 2: Consultant’s organization & experience

Form 2A: Format for Details of Consultant

1. Details of Consultant
a. Name of consultant with full address
b. Tel. No.
c. Fax No.
d. Email
e. Composition of Agency (Firm/ LLP/ Company incorporated
under Companies Act.)
f. Name and address of the Contact person

g. Name and details (Tel / Mobile / E mail) of contact persons

h. Place of Business.
i. Years of Experience
j. Name of Bankers with full address.
k. Permanent Account Number (copy)/ Copy of Registration
l. Are you presently debarred/ Black listed by any
Government Department/ Public Sector Undertaking/ Any
Employer? (If Yes, please furnished details)

21 | P a g e
Form 2B: Format for Financial Capability of the Agency
Government assignments having contract value of Rs. 50.00 lacs or above completed in last five
years:
Contract value of
Name of Name of the assignment Project
Year assignment Client (Rs. in lacs) completed
Yes/ No
Yes/ No

Form 2C: Experience of implementing Accrual Base Double Entry Accounting System and
other reform assignments undertaken

List projects (not more than 5) in the last ten years which are relevant to the RFP

Assignment name: Value of the contract (in current INR):

Country: Duration of assignment (months):
Name of Client: Total No of staff-months of the assignment:
Approx. value of the services provided by your
firm under the contract (in current INR):
Address:
Start date (month/year):
Completion date (month/year):
Narrative description of Project:

FORM TECH-3
COMMENTS AND SUGGESTIONS ON THE TERMS OF REFERENCE AND ON
COUNTERPART STAFF AND FACILITIES TO BE PROVIDED BY THE EMPLOYER
A - On the Terms of Reference
[Suggest and justify here any modifications or improvement to the Terms of Reference you are
proposing to improve performance in carrying out the Assignment/job (such as deleting some
activity you consider unnecessary, or adding another, or proposing a different phasing of the
activities). Such suggestions should be concise and to the point, and incorporated in your
Proposal.]

B - On Inputs and Facilities to be provided by the employer

22 | P a g e
[Comment here on Inputs and facilities to be provided by the Employer according to Paragraph 6
of the Part II Special information to Consulting firm/ Agency including: administrative support,
office space, Domestic transportation, equipment, data, etc.]

23 | P a g e
FORM TECH-4
DESCRIPTION OF APPROACH, METHODOLOGY ANDWORK PLAN FOR
PERFORMING THE ASSIGNMENT/JOB

[Technical approach, methodology and work plan are key components of the Technical Proposal.
These are, however, suggestive in nature and are optional for any applicant to follow or make its
submission as suitable. ]
You are suggested to present your Technical Proposal divided into these following parts, must not
be limited these although:
a) Technical Approach and Methodology,
b) Work Plan, and
c) Organization and Staffing,
d) Others, as perceived by the consultant
a) Technical Approach and Methodology. In this part you should explain your understanding of
the objectives of the Assignment/job, approach to the Assignment/job, methodology for carrying
out the activities and obtaining the expected output, and the degree of detail of such output. You
should highlight the problems being addressed and their importance, and explain the technical
approach you would adopt to address them. You should also explain the methodologies you
propose to adopt and highlight the compatibility of those methodologies with the proposed
approach.
b) Work Plan. The consultant should propose and justify the main activities of the
Assignment/job, their content and duration, phasing and interrelations, milestones (including
interim approvals by the Employer), and delivery dates of the reports. The proposed work plan
should be consistent with the technical approach and methodology, showing understanding of the
TOR and ability to translate them into a feasible working plan. A list of the final documents,
including reports, drawings, and tables to be delivered as final output, should be included here. The
work plan should be consistent with the Work Schedule of Form TECH-8.
c) Organization and Staffing. The consultant should propose and justify the structure and
composition of his team. You should list the main disciplines of the Assignment/job, the key
expert responsible, and proposed technical and support staff.].

24 | P a g e
FORM TECH-5
TEAM COMPOSITION AND TASK ASSIGNMENT/JOBS

Details of Professional Staff; the consultant may present its submission as it finds most suitable
and the following template is optional -
Sl. Name of staff Name of firm Area Position/
No. of task
expertise assigned
for this
job

25 | P a g e
FORM TECH-6
CURRICULUM VITAE (CV) FOR PROPOSED PROFESSIONAL STAFF
(only key positions)

1 Proposed Position:
[For each position of key professional separate form Tech-6 will be prepared]:

2 Name of Firm:
[Insert name of firm proposing the staff]:

3 Name of Staff: [Insert full name]:

4 Date of Birth:

5 Nationality:

6 Education:
[Indicate college/university and other specialized education of staff member, giving names of
institutions, degrees obtained, and dates of obtainment]:

7 Professional/ Other Training:

8 Work Experience (also specific mention of experience that is relevant for the assignment
under reference):
[List places where the staff has worked in the last ten years]:

9 Membership of Professional Associations:

10 Languages
[For each language indicate proficiency: good, fair, or poor in speaking, reading, and writing]:

11 Employment Record:
[Starting with present position, list in reverse order every employment held by staff member since
graduation, giving for each employment (see format here below): dates of employment, name of
employing organization, positions held.]:
26 | P a g e
 From [Year]: To Year]:
Employer:
Positions held:

12 Spectrum of Tasks Assigned

[List all tasks to be performed under this Assignment/job]

13 Work Undertaken that Best Illustrates Capability to Handle the Tasks Assigned
[Among the Assignment/jobs in which the staff has been involved, indicate the following
information for those Assignment/jobs that best illustrate staff capability to handle the tasks listed
under point 12.]

Name of Assignment/job or project: Year:

Location:
Employer:
Main project features:
Positions held: Activities
performed:

14 Certification:

I, the undersigned, certify that to the best of my knowledge and belief, this CV correctly describes
myself, my qualifications, and my experience. I understand that any wilful misstatement described
herein may lead to my disqualification or dismissal, if engaged.

Date: [Signature of staff member or authorized

Place: representative of the staff]

[Full name of authorized representative]:

27 | P a g e
FORM TECH-7
STAFFING SCHEDULE
(Optional – the applicant may choose to present its submission suitably)
S. Name of Staff Staff input (in the form of a bar chart) Total Months
No.
1 2 3 4 5 6 7 8 9 10 11 12.....

1
2
3
4
(add additional rows as per requirement)
Note:
1 For Professional Staff the input should be indicated individually; for Support Staff it should
be indicated by category. Depending on HR categories, the applicant may consider its
presentation and description thereof.
2 Months are counted from the start of the Assignment/job. For each staff indicate separately
staff input for home and field work.

28 | P a g e
FORM TECH-8
WORK SCHEDULE
(Optional – the applicant may choose to present its submission suitably)
S. No. Activity Months Total Months
1 2 3 4 5 6 7 8 9 10 11 12......

(Add additional rows as per requirement)

Note :
1. Indicate all main activities of the Assignment/job, including submission of reports (e.g.:
inception, interim, draft and final reports) – modalities thereof, and other benchmarks and
assessments, if any. For phased Assignment/jobs indicate activities, delivery of reports, and
benchmarks separately for each phase.
2. Duration of activities shall be indicated in the form of a bar chart as annexure.

29 | P a g e
FORM TECH-9
COMMENTS/ MODIFICATIONS SUGGESTED ON DRAFT CONTRACT

[Here the consultant shall mention any suggestion/ views on the draft contract attached with the
RFP document. The consultant may also mention here any modifications sought by him in the
provisions of the draft contract. This information shall be used at the time of the negotiations.
However, the Employer is not bound to accept any/all modifications sought and may reject any
such request of modification.]

30 | P a g e
FORM TECH-10
INFORMATION REGARDING ANY CONFLICTING ACTIVITIES AND
DECLARATION THEREOF

Are there any activities carried out by your firm or group company or any member of the
consortium which are of conflicting nature as mentioned in para 5 of section 2. If yes, please
furnish details of any such activities.

If no, please certify,

We hereby declare that our firm, our associate / group firm or any of the member of the consortium
are not indulged in any such activities which can be termed as the conflicting activities under para
5 of the section 2. We also acknowledge that in case of misrepresentation of the information, our
proposals / contract shall be rejected / terminated by the Employer which shall be binding on us.

Authorized Signature [In full and initials]:

Name and Title of Signatory:

Name of Firm:
Address:

31 | P a g e
Section3: Financial Proposal – Standard Forms
FORM FIN-1
FINANCIAL PROPOSAL SUBMISSION FORM

[Location, Date]

To: The Director of Local Bodies, Uttar Pradesh

Dear Sirs:
We, the undersigned, offer to provide the consulting Assignment/job for “Implementation and
augmentation of Accrual Based Double Entry Accounting System (ABDEAS) in Urban Local
Bodies of Uttar Pradesh” in accordance with your Request for Proposal dated [Insert Date] and
our Technical Proposal. Our attached Financial Proposal is for the sum of [Insert amount(s) in
words and figures1]. This amount is exclusive of the taxes. Taxes are mentioned separately. We
hereby confirm that the financial proposal is unconditional and we acknowledge that any
condition attached to financial proposal shall result in reject of our financial proposal.
Our Financial Proposal shall be binding upon us subject to the modifications resulting from
Contract negotiations, up to expiration of the validity period of the Proposal, i.e. before the date
indicated in Paragraph 4 of the Part II Data Sheet.
We understand you are not bound to accept any Proposal you receive.

Yours sincerely,

Authorized Signature [In full and initials]:

Name and Title of Signatory:

Name of Firm:
Address:

FORM FIN-2

32 | P a g e
SUMMARY OF COSTS

S.No. Particulars Form Amount in Amount in words

Rupees *
Competitive Components
1 Remuneration FIN 3

2 Reimbursable FIN 4

expenses
Total

Service Tax / Any other tax

GRAND TOTAL

Authorized Signature

Name: ………………
Designation ………………
Name of firm:
Address:

33 | P a g e
FORM FIN-3
BREAKDOWN OF REMUNERATION
(Professional Staff and Support Staff)
(for details please refer to Note below)
S.No. Name of Staff Position Man Month Proposed Total Amount
Rates (A) in Man Months in Rupees.*
Rupees (B) (A)*(B)

Key professionals *1
1
2
3
4
Support Staff *2

Total
*Add rows as required.
*1 Key Professionals are to be indicated by name
*2 Support Staff is to be indicated per category (e.g: Researchers, Assistant etc.)

Total Remuneration = _________________Amount in Rupees

(Amount in Words) :
Note:
1 Professional Staff should be indicated individually; Support Staff should be indicated per
category (e.g.: Researchers, Assistants etc.). Cost of Secretarial services, if any, will be
indicated in form Fin-4.
2 Positions of Professional Staff shall coincide with the ones indicated in Form TECH-5 & 7.
3 Indicate separately staff-month rate for each activity separately.

34 | P a g e
FORM FIN-4
BREAKDOWN OF REIMBURSIBLE EXPENSES
(The cost-heads are indicative; the Consulting firm/ Agency are entitled to frame cost items as per
their perceived technical proposals and activities delineated to attain the results of the assignment
under consideration)
Sl. Description Unit Quantity Unit Total
Price In (INR)
INR
1. Per diem allowance, including hotel allowance for experts Per day
for every day of absence from the home office for the
purposes of the Services
2. Workshops and Seminar No.

3. Cost of office operation, including overheads and back-stop Per

support at central (………) office Month

4. Cost of office operation, including overheads and Per

etc (………) Month

5. Cost of office accommodation Per

Month
6. Local Transport at Central Office/ Project Cities Vehicle
Month

7 Communication Costs to all personnel and Office at Central Per

office Month

8. Cost of Reports Production (including printing), Per

delivering to the Client Month

9. Administrative Overheads & Management Costs

(Approx. 5-10% of the estimated cost)
10. Contingency (Approx. 2-5% of the estimated cost)

11. Others, if any

Sub Total: Reimbursable Expenses carried to FIN 2

TOTAL: REIMBURSABLE EXPENSES

Total : = ___________________ Total amount in Rupees.

Amount in words:

35 | P a g e
APPENDIX : NOTE FOR PREPARATION OF FINANCIAL PROPOSAL

1. Form FIN-1 Financial Proposal Submission Form shall be filled as per the instructions
provided in the Form.
2. Form FIN-2 Summary of Costs: Form FIN-2 provides a summary of the elements of
estimated costs for implementation of the proposed Consultant services.
3. Form FIN-3 Remuneration
i. The purpose of Form FIN-3 is to identify the monthly billing rates for each Personnel to
be fielded by the Consultant as part of its proposed team of experts.
ii. Months; number of months input to match that shown on the personnel schedule (Form
TECH-7, Section 3). The month shall be calculated as per follows:
1 year = 12 months = 252 working days
iii. Support Staff is also included in this form.

4. Form FIN-4 – Reimbursable Expenses: The purpose of Form FIN-4 is to identify all
reimbursable expenditures in local currencies considered by the Consultant necessary to carry
out the assignment. Purpose of this format is not to restrict the consultant to restrict its
justification or adequate details that it finds important to submit.
(i) Per Diem allowance: The Per Diem allowance shall be paid for stay requirements
outside Home Office (Office (Central or Project city assigned to the Personnel) night for
night spent away outside Home Office during such travel. The travel shall be undertaken
with prior consent of the Client. The payment will be made on lump sum basis without any
supporting vouchers.
(ii) Office Operations: The Consulting firm is required to quote expenses for office
expenses towards office operation and maintenance including all consumables and
documentations as required for the project. The monthly payment shall be made on lump
sum basis without any supporting vouchers.
(iii) Office Accommodation: This shall be applicable only in case the office
accommodation is not provided by the Project City or Central Office. The Consulting firm is
required to quote rental value of accommodation for Office. The monthly payment shall be
made on actual basis on submission of supporting vouchers.
(iv) Local Transport: The Consulting firm is required to quote expenses for local
transportation at central and project office as required for the project. The monthly payment
shall be made on lump sum basis with proof of availability of vehicle. The arrangement shall
be finalise at Contract Negotiations
36 | P a g e
 (v) Communication Costs: The Consulting firm is required to quote expenses for
Communication Costs to all personnel and office as required for the project. The
arrangement for lump sum basis or on actual to be finalise at Contract Negotiations.

5. Provisional Sums and Contingencies

All expenditures under the project, which are to be paid under provisional sums on actual basis,
shall be done maintaining financial proprietary. The Financial proprietary means purchasing of
any article from open market on most competitive rates based on at least three quotations or by
calling tenders. Consulting firm has to provide certificate that material is purchased on lowest
rate in the market.

All equipment, furniture items, documents, reports and other articles purchased by the
Consultant from the project fund shall be property of Client. At the end of Contract, the firm will
hand over all these articles and equipment in working conditions to the Client. Proper stock
register of purchases and store articles shall be maintained by firm and shall be made available
for stock verifications as required. Following expenditures shall fall under provisional sums and
shall be reimbursed on actual basis.

Office equipment : All necessary office equipment and furniture like computer hardware,
printers, software, networking devices, maintenance & up-gradation of the system, fax machines,
EPABX, photocopier, ACs, chairs, tables etc. as applicable under project shall be purchased by
the consulting firm. Purchases shall be made in consultation with the Client. The firm will assess
the requirement and specifications of the equipment to be procured and have these approved by
Client before purchase.

Workshops and seminars: The expenditures made on meetings, seminars and workshops etc.
with the approvals of designated authority shall be reimbursed based on actual.

6. Management Costs & Contingencies: The provision of contingencies shall be there as

indicated.

37 | P a g e
Section 4: Terms of Reference

TERMS OF REFRENCE

1. Project Background

Urban Local Bodies in Uttar Pradesh had been using a cash based single entry accounting
system. To overcome the shortfalls of existing system and in pursuance of the
recommendations of the Eleventh Finance Commission and direction issued, the Government
of Uttar Pradesh had taken a policy decision to introduce Accrual Based Double Entry
Accounting System in all municipal bodies.

Government of Uttar Pradesh has vide notification nos.911/Na.Vi.-5-19-404SA/2017 &

912/Na.Vi.-5-19-404SA/2017 dated March 8th 2019 mandated the adoption of Double-Entry
Accounting System by all its 652 ULBs. The mandate directs the ULBs to move their
accounting practices to accrual based double-entry system as laid out in U.P. Municipal
Accounting Manual, 2018. The process of migration to ABDEAS has been initiated by most
of the local bodies with varying degrees of success. This has resulted in improved
transparency in accounting procedures and updating of financial data. While some impact is
evident, the system needs to be strengthened and augmented to realize the full import of
accrual based DEAS in financial administration and management of the Local Bodies. The
government recognizes that the ULBs need professional support for management of a smooth
switchover to the new accounting system in its letter and spirit.

2. Objective of Appointing the State Level Agency for implementing and

augmenting Accrual-based DEAS in Local Bodies of U.P.:

“To augment and enable complete switch over to Accrual Based DEAS in the 652 urban local
bodies in association with the Department of Urban Development, Government of Uttar
Pradesh (GoUP) ) including providing the necessary inputs for processes of implementation,
strategic planning for introducing the reform, developing a road map for smooth switch over
to new accounting system, managing and monitoring the implementation, and capacity
building of ULBS for augmenting and sustaining the accounting reforms .”

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The Department has entered into an agreement with e.gov for providing the software for
DEAS. The State level Agency will co-ordinate with e.gov or any other Software provider for
its synchronization and implementation in 652 ULBs.

3. Approach:
The State Level Agency shall be an umbrella agency for managing effective, time-bound, and
quality-based implementation and augmentation of Accrual based DEAS in all the 652 Local
Bodies of Uttar Pradesh. The Agency is expected to act as the technical secretariat to the
Department of Urban Development, Government of Uttar Pradesh for:

1. Providing advisory support to the Department in administrative decision making on the

matter;

2. Developing road map for roll out and implementation of ABDEAS in all the local bodies
of Uttar Pradesh, including selection of field level Agency and the processes

3. Monitoring the implementation of accounting reforms at the ULB level;

4. Interface with the stake-holders;

5. Reporting and Trouble Shooting;

6. Developing Training Plan / modules and deliver Training to the stakeholders for internal
capacity building of the ULBs to sustain the reform.

The field level implementation of accounting reforms will be done by the Field Level Agency
(FLAs) / CA firms so appointed.

The appointment of State Level Agency will be for 24 month of which Year-1
(IMPLEMENTATION PHASE) shall be for rolling out the implementation plan in all local
bodies, providing technical assistance in the process of selection of field level Agency,
developing necessary guidelines for local bodies and the FLCs, train and orient the ULBs /
FLCS to set in motion the process for complete switch over to ABDEAS in letter and spirit.
Year 2 shall be for managing, monitoring, quality bench-marking, trouble-shooting, capacity
building, and augmenting the accounting system in all the local bodies in state. The term can
be extended by one year, if required, on mutually agreed terms.

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Thus, the entire project will be implemented in two parallel processes by the respective
specialized agencies namely;

a. State Level Agency, an umbrella agency for the entire state, shall provide Advisory,
Management, Monitoring, & Capacity Development support for effective
implementation of the project as Technical Secretariat to the client.
b. Field Level Agency / CA Firms shall implement the ABDEAS at the ULB level under
overall guidance of the State level Agency.

A. SCOPE OF WORK:
There are total 652 ULBs, including Nagar Nigams, Nagar Palika Prishads and Nagar
Panchayats in the state of Uttar Pradesh.
Broadly, the State Level Agency will be responsible for following tasks as stated
below:

1. ADMINISTRATIVE SUPPORT AS TECHNICAL SECRETARIAT

a. Co-ordinating with the Software provider(e.gov) and its execution in all 652
ULBs

b. Advise the Client on policy matter, administrative decisions and action required to
effectively implement the accounting reforms in various category of the ULBs,

c. Provide administrative and implementation support to the Client for the

implementation of the DEAS in the 652 ULBs of the State. While the actual ULB
implementation should be done by the field level Agencies, the supervision and
monitoring of these would be done by the State Level Agency to ensure
uniformity in implementation.

d. As Technical Secretariat to the Department of Urban Development

Government of U.P. the SLC shall:
i. Assist the department in all its functions related to the implementation of
ABDEAS.
ii. Prepare and submit reports on periodic basis
iii. Prepare and maintain records of follow-up actions on the discussions and
meeting connected with the implementation of the DEAS
2. STRATEGIC PLANNING & MANAGEMENT OF ABDEAS
IMPLEMENTATION:
i. Prepare a Status Report on current level of achievement by the ULBs in
implementation of ABDEAS and the gaps thereof.
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 ii. Prepare detailed rollout plan for the implementation of the new accounting
system in ULBs across state.
iii. Provide guidelines and assistance in selection of the Field Level Agency who
will separately be appointed for carrying out the implementation work,
creation of accounts summaries, preparation of opening balance sheets,
valuation of assets, preparation of final account, computerization of properties
of ULBs etc.
iv. Provide technical support to the ULBs and the FLAs in the implementation
process.
v. Supervise the entire DEAS implementation process.
vi. Trouble-shoot during the implementation of the DEAS in the ULBs across
state.

3. CAPACITY BUILDING & TRAINING SUPPORT

The functions and obligations under this task shall be as below:

i. Conduct Training Need assessment and develop a Capacity Building /

Training Plan for the stake-holders and municipal staff of various relevant
categories with the aim to augment and sustain ABDEAS.
ii. Prepare the Training manuals, materials and modules on identified training
needs/ themes in Hindi and English.
4. DELIVERY OF TRAINING. (The cost of “Delivery of training” will NOT be the
part of Financial Proposal. It will be entirely borne by the client based on mutually
agreed terms and cost)

A schedule for selection process is as given in the table below:–

Event dates/ steps Indicative dates

1. Issue of RFP 26 November 2019
2. Last date for receiving queries 06 December 2019, 03:00 PM
3. Pre-application / Bid conference 09 December 2019, 01:00 PM

at Conference Hall, Ground

Floor, Directorate of Urban
Local Bodies, Lucknow.

4. Replies to the queries uploaded on website of DoUD, GoUP 16 December 2019

5. Last date for submission of Applications 31 December 2019, 03:00 PM.

6. Date for technical bid opening and evaluation of the 03 January 2020
applications
7. Financial Bid Opening 16 January 2020

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