Company Prequalification

W-8
STANDARD PREQUALIFICATION DOCUMENT
Procurement of Works
The World Bank

Washington, DC
September 1999
[Revised March 2000]
India Version
General Instructions to Applicants (GITA)
Contents
Abbreviations and Acronyms ...............................................................................................
Glossary ................................................................................................................................
Specific Procurement Notice (Invitation for Prequalification)..............................................
General Instructions to Applicants (GITA) ..........................................................................
1. Source of Funds and Scope of Works ...................................................................
2. Fraud and Corruption.............................................................................................
3. Eligibility of Countries and Bidders ......................................................................
4. Qualification Criteria ............................................................................................
5. Joint Ventures ........................................................................................................
6. Domestic Bidder Price Preference ........................................................................
7. Requests for Clarification .....................................................................................
8. Submission of Applications ..................................................................................
9. Employers Notification and Bidding Process ......................................................
Particular Instructions to Applicants (PITA) ........................................................................
Sample Basic Form invitation for Bids .................................................................................
Letter of Application .............................................................................................................
Information Forms ................................................................................................................
General Information ..................................................................................................
General Construction Experience Record .................................................................
Joint Venture Summary ............................................................................................
Particular Construction Experience Record ..............................................................
Details of Contracts of Similar Nature and Complexity ...........................................
Summary Sheet: Current Contract Commitments / Works in Progress....................
Financial Capabilities ...............................................................................................
Personnel Capabilities ...............................................................................................
Candidate Summary ..................................................................................................
Equipment Capabilities .............................................................................................
Litigation History ......................................................................................................
ABBREVIATIONS AND ACRONYMS

BOQ
FIDIC
GCOC
GITA
GL
ICB
IF
IFB
IFP
ITB
JV
JVA
NCB
PQ
PITA
SBD
SPD
Bill of Quantities
Federation Internationale des Ingenieurs-Conseils; an association based
in Switzerland that produces GCOCs for different classes of works
construction.
General Conditions of Contract
General Instructions to Applicants, in the SPD
Guidelines: Procurement under IBRD Loans and IDA Credits
International Competitive Bidding
Information Forms
Invitation for Bids
Invitation for Prequalification
Instructions to Bidders
Joint Venture
Joint Venture Agreement
National Competitive Bidding
Prequalification
Particular Instructions to Applicants, in the SPD
Standard Bidding Document
Standard Prequalification Document
GLOSSARY
Employer
One of the two parties to a works contract, the other party being the
Contractor.
Contractor
The legal entity that is party to and performs a works contract, the other
party to the contract being the Employer.
joint venture
An ad hoc association of firms that pool their resources and skills to

undertake a large or complex contract in the role of Contractor, with all
firms (partners in the JV) being legally liable, jointly and severally, for
the execution of the contract in the event of a partners withdrawal.
management
contractor
A firm, acting in the role of Contractor, that does not usually perform
contract construction work directly, but manages the work of other (sub)
contractors, while bearing full responsibility and risk for price, quality,
and timely performance of the contract.
construction
manager
A consultant, acting as agent of the Borrower/Employer, engaged to

coordinate and monitor the timing of preparation, bidding award, and
execution of a number of different contracts comprising a project, but
does not take on the responsibility for price, quality, or performance of
those contracts.
nominated
subcontractor
A specialist enterprise selected and approved by the Employer to provide

a prespecified item in the BOQ, and nominated as subcontractor to the
Contractor for such purpose. (For a more comprehensive definition, see
Sub-Clauses 59.1 and 59.2 of the GCOC FIDIC 1987/92.)
postqualification
An assessment made by the Employer after the evaluation of bids and

immediately prior to award of contract, to ensure that the lowestevaluated, responsive, eligible bidder is qualified to perform the contract
in accordance with previously specified qualification requirements.
prequalification
An assessment made by the Employer of the appropriate level of

experience and capacity of firms expressing interest in undertaking a
particular contract, before inviting them to bid.
prime contractor
A firm that performs a substantial part of a contract construction work

itself and the balance, if any, by subcontractors, while bearing full
responsibility for the whole contract.
provisional sum
A sum included provisionally in the BOQ of a contract, normally for a

specialized part of the Works or for contingencies, which sum shall be
used only on the instructions of the Employer/Engineer for payments to
the contractor and/or to nominated subcontractors.
slice and
package
A procedure whereby a large homogeneous project is sliced into smaller

similar contracts, which are bid simultaneously so as to attract the
interest of both small and large firms; firms offer bids on individual
contracts (slices) or on a group of similar contracts (packages), and
award is made to the combination of bids offering the lowest cost to the
Employer (see GL 2.4). Slices comprising a number of similar
construction units together in a small area are sometimes referred to as
lots, which are bid concurrently with other similar lots as part of the
larger package.
turnover
The gross earnings of a firm (in this context, a construction contractor),

defined as the billings for contract work in progress and/or completed,
normally expressed on an annual basis, and excluding income from other
sources.
Works
The total work involvement in a construction contract, including the

Permanent Works or finished product as specified, and the
Temporary Works required by the Contractor for the execution of the
contract.
writing
For the purpose of this document, any authenticated handwritten, typed,

or printed communication, including telex, cable, electronic mail, and
facsimile transmission, with proof of receipt when requested by the
sender.
SPECIFIC PROCUREMENT NOTICE

Invitation for Prequalification
[Insert: name of Country]
[Insert: name of Project]
Brief Description of Works
[Insert: Loan/Credit No.]
1. This invitation for prequalification follows the general procurement notice for this project
that appeared in Development Business No. [insert number] of [insert date].1
2. The [insert name of borrower] [has received/has applied for/intends to apply for] a
[loan/credit] from the [International Bank for Reconstruction and Development
(IBRD)/International Development Association (IDA)] toward the cost of the [insert name
of project], and it intends to apply part of the proceeds of this [loan/credit] to payments
under the contract for [insert name/no. of contractif prequalification is being invited for
more than one contract, describe each contract and indicate whether applications may be
made for prequalification for one or more of the contracts].2 The [insert name of
implementing agency] intends to prequalify contractors and/or firms for [insert description
of Works or goods to be procured].3 It is expected that invitations to bid will be made in
[insert month and year].4
3. Prequalification will be conducted through prequalification procedures specified in the
World Banks Guidelines: Procurement under IBRD Loans and IDA Credits, January 1995
(revised January and August 1996 and September 1997 and January 1999), and is open to
all bidders from eligible source countries, as defined in the guidelines.5
4. Interested eligible bidders may obtain further information from and inspect the
prequalification documents at the [insert name of agency] (address below) [state address at
end of document] from [insert office hours].6 A complete set of prequalification documents
in [insert name of language] may be purchased by interested bidders on the submission of a
written application to the address below and upon payment of a nonrefundable fee7 of
[insert amount in local currency] or in [insert amount in specified convertible currency].
The method of payment will be [insert method of payment].8 The document will be sent by
[insert delivery procedure].9
5. Applications for prequalification should be submitted in sealed envelopes, delivered to the
address below10 by [insert date],11 and be clearly marked Application to Prequalify for
[insert name of project and the contract name(s) and number(s)].
[Insert name of office]
[Insert name of officer]
[Insert postal address] and/or [Insert street address]
[Insert telephone number, indicate country and city code]

[Insert facsimile or cable number]
Notes for preparation
1
Day, month, year; for example, 31 January 1998.
[Insert the following if applicable]. This contract will be jointly financed by [insert name of cofinancing agency]. Bidding
will be governed by the World Banks eligibility rules and procedures.
A brief description of the works or goods should be provided, including quantities, location of project, and other
information necessary to enable potential bidders to decide whether or not to respond to the invitation. Bidding documents
may require bidders to have specialized experience or capabilities; such requirements should also be included in this
paragraph.
Insert this sentence if applicable.
Occasionally, contracts may be financed out of special funds that would further restrict eligibility to a particular group
of member countries. When this is the case, it should be mentioned in this paragraph. Also indicate any margin of
preference that may be granted as specified in the loan or credit agreement and set forth in the bidding documents.
For example, 0900 to 1200 hours.
The fee, to defray printing and mailing/shipping costs, should be nominal.
For example, cashiers check, direct deposit to specified account, etc.
The delivery procedure is usually airmail for overseas delivery and surface mail or courier for local delivery. If urgency
dictates, courier services may be required for overseas delivery.
10
The office for bid opening may not necessarily be the same as that for inspection or issuance of documents or for bid
submission. If they differ, each address must appear at the end of the notice and be numbered; as, for example, (1), (2), (3).
The text in the paragraph would then refer to address (1), (2), etc. Only one office and its address may be specified for
submission, and it should be near the place where bids will be opened.
11
The time allowed for preparation of the prequalification submission should be sufficient for applicants to gather all the
information required, but in any case not less than six weeks after the date the documents are available or the last date of
the advertisement, whichever is later. This period may be longer for very large projects, for which more time may be
needed for the formation of joint ventures and assembly of the necessary resources.
GENERAL INSTRUCTIONS TO APPLICANTS (GITA)

1. Source of Funds and Scope of Works
Source of Funds 1.1
The Borrower named in the Particular Instructions to Applicants

(PITA) has applied for or received a loan or credit (hereinafter called
loan) from the International Bank for Reconstruction and
Development or from the International Development Association
(hereinafter interchangeably called the Bank) equivalent to the
amount in U.S. dollars indicated in the PITA toward the cost of the
Project named in the PITA. The Borrower intends to apply a part of
the proceeds of this loan to eligible payments under the contract(s)
for which this prequalification is issued.
Scope of Work
1.2
The Employer, as named in the PITA, intends to prequalify

contractors for the Works described in the PITA.
Slice and
Package
1.3
If so indicated in the PITA, the total Works to be constructed have

been divided into a number of similar individual contracts (slices)
and bids will be invited concurrently for individual contracts and for
combinations of contracts (packages). Bidders can bid on individual
contracts only or on a combination of contracts within their
prequalified capacity as assessed by the Employer. Qualification
criteria for slice and package bidding are described in Sub-Clause
4.15.
Bid Invitation
1.4
It is expected that prequalified applicants will be invited to submit

bids during the month and year indicated in the PITA.
Type of
Contract
1.5
The bidding documents, type of contract, and method of payment,

whether prices are fixed or adjustable, and the time for completion
are indicated in the PITA.
Site
Information
1.6
General information on the climate, hydrology, topography, geology,

access to site, transportation and communications facilities, medical
facilities, project layout, expected construction period, facilities,
services provided by the Employer, and other relevant data is
attached as an Annex to the PITA.
2. Fraud and Corruption

2.1
It is the Banks policy to require that Borrowers (including

beneficiaries of Bank loans), as well as bidders/Suppliers/Contractors
under Bank-financed contracts, observe the highest standard of ethics
during the procurement and execution of such contracts. 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 means the offering, giving, receiving,

or soliciting of anything of value to influence the action
of a public official in the procurement process or in
contract execution; and
(ii)
fraudulent practice means a misrepresentation of facts

in order to influence a procurement process or the
execution of a contract to the detriment of the Borrower,
and includes collusive practices among bidders (prior to
or after bid submission) designed to establish bid prices
at artificial, noncompetitive levels and to deprive the
Borrower of the benefits of free and open competition
(b)
will not accept a Borrowers proposal for award if it

determines that the bidder recommended for award has
engaged in corrupt or fraudulent practices in competing for
the contract in question; and
(c)
will declare a firm ineligible, either indefinitely or for a stated

period of time, to be awarded a Bank-financed contract if it at
any time determines that the firm has engaged in corrupt or
fraudulent practices in competing for, or in executing, a Bankfinanced contract.
3. Eligibility of Countries and Bidders

Eligible
Countries
3.1
Except as provided in Sub-Clauses 3.2 and 3.3, this Invitation for

Prequalification is open to all eligible firms from eligible source
countries. The Bank maintains a list of countries from which bidders,
goods, and services are not eligible to participate in procurement
financed by the Bank. The list is regularly updated and can be
obtained from the Banks InfoShop in Washington, D.C., and the
Public Information Centers of the Bank in Paris and Tokyo. Joint
Ventures that include members from ineligible source countries, or
otherwise ineligible firms, shall not be permitted to bid.
3.2
Firms of a member country may be excluded if, (i) as a matter of law

or official regulation, the Borrowers country prohibits commercial
relations with that country, provided that the Bank is satisfied that
such exclusion does not preclude effective competition for the supply
of goods or services required, or (ii) by an act of compliance with a
decision of the United Nations Security Council taken under Chapter
10
VII of the Charter of the United Nations, the Borrowers country

prohibits any import of goods from that country or any payments to
persons or entities in that country.
Eligible Bidders 3.3
A firm that has been engaged by the Borrower to provide consulting

services for the preparation or implementation of a project, and any
of its affiliates, shall be disqualified from subsequently providing
goods or works (other than a continuation of the firms earlier
consulting services) for the same project.
3.4
Government-owned enterprises in the Borrowers country may

participate only if they can establish that they (i) are legally and
financially autonomous, and (ii) operate under commercial law. No
dependent agency of the Borrower or Sub-Borrower under a Bankfinanced project shall be permitted to bid or submit a proposal for the
procurement of goods or works under the project.
3.5
A firm declared ineligible by the Bank in accordance with SubClause 2.1 (c) above shall be ineligible to bid for a Bank-financed
contract during the period of time determined by the Bank.
4. Qualification Criteria
General
4.1
Prequalification will be based on Applicants meeting all the

following minimum passfail criteria regarding their general and
particular construction experience, financial position, personnel and
equipment capabilities, and other relevant information as
demonstrated by the Applicants responses in the Information Forms
attached to the Letter of Application. Additional requirements for
joint ventures are given in Section 5. The qualifications, capacity,
and resources of proposed subcontractors will not be taken into
account in assessing those of individual or joint venture Applicants,
unless they are named specialist subcontractors pursuant to SubClause 4.4.
Nominated
Subcontracting
4.2
If so listed in the PITA, the Employer intends to execute certain

specialized elements of the Works by Nominated Subcontractors in
accordance with the GCOC of the bidding documents, and for which
Provisional Sums will be included in the BOQ for the subject
Works.
Subcontracting
4.3
If an Applicant intends to subcontract parts of the Works such that

the total of subcontracting is more than the percentage stated in the
PITA of the Applicants approximated Bid Price, that intention shall
be stated in the Letter of Application, together with a tentative listing
of the elements of the Works to be subcontracted.
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Specialist
Subcontracting
4.4
If an Applicant intends to subcontract any highly specialized

elements of the Works to specialist subcontractors, such elements
and the proposed subcontractors shall be clearly identified, and the
experience and capacity of the subcontractors shall be described in
the relevant Information Forms.
Acceptable
Substitutes
4.5
With reference to Sub-Clauses 4.3 and 4.4, the Employer may require
Applicants to provide more information about their proposals. If any
proposed subcontractor is found ineligible or unsuitable to carry out
an assigned task, the Employer may request the Applicant to propose
an acceptable substitute, and may conditionally prequalify the
Applicant accordingly, before issuing an invitation to bid.
Contractors
Responsibility
4.6
After award of contract, the subcontracting of any part of the Works,

other than for the provision of labor and materials, or to
subcontractors named in the Contract, shall require the prior consent
of the Employer. Notwithstanding such consent, the Contractor shall
remain responsible for the acts, defaults, and neglects of all
subcontractors during contract implementation.
General
Construction
Experience
4.7
The Applicant shall provide evidence that

(a)
it has been actively engaged in the civil works construction

business for at least the period stated in the PITA immediately
prior to the date of submission of applications, in the role of
prime contractor, management contractor, partner in a joint
venture, or subcontractor, and
(b)
that the Applicant has generated an average annual

construction turnover during the above period greater than the
amount stated in the PITA.
The average annual turnover is defined as the total of certified

payment certificates for works in progress or completed by the firm
or firms comprising the Applicant, divided by the number of years
stated in the PITA.
Particular
Construction
Experience
4.8
(a)
The Applicant shall provide evidence that it has successfully

completed or substantially completed at least the number of
contracts stated in the PITA, of a nature, complexity, and
requiring construction technology similar to the proposed
contract, within the period stated in the PITA. The works may
have been executed by the Applicant as a prime contractor,
management contractor, or proportionately as member of a
joint venture, or subcontractor, with references being
submitted to confirm satisfactory performance.
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(b)
Financial
Capabilities
4.9
The Applicant shall also provide evidence that it has achieved

the minimum monthly and/or annual production rates of the
key construction activities described in the PITA under similar
contract conditions.
The Applicant shall demonstrate that it has access to, or has

available, liquid assets, unencumbered real assets, lines of credit, and
other financial means (independent of any contractual advance
payment) sufficient to meet the construction cash flow requirements
for the subject contract(s) in the event of stoppage, start-up, or other
delays in payment, of the minimum estimated amount stated in the
PITA, net of the Applicants commitments for other contracts.
4.10 In the relevant Information Form, the Applicant shall also

demonstrate, to the satisfaction of the Employer, that it has adequate
sources of finance to meet the cash flow requirements on works
currently in progress and for future contract commitments.
4.11 The audited balance sheets or, if not required by the laws of the
Applicants country, other financial statements acceptable to the
Employer, for the last five years (unless otherwise stated in the PITA)
shall be submitted and must demonstrate the current soundness of the
Applicants financial position and indicate its prospective long-term
profitability. If deemed necessary, the Employer shall have the
authority to make inquiries with the Applicants bankers.
Personnel
Capabilities
4.12 The Applicant shall supply general information on the management

structure of the firm, and shall make provision for suitably qualified
personnel to fill the key positions listed in the PITA, as required during
contract implementation. The Applicant shall supply information on a
prime candidate and on an alternate for each key position, both of whom
shall meet the experience requirements specified.
Equipment
Capabilities
4.13 The Applicant shall own, or have assured access (through hire, lease,
purchase agreement, other commercial means, or approved
subcontracting) to key items of equipment, in full working order, as
listed in the PITA, and must demonstrate that, based on known
commitments, they will be available for timely use in the proposed
contract. The Applicant may also list alternative types of equipment
that it would propose for use on the contract, together with an
explanation of the proposal.
4.14 The Applicant shall provide accurate information on the related
Application Form about any litigation or arbitration resulting from
contracts completed or ongoing under its execution over the last five
years. A consistent history of awards against the Applicant or any
partner of a joint venture may result in failure of the application.
Litigation
History
Slice and
Package
13
4.15 When applying for prequalification on more than one contract under
the slice and package arrangements, the Applicant must provide
evidence that it meets or exceeds the sum of all the individual
requirements for the slices or lots being applied for in regard to:
(a)
(b)
(c)
(d)
(e)
average annual turnover (Sub-Clause 4.7 [b]);

particular experience including key production rates (SubClause 4.8);
financial means, etc. (Sub-Clauses 4.9, 4.10, and 4.11);
personnel capabilities (Sub-Clause 4.12); and
equipment capabilities (Sub-Clause 4.13)
In case the Applicant fails to fully meet any of these criteria, it may
be qualified only for those slices for which the Applicant meets the
above requirement.
Right to Waive
4.16 The Employer reserves the right to waive minor deviations in the
qualification criteria if they do not materially affect the capability of
an Applicant to perform the contract.
5. Joint Ventures
Eligibility
5.1
If the Applicant comprises a number of firms combining their

resources in a joint venture, the legal entity constituting the joint
venture and the individual partners in the joint venture shall be
registered in eligible source countries and shall otherwise meet the
requirements of Clause 3 above.
Qualification
Criteria
5.2
The joint venture must satisfy collectively the criteria of Clause 4.

For this purpose the following data of each member of the joint
venture may be added together to meet the collective qualifying
criteria:
(a)
(b)
average annual turnover (Sub-Clause 4.7 [b]);

particular experience (Sub-Clause 4.8 [a]) and key production
rates (Sub-Clause 4.8 [b]);
(c) construction cash flow (Sub-Clause 4.9);
(d) personnel capabilities (Sub-Clause 4.12); and
(e) equipment capabilities (Sub-Clause 4.13).
Each partner must satisfy the following criteria individually:
(a)
(b)
general construction experience for the period of years stated in

Sub-Clause 4.7 (a),
adequate sources to meet financial commitments on other
contracts (Sub-Clause 4.10),
14
(c)
(d)
financial soundness (Sub-Clause 4.11), and

litigation history (Sub-Clause 4.14).
In accordance with the above, the Application shall include all related
information required under Clause 4 for individual partners in the
joint venture.
Partner in
Charge
5.3
One of the partners, who is responsible for performing a key function

in contract management or is executing a major component of the
proposed contract, shall be nominated as being in charge during the
prequalification and bidding periods and, in the event of a successful
bid, during contract execution. The partner in charge shall be
authorized to incur liabilities and receive instructions for and on
behalf of any and all partners of the joint venture; this authorization
shall be evidenced by submitting a power of attorney signed by
legally authorized signatories of all the partners.
Partner
Limitation
5.4
Unless otherwise stated in the PITA, there shall be no limit on the

number of partners in a JV; however, the attention of Applicants is
drawn to the provisions of Sub-Clause 5.5.
Joint and
Several
Liability
5.5
All partners of the joint venture shall be legally liable, jointly and
severally, during the bidding process and for the execution of the
contract in accordance with the contract terms, and a statement to this
effect shall be included in the authorization mentioned under SubClause 5.3 above.
Joint Venture
Agreement
5.6
A copy of the Joint Venture Agreement (JVA) entered into by the

partners shall be submitted with the Application. Alternatively, a Letter
of Intent to execute a JVA in the event of a successful bid shall be
signed by all partners and submitted with the Application together with
a copy of the proposed Agreement. Pursuant to Sub-Clauses 5.3 to 5.5
above, the JVA shall include among other things: the JV's objectives;
the proposed management structure; the contribution of each partner to
the joint venture operations; the commitment of the partners to joint and
several liability for due performance; recourse/sanctions within the JV
in the event of default or withdrawal of any partner; and arrangements
for providing the required indemnities.
Dissolution of
Joint Venture
5.7
The prequalification of a joint venture does not necessarily prequalify

any of its partners to bid individually or as a partner in any other joint
venture or association. In case of dissolution of a joint venture prior
to the submission of bids, any of the constituent firms may prequalify
if they meet all of the prequalification requirements, subject to the
written approval of the Employer. Individual members of a dissolved
joint venture may participate as subcontractor to qualified Applicants,
15
subject to the provisions of Sub-Clause 9.3.
6. Domestic Bidder Price Preference

Eligibility
6.1
If so indicated in the PITA, a 7 percent margin of price preference

for qualifying domestic bidders shall apply in bid evaluation. On the
basis of information submitted by Applicants and available at the
time of notification, the Employer will inform prequalified
Applicants of their apparent eligibility to qualify for the domestic
bidder price preference (subject to subsequent confirmation at bid
evaluation), in accordance with Sub-Clause 6.2.
Domestic
Bidders
6.2
A domestic bidder is one that meets the following criteria:

(a)
for an individual firm:

(i)
is registered in the country of the borrower;
(ii)
has more than 50 percent ownership by nationals of the

country of the Borrower;
(iii) does not subcontract more than 10 percent of the contract

price, excluding provisional sums, to foreign contractors.
(b)
for a joint venture (JV) of domestic firms:

(i)
individual member firms shall satisfy (a)(i) and (a)(ii)

above;
(ii)
the JV shall be registered in the country of the Borrower;
(iii) the JV shall not subcontract more than 10 percent of the

contract price, excluding provisional sums, to foreign
firms.
16
7. Requests for Clarification

Notification
and Response
7.1
Applicants are responsible for requesting any clarification of the

prequalification documents. A request for clarification shall be made
in writing to the Employers address indicated in the PITA. The
Employer will respond to any request for clarification that it receives
earlier than 14 days prior to the deadline for submission of
applications. Copies of the Employers response, including a
description of the inquiry but without identifying its source, will be
forwarded to all purchasers of the prequalification documents,.
8. Submission of Applications
Delivery
8.1
Submission of applications for prequalification must be received in

sealed envelopes either delivered by hand or by registered mail to the
address, and not later than the date stated in the PITA. The name and
mailing address of the Applicant shall be indicated on the envelope,
which shall be clearly marked as indicated in the PITA. A receipt
will be given for all applications submitted.
Late
Applications
8.2
The Employer reserves the right to accept or reject late applications.
Language
8.3
All information requested for prequalification shall be provided by

Applicants in the language indicated in the PITA. Information may
be provided in another language, but it shall be accompanied by an
accurate translation of its relevant passages into the language
indicated in the PITA. This translation will govern and will be used
for interpreting the information.
Lack of
Information
8.4
Failure of an Applicant to provide comprehensive and accurate

information that is essential for the Employers evaluation of the
Applicants qualifications, or to provide timely clarification or
substantiation of the information supplied, may result in
disqualification of the Applicant.
Material
Changes
8.5
Applicants, and those subsequently prequalified or conditionally

prequalified, shall inform the Employer of any material change in
information that might affect their qualification status. Bidders shall
be required to update key prequalification information at the time of
bidding. Prior to award of contract, the lowest evaluated bidder will
be required to confirm its continued qualified status in a
postqualification review process.
17
9. Employers Notification and Bidding Process

9.1
Within the period stated in the PITA from the date for submission of
applications, the Employer will notify all Applicants in writing of the
results of their application, including eligibility for domestic bidder
price preference, in accordance with Clause 6, and of the names of
all prequalified and conditionally prequalified applicants (see SubClause 9.2 below). At the same time, successful applicants will be
invited to submit a bid, in the format of the Invitation for Bids
annexed to the PITA.
9.2
Conditional
Prequalification
An Applicant may be conditionally prequalified, that is, qualified

subject to certain specified nonmaterial deficiencies in the
prequalification requirements being met by the Applicant to the
satisfaction of the Employer, before submitting a bid. Upon full
compliance with the prequalification requirements, other
prequalified applicants will be notified accordingly.
One Bid per

Bidder
9.3
Only firms and joint ventures that have been prequalified under this
procedure may submit a bid. A firm shall submit only one bid in the
same bidding process, either individually as a Bidder or as a partner
of a joint venture. No firm can be a subcontractor while submitting
a bid individually or as a partner of a joint venture in the same
bidding process. A firm, if acting in the capacity of Subcontractor
in any bid, may participate in more than one bid, but only in that
capacity. A Bidder who submits, or participates in, more than one
bid will cause all the proposals in which the Bidder has participated
to be disqualified.
Bid Security
9.4
Bidders will be required to provide bid security in the form and

amount indicated in the bidding documents. The successful bidder
will be required to provide performance security in the form and
amount indicated in the bidding documents.
9.5
Changes after
Prequalification
Any change in the structure or formation of an Applicant after being

prequalified and invited shall be subject to written approval of the
Employer prior to the deadline for submission of bids. Such
approval will be denied if as a consequence of any change:
Invitation for
Bid
(a)
an individual firm, or a joint venture as a whole, or any

individual member of the JV fails to meet any of the collective
or individual qualifying requirements;
(b)
the new partners to a joint venture were not prequalified in the

first instance, either as individual firms or as another joint
venture; or
(c)
in the opinion of the Employer, a substantial reduction in
18
competition may result.

Employers
Rights
9.6
The Employer reserves the right to take the following actions, and
shall not be liable for any such actions:
(a)
amend the scope and cost of any contract to be bid under this
project, in which event bids will be invited only from those
applicants who meet the resulting amended prequalification
requirements;
(b)
reject or accept any prequalification application, and/or any

late application; and
(c)
cancel the prequalification process and reject all applications.
PARTICULAR INSTRUCTIONS TO APPLICANTS (PITA)

Part A: General
All items in the PITA should be filled in by the Employer before issuance of the
prequalification documents. An * inserted after the briefing notes for certain items
indicates that supplemental guidance is given in Annex B, Parts 1 and 2.
The PITA below is formatted for prequalification related to either a single
(individual) contract or multiple contracts (slice and package). Part A relates to
general matters that are common to both processes. Part B relates to specific
requirements for an individual contract or to each contract (slice) within a package.
These particular instructions and related Information Forms (IF) are intended
GITA
Sub-Clause to complement, amend, or supplement the provisions in the GITA. In the
Reference event of conflict or ambiguity, the provisions in the PITA shall prevail over
those in the GITA.
1.1
Source of Funds
The Borrower:
[Insert name of Borrower and relationship to Employer, if different.]
Amount of Loan: US$ _______ equivalent
Name of Project:
[Give the name and describe briefly the principal components of the overall
project of which the subject contract or contracts form(s) part.]
1.2
The Employer:
[Name, address, telephone and fax numbers, and electronic mail address for
contact purposes.]
1.3
Slice and Package

Concurrent bidding on more than one contract:
[Enter yes or no. If yes, list all contracts by reference number and title.
Each contract should then be detailed in Part B of the PITA.*]
1.4
Bid Invitation
Expected date of Invitation for Bids:
[Insert the date; or alternatively, just the month and year if a precise date has
not yet been decided.]
20
4.7(a)
Particular Instructions to Applicants (PITA)Part A
Add the following text at the end of the paragraph:

The sentence reading been actively engaged in civil works construction
business should be interpreted to mean as having been in the construction
business
for
similar
works,
such
as
those
pertaining
to
[Indicate details of acceptable similar works].
4.8
Add the following text at the end of the paragraph
4.11
The word proportionately would imply that the contractor should have
participated in the execution of a particular activity, or should have borne the
responsibility for execution of the entire contract and to that extent he has the
experience. A contractor cannot claim the experience for the work he has
never done.
Audited Balance Sheets
4.17
Time period if less than five years:

[The time period may be reduced to three years minimum (in agreement with
the Bank) under special country circumstances, such as to provide
opportunities for a newly privatized construction industry with a limited period
of existence, but with suitable experience, etc. Firms owned by individuals and
partnerships may not be required to maintain audited balance sheets by the
laws of their countries of origin; in such cases, the Employer may relax the
audit requirement, but should request other acceptable financial statements.*]
Add clause 4.17 as under:
The applicant must attach with their application, a note giving a general
description on the approach to the construction methods, technologies, quality
assurance schemes proposed, deployment schedule of equipment proposed to
be used, etc., for ensuring completion of the work as per specifications within
the desired time-frame.
4.18
21

Applicants who meet the minimum qualification criteria will be qualified only
if their available bid capacity at the expected time of bidding is more than the
total estimated cost of the works. The available bid capacity will be calculated
as under:
Assessed Available Bid Capacity = (A*N*1.5-B), where
A = Maximum value of works executed in any one year during the last five
years which will take into account the completed as well as works in
progress;
B = Value at current price level of the existing commitments and on-going
works to be completed during the next ______ years (period of
completion of works for which bids are invited); and
4.19
4.20
N = Number of years prescribed for completion of the works for which the
bids are invited.
For a bidder (either individually or as a JV partner) to qualify for a group of
contracts, he must demonstrate having experience and resources sufficient to
meet the aggregate of the qualifying criteria for all the contracts in question.
Applicants meeting the above criteria, are nevertheless subject to be
disqualified if they have:
made misleading or false representation in the form, statements and
attachments submitted; and/or
record of poor performance such as abandoning the work, not properly
completing the contract, inordinate delays in completion, litigation
history, or financial failures, etc.
5.4
Joint Ventures
Partner Limitation is three. All members of JV should have active
participation in execution, during the currency of the contract.
5.5
Joint & Several Liability

Add at the end:
To enable the above, each of the partners of the Joint Venture shall meet not
less than 25% of the qualifying criteria specified in Sub-clause 4.7 (b), 4.8 and
4.9 above.
22
6.1
Domestic Bidder Price Preference

Preference shall apply for Eligible Domestic Bidders: Yes
Applicants considering themselves eligible for the Works preference in bid
evaluation shall provide information and statements in accordance with GITA
Sub-Clauses 6.1 and 6.2 for review by the Employer.
7.1
Requests for Clarification:

Address:
[Give address of Employer (or implementing agency) handling clarifications.
7.2
Add the following Sub-para:

A clarification meeting will be held at _________ (time, date & place) at
which prospective applicants may request clarification of the project
requirements and the criteria for qualification.
8.1
Submission of Applications
Address:
[Give precise address, and preferably room number, for submission.]
Date for Submission:
[The time allowed for preparation and submission of the prequalification
document should be sufficient for applicants to gather all the information
requiredpreferably eight weeks, but in any case not less than six weeks after
the dates when the documents are available for distribution or the date of the
advertisement. This period may be longer for very large projects, where time
should be allowed for the formation of joint ventures and assembly of the
necessary resources.]
Envelope Marking: Prequalification Application for: _________/_________
[Give name of project and contract reference numbers as stated in the
Invitation for Prequalification.]
8.3
Language is English.
9.1
Employers Notification
Time period from the closing date for submission of applications: 10 weeks.
23
Particular Instructions to Applicants (PITA)Part B
Part B: Specific Contract Requirements

A separate Part B should be completed by the Employer for each contract in a
multiple contract (slice and package) prequalification.
These particular instructions and related Information Forms (IF) are intended
GITA
Sub-Clause to complement, amend, or supplement the provisions in the GITA. In the
Reference event of conflict or ambiguity, the provisions herein shall prevail over those in
the GITA.
1.2
Scope of Work
Contract Reference:
Title:
The Works:
[Give a contract reference number and title, and describe
sufficient detail to identify location, nature, and complexity.
quantities of major items of work should be indicated, but the
should not be disclosed in these Instructions or in the
Prequalification.]
1.5
the Works in
Approximate
estimated cost
Invitation for
Type of Contract
Bidding Documents:
[State whether: the Banks SBD for Works, Smaller Contracts, Supply and
Install, or other (e.g. Turnkey, Design and Build, etc.).]
Method of payment:
Prices:
[State whether: unit rate with BOQ, lump sum against completed activities, or
other, and whether prices are fixed or adjustable.]
Time for completion:
[State time in weeks; if variable times are to be invited, give the range of
acceptable times. With multiple slice and package contracting, additional time
may be permitted for combinations of slices, and evaluated accordingly on the
basis of benefits foregone for the longer times of completion.]
1.6
Site Information:
See Annex to the PITA Part B for the referenced contract
[Provide details as described in GITA Sub-Clause 1.6; additional Annexes
should be provided for each contract in slice and package bidding (ref. 1.3
above).]
4.2
Nominated Subcontracting
24
The Employer intends to execute the following specialized elements of the

Works by Nominated Subcontractors:
1)
2)
etc.
[Describe briefly the specialized items to be subcontracted; if none, enter Not
Applicable.*]
4.3, 4.4
Subcontracting by Applicant:
Provide information about elements of the works proposed to be subcontracted
if in aggregate it adds to more than about 10 percent of the Applicants
approximate Bid Price.
4.7
General Construction Experience

(a) Time period in the Construction Business:
[The time period is normally five years or more, but may be reduced to not less
than three years (in agreement with the Bank) under special country
circumstances, such as to provide opportunities for a newly privatized
construction industry with only a short record of experience, etc.*]
(b) Required Average annual turnover: (In all classes of Civil Engineering
construction work only) US$ _____ equivalent
[The amount stated should normally not be less than twice the estimated
annual turnover or cash flow in the proposed Works contract (based on a
straight-line projection of the Employer's estimated cost, including
contingencies, over the contract duration). The multiplier of two may be
reduced for very large contracts (greater than US$200 million equivalent) but
should not be less than 1.5.*]
4.8
Particular Construction Experience

(a) Required number of similar contracts completed (not less than 90% of
contract value): . Nos. of value not less than $ million each.
[The range should be one to three (and is normally two), depending on the size
and complexity of the subject contract, the exposure of the Employer to risk of
contractor default, and country conditions. For example, for small- to
medium-sized contracts in a country with newly privatized, but competitive
construction firms (which have had some experience as parastatals), an
Employer may be prepared to risk an award to an applicant with only one
previous similar contract completed. For contracts in a developed
environment with a high potential supply of construction services, three
similar contracts may not limit applications, but would reduce the risk of
Contractor default.* The value of the completed contract should not be less
than 80 percent of estimated contract value of the work for which
prequalification applications are invited.]
Within time period of:
25
[The range is normally five to ten years, and should be related to the number
of similar contracts stated above and to the duration of the subject contract,
e.g., ten years for two contracts of about five years duration, or six years for
two contracts of about three years duration.*]
(b)
1)
Minimum annual key production rates:
2)
etc.
[List the annual production rate for the key construction activity (or activities)
in the proposed contract or works, e.g., one million m3 of rock placed in
rockfill dams in one year; X tons of asphaltic concrete per month placed in
road paving; Ym3 of concrete placed in . . . etc. The rates should be a
percentage (about 80 percent) of the estimated production rate of the key
activity (or activities) in the contract or Works as needed to meet the expected
construction schedule with due allowance for adverse climatic conditions.*]
4.9
Financial Capabilities
Minimum Required Cash Flow amount: US$ _____ equivalent. The evidence
of access to or availability of credit facilities must be demonstrated by
submission of a letter from the applicants bankers in form (5A).
[Calculate the construction cash flow requirement for 4 to 6 months. The
assessment of the monthly amount should be based on a straight-line
projection of the estimated cash flow requirement over the particular contract
period, neglecting the effect of any advance payment and retention monies, but
including contingency allowances in the estimated contract cost.*]
4.12
Personnel Capabilities
Position
Total Work/Business
Experience (years)
In Similar
Work (years)
1)
2)
3)
4)
etc.
[List only key site management and specialist positions required for the subject
contract(s) (e.g., contract manager and deputy manager, equipment manager,
tunnelling specialist, dredging expert, etc.*]
The Applicant shall provide further details of the proposed personnel and their
experience records in the relevant Information Forms 6 and 6A.
4.13
Equipment Capabilities
26
Equipment Type and Characteristics

1)
2)
3)
etc.
Minimum Number Required
[Insert a list of anticipated key equipment needs only, described as specific

items or by performance criteria, as appropriate. The items listed should be
limited to major items of equipment that are crucial to the proper and timely
execution of the contract, and items that Applicants may not readily be able to
purchase, hire, or lease in the required time frame. E.g., bucket or suction
dredgers of a certain capacity, tunneling equipment, heavy lift floating cranes,
asphalt or concrete batching plants, heavy rock-ripping bulldozers, etc.*]
The Applicant shall provide further details of proposed items of equipment in
the relevant Information Form.
Site Information Annex

Pursuant to GITA 1.6, attached hereto is general information and site data relating to
the subject contract.
[The Employer should prepare and attach a report providing information (as
available at the time) on the topics listed in GITA 1.6.]
27
SAMPLE BASIC FORM
INVITATION FOR BIDS

[letterhead paper of the Employer]
[date]
To: [name of Contractor]

[address]
Reference: [Insert IBRD Loan No. or IDA Credit No.]

Contract Name, and Identification No. ________ / ________*
Dear Sirs:
We hereby inform you that you are prequalified for bidding for the above cited
contract. A list of prequalified and conditionally prequalified Applicants is attached to this
invitation.
On the basis of information submitted in your application, you would [not] (insert if
appropriate) appear eligible for application of the domestic bidder price preference in bid
evaluation. Eligibility is subject to confirmation at bid evaluation.
We now invite you and other prequalified Applicants to submit sealed bids for the
execution and completion of the cited contract.
You may obtain further information from, and inspect and acquire the bidding
documents at, our offices at [mailing address, street address, and cable/telex/facsimile numbers].
A complete set of bidding documents may be purchased by you at the above office,
on or after [time and date] and upon payment of a nonrefundable fee of [insert amount and
currency].
All bids must be accompanied by a security in the form and amount specified in the
bidding documents, and must be delivered to [address and exact location] at or before [time and
date]. Bids will be opened immediately thereafter in the presence of bidders representatives
who choose to attend.
Please confirm receipt of this letter immediately in writing by cable, fax, or telex. If
you do not intend to bid, we would appreciate being so notified also in writing at your
earliest opportunity.
Yours truly,
Authorized signature
Name and title
Employer
*The Employer should insert the name and no. of a single contract, or for concurrent slice and package
bidding, those of individual contracts (slices) within the package for which Applicants expressed a
preference, and for which they are prequalified.
28
Letter of Application
LETTER OF APPLICATION
Note: Spaces marked * on this and on subsequent forms are to be completed by the Employer.
[letterhead paper of the Applicant or partner responsible
for a joint venture, including full postal address, and
telephone, facsimile and telex numbers, and cable address]
Date:
To:
[name and address of the Employer]*
Name of Project: *_______________________
1. Being duly authorized to represent and act on behalf of __________________ (hereinafter
referred to as the Applicant), and having reviewed and fully understood all of the
prequalification requirements and information provided, the undersigned hereby applies for
prequalification to bid on the contract or contracts indicated below:
**Note: If prequalification refers to only one contract, delete the following paragraph and
table, and insert the single contract reference and title.
** We have indicated (by signature) in column (3) below our preference for individual contract
consideration, or for any combination thereof within our prequalified capacity as assessed by
you.
Contract reference*
(1)
Contract title*
(2)
1.
2.
3.
4.
etc.
[See Annex B, Part 1, Section 2 for the suggested number of slices]
Preferred
individual contract
(3)
2.
29
Attached to this letter are copies of original documents defining1:

(a)
the Applicant's legal status;
(b)
the principal place of business; and
(c)
the place of incorporation (for Applicants that are corporations), or the place of
registration and the nationality of the owners (for Applicants that are
partnerships or individually owned firms).
3.
With reference to GITA Sub-Clause 4.3, it is our intention to subcontract approximately
_____ percentage of the Bid/Contract Price, details of which are provided herein.
4.
Your Agency and its authorized representatives are hereby authorized to conduct any
inquiries or investigations to verify the statements, documents, and information submitted in
connection with this application, and to seek clarification from our bankers and clients
regarding any financial and technical aspects. This Letter of Application will also serve as
authorization to any individual or authorized representative of any institution referred to in the
supporting information to provide such information deemed necessary and as requested by
yourselves to verify statements and information provided in this application, such as the
resources, experience, and competence of the Applicant.
5. Your Agency and its authorized representatives may contact the following persons for
further information2:
General and managerial inquiries

Contact 1
Address and communication facilities
Contact 2
For applications by joint ventures, all the information requested in the prequalification documents is to be provided
for the joint venture, if it already exists, and for each party to the joint venture separately. The partner in charge
should be clearly identified. Each partner in the joint venture shall sign the letter.
Applications by joint ventures should provide on a separate sheet equivalent information for each party to the
application.
30
Personnel inquiries
Contact 1
Contact 2
Technical inquiries
Contact 1
Contact 2
Financial inquiries
Contact 1
Contact 2
6.
This application is made with the full understanding that:

(a)
bids by prequalified Applicants will be subject to verification of all information
submitted for prequalification at the time of bidding;
(b)
(c)
your Agency reserves the right to:
amend the scope and value of any contracts to be bid under this project;
in which event, bids will be invited only from those Applicants who
meet the resulting amended prequalification requirements; and
reject or accept any application, cancel the prequalification process, and

reject all applications.
your Agency shall not be liable for any such actions under 6(b) above.
Applicants who are not joint ventures should delete paras. 7 and 8 and initial the deletions. The
attention of Applicants who are JVs is drawn to GITA Sub-Clause 5.6 regarding Letters of
Intent.
31
7.
Appended to this application, we give details of the participation of each party,
including capital contribution and profit/loss agreements, in the joint venture or association. We
also specify the financial commitment in terms of the percentage of the value of the <each>
contract, and the responsibilities for execution of the <each> contract.
8.
We confirm that if we bid, that bid, as well as any resulting contract, will be:
(a)
signed so as to legally bind all partners, jointly and severally; and
(b)
submitted with a joint venture agreement providing the joint and several liability
of all partners in the event the contract is awarded to us.
9.
The undersigned declare that the statements made and the information provided in the
duly completed application are complete, true, and correct in every detail.
Signed
Signed
Name
Name
For and on behalf of (name of Applicant or

partner in charge of a joint venture)
For and on behalf of (name of partner)
Signed
Signed
Name
Name
Signed
Signed
Name
Name
32
INFORMATION FORMS
Supplementary information may be provided by Applicants as deemed necessary.
These basic Information Forms should be finalized by the Employer with appropriate minor
changes to suit the particular prequalification requirements of the specific contract or
contracts.
Annex C. Prequalification Evaluation Summary
33
INFORMATION FORM (1)
PAGE
OF
PAGES
General Information
All individual firms and each partner of a joint venture applying for prequalification are
requested to complete the information in this form. Nationality information should be provided
for all owners or Applicants that are partnerships or individually owned firms.
Where the Applicant proposes to use named subcontractor (for more than 10% of contract
value) as also for highly specialized components of the Works (reference Sub-Clause 4.3, 4.4 of
the GITA), the following information should also be supplied for the subcontractor(s), together
with the information in Forms 2, 3, 3A, 3B, 4, 5, and 7.
1.
Name of firm
2.
Head office address
3.
Telephone
Contact
4.
Fax
Telex
5.
Place of incorporation / registration
Year of incorporation / registration
Nationality of owners1
Name
1.
2.
3.
4.
5.
1.
To be completed by all owners of partnerships or individually owned firms.
APPLICATION FORM (1A)
Nationality
34
Structure and Organization

1.
The applicant is
(a) an individual
(b) a proprietary firm
(c) a firm in partnership
(d) a Limited Company or Corporation
(e) a group of firms/joint venture
(If yes, give completion information
in respect of each partner)
2.
Attach the organization Chart showing the

structure of the organization, including the
names of the directors and position of officers.
3.
Number of years of experience:

(a) as a Prime Contractor (contractor
shouldering major responsibility)
(i) in own country
(ii) in other countries (specify country)
(b)
(c)
(d)
4.
5.
6.
______________
_______________
_______________
_______________
as a Management Contractor
(i) in own country
_______________
_______________
in a Joint Venture
(i) in own country
_______________
_______________
as sub-contractor (specify main contractor)

(i) in own country
_______________
_______________
Name and address of any associates the applicant

has in India (in case the applicant happens to be
from foreign country) who are knowledgeable in
the procedures of customs, immigration, taxes and
other information necessary to do the work.
_______________
For how many years has your organization been in

business of similar work under its present name?
What were your fields when your organization was
Established? Whether any new fields were added in
Your organization? And if so, when?
Were you ever required to suspend construction
for a period of more than six months continuously
_______________
_______________
________________
_______________
after you started? If so, give the name of project

and give reasons therefor.
7.
Have you ever left the work awarded to you

incomplete? (If so, give name of project and
reasons for not completing work.)
8.
In which fields of civil engineering construction

do you claim specialization and interest?
9.
Give details of your experience in mechanized cement

concrete lining and in modern concrete technology
for manufacture and quality control@.
10.
Give details of your experience in using heavy

earthmoving equipment and quality control in
compaction of soils@.
11.
Give details of your soil and material testing

laboratory, if any@.
12.
Give details of your experience in mechanized

granular pavement construction@.
13.
Give details of your experience in Laying of Prime

coat along with spreading of dry stone chipping@.
14.
Give details of your experience in construction of

asphaltic Overlays@.
15.

Bridge Works in Reinforced Cement Concrete@.
16.

Bridge Works in plain Cement Concrete@.
17.
Give details of your experience in construction

of bridge Works in Well Foundations of a depth
not less than 12 metres@.
18.

cement concrete pavement.
Modify there as appropriate for the works for which pre-qualification applications are invited.
35
36
PAGE
OF
PAGES
General Construction Experience Record

(ref. GITA Sub-Clause 4.7)
Name of Applicant or partner of a joint venture
All individual firms and all partners of a joint venture are requested to complete the information
in this form with regard to the management of Works contracts generally. The information
supplied should be the annual turnover of the Applicant (or each member of a joint venture), in
terms of the amounts billed to clients for each year for work in progress or completed,
converted to U.S. dollars at the rate of exchange at the end of the period reported. The annual
periods should be the completed financial years.
A brief note on each contract should be appended, describing the nature of the work, duration
and amount of contract, managerial arrangements, Employer, and other relevant details.
Use a separate sheet for each partner of a joint venture.
Applicants should not enclose testimonials, certificates, and publicity material with their
applications; they will not be taken into account in the evaluation of qualifications.
Annual turnover data (Civil Engineering Construction Work only)

Year*
Turnover
1.
2.
3.
4.
5.
The same period as in Part B, 4.7 of the PITA.
US$ equivalent
37
INFORMATION FORM (2A)
PAGE
OF
PAGES
Joint Venture Summary

Names of all partners of a joint venture
1. Partner in charge
2. Partner
3. Partner
4. Partner
5. Partner
6. etc.
Total value of annual construction turnover, in terms of work billed to clients, in US$
equivalent, converted at the rate of exchange at the end of the period reported:
Annual turnover data (construction only; US$ equivalent)

Partner
Form 2 Year 1
page no.
1. Partner
in
charge
2. Partner
3. Partner
Totals
Year 2
Year 3
Year 4
Year 5
38
Name and address of Bankers to the Joint Venture:

__________________________________________________________________________
Details regarding financial responsibility and participation (percentage share in the total) of
each firm in the Joint Venture. Attach a Memorandum of Understanding for the Proposed
Agreement of Joint Venture which should lay down responsibility regarding work and financial
arrangements in respect of each of the firms in the Joint Venture (Refer Clause 5.00).
__________________________________________________________________________
DETAILS OF PARTICIPATION IN THE JOINT VENTURE
(Indicate role and extent of participation in respect of finance planning, construction
equipment, key personnel and execution of the work of the partner in charge of the joint
venture and of each of the joint venture partners)
PARTICIPATION
DETAILS
Financial
Planning
Construction
Equipment
Key Personnel
Execution of Work
(Give details on
contribution of each)
FIRM A
[Partner-in-Charge]
FIRM B
FIRM C
39
PAGE
OF
PAGES
Particular Construction Experience Record

To prequalify, the Applicant shall be required to pass the specified requirements applicable to
this form, as set out in the PITA.
On separate pages, using the format of Form (3A), the Applicant is requested to list contracts of
a similar nature, complexity, and requiring similar construction technology to the contract or
contracts for which the Applicant wishes to qualify, and which the Applicant has undertaken
during the period, and of the number, stated in 4.8 of the PITA. Each partner of a joint venture
should provide details of similar contracts on which they have experienced. The contract value
should be based on the payment currencies of the contracts converted into U.S. dollars, at the
date of substantial completion, or for ongoing contracts at the time of award. The information is
to be summarized, using Form (3A), for each contract completed or under execution, by the
Applicant or by each partner of a joint venture.
Where the Applicant proposes to use named subcontractors for highly specialized elements of
the Works (reference Sub-Clause 4.4 of the GITA), the information in the following forms
should also be supplied for each subcontractor (or alternate, if any).
40
PAGE
OF
PAGES
Details of Contracts of Similar Nature and Complexity

Use a separate sheet for each contract.
1.
Number of contract
Name of contract
Country
2.
Name of Employer
3.
Employer address
4.
Nature of works and special features relevant to the contract for which the Applicant wishes to
prequalify
5.
Contract role (check one)

Prime contractor
6.
Management contractor
Partner in a joint venture
Amount of the total contract/subcontract/partner share (in specified currencies at completion, or

at date of award for current contracts)
Currency
7.
Subcontractor
Currency
Currency
Equivalent amount US$

Total contract: $______________; Subcontract: $______________; Partner share: $______________
8.
Date of award/completion
9.
Contract was completed _____ months ahead/behind original schedule (if behind, provide
explanation).
10.
Contract was completed US$ _________ equivalent under/over original contract amount (if
over, provide explanation).
11.
Special contractual/constructional requirements, including monthly/annual production rates of

the key construction activities described in PITA 4.8
12.
Indicate the approximate percent of total contract value (and US$ amount) of work undertaken
by subcontract, if any, and the nature of such work.
Attach specific formats for the information required.
3.
2.
Name of
Contract
Employer Contact Address,

Agreement No. and Date
Value
94-95
95-96
06-97
97-98
98-99
99-00
00-01
Year
Quantities Executed
Details of Production Levels in Key Construction Activities

(Sl. No. 11 of Information Form 3A)
41
42
PAGE
OF
PAGES
Summary Sheet: Current Contract Commitments / Works in

Progress
Applicants and each partner to an application 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.
Name of contract
Estimated
Average monthly
Value of
Employer,
invoicing over
outstanding work completion date
contact
last six months
(current US$
address/tel/fax
(US$/mon)
equivalent)
1.
2.
3.
4.
5.
etc.
In accordance with GITA Sub-Clause 4.10, the Applicant shall provide evidence (in a similar
manner to the requirements of Sub-Clause 4.9) to substantiate the adequacy of the sources of
finance to meet the Applicants cash flow requirements on the above contracts.
43
PAGE
OF
PAGES
Applicants, including each partner of a joint venture, shall provide financial information to demonstrate
that they meet the requirements stated in the GITA. Each applicant or partner of a joint venture shall
complete this form. If necessary, separate sheets shall be used to provide complete banker information.
A copy of the audited balance sheets shall be attached.
Autonomous construction subdivisions of parent conglomerate businesses shall submit financial
information related only to the particular activities of the subdivision.
Banker
Name of banker
Address of banker
Telephone
Contact name and title
Fax
Telex
Summarize actual assets and liabilities in U.S. dollar equivalent (at the rates of exchange current at the
end of each year) for the previous five calendar years, or such period as stated in PITA 4.11. Based
upon known commitments, summarize projected assets and liabilities in U.S. dollar equivalent for the
next two calendar years, unless the withholding of such information by stock market listed public
companies can be substantiated by the Applicant.
Financial
Actual:
information in US$ Previous five years
equivalent
5.
4.
1. Total assets
2. Current assets
3. Total liabilities
4. Current
liabilities
5. Profits before
taxes
6. Profits after
taxes
Projected:
Next two years
3.
2.
1.
44
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 PITA 4.9.
Source of financing
Amount (US$ equivalent)
1.
2.
3.
4.
Attach audited financial statementsincluding, as a minimum, profit and loss account, balance sheet,
and explanatory notesfor the period stated in PITA 4.11 (for the individual Applicant or each partner
of a joint venture).
If audits are not required by the laws of Applicants' countries of origin, partnerships and firms owned by
individuals may submit their balance sheets certified by a registered accountant, and supported by copies
of tax returns.
45

FORMAT FOR EVIDENCE OF ACCESS TO OR AVAILABILITY OF OVERDRAFT/ *
CREDIT FACILITIES
BANK CERTIFICATE
This is to certify that M/s _______________________________ is a reputed company with a
good financial standing.
If the contract for the work, namely ________________________________________ [funded
by the World Bank] is awarded to the above firm, we shall be able to provide overdraft/credit
facilities to the extent of USD equivalent _________________ to meet their working capital
requirements for executing the above contract.
-- Sd. -Name of the Bank

Senior Bank Manager
Address of the Bank
Change the text as follows for Joint venture:
This is to certify that M/s. . who has formed a JV with M/s.

.. and M/s. ..for participating in this bid, is a reputed
company with a good financial standing.
If the contract for the work, namely .
[funded by the World Bank] is awarded to the above Joint Venture, we shall be able to
provide overdraft/credit facilities to the extent of Rs. to meet the working capital
requirements for executing the above contract.
46
PAGE
OF
PAGES
Name of Applicant
For specific positions essential to contract management and implementation, Applicants should
provide the names of at least two candidates qualified to meet the specified requirements stated
for each position. The data on their experience should be supplied on separate sheets using one
Form (6A) for each candidate.
Applicants may propose alternative management and implementation arrangements requiring
different key personnel, whose experience records should be provided.
1.
Title of position*
Name of prime candidate
Name of alternate candidate
2.
Title of position*
3.
Title of position*
4.
Title of position*
*As listed in PITA 4.12.
47
PAGE
OF
PAGES
Candidate Summary
Name of Applicant
Position
Candidate
Prime
Candidate
information
Name of candidate
Alternate
Date of birth
Professional qualifications
Present
employment
Name of employer
Address of employer
Telephone
Contact (manager / personnel officer)
Fax
Telex
Job title of candidate
Years with present employer
Summarize professional experience over the last twenty years, in reverse chronological order.
Indicate particular technical and managerial experience relevant to the project.
From
To
Company / Project / Position / Relevant technical and management

experience
48
PAGE
OF
PAGES
Name of Applicant
The Applicant shall provide adequate information to demonstrate clearly that it has the
capability to meet the requirements for each and all items of equipment listed in the PITA 4.13.
A separate Form (7) shall be prepared for each item of equipment listed in the PITA, or for
alternative equipment proposed by the Applicant.
Item of equipment
Equipment
information
Current
status
Name of manufacturer
Model and power rating
Capacity
Year of manufacture
Current location
Details of current commitments
Source
Indicate source of the equipment

Owned
Rented Leased
Specially manufactured
Omit the following information for equipment owned by the Applicant or partner.
Owner
Agreements
Name of owner
Address of owner
Telephone
Contact name and title
Fax
Telex
Details of rental / lease / manufacture agreements specific to the project
49
PAGE
OF
PAGES
Litigation History
Applicants, including each of the partners of a joint venture, shall provide information on any
history of litigation or arbitration resulting from contracts executed in the last five years or
currently under execution. A separate sheet should be used for each partner of a joint venture.
Year
Award FOR Name of client, cause of litigation, and matter

or AGAINST in dispute
Applicant
Disputed amount
(current value,
US$ equivalent)
50
PREQUALIFICATION EVALUATION SUMMAY

SHOULD BE COMPLETED IN THE FORMAT OF
ANNEX C BY THE EXECUTING AGENCY AND
SUBMITTED TO THE BANK FOR REVIEW
PRIOR TO NOTIFICATION OF
APPLICANTS
51

Introduction
1.
This Annex is intended specifically to assist in reporting the results of the evaluation
of the applications for prequalification. The implementing agency of the Borrower
should evaluate the applications received and prepare a detailed analysis of them. A
summary report of this analysis should be submitted to the Bank for review; the
summary should address each of the passfail criteria set in the prequalification
documents. Disqualification of the Applicants who fail to meet the criteria should be
explained.
2.
Tables 15 should invariably accompany the summary, but they may be adapted to
suit specific requirements of the prequalification documents. The summary should
include a number of attachments and additional tables to explain details of the
individual evaluation of Applicants who where not prequalified or conditionally
prequalified. References to pertinent clauses in the prequalification documents
should be used as necessary.
3.
The summary should make special mention of Joint Venture Applicants in regard to
the completeness of their documentation, eligibility requirements including domestic
bidder price preference, sharing provisions, and liability of the JV partners.
4.
In case the prequalification evaluation includes slice and package requirements, the
summary should mention the procedure used in the evaluation and show the
aggregate total of contract value for which Applicants are considered prequalified by
the Employer.
5.
A checklist for the evaluation summary is presented in Table 6.
52
Table 1. Identification
Name of Borrower
Loan/Credit number
Date of effectiveness
Closing date
a) original
b) revised
Name of project
Purchaser (or Employer)
a) name
b) address
Contract number (identification)
Description of the Works
Cost estimate1
Method of procurement (check one)
ICB __________ NCB __________

Other __________
Procurement review required
Yes __________ No __________
Domestic preference allowed
Yes __________ No __________
Proposed contract type
Remeasurement with BOQ _______

Lump-sum price
_______
Other (please specify)
_______
Cofinancing, if any:
a) agency name
________________________________
b) percent financed by agency
________________________________
1. Cite source and date if other than PAD
53
Table 2. Prequalification Process

General Procurement Notice
a) first issue date
_________________________________
b) latest update
_________________________________
Specific Procurement Notice

(invitation for prequalification)
a) U.N. Development Business issue date
_________________________________
b) name of national newspaper issue date
_________________________________
c) name of international publication issue date
_________________________________
Number of firms notified
_________________________________
Prequalification Document
a) title, publication date
_________________________________
b) date of Banks no objection
_________________________________
c) date of issue to applicants
_________________________________
Number of firms issued documents
_________________________________
Amendments to documents, if any

a) list of all issue dates
1. _______ 2. _______ 3. _______
b) date(s) of Banks no objection
1. _______ 2. _______ 3. _______
Dates of response to requests for clarification
1. _______ 2. _______ 3. _______
Applications submission deadline

a) original date
_________________________________
b) extensions, if any
_________________________________
c) late submissions
_________________________________
Number of applications submitted
________________________________
7.
6.
5.
4.
3.
1.
2.
Country1
Date of
Submission of
Application
Completeness,2
Verification3 of
Documentation
Eligibility4
JV
Requirements5
Eligibility for
Domestic
Preference6
Explanation7
Place of incorporation (for corporations) or place of registration (for partnerships or individually owned firms).
Completeness of documentation: Are the applications offering all of the items and essential information requested? Major deviations to the requirements
such as no presentation of financial statements or balance sheets, or failure to present sufficient information on financial means to meet the specified cash
requirements may be a basis for a fail mark.
Verification: Attention should be directed toward deficiencies related to the validity of the application itself. For example: Is the letter properly signed?
Are the applications of Joint Ventures signed by each partner in the joint venture? Has a copy of the JVA or Letter of Intent been signed by all JV
partners and submitted with the application?
Eligibility: In addition to the eligibility of nationals from Bank member countries, applicants shall be eligible to participate in the bidding of the works in
reference to the Fraud and Corruption policy of the Bank. (See GITA sections 2 and 3 for details.)
JV requirements: Is the lead partner of the JV clearly identified and properly authorized? Are the JVs sharing provisions in compliance with the
minimum participation specified in PITA 5.4? Are all partners in the JV legally liable, jointly and severally, during bidding and execution of the
contract?
Eligibility for domestic preference: Eligibility of applicants to qualify for application of the preference should be assessed on the basis of criteria stated in
GITA Sub-Clauses 6.1 and 6.2.
If the application fails preliminary acceptance in one of the column topics or if conditional acceptance has been given, the reasons shall be clearly
explained in this Explanation column or in an attachment, as necessary.
Name of
Applicant
Table 3. Preliminary PassFail Examination of Applications
55
Table 4. Qualification Evaluation Summary

(PassFail Criteria)
Qualification Topic
Specified Criteria
Application
(as stated in GITA and PITA)
Explanations1
etc.
Subcontracting
(4.3, 4.4) Adequacy
of subcontractors
and specialists, if
any.
4.3 Applicant to provide

tentative list and brief record of
proposed subcontractors, if
subcontracting is above ____ %
of approximated price, and
4.3 PassFail
4.4 a detailed record of all

specialist subcontractors.
4.4 PassFail
Minimum average turnover

US$ ____ equivalent.
Amount US$
(4.8) Experience in
the successful
execution of similar
works.
- Required number of similar

contracts
_____
Number
- Time period ______
Years
(4.8) Production
rates of key
construction
activities needed to
meet the expected
construction
schedule.
Minimum key production rates

as specified in PITA 4.8
Rates
General Construction
Experience
(4.7) Average
annual turnover over
the last five years
(or as stated in the
PITA).
Particular Experience
(4.9) Adequacy of
financial strength of
the Applicant.
1.
Minimum required amount

US$ ______ equivalent
Amount US$
Adequate financing of works

in progress and future
commitments (4.10)
PassFail
If the Applicant fails a specific criteria or if pass has been given, accepting a minor deviation (GITA 4.16),
the reasons shall be clearly explained in the Explanation column or in a separate attachment, as necessary
56
Table 4. Qualification Evaluation Summary

(PassFail Criteria)
(contd)
Qualification Topic
Specified Criteria
Application
(as stated in GITA and PITA)

Adequate financial statements
(4.11)
Explanations1
etc.
Pass-Fail
(4.12) Ability to
provide the required
positions essential to
contract management.
Position 1: _____________
Years
years of work experience

years of similar work
experience.
Etc.
Position 2: _____________
years of work experience
Years
years of similar work

experience.
(4.13) Ownership of
equipment or the
ability to hire or lease
equipment needed to
perform the works.
Equipment type and minimum

number required
1. ______
Number
2. ______
etc.
Litigation History/
Business Practices
PassFail
(4.14) Acceptability
of Applicants history
on litigation or
arbitration.
Applicant to demonstrate
acceptable record on
litigation/arbitration over the
last five years (4.14)..
(2.0) Eligibility of
Applicant in regard to
Banks policy on
fraud and corruption
practices.
Applicant has not been

engaged in corrupt or
fraudulent practices in
competing for or in executing
a Bank-financed contract.
Pass/Fail
1. If the Applicant fails a specific criteria or if pass has been given, accepting a minor deviation (GITA 4.16),
the reasons shall be clearly explained in the Explanation column or in a separate attachment, as necessary
57
Table 5. Proposed Prequalification Decision

1. Fully prequalified Applicants
i) __________________________
ii) __________________________
iii) __________________________
etc.
2. Conditionally prequalified Applicants
Applicants name
i) __________________________
ii) __________________________
iii) __________________________
Deficiencies to be rectified to the

Employers satisfaction
a)
b)
etc.
a)
b)
etc.
a)
etc.
etc.
3. Rejected Applicants
Applicants name
i) __________________________
ii) __________________________
iii) __________________________
etc.
Reasons for rejection
58
Table 6. Prequalification Evaluation Summary Checklist
1.
Attach Identification and Prequalification Process data (Tables 1 and 2)
2.
Provide a list of applicants and their countries of origin and place of

registration/inspection as well as the date of submission of their applications (first
three columns of Table 3).
3.
Provide details on eliminating any applications during preliminary examination

(Table 3). Particular attention should be given to issues related to eligibility and JV
requirements.
4.
Eligibility to qualify for application of the domestic bidder price preference should be
assessed in accordance with GITA Sub-Clauses 6.1 and 6.2. Provide details of
exclusions.
5.
Attach copies of any letters to Applicants requesting clarifications or substantiation of

information. Provide copy of responses.
6.
Explain the reasons for giving a fail mark to an Applicant in any of the specified
criteria (Table 4). If necessary, include a separate attachment with explanations.
7.
Provide detailed reasons for refusing the prequalification of an Applicant.
8.
Provide details of the conditional prequalification of applicants with nonmaterial

deficiencies to the prequalification requirements.
9.
Attach copies of any correspondence from Applicants that raise objections to the
evaluation process, together with detailed responses.
NR/ls
Monday, December 02, 2002
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W-8

STANDARD PREQUALIFICATION DOCUMENT

The World Bank

General Instructions to Applicants (GITA)

General Instructions to Applicants (GITA)

ABBREVIATIONS AND ACRONYMS

An ad hoc association of firms that pool their resources and skills to

General Instructions to Applicants (GITA)

A consultant, acting as agent of the Borrower/Employer, engaged to

A specialist enterprise selected and approved by the Employer to provide

An assessment made by the Employer after the evaluation of bids and

An assessment made by the Employer of the appropriate level of

A firm that performs a substantial part of a contract construction work

A sum included provisionally in the BOQ of a contract, normally for a

A procedure whereby a large homogeneous project is sliced into smaller

The gross earnings of a firm (in this context, a construction contractor),

The total work involvement in a construction contract, including the

General Instructions to Applicants (GITA)

For the purpose of this document, any authenticated handwritten, typed,

General Instructions to Applicants (GITA)

SPECIFIC PROCUREMENT NOTICE

General Instructions to Applicants (GITA)

[Insert telephone number, indicate country and city code]

Day, month, year; for example, 31 January 1998.

Insert this sentence if applicable.

For example, 0900 to 1200 hours.

The fee, to defray printing and mailing/shipping costs, should be nominal.

For example, cashiers check, direct deposit to specified account, etc.

GENERAL INSTRUCTIONS TO APPLICANTS (GITA)

The Borrower named in the Particular Instructions to Applicants

The Employer, as named in the PITA, intends to prequalify

If so indicated in the PITA, the total Works to be constructed have

It is expected that prequalified applicants will be invited to submit

The bidding documents, type of contract, and method of payment,

General information on the climate, hydrology, topography, geology,

2. Fraud and Corruption

It is the Banks policy to require that Borrowers (including

General Instructions to Applicants (GITA)

of this policy, the Bank:

corrupt practice means the offering, giving, receiving,

fraudulent practice means a misrepresentation of facts

will not accept a Borrowers proposal for award if it

will declare a firm ineligible, either indefinitely or for a stated

3. Eligibility of Countries and Bidders

Except as provided in Sub-Clauses 3.2 and 3.3, this Invitation for

Firms of a member country may be excluded if, (i) as a matter of law

General Instructions to Applicants (GITA)

VII of the Charter of the United Nations, the Borrowers country

A firm that has been engaged by the Borrower to provide consulting

Government-owned enterprises in the Borrowers country may

Prequalification will be based on Applicants meeting all the

If so listed in the PITA, the Employer intends to execute certain

If an Applicant intends to subcontract parts of the Works such that

General Instructions to Applicants (GITA)

If an Applicant intends to subcontract any highly specialized

After award of contract, the subcontracting of any part of the Works,

The Applicant shall provide evidence that

it has been actively engaged in the civil works construction

that the Applicant has generated an average annual