5.Section 5 - Specimen Forms

Transcription

1 5.Section 5 - Specimen Forms The Specimen Forms are forms which, once completed, will form part of the Contract. The main sample forms for contract from the "Yellow Book" are: 1) 2) 3) 4) 5) 6) 7) Letter of Technical Bid Letter of Price Bid Form of Bid Security (Bank Guarantee) Performance Security Demand Guarantee Advanced Payment Guarantee Contract Agreement Dispute Adjudication Agreement 5-1

2 5-2 LETTER OF TECHNICAL BID Date: Loan No: [insert No of Loan] Invitation for Bid No: To: [insert complete name of EMPLOYER] We, the undersigned, declare that: (a) We have examined and have no reservations to the Bidding Document, including Addenda No.: issued in accordance with Instructions to Bidders (ITB) 8; (b) We offer to execute in conformity with the Bidding Document the following Works: [insert a brief description of the Works]; (c) Our bid consisting of the Technical Bid and the Price Bid shall be valid for a period of [specify the number of calendar days] days from the date fixed for the bid submission deadline in accordance with the Bidding Documents, and it shall remain binding upon us and may be accepted at any time before the expiration of that period; (d) We, including any subcontractors or suppliers for any part of the contract, have or will have nationalities from eligible countries, in accordance with ITB 3.2; (e) We, including any subcontractors or suppliers for any part of the contract, do not have any conflict of interest in accordance with ITB 3.3; (f) We are not participating, as a Bidder or as a subcontractor, in more than one bid in this bidding process in accordance with ITB 3.3, other than alternative offers submitted in accordance with ITB 10.3 (h); Name In the capacity of Signed Duly authorized to sign the bid for and on behalf of Dated on day of,

3 5-3 LETTER OF PRICE BID Date: Loan No.: [insert No of Loan] Invitation for Bid No.: To: [insert complete name of EMPLOYER] We, the undersigned, declare that: (a) We have examined and have no reservations to the Bidding Document, including Addenda No.: issued in accordance with Instructions to Bidders (ITB) 8; (b) We offer to execute in conformity with the Bidding Document and Technical Bid submitted for the following Works: ; (c) The total price of our bid, excluding any discounts offered in item (d) below is: ; (d) The discounts offered and the methodology for their application are: ; (e) Our bid shall be valid for a period of 120 days from the date fixed for the bid submission deadline in accordance with the Bidding Document, and it shall remain binding upon us and may be accepted at any time before the expiration of that period; (f) If our bid is accepted, we commit to obtain a performance security in accordance with the Bidding Document; (g) We understand that this bid, together with your written acceptance thereof included in your notification of award, shall constitute a binding contract between us, until a formal contract is prepared and executed; and (h) We understand that you are not bound to accept the lowest evaluated bid or any other bid that you may receive.

4 5-4 FORM OF BID SECURITY (BANK GUARANTEE) Brief description of Contract Name and Address of Beneficiary: (Whom the tender documents define as the Employer) We have been informed that (hereinafter called "Principal ") is submitting an offer for such contract in response to your invitation, and that the conditions of your invitation (the conditions of invitation, which are set out in document entitled Instructions to Tenderers) require his offer to be supported by a tender security. At the request of the principal, we (name of bank).hereby irrevocably undertake to pay you, the Beneficiary/Employer, any sum or sums not exceeding in total the amount of.(say:..)upon receipt by us of your demand in writing and your written statement (in the demand) starting that: (a) The principal has, without your agreement, withdrawn his offer after the latest time specified for its submission and before the expiry of its period of validity, of (b) the principal has refused to accept the correction of errors in his offer in accordance with such conditions of invitation, or (c) you awarded the Contract to the Principal and he has failed to comply with subclause 1.6 of the conditions of the Contract, or (d) you awarded the Contract to the Principal and he has failed to comply with subclause 4.2 of the conditions of the contract. Any demand for payment must contain your signature(s) which must be authenticated by your bankers or by a notary public. The authenticated demand and statement must be received by us at this office on or before (the date 35 days after the expiry of the validity of the Letter of Tender)., when this guarantee shall expire and shall be returned to us. Our correspondent bank, as per ITB 14.2, located in Fiji is [insert name and address of bank in Fiji]. Consequently, any demand for payment under this guarantee must be received by us at our office or at the office of our correspondence bank in Fiji on or before that date. This guarantee is subject to the Uniform Rules for Demand Guarantees, Published as number 458 by the International Chamber of Commerce, except as stated above. Date.. Signature(s).

5 5-5 EXAMPLE FORM OF PERFORMANCE SECURITY Bank s Name, and Address of Issuing Branch or Office Beneficiary:...Name and Address of Employer... Date:... Performance Guarantee No.:... We have been informed that..... name of the Contractor..... (hereinafter called the Contractor ) has entered into Contract No reference number of the Contract..... dated with you, for the execution of name of contract and brief description of Works..... (hereinafter called the Contract ). Furthermore, we understand that, according to the conditions of the Contract, a performance guarantee is required. At the request of the Contractor, we..... name of the Bank..... hereby irrevocably undertake to pay you any sum or sums not exceeding in total an amount of name of the currency and amount in figures (..... amount in words..... ) such sum being payable in the types and proportions of currencies in which the Contract Price is payable, upon receipt by us of your first demand in writing accompanied by a written statement stating that the Contractor is in breach of its obligation(s) under the Contract, without your needing to prove or to show grounds for your demand or the sum specified therein. This guarantee shall expire, no later than the..... Day of , , and any demand for payment under it must be received by us at this office on or before that date. This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No. 458, except that subparagraph (ii) of Sub-article 20(a) is hereby excluded.... Seal of Bank and Signature(s) -- Note -All italicized text is for guidance on how to prepare this demand guarantee and shall be deleted from the final document. The Guarantor shall insert an amount representing the percentage of the Contract Price specified in the Contract and denominated either in the currency(ies) of the Contract or a freely convertible currency acceptable to the Employer. If the bank issuing the performance security is located outside the country of the Employer, it shall have a correspondent financial institution located in the country of the Employer. 1 Insert the date twenty-eight days after the expected completion date. The Employer should note that in the event of an extension of the time for completion of the Contract, the Employer would need to request an extension of this guarantee from the Guarantor. Such request must be in writing and must be made prior to the expiration date established in the guarantee. In preparing this guarantee, the Employer might consider adding the following text to the form, at the end of the penultimate paragraph: The Guarantor agrees to a one-time extension of this guarantee for a period not to exceed [six months][one year], in response to the Employer s written request for such extension, such request to be presented to the Guarantor before the expiry of the guarantee. 2

6 5-6 EXAMPLE FORM OF ADVANCE PAYMENT GUARANTEE Bank s Name, and Address of Issuing Branch or Office Beneficiary:...Name and Address of Employer... Date:... Advance Payment Guarantee No.:... We have been informed that..... name of the Contractor..... (hereinafter called the Contractor ) has entered into Contract No reference number of the Contract..... dated with you, for the execution of name of contract and brief description of Works..... (hereinafter called the Contract ). Furthermore, we understand that, according to the Conditions of the Contract, an advance payment in the sum..... name of the currency and amount in figures (..... amount in words..... ) is to be made against an advance payment guarantee. At the request of the Contractor, we..... name of the Bank..... hereby irrevocably undertake to pay you any sum or sums not exceeding in total an amount of..... name of the currency and amount in figures* (..... amount in words..... ) upon receipt by us of your first demand in writing accompanied by a written statement stating that the Contractor is in breach of its obligation under the Contract because the Contractor used the advance payment for purposes other than the costs of mobilization in respect of the Works. It is a condition for any claim and payment under this guarantee to be made that the advance payment referred to above must have been received by the Contractor on its account number..... Contractor s account number..... at..... name and address of the Bank The maximum amount of this guarantee shall be progressively reduced by the amount of the advance payment repaid by the Contractor as indicated in copies of interim statements or payment certificates which shall be presented to us. This guarantee shall expire, at the latest, upon our receipt of a copy of the interim payment certificate indicating that eighty (80) percent of the Contract Price has been certified for payment, or on the... day of , , whichever is earlier. Consequently, any demand for payment under this guarantee must be received by us at this office on or before that date. This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No No t e Seal of Bank and Signature(s) All italicized text is for guidance on how to prepare this demand guarantee and shall be deleted from the final document. The Guarantor shall insert an amount representing the amount of the advance payment denominated either in the currency(ies) of the advance payment as specified in the Contract, or in a freely convertible currency acceptable to the Employer. 1 Insert the expected expiration date of the Time for Completion. The Employer should note that in the event of an extension of the time for completion of the Contract, the Employer would need to request an extension of this guarantee from the Guarantor. Such request must be in writing and must be made prior to the expiration date established in the guarantee. In preparing this guarantee, the Employer might consider adding the following text to the form, at the end of the penultimate paragraph: The Guarantor agrees to a one-time extension of this guarantee for a period not to exceed [six months][one year], in response to the Employer s written request for such extension, such request to be presented to the Guarantor before the expiry of the guarantee. 2

7 5-7 EXAMPLE OF CONTRACT AGREEMENT This Agreement made the. day of. 20. Between of.. (hereinafter called the EMPLOYER )of the one part, and. of.. (hereinafter called the Contractor ) of the other part, Whereas the EMPLOYER desires that the Works known as. should be executed by the Contractor, and has accepted a Bid by the Contractor for the execution and completion of these Works and the remedying of any defects therein, The EMPLOYER and the Contractor agree as follows: 1. In this Agreement words and expressions shall have the same meaning as are respectively assigned to them in the Conditions of Contract hereinafter referred to. 2. The following documents shall be deemed to form and be read and construed as part of this Agreement in the order of precedence (a) Agreed Minutes of Contract Negotiations dated (b) Letter of Acceptance dated.. (c) Letter of Technical Bid and Letter of Price Bid dated. (d) The Addenda Nos. (e) The Special Conditions of Contract (f) The General Conditions of Contract (g) The EMPLOYER s Requirements.. (h) Specifications. (i) The Drawings. (j) The Completed Schedules (k) The Contractor s Proposal. 3. In consideration of the payments to be made by the EMPLOYER to the Contractor as hereinafter mentioned, the Contractor hereby covenants with the EMPLOYER to Design, execute and complete the Works and remedy any defects therein, in conformity with the provisions of the Contract. 4. The EMPLOYER hereby covenants to pay the Contractor, in consideration of the execution and completion of the Works and the remedying of defects therein, the Contract Price at the times and in the manner prescribed by the Contract.

8 5-8 In Witness whereof the parties hereto have caused this Agreement to be executed the day and year first before written in accordance with their respective laws. SIGNED by:.. SIGNED by:. for and on behalf of the EMPLOYER in the for and on behalf of the Contractor in the presence of presence of Witness:.. Witness:.. Date: Date:

9 5-9 EXAMPLE FORM OF DISPUTE ADJUDICATION AGREEMENT Name and details of Contract. Name and address of EMPLOYER. Name and address of Contractor. Name and address of Member Whereas the EMPLOYER and the Contractor have entered into the Contract and desire jointly to appoint the Member to act as sole adjudicator who is also called the DAB. The EMPLOYER, Contractor and Member jointly agree as follows: 1. The conditions of this Dispute Adjudication Agreement comprise the General Conditions of Dispute Adjudication Agreement as attached to this agreement, and the following provisions. In these provisions, which include amendments and additions to the General Conditions of Dispute Adjudication Agreement, words and expressions shall have the same meanings as are assigned to them in the General Conditions of Dispute Adjudication Agreement. 2. [Details of amendments to the General Conditions of Dispute Adjudication Agreement, if any.] 3. In accordance with Clause 6 of the General Conditions of Dispute Adjudication Agreement, the Member shall be paid as follows; A retainer fee of... per calendar month, Plus a daily fee of.. per day. 4. In consideration of these fees and other payments to be made by the EMPLOYER and the Contractor in accordance with Clause 6 of the General Conditions of Dispute Adjudication Agreement, the Member undertakes to act as the DAB (as adjudicator) in accordance with this Dispute Adjudication Agreement. 5. The EMPLOYER and the Contractor jointly and severally undertake to pay the Member, in consideration of the carrying out of these services, in accordance with Clause 6 of the General Conditions of Dispute Adjudication Agreement. 6. This Dispute Adjudication Agreement shall be governed by the law of Fiji Islands. SIGNED by:..... SIGNED by:.. SIGNED by:.. For and on behalf of the EMPLOYER in the presence of For and on behalf of the Contractor in the presence of The member presence of Witness:.... Witness:.... Witness:.... Name:... Name:... Name:... Address:... Address:... Address:... Date:..... Date:..... Date:..... in the

10 5-10 Bidders Qualification following Prequalification The Bidder shall update the information given during the corresponding evaluation exercise to demonstrate that he continues to meet the criteria used at the time of evaluation regarding: (a) Eligibility (b) Pending Litigation (c) Financial Situation For this purpose, the Bidder shall use the relevant forms included as follows: Form ELI-1: Bidder Information Sheet Form ELI-2: JV Information Sheet Form ELI-3: List of Major Equipments to be used Form ELI-4: Sub-Contractor and Vender List Form ELI-5: Plant, Equipment and Material for Permanent Works. Form ELI-6: Deviation / Clarification Form ELI-7: Bio data of Key Personal Form CON: Historical contract Non-Performance Form FIN-1: Financial Situation Form FIN-2: Average Annual Design/Construction Turnover Form FIN-3: Financial Resources Form FIN-4: Current Contract Commitments/ Works in Progress

11 5-11 FORM ELI 1: BIDDER INFORMATION SHEET Bidder Information Bidder s legal name In case of JV, legal name of each partner Bidder s country of constitution Bidder s year of constitution Bidder s legal address in country of constitution Bidder s authorized representative (name, address, telephone numbers, fax numbers, address) Attached are copies of the following original documents. 1. In case of single entity, articles of incorporation or constitution of the legal entity named above, in accordance with ITB 3.1 and Authorization to represent the firm or JV named in above, in accordance with ITB In case of JV, letter of intent to form JV or JV agreement, in accordance with ITB In case of a government-owned entity, any additional documents not covered under 1 above required to comply with ITB 3.5.

12 5-12 FORM ELI 2: JV INFORMATION SHEET Each member of a JV must fill in this form JV / Specialist Subcontractor Information Bidder s legal name JV Partner s or Subcontractor s legal name JV Partner s or Subcontractor s country of constitution JV Partner s or Subcontractor s year of constitution JV Partner s or Subcontractor s legal address in country of constitution JV Partner s or Subcontractor s authorized representative information (name, address, telephone numbers, fax numbers, address) Attached are copies of the following original documents. 1. Articles of incorporation or constitution of the legal entity named above, in accordance with ITB 3.1 and Authorization to represent the firm named above, in accordance with ITB In the case of government-owned entity, documents establishing legal and financial autonomy and compliance with commercial law, in accordance with ITB Sub-Clause 3.5.

13 5-13 FORM ELI-3: LIST OF MAJOR EQUIPMENTS TO BE USED FORM ELI-3 : LIST OF MAJOR EQUIPMENTS TO BE USED List of major equipments to be used ( as per equipments detail provided in PQ ) NUMBER OF THE UNIT DENOMINATION AND TYPE MODEL MARK, SERIAL AND NUMBER CAPACITY OW NER RENTED TO BRE ADQUIRED LEASEE ACTUAL LOCATION

14 5-14 FORM ELI-4: SUB-CONTRACTOR AND VENDER LIST FORM ELI-4: SUB-CONTRACTOR AND VENDER LIST Sub-Contractor and Vender List- ( sub contractors in accordence with details provided in PQ ) Item Specific Description of Subcontract Approximate value Name and address of subcontractor's office, mill or shop. Tel/fax/ Person in charge Statement of similar works executed

15 5-15 FORM ELI 5: PLANT, EQUIPMENT AND MATERIAL FOR PERMANENT WORKS FORM ELI - 5: PLANT, EQUIPMEMT AND MATERIAL FOR PARMANENT WORKS PLANT, EQUIPMEMT AND MATERIAL FOR PARMANENT WORKS Index Plant/Equipment & Material Name Type / Model Qty Supplier Classification Treatment Unit Specification Capacity Approx Size Material Estimated Dry weight (wet) Electrical Comments

16 5-16 FORM ELI-6: DEVIATION / CLARIFICATION FORM ELI - 6: DEVIATION / CLARIFICATION DEVIATION / CLARIFICATION Where bidders consider proposing deviations and/or clarifications of technical specifications provided in the Bidding Document, the Bidder is required to fill in all information and sufficient justification in this form with attachment. The Bid Price is deemed to include all deviation and/or clarifications listed herein. Neither commercial nor contractual deviation/clarification are allowed to include in this format. No Section Clause page Specification Requirement Bidder s Deviation/Clarification Resolution Attachment Note: Deviations mentioned on other places will not be considered as valid during the Contract. Remark

17 5-17 FORM ELI-7: BIO DATA OF KEY PERSONNEL Each Key Personal Name of Applicant Position Candidate Status Prime Candidate 1. Name of candidate Alternate 2. Date of birth information 3. Educational/Professional qualifications Present 4. Name of employer employment Address of employer Telephone Contact (manager/ personnel officer) Fax Telex Job title of candidate No of years with present employer

18 5-18 Summarize professional experience over the last 20 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 Note: The Applicant shall provide a separate letter of certification by the Applicant stating that the details submitted for the Candidate Summary are true and accurate.

19 5-19 FORM CON: HISTORICAL CONTRACT NON-PERFORMANCE Each Bidder or member of a JV must fill in this form Non-Performing Contracts Contract non-performance did not occur within the last five (5) years prior to the deadline for Bid submission, based on all information on fully settled disputes or litigation. A fully settled dispute or litigation is one that has been resolved in accordance with the Dispute Resolution Mechanism under the respective contract, and where all appeal instances available to the bidder have been exhausted. Contract non-performance occurred within the last five (5) years. Outcome as Year Contract Identification Percent of Total Assets Total Contract Amount (current value, US$ equivalent) Contract Identification: Name of EMPLOYER: Address of EMPLOYER: Matter in dispute: Pending Litigation No pending litigation Pending litigation All pending litigation shall in total not represent more than percent ( %) of the Bidder s net worth and shall be treated as resolved against the Bidder Year Outcome as Outcome as Percent of Percent of Total Assets Total Assets Total Contract Amount (current value, US$ equivalent)

20 5-20 Contract Identification: Name of EMPLOYER: Address of EMPLOYER: Matter in dispute:

21 5-21 FORM FIN 1: FINANCIAL SITUATION Each Bidder or member of a JV must fill in this form Financial Data for Previous 3 Years [US$ Equivalent] Year 1: Year 2: Year 3: Information from Balance Sheet Total Assets Total Liabilities Net Worth Current Assets Current Liabilities Information from Income Statement Total Revenues Profits Before Taxes Profits After Taxes Attached are copies of financial statements (balance sheets including all related notes, and income statements) for the last three years, as indicated above, complying with the following conditions. All such documents reflect the financial situation of the Bidder or partner to a JV, and not sister or parent companies. Historic financial statements must be audited by a certified accountant. Historic financial statements must be complete, including all notes to the financial statements. Historic financial statements must correspond to accounting periods already completed and audited (no statements for partial periods shall be requested or accepted).

22 5-22 FORM FIN 2: AVERAGE ANNUAL DESIGN/CONSTRUCTION TURNOVER Each Bidder or member of a JV must fill in this form Annual Design/Construction Turnover Data for the Last 3 Years Year Amount Exchange US$ Currency Rate Equivalent Average Annual Turnover The information supplied should be the Annual Turnover of the Bidder or each member of a JV in terms of the amounts billed to clients for each year for work in progress or completed, converted to US$ at the rate of exchange at the end of the period reported.

23 5-23 FORM FIN 3: FINANCIAL RESOURCES Specify proposed sources of financing, such as liquid assets, unencumbered real assets, lines of credit, and other financial means, net of current commitments, available to meet the total construction cash flow demands of the subject contract or contracts as indicated in paragraph 5 of INVITATION FOR PREQUALIFICATION document for Contract No.... related to this contract. Financial Resources No. Source of financing Amount (US$ equivalent) 1 2 3

24 5-24 FORM FIN 4: CURRENT CONTRACT COMMITMENTS / WORKS IN PROGRESS Bidders and each partner to a JVA 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. Current Contract Commitments No. Name of Contract Value of Outstanding EMPLOYER s Contact Work Address, Tel, Fax [Current US$ Equivalent] Estimated Completio n Date Average Monthly Invoicing Over Last Six Months [US$/month)]