REQUEST FOR PROPOSALS (RFP) FOR

Transcription

1 REQUEST FOR PROPOSALS (RFP) FOR CONSULTANCY SERVICES FOR PREPARATION OF RESETTLMENT ACTION PLAN FOR THE STANDARD GAUGE RAILWAY (SGR) PHASE 2A NAIROBI-NAIVASHA TENDER NO. KRC/PLM/004/ CLOSING DATE: FRIDAY 12th AUGUST, 2016 CLOSING TIME: 10.00AM The Managing Director Kenya Railways P.O. Box NAIROBI, KENYA.

2 TABLE OF CONTENTS Page SECTION I. Letter of Invitation 3 SECTION II. Information to consultants 6 Appendix to information to Consultants 14 SECTION III Technical Proposal. 24 SECTION IV. Financial Proposal. 34 SECTION V Terms of Reference 39 SECTION VI. Standard Forms of Contract 54 2

3 SECTION I - LETTER OF INVITATION TENDER N0. KRC/PLM/004/ LETTER OF INVITATION FOR PROPOSALS To: (Name and Address of Bidder) TENDER NAME: CONSULTANCY SERVICES FOR PREPARATION OF RESETTLMENT ACTION PLAN FOR THE STANDARD GAUGE RAILWAY (SGR) PHASE 2A NAIROBI-NAIVASHA The Kenya Railways (KRC) invites sealed bids for the following consultancy services: Consultancy services for preparation of resettlement action plan for the Standard Gauge Railway (SGR) phase 2A Nairobi-Naivasha 1. The request for proposals (RFP) includes the following documents: Section I - Letter of invitation Section II - Information to consultants Appendix to information to Consultants Section III - Technical Proposal Section IV - Financial proposal Section V - Terms of Reference Section VI: - Standard Contract Form 2. Interested candidates may obtain further information and inspect tender documents at The Procurement Manager Office, 1 st Floor of the Kenya Railways Headquarters during normal working hours. Contact address: The Procurement Manager, Kenya Railways Headquarters, Haile Selassie Avenue Procurement Office on the first floor NAIROBI. P. O. Box , NAIROBI 3

4 Tel: , , , , /4 procure@krc.co.ke WEBSITE: 3. A complete set of tender documents may be obtained by interested candidates upon payment of a non-refundable fee of Kshs 1,000/- in cash or Bankers Cheque payable to Kenya Railways for hard copy. Downloaded or soft copies of tender document will be free of charge. 4. Bidders who download the document from KRC Website MUST register their interest immediately by sending an to procure@krc.co.ke stating their names, , postal and telephone address. 5. Prices quoted should be net inclusive of all taxes, must be in Kenya shillings and shall remain valid for 120 days from the closing date of tender. 6. The tender must be accompanied by a security in the form of the amount specified in the Tender Document 7. Completed tender documents are to be enclosed in plain sealed envelopes marked with Tender name and reference number and deposited in the Tender Box at The Procurement Manager, 1st Floor of the Kenya Railways Headquarters so as to be received on or before Friday 12th August, 2016 at am. 8. Tenders will be opened immediately thereafter in the presence of the candidates or their representatives who choose to attend at the Conference Room on the 1 st Floor, Kenya Railways Headquarters, Workshop Road, Nairobi. 9. No bids other than the printed bids submitted as per paragraph 7 above shall be considered for evaluation. 10. Bidders Must serialise all pages of the documents submitted together with the tender document. L Njoroge Procurement Manager FOR: MANAGING DIRECTOR 4

5 SECTION II INFORMATION TO CONSULTANTS (ITC) Table of Contents Page 2.1 Introduction Clarification and amendment of RFP document Preparation of Technical Proposal Financial proposal Submission, Receipt and opening of proposals Proposal evaluation general Evaluation of Technical proposal Public opening and Evaluation of financial proposal Negotiations Award of Contract Confidentiality Corrupt or fraudulent practices 13 5

6 SECTION II: - INFORMATION TO CONSULTANTS (ITC) 2.1 Introduction The Client named the Appendix to ITC will select a firm among those invited to submit a proposal, in accordance with the method of selection detailed in the appendix. The method of selection shall be as indicated by the procuring entity in the Appendix The consultants are invited to submit a Technical Proposal and a Financial Proposal, or a Technical Proposal only, as specified in the Appendix ITC for consulting services required for the assignment named in the said Appendix. A Technical Proposal only may be submitted in assignments where the Client intends to apply standard conditions of engagement and scales of fees for professional services which are regulated as is the case with Building and Civil Engineering Consulting services. In such a case the highest ranked firm of the technical proposal shall be invited to negotiate a contract on the basis of scale fees. The proposal will be the basis for Contract negotiations and ultimately for a signed Contract with the selected firm The consultants must familiarize themselves with local conditions and take them into account in preparing their proposals. To obtain first hand information on the assignment and on the local conditions, consultants are encouraged to liase with the Client regarding any information that they may require before submitting a proposal and to attend a pre-proposal conference where applicable. Consultants should contact the officials named in the Appendix ITC to arrange for any visit or to obtain additional information on the pre-proposal conference. Consultants should ensure that these officials are advised of the visit in adequate time to allow them to make appropriate arrangements The Procuring entity will provide the inputs specified in the Appendix ITC, assist the firm in obtaining licenses and permits needed to carry out the services and make available relevant project data and reports Please note that (i) the costs of preparing the proposal and of negotiating the Contract, including any visit to the Client are not reimbursable as a direct cost of the assignment; and (ii) the Client is not bound to accept any of the proposals submitted The procuring entity s employees, committee members, board members and their relative (spouse and children) are not eligible to participate The price to be changed for the tender document shall not exceed Kshs.1,000/= The procuring entity shall allow the tenderer to review the tender document free of charge before purchase. 2.2 Clarification and Amendment of RFP Documents 6

7 2.2.1 Consultants may request a clarification of any of the RFP documents only up to seven [7] days before the proposal submission date. Any request for clarification must be sent in writing by paper mail, cable, telex, facsimile or electronic mail to the Client s address indicated in the Appendix ITC. The Client will respond by cable, telex, facsimile or electronic mail to such requests and will send written copies of the response (including an explanation of the query but without identifying the source of inquiry) to all invited consultants who intend to submit proposals At any time before the submission of proposals, the Client may for any reason, whether at his own initiative or in response to a clarification requested by an invited firm, amend the RFP. Any amendment shall be issued in writing through addenda. Addenda shall be sent by mail, cable, telex or facsimile to all invited consultants and will be binding on them. The Client may at his discretion extend the deadline for the submission of proposals. 2.3 Preparation of Technical Proposal The Consultants proposal shall be written in English language In preparing the Technical Proposal, consultants are expected to examine the documents constituting this RFP in detail. Material deficiencies in providing the information requested may result in rejection of a proposal While preparing the Technical Proposal, consultants must give particular attention to the following: (i) (ii) (iii) (iv) (v) If a firm considers that it does not have all the expertise for the assignment, it may obtain a full range of expertise by associating with individual consultant(s) and/or other firms or entities in a joint venture or sub-consultancy as appropriate. Consultants shall not associate with the other consultants invited for this assignment. Any firms associating in contravention of this requirement shall automatically be disqualified. For assignments on a staff-time basis, the estimated number of professional staff-time is given in the Appendix. The proposal shall however be based on the number of professional staff-time estimated by the firm. It is desirable that the majority of the key professional staff proposed be permanent employees of the firm or have an extended and stable working relationship with it. Proposed professional staff must as a minimum, have the experience indicated in Appendix, preferably working under conditions similar to those prevailing in Kenya. Alternative professional staff shall not be proposed and only one Curriculum Vitae (CV) may be submitted for each position. 7

8 2.3.4 The Technical Proposal shall provide the following information using the attached Standard Forms; (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) A brief description of the firm s organization and an outline of recent experience on assignments of a similar nature. For each assignment the outline should indicate inter alia, the profiles of the staff proposed, duration of the assignment, contract amount and firm s involvement. Any comments or suggestions on the Terms of Reference, a list of services and facilities to be provided by the Client. A description of the methodology and work plan for performing the assignment. The list of the proposed staff team by specialty, the tasks that would be assigned to each staff team member and their timing. CVs recently signed by the proposed professional staff and the authorized representative submitting the proposal. Key information should include number of years working for the firm/entity and degree of responsibility held in various assignments during the last ten (10) years. Estimates of the total staff input (professional and support staff staff-time) needed to carry out the assignment supported by bar chart diagrams showing the time proposed for each professional staff team member. A detailed description of the proposed methodology, staffing and monitoring of training, if Appendix A specifies training as a major component of the assignment. Any additional information requested in Appendix A The Technical Proposal shall not include any financial information. 2.4 Preparation of Financial Proposal In preparing the Financial Proposal, consultants are expected to take into account the requirements and conditions outlined in the RFP documents. The Financial Proposal should follow Standard Forms (Section D). It lists all costs associated with the assignment including; (a) remuneration for staff (in the field and at headquarters), and; (b) reimbursable expenses such as subsistence (per diem, housing), transportation (international and local, for mobilization and demobilization), services and equipment (vehicles, office equipment, furniture, and supplies), office rent, insurance, printing of documents, surveys, and training, if it is a major component of the assignment. If appropriate these costs should be broken down by activity The Financial Proposal should clearly identify as a separate amount, the local taxes, duties, fees, levies and other charges imposed under the law on the 8

9 consultants, the sub-consultants and their personnel, unless Appendix A specifies otherwise Consultants shall express the price of their services in Kenya Shillings Commissions and gratuities, if any, paid or to be paid by consultants and related to the assignment will be listed in the Financial Proposal submission Form The Proposal must remain valid for 90 days after the submission date. During this period, the consultant is expected to keep available, at his own cost, the professional staff proposed for the assignment. The Client will make his best effort to complete negotiations within this period. If the Client wishes to extend the validity period of the proposals, the consultants shall agree to the extension. 2.5 Submission, Receipt, and Opening of Proposals The original proposal (Technical Proposal and, if required, Financial Proposal; see para. 1.2) shall be prepared in indelible ink. It shall contain no interlineations or overwriting, except as necessary to correct errors made by the firm itself. Any such corrections must be initialled by the persons or person authorised to sign the proposals For each proposal, the consultants shall prepare the number of copies indicated in Appendix A. Each Technical Proposal and Financial Proposal shall be marked ORIGINAL or COPY as appropriate. If there are any discrepancies between the original and the copies of the proposal, the original shall govern The original and all copies of the Technical Proposal shall be placed in a sealed envelope clearly marked TECHNICAL PROPOSAL, and the original and all copies of the Financial Proposal in a sealed envelope clearly marked FINANCIAL PROPOSAL and warning: DO NOT OPEN WITH THE TECHNICAL PROPOSAL. Both envelopes shall be placed into an outer envelope and sealed. This outer envelope shall bear the submission address and other information indicated in the Appendix ITC and be clearly marked, DO NOT OPEN, EXCEPT IN PRESENCE OF THE OPENING COMMITTEE The completed Technical and Financial Proposals must be delivered at the submission address on or before the time and date stated in the Appendix ITC. Any proposal received after the closing time for submission of proposals shall be returned to the respective consultant unopened After the deadline for submission of proposals, the Technical Proposal shall be opened immediately by the opening committee. The Financial Proposal shall remain sealed and deposited with a responsible officer of the client department up to the time for public opening of financial proposals. 2.6 Proposal Evaluation General 9

10 2.6.1 From the time the bids are opened to the time the Contract is awarded, if any consultant wishes to contact the Client on any matter related to his proposal, he should do so in writing at the address indicated in the Appendix ITC. Any effort by the firm to influence the Client in the proposal evaluation, proposal comparison or Contract award decisions may result in the rejection of the consultant s proposal Evaluators of Technical Proposals shall have no access to the Financial Proposals until the technical evaluation is concluded. 2.7 Evaluation of Technical Proposal The evaluation committee appointed by the Client shall evaluate the proposals on the basis of their responsiveness to the Terms of Reference, applying the evaluation criteria as follows Points (i) Specific experience of the consultant related to the assignment (5-10) (ii) Adequacy of the proposed work plan and methodology in responding to the terms of reference (20-40) (iii) Qualifications and competence of the key staff for the assignment (30-40) (iv) Suitability to the transfer of Technology Programme (Training) (0-10) Total Points 100 Each responsive proposal will be given a technical score (St). A proposal shall be rejected at this stage if it does not respond to important aspects of the Terms of Reference or if it fails to achieve the minimum technical score indicated in the Appendix ITC. 2.8 Public Opening and Evaluation of Financial Proposal After Technical Proposal evaluation, the Client shall notify those consultants whose proposals did not meet the minimum qualifying mark or were considered non-responsive to the RFP and Terms of Reference, indicating that their Financial Proposals will be returned after completing the selection process. The Client shall simultaneously notify the consultants who have secured the minimum qualifying mark, indicating the date and time set for opening the Financial Proposals and stating that the opening ceremony is open to those consultants who choose to attend. The opening date shall not be sooner than seven (7) days after the notification date. The notification may be sent by registered letter, cable, telex, facsimile or electronic mail The Financial Proposals shall be opened publicly in the presence of the consultants representatives who choose to attend. The name of the consultant, the technical. Scores and the proposed prices shall be read aloud and recorded 10

11 when the Financial Proposals are opened. The Client shall prepare minutes of the public opening The evaluation committee will determine whether the financial proposals are complete (i.e. Whether the consultant has costed all the items of the corresponding Technical Proposal and correct any computational errors. The cost of any unpriced items shall be assumed to be included in other costs in the proposal. In all cases, the total price of the Financial Proposal as submitted shall prevail While comparing proposal prices between local and foreign firms participating in a selection process in financial evaluation of Proposals, firms incorporated in Kenya where indigenous Kenyans own 51% or more of the share capital shall be allowed a 10% preferential bias in proposal prices. However, there shall be no such preference in the technical evaluation of the tenders. Proof of local incorporation and citizenship shall be required before the provisions of this subclause are applied. Details of such proof shall be attached by the Consultant in the financial proposal The formulae for determining the Financial Score (Sf) shall, unless an alternative formulae is indicated in the Appendix ITC, be as follows:- Sf = 100 X FM / F where Sf is the financial score; Fm is the lowest priced financial proposal and F is the price of the proposal under consideration. Proposals will be ranked according to their combined technical (St) and financial (Sf) scores using the weights (T=the weight given to the Technical Proposal: P = the weight given to the Financial Proposal; T + p = I) indicated in the Appendix. The combined technical and financial score, S, is calculated as follows:- S = St x T % + Sf x P %. The firm achieving the highest combined technical and financial score will be invited for negotiations The tender evaluation committee shall evaluate the tender within 30 days of from the date of opening the tender Contract price variations shall not be allowed for contracts not exceeding one year (12 months) Where contract price variation is allowed, the variation shall not exceed 15% of the original contract price Price variation requests shall be processed by the procuring entity within 30 days of receiving the request. 2.9 Negotiations Negotiations will be held at the same address as address to send information to the Client indicated in the Appendix ITC. The aim is to reach agreement on all points and sign a contract Negotiations will include a discussion of the Technical Proposal, the proposed methodology (work plan), staffing and any suggestions made by the firm to improve the Terms of Reference. The Client and firm will then work out final 11

12 Terms of Reference, staffing and bar charts indicating activities, staff periods in the field and in the head office, staff-months, logistics and reporting. The agreed work plan and final Terms of Reference will then be incorporated in the Description of Services and form part of the Contract. Special attention will be paid to getting the most the firm can offer within the available budget and to clearly defining the inputs required from the Client to ensure satisfactory implementation of the assignment Unless there are exceptional reasons, the financial negotiations will not involve the remuneration rates for staff (no breakdown of fees) Having selected the firm on the basis of, among other things, an evaluation of proposed key professional staff, the Client expects to negotiate a contract on the basis of the experts named in the proposal. Before contract negotiations, the Client will require assurances that the experts will be actually available. The Client will not consider substitutions during contract negotiations unless both parties agree that undue delay in the selection process makes such substitution unavoidable or that such changes are critical to meet the objectives of the assignment. If this is not the case and if it is established that key staff were offered in the proposal without confirming their availability, the firm may be disqualified The negotiations will conclude with a review of the draft form of the Contract. To complete negotiations the Client and the selected firm will initial the agreed Contract. If negotiations fail, the Client will invite the firm whose proposal received the second highest score to negotiate a contract The procuring entity shall appoint a team for the purpose of the negotiations Award of Contract The Contract will be awarded following negotiations. After negotiations are completed, the Client will promptly notify other consultants on the shortlist that they were unsuccessful and return the Financial Proposals of those consultants who did not pass the technical evaluation The selected firm is expected to commence the assignment on the date and at the location specified in Appendix A The parties to the contract shall have it signed within 30 days from the date of notification of contract award unless there is an administrative review request The procuring entity may at any time terminate procurement proceedings before contract award and shall not be liable to any person for the termination The procuring entity shall give prompt notice of the termination to the tenderers and on request give its reasons for termination within 14 days of receiving the request from any tenderer To qualify for contract awards, the tenderer shall have the following: 12

13 (a) Necessary qualifications, capability experience, services, equipment and facilities to provide what is being procured. (b) Legal capacity to enter into a contract for procurement (c) Shall not be insolvent, in receivership, bankrupt or in the process of being wound up and is not the subject of legal proceedings relating to the foregoing. (d) Shall not be debarred from participating in public procurement Confidentiality Information relating to evaluation of proposals and recommendations concerning awards shall not be disclosed to the consultants who submitted the proposals or to other persons not officially concerned with the process, until the winning firm has been notified that it has been awarded the Contract Corrupt or fraudulent practices The procuring entity requires that the consultants observe the highest standards of ethics during the selection and award of the consultancy contract and also during the performance of the assignment. The tenderer shall sign a declaration that he has not and will not be involved in corrupt or fraudulent practices The procuring entity will reject a proposal for award if it determines that the consultant recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question Further a consultant who is found to have indulged in corrupt or fraudulent practices risks being debarred from participating in public procurement in Kenya. 13

14 Appendix to information to consultants Note on the Appendix to Information to Consultants 1. The Appendix to information to consultant is intended to assist the procuring entity in providing specific information in relation to corresponding claims in the information to consultants included in Section II and the appendix has to be prepared for each specific consultancy. 2. The Procuring entity should specify in the appendix information and requirements specific to the circumstances of the procuring entity, the assignment of the consultancy and the proposals evaluation criteria that will apply to the RFP Consultancy. 3. In preparing the appendix the following aspects should be taken into consideration. (a) (b) (c) The information that specifies or complements provisions of Section II to be incorporated. Amendments of Section II as necessitated by the circumstances of the specific consultancy to be also incorporated Section II should remain unchanged and any changes or amendments should be introduced through the appendix. 14

15 Appendix to Information to Consultants The following information for procurement of consultancy services and selection of consultants shall complement or amend the provisions of the information to consultants, wherever there is a conflict between the provisions of the information and to consultants and the provisions of the appendix, the provisions of the appendix herein shall prevail over those of the information to consultants. APPENDIX A: DATA SHEET Clause Reference Data 2.1 Introduction Name of the Client: KENYA RAILWAYS Method of selection: QUALITY COST BASED (QCB) Bidders must submit: Full Technical Proposal together with a Financial Proposal. Name of the assignment is: CONSULTANCY SERVICES FOR PREPARATION OF RESETTLMENT ACTION PLAN FOR THE STANDARD GAUGE RAILWAY (SGR) PHASE 2A NAIROBI- NAIVASHA A pre-proposal conference will be held: NO The Client will provide the inputs and facilities: NONE Tender document to be issued Free of Charge for Soft Copies. 2.2 Clarification and Amendments of RFP Document Clarifications may be requested not later than SEVEN (7) days before the submission date. Tel: , , , , /4 Website: Fax: procure@krc.co.ke 2.3 Preparation of Technical Proposal 15

16 2.3.3 Bidders may associate with other Bidders: YES Training and capacity building are a specific component of this assignment: No 2.4 Preparation of Financial Proposal The Financial Proposal / Price should be inclusive of the local taxes, duties, fees, levies and other charges imposed under the law on the consultants, the sub-consultants and their personnel Bidder to state price in Kenya Shillings List of applicable Reimbursable expenses in local Currency: 1) a per diem allowance in respect of Personnel of the Bidder for every day in which the Personnel shall be absent from the home office and, as applicable, for purposes of the Services: YES (2) cost of necessary travel, including transportation of the Personnel by the most appropriate means of transport and the most direct practicable route: YES Amounts payable by the Client to the Consultants under the contract to be subject to local taxation: YES. (a) (b) reimburse the Consultants for any such taxes: NO pay such taxes on behalf of the Consultants: NO Proposals must remain valid for: FOR 120 DAYS FROM DATE OF TENDER OPENING 2.5 Submission, Receipt and Opening of Proposals Consultant MUST submit One (1) original and Four (4) Copies Financial Proposal to be submitted together with Technical Proposal: YES The Proposal submission address is: The Procurement Manager, Kenya Railways Headquarters, Haile Selassie Avenue Block C, First Floor. NAIROBI. Proposals must be submitted no later than the following date and time: Friday 12th August, 2016 AT 10:00 AM 2.7 Evaluation of Technical Proposal 16

17 2.7.1 As Per Evaluation Criteria in The Tender Document, Table Opening and Evaluation of Financial Proposal The formula for determining the financial scores is the following: Sf = 100 x Fm / F, in which Sf is the financial score, Fm is the lowest price and F the price of the proposal under consideration. The weights given to the Technical and Financial Proposals are: TP = 0.70, and FP = Where contract price variation is allowed, the variation shall not exceed 25% of the original contract price 3.0 Award of Contract Expected date for commencement of consulting services and venue: To be notified. 17

18 APPENDIX B PROFESSIONAL STAFF Table Mandatory Requirements for the Project Team Team Leader 1. Lead consultant Minimum Education University Masters degree sociology, anthropology, development planning, or other relevant field Specialisation and Experience The Lead Consultant should have a minimum of five (5) years working experience in sociology, anthropology, development planning or other relevant field. S/he should also have expertise and knowledge in social safeguards or involuntary resettlement like Resettlement Action Plan (RAP). Experience: Expertise and knowledge in social safeguards, voluntary resettlement like resettlement action plan (RAP) Years of Experience 10-years post qualification experience (5 years in consultancy) Number of Similar assignment 5 2.Licensed Land Surveyor University degree Specialisation: Cadastral, land adjudication and settlement and land administration Experience: 10 years post registration (5 years in consultancy) 5 Should Demonstrate ability to carry out Cadastral/LIS, Land Acquisitions, Topographical Engineering Surveys, Project Management and Land administration systems 3. Registered Urban / Physical Planner University Degree Specialisation: Urban / Physical Planning Experience Demonstrate ability to provide services in urban 10 years post registration (5 years in consultancy) 5 18

19 4. Registered Land Valuer/ Economist University degree planning, Transportation planning, mixed land use planning, environmental planning and obtaining NEMA approvals in major infrastructure projects The Land Economist should provide details of assignments he/she has carried out in the last 10 years which demonstrate taking a lead role in land economics, asset valuation resettlement programmes and development planning in a Mixed land use environment, transportation planning, and resettlement activities. Valuation for compulsory acquisition will be a plus. Experience: Land and Asset valuation, land management and administration. Expert should indicate scope of involvement in assignment of similar nature 10-years post registration experience (5 years in consultancy) 5 NOTE: Bidders Must attach and submit the following in the tender document; 1. CV for all Key Staff Listed 2. Bidders must attach all Academic and Professional Certificates for Key Staff 3. Current Practicing Licence from the relevant Professional Bodies for the Key Staff 4. Clearly indicate Duration of Engagement of each expert in the Assignments 19

20 APPENDIX C - EVALUATION CRITERIA KRC shall evaluate the proposals on the basis of their responsiveness to the Terms of Reference. Table Tender Evaluation Criteria A. MANDATORY REQUIREMENT REQUIREMENT COMPLIED 1 Copy of Valid Certificate of Incorporation / Registration Mandatory 2 Copy of a Valid KRA Tax compliance Certificate Mandatory 3 Copies of Certified Audited Accounts for any of the last 3 (Three) Mandatory consecutive years ( 2012, 2013, 2014, 2015) 4 Must provide a Contact address: Physical, Postal, Telephone and Mandatory address of the Firm (Confidential Business Questionnaire) Clearly indicating the list of Directors or Partners as applicable. Filled and Signed 5 Provide evidence of availability of key project team members and Mandatory commitment of their availability throughout the project lifecycle - Provide a written statement on availability of the proposed Key Staff. 6 Copies of Agreement between lead Bidder and Consortium Firm Mandatory (For Firms bidding as a Consortium) - Certified by a Commissioner of oaths 7 Provide Tender Security (Kshs.1,500,000.00) Mandatory 8 Litigation History ( Provided in Form 7 Litigation History form in the tender Document) Must Declare Only Bidders who meet all the Mandatory requirement will proceed to the next stage of evaluations; Technical Evaluation stage B. TECHNICAL EVALUATION 100% 1 Specific experience of the firm(fill Form 2 Provided for each Assignment) 45% a. Lead Consultant 1. The bidder should demonstrate experience in similar project. Provide evidence of having undertaken at least four similar projects in the last ten (10) years undertaken in its capacity. One of which must be over Kshs 5 Million ( Attach copies of contract, references and completion certificates for the assignments) (1 Mark for Each Project meeting requirement) (3 Marks for one assignment above kshs 5 Million) The firm should describe the nature of the assignment, the role of the firm in the project large planning, resettlement initiatives, study and closing of the project. The firm should also demonstrate successful completion of the projects. 20

21 (2 Marks for describing the assignment, role of the firm and demonstration of successful completion) Details to be provided in Form 2. Bidder s Reference provided in the tender document. b. Land Valuation The firm should provide details of four (4) assignments undertaken in the last 10 years and which demonstrate taking a lead role in land economics, asset valuation and development planning in a mixed land use environment, transportation planning and resettlement activities. Two of the assignments must have been undertaken in the last five years and one of which must be above Kshs 5 Million. (1 Mark for Each Project meeting requirement) (3 Marks for two assignments in the last five years with one valued at over Kshs 5 Million) 15 The firm should describe the nature of the assignment, the role of the firm in resettlement programmes and obtaining authority approvals procedures services. The firm should demonstrate successful completion of the assignments. (2 Marks for describing each of the assignment, role of the firm and demonstration of successful completion) Details to be provided in Form 2. Bidder s Reference provided in the tender document. c. Land Surveying The bidder should provide details of at least four (4) assignments in the last 10 years which demonstrates they have taken a lead role in similar projects involving adjudication and settlement, cadastral surveys, Topographical Surveys, engineering surveys, GIS and Land Administration. Two of the assignments must have been undertaken in the last five years with one having a minimum value of Kshs 10 Million. ( 1 Mark for Each Project meeting requirement) (3 Marks for two assignments carried out in that last five years with one having a minimum value of Kshs 10 Million) 15 The firm should describe the nature of the assignment, the role of the firm in the project (2 Marks for Describing the assignment, role of the firm and demonstration of successful completion) Details to be provided in Form 2. Bidder s Reference provided in the tender document. 2. Work Plan and Methodology (Fill Form 20%) ( FORM The firm should provide a logical, well-structured work plan 21

22 consistent with the time frames and terms of reference of this RFP to demonstrate: a. Understanding/Conformity to the TOR b. Technical Approach and Methodology including proposed concept design c. Work plan Bidder to provide Gantt Charts and work programme with clear timeliness ( Completion Period 6 Months) d. Organization and Team Composition. -Clearly provide the organisation structure, team composition and reporting structure for this project 3 Personnel (35%) Bidder should provide evidence of technical Training and Experience of Bidders staff; (Provide Summary in form 5; 5.1 and 5.2 in the tender document) a. Kenya Railways will evaluate Bidders registered with relevant professional body and those who have provided the current practising license only. b. The bidder should provide CVs for all the Key technical staff who will be engaged in the assignment in format provided in the tender document ( Format Provided in the Tender Document Form 6) c. As evidence of relevant training bidders should attach copies of professional certificates of the Key Technical Staff in relevant areas of expertise Lead Consultant - 10 Marks Registered Land Surveyor - 9 Marks Registered Urban/Physical Planner - 8 Marks Registered Land Valuer / Economist - 8 Marks Notes on Technical evaluation criteria: When responding to the Tender Document, the Consultant should note the following: 1. Only firms attaining over 70% Technical score (S t) during Technical Evaluation will proceed to Financial Evaluation. 2. Consultant should provide details of company experience and that of the nominated personnel separately in format given in the tender document; 3. Information will be given in the formats shown in Section 3 of RFP Document. 22

23 EVALUATION OF FINANCIAL PROPOSAL Formula for Financial Evaluation The financial score (S f), for each bidder will be determined based on the lowest financial bid as follows S f = 100 X F m / F Where: S f = Financial Score F = Financial Bid of the Bidder under consideration. F m = Lowest Financial Bid. The Combined Score (S) will be calculated as follows: S= (S t X TP %) + (S f X FP %) 23

24 SECTION III: - TECHNICAL PROPOSAL Notes on the preparation of the Technical Proposals 3.1 In preparing the technical proposals the consultant is expected to examine all terms and information included in the RFP. Failure to provide all requested information shall be at the consultants own risk and may result in rejection of the consultant s proposal. 3.2 The technical proposal shall provide all required information and any necessary additional information and shall be prepared using the standard forms provided in this Section. 3.3 The Technical proposal shall not include any financial information unless it is allowed in the Appendix to information to the consultants or the Special Conditions of contract. 24

25 SECTION III - TECHNICAL PROPOSAL Table of Contents Page 1. Technical proposal submission form Firms references Comments and suggestions of consultants on the 28 Terms of reference and on data, services and Facilities to be provided by the procuring entity 4. Description of the methodology and work plan 29 for performing the assignment 5. Team composition and Task assignments Format of curriculum vitae (CV) for proposed 31 Professional staff 7. Time schedule for professional personnel Activity (work schedule) 33 25

26 1. TECHNICAL PROPOSAL SUBMISSION FORM Form 1. Technical Proposal Submission Date To: The Managing Director Kenya Railways P. O. Box NAIROBI - KENYA Dear Sirs: We, the undersigned, offer to provide Consultancy Services for Resettlement Action Plan (RAP) for the Standard Gauge Railway (SGR) Phase 2A Nairobi-Naivasha in accordance with your Request for Proposal dated and our Proposal dated. We are hereby submitting our Proposal, which includes this Technical Proposal, and a Financial Proposal sealed under same envelope. We are submitting our Proposal in association with: (Insert a list with full name and address of each associated Bidder) We hereby declare that all the information and statements made in this Proposal are true and accept that any misinterpretation contained in it may lead to our disqualification. If negotiations are held during the period of validity of the Proposal, i.e., before the date indicated in Paragraph Reference of the Data Sheet, we undertake to negotiate on the basis of the proposed staff. Our Proposal is binding upon us and subject to the modifications resulting from Contract negotiations. We undertake, if our Proposal is accepted, to initiate the consulting services related to the assignment not later than the date to be agreed during the negotiations. We understand you are not bound to accept any Proposal you receive. We remain, Yours sincerely, Authorized Signature Name and Title of Signatory Name of Bidder Address 26

27 2. FIRM S REFERENCES Relevant Services Carried Out in the Last Five Years That Best Illustrate Qualifications Using the format below, provide information on each assignment for which your firm either individually, as a corporate entity or in association, was legally contracted. Assignment Name: Location within Country: Name of Client: Address: Start Date (Month/Year): Completion Date (Month/Year): Country Professional Staff provided by Your Firm/Entity(profiles): Clients contact person for the assignment. No of Staff-Months; Duration of Assignment: Approx. Value of Services (Kshs) Name of Associated Consultants. If any: No of Months of Professional Staff provided by Associated Consultants: Name of Senior Staff (Project Director/Coordinator, Team Leader) Involved and Functions Performed: Narrative Description of project: Description of Actual Services Provided by Your Staff: Firm s Name: Name and title of signatory; (May be amended as necessary) 27

28 3. COMMENTS AND SUGGESTIONS OF CONSULTANTS ON THE TERMS OF REFERENCE AND ON DATA, SERVICES AND FACILITIES TO BE PROVIDED BY THE CLIENT. On the Terms of Reference: On the data, services and facilities to be provided by the Client:

29 14. DESCRIPTION OF THE METHODOLOGY AND WORK PLAN FOR PERFORMING THE ASSIGNMENT 29

30 5. TEAM COMPOSITION AND TASK ASSIGNMENTS 5.1 Technical/Managerial Staff Professional/Managerial Name of Staff Firm Area of Expertise Position Assigned Task Assigned 5.2 Support Staff support Staff Name of Staff Firm Area of Expertise Position Assigned Task Assigned 30

31 6. FORMAT OF CURRICULUM VITAE (CV) FOR PROPOSED PROFESSIONAL STAFF Proposed Position: Name of Firm: Name of Staff: Profession: Date of Birth: Years with Firm: Nationality: Membership in Professional Societies: Detailed Tasks Assigned: Key Qualifications: [Give an outline of staff member s experience and training most pertinent to tasks on assignment. Describe degree of responsibility held by staff member on relevant previous assignments and give dates and locations]. Education: [Summarize college/university and other specialized education of staff member, giving names of schools, dates attended and degree[s] obtained.] Employment Record: [Starting with present position, list in reverse order every employment held. List all positions held by staff member since graduation, giving dates, names of employing organizations, titles of positions held, and locations of assignments.] Certification: I, the undersigned, certify that these data correctly describe me, my qualifications, and my experience. Date: [Signature of staff member] Date; [Signature of authorized representative of the firm] Full name of staff member: Full name of authorized representative: 31

32 7. TIME SCHEDULE FOR PROFESSIONAL PERSONNEL Foreign 1 2 Name of Staff Staff input (in the form of a bar chart) Total staff-month input n Home Field 3 Total [Home] [Field] 3 N Local 1 2 [Home] [Field] Subtotal N Subtotal Total 1 For Professional Staff the input should be indicated individually; for Support Staff it should be indicated by category (e.g.: draftsmen, clerical staff, etc.). 2 Months are counted from the start of the assignment. For each staff indicate separately staff input for home and field work. 3. Field work means work carried out at a place other than the Bidder's home office. Full time input Part time input Signature: (Authorized representative) Full Name: Title: Address: 32

33 (a). Field Investigation and Study Items 8. ACTIVITY (WORK) SCHEDULE [1 st,2 nd,etc, are months from the start of assignment) 1 st 2 nd 3 rd 4 th 12 t h 6 th 7 th 12t h 9 th 10 th 11 th 12 th Activity (Work) (b). Completion and Submission of Reports Reports Date of Completion 1. Inception Report 4. Interim Progress Report (a) First Status Report (b) Second Status Report 3. Draft Report 4. Final Report 33

34 SECTION IV - FINANCIAL PROPOSAL STANDARD FORMS Table of Contents Page 1. Financial proposal submission Form Summary of costs Breakdown of price/per activity Breakdown of remuneration per activity Reimbursables per activity Miscellaneous expenses 38 34

35 Introduction 1. FINANCIAL PROPOSAL SUBMISSION FORM Financial Proposal Standard Forms shall be used for the preparation of the Financial Proposal according to the instructions provided under Paragraph 2.8 above. Form I: Financial Proposal Submission To: [Name and address of Client] (Location, Date) Dear Sirs: We, the undersigned, offer to provide the consulting services for in accordance with your Request for Proposal dated [Insert Date] and our Technical Proposal. Our attached Financial Proposal is as follows: KES (in figures and words) This amount is Inclusive of the local taxes, which shall be identified during negotiations and shall be added to the above amount. Our Financial Proposal shall be binding upon us subject to the modifications resulting from Contract negotiations, up to expiration of the validity period of the Proposal, i.e. before the date indicated in Paragraph Reference of the Data Sheet. We confirm that our prices are inclusive of all taxes. We also confirm that on the award of contract we shall provide KR with a Performance Bond Contract as a condition precedent. Commissions and gratuities paid or to be paid by us to agents relating to this Proposal and Contract execution, if we are awarded the Contract, are listed below: We understand you are not bound to accept any Proposal you receive. We remain, Yours sincerely, Authorized Signature: Name and Title of Signatory: Name of Firm: Address: 35

36 2. SUMMARY OF COSTS Costs Currency(ies) Amount(s) Subtotal Taxes Total Amount of Financial Proposal 3. BREAKDOWN OF PRICE PER ACTIVITY Activity NO.: Price Component Description: Amount(s) Remuneration Reimbursables Miscellaneous Expenses Subtotal 36

37 4. BREAKDOWN OF REMUNERATION PER ACTIVITY Activity No. Name: Names Position Input(Staff months, Remuneration Amount days or hours Rate as appropriate.) (i) Regular staff (ii)consultants Grand Total 5. REIMBURSABLES PER ACTIVITY Activity No: Name: No. Description Unit Quantity Unit Price Total Amount 1. Air travel Trip 2 Road travel Kms Rail travel Subsistence Allowance Kms Day Grand Total 37

38 6. MISCELLANEOUS EXPENSES Activity No. Activity Name: No Description Communication costs _ (telephone, telegram, telex) Drafting, reproduction of reports Equipment: computers etc. Software Grand Total Unit Quantity Unit Price Total Amount 38

39 SECTION V: - TERMS OF REFERENCE Terms of Reference for the proposed services to be performed the consultant contain the following sections: 1. Introduction, 2. Objectives of the assignment, 3. Scope of the Services, 4. Assignments Deliverables 5. Obligations of the client / Facilities to be provided by the client 6. Estimated Consultancy timeline, 7. Reporting 8. Payment of professional fees and Reimbursable/ Payment Schedules 39

40 SECTION 5: TERMS OF REFERENCE 1.0Introduction and Background The Government of Kenya through the Kenya Railways Corporation has proposed development of a standard gauge railway line from Nairobi to Naivasha. Thus the corporation intends to acquire land from the affected owners of land as per the proposed railway corridor. The land acquisition process for the above project is awaiting the input of the RAP. The process involves acquisition of information and data about land affected by the proposed SGR line, mapping out the alignment, determining the size of the affected land in hectares, collection of ownership information, valuation of the land for purposes of compensation. The project is likely to have social impacts on land access, restriction of access to assets, displacement and loss of livelihood among others. Preliminary studies and assessment recognize the positive social and economic impact that the project can generate. These assessments also highlight the potential negative social impacts and therefore the need for mitigation measures. As part of the Kenya Government requirements for safeguards to ensure that the project either avoids completely negative impacts or minimize such impacts, the project will have to prepare a Resettlement action plan. The Government of Kenya through its implementation agency, the Kenya Railways Corporation intends to procure consultancy services for the preparation of Resettlement action plan for the standard gauge railway line from Nairobi to Naivasha. The project involves construction of High speed and capacity standard gauge railway line from Nairobi to Naivasha. The length of the Railway line is approximately 120 Km. The line will be fenced on the entire corridor. 2.0 Objectives of the Assignment The aim of the study is to achieve the following objectives: i. Review of existing EIA report on sections of the line which are not changed. ii. Identify all the project affected persons (PAPs) and properties. iii. To prepare Resettlement Action Plan to guide in land acquisition. iv. To prepare a Social Impact Assessment, RAP and ESMP reports compliant to the relevant authorities, and detailing findings and recommendations. 3.0 Scope of the Assignment The consultant is expected to undertake investigations on social aspects, economic activities, and conservation of natural resources, historical and anthropological heritages, public consultations and disclosures. The proposed Standard gauge railway line and associated railway stations and Marshalling yards will be provided to 40

41 give a guideline of the facilities to be studied. The scope of services to be undertaken by the Consultant shall include the following: a) Detailed Desk-top Review: The Consultant is to review all existing documentation, and previous EIA, RAP and ESMP reports on the proposed route. He shall further undertake a detailed study of the proposed route section, mapping the desktop route on actual map of appropriate scale. The Consultant shall then concisely describe each facility assessed, its geographic, ecological, general layout of facilities including maps at appropriate scale where necessary Information on size, capacity, facilities and services should also be provided. b) Land and properties: the consultant shall identify the actual land owners, sizes and properties affected by the proposed SGR line. This will involve carrying out searches in the lands office and field investigations and consultations. c) Development of re-settlement action plan: i. The consultant shall undertake a socio-economic survey of the communities along the proposed railway line route. ii. Conduct a census of the affected persons and identification of vulnerable groups and indigenous populations. iii. Develop an eligibility criteria and establishment of a cut-off date. iv. Evaluate and prepare an inventory of the affected properties v. Evaluate all other socio-economic costs. vi. Conduct public consultations/awareness creation of the relevant stakeholders, taking into consideration the gender concerns and vulnerable groups vii. Identification of alternative relocation sites, where affected person might have to be resettled. viii. Develop adequate livelihood restoration mechanisms. ix. Prepare the resettlement implementation costs. x. Preparation of implementation schedule. xi. Develop a monitoring and evaluation methodology xii. Consider the relevant legal provisions for land acquisition and resettlement during preparation of an appropriate re-settlement action plan. xiii. Prepare and submit a detailed resettlement action plan. xiv. Develop a conflict resolution mechanism. 41

42 d) Development of monitoring plan: The Consultant is required to give a specific description, and technical details, of monitoring measures for both ESMP and RAP, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, definition of thresholds that will signal the need for corrective actions as well as deliver a monitoring and reporting procedure. The Consultant should provide a time frame and implementation mechanism, staffing requirements, training and cost outlays. 42

43 e) Study Reports: The output will be a Resettlement Action Plan prepared in accordance with the regulatory provisions. The report shall be in the English Language and has to be dear and concise. The reports should be in a format acceptable to local competent authorities, international environmental standards and development partners. The Consultant shall present the reports to relevant environmental authorities for approval in the required number of copies. 43

44 f) Approval: The Consultant shall present the report prepared under Task i) for approval by the relevant authorities. The Consultant shall be responsible for making any modifications that the authorities may demand before approval of the report. g) Counterpart Staff: for the purpose of capacity building the Consultant shall undertake the study together with counterpart staff seconded by the Client. h) All the comments in the Attachment to this TOR from the various EIA Authorities which are considered vital but not considered on the last Final ESIA and RAP reports shall be carefully addressed. 4.0 Assignments Deliverables The consultants shall prepare Resettlement Action Plan (RAP) in accordance with the provisions of land Act 2012 resettlement guidelines by the Government of Kenya. This will comprise all the tasks that are required for a full environmental assessment, as described hereafter. The Consultant will be responsible for gathering, reviewing and analyzing all necessary data and information. Where these are insufficient, the Consultant shall make all practical efforts to produce the missing information/data including professional estimates and predictions based on the most likely conditions at the project area, reliable information and data from similar situations and conditions, etc. The Consultant shall characterize the extent and quality of available data and describe the key-data gaps and the uncertainties associated with estimates, predictions, and data used from similar situations. The methods of accommodating these gaps and uncertainties in the ESIA should be well stated and presented by the Consultant. When estimated values are used in place of data, the Consultant will be required to provide the uncertainty limits associated with these values and perform an appropriate sensitivity analysis. The work will also include thorough consultations and meetings with all parties concerned (affected population or their representatives; local, regional, and national authorities; representatives of the scientific community; NGOs; etc,); in strict accordance with the requirements of the Government of Kenya and Land acquisition policies and procedures. The consultant will be responsible to review and update the following tasks: a) Inception Report including a detailed work plan The consultant will: Examine all aspects of the Project and will produce an inception report which will review the tasks to be carried out and agree with the client on any modifications and additions that may be required. Prepare a detailed work plan indicating schedules and inputs required to complete the tasks. During this inception period the consultant will carry out a scoping exercise that will provide the basis for the final report and detailed work plan. 44

45 Prepare a public consultation and disclosure plan. b) Provide description of the proposed Project The consultant will provide a brief description of the Project including maps (at appropriate scales) where necessary. c) Public Consultation Process The consultant will: a. Identify all affected people (e.g. people affected by construction activities and during operation) and will facilitate dissemination of information to relevant authorities and interested and affected parties (laps) concerning the proposed project NGOs and government departments and agencies that may have a stake in the Project and its effects should be consulted. b. Prepare a Stakeholder Consultation Plan, providing an opportunity for the relevant authorities and laps to raise issues and concern pertaining to the proposed Standard gauge railway line and allow the identification of the additional alternatives and recommendations. Describe a schedule for public consultation with these different groups, including number and timing of public input and the methods to be employed (e.g. media announcements. town hall meetings questionnaires, one-on-one meetings, and public EA steering committees). Public consultation should occur, at least, during the inception and collection of baseline information, and at the draft report stage. An annex of ESIA should summarize the Public consultation process and the results of the consultation process. c. Gather more detailed information through which the study team could anticipate issues not raised by the laps that will be addressed by the environmental impact assessment report. d. Focus the study on relevant issues and recommend specific investigations, such that the resulting ESIA is useful to decision makers and it addresses the concerns of laps d) Legal and Administrative Framework Describe the pertinent regulations and standards governing environmental quality, health and safety, protection of sensitive areas, protection of endangered species. Land use control, etc., at national and local levels. Describe the current administrative arrangements for environmental regulation, enforcement and management in Kenya, and more specifically, within KRC. Provide a general assessment of the railways services and relevant government agencies involved in environmental and social 45

46 management issues, to ensure that the RAP will be effectively implemented. The agencies may need strengthening through capacity building measures to be specified in the Environmental Management Plan. e) Description of the environment/project setting Assemble, evaluate and present baseline data on the relevant environmental and social characteristics of the study area. In addition to the data being used for determining and assessing impacts it will be used as a baseline against which future changes caused by the Project can be measured and monitored. The data should include any information on changes anticipated before the Project commences. The description should contain relevant descriptions of the following. Physical environment: geology, topography, soils, climate and meteorology; ground water and surface hydrology Biological environment: flora; fauna; forests; rare or endangered * significant natural sites, etc.; species of commercial importance, and species with potential to become nuisances, vectors or dangerous Socio-cultural environment: (include both present and projected where appropriate); population affected (numbers and subsistence systems), land use where appropriate and property (including houses, crops trees, plants, other properties. etc.); planned development activities; public health; cultural characteristics (including cultural property and heritage); and gender differentiation. Economic activities: livelihood; employment; gender composition cross border migration. Some examples of the specific activities are: recording plant species that occur along the route, based on field surveys; identification of any species of special concern, namely species with conservation status or endemic to the area including birds; commentary on conservation status of specific species; compilation of a broad scale vegetation or habitat map of the area indicating the extent to which the railway line would affect each vegetation or habitat type; description of current land use and compilation of a broad land use map. f) RAP Methodology used As a chapter of the RAP report the consultant will describe the methods used for conducting the RAP (scoping and bounding, impact analysis and public consultation process, etc.). The consultant will include a public participation plan to include stakeholder identification process, stakeholders identified, stages within the RAP process where stakeholders have participated, and the different levels of participation used. Identification of impacts will include the identification of the important environmental components, and selection criteria used for identifying the significant impacts (positive and negative) whenever possible. 46

47 Significant levels may be determined through the application of scoring system if the consultant feels that such an approach is warranted. The consultant will employ environmental economic analysis where applicable, particularly to justify significant impacts to be mitigated. g) Potential Impacts of the Proposed Project Using the collected baseline data and the system or monitoring and evaluation. The consultant will take a systematic approach to identification mitigation and evaluation of all impacts and will identify potential changes which the Project may cause. These would include, but not be limited to, changes in the following: Physical environment Biological environment. Socio-cultural environment. Economic activities. Employment opportunities. Safety issues, Waste management for the entire project, including the work camps and construction sites. Changes in land use, land tenure patterns and land grabbing as a consequence of improved access: (i) residential patterns; (ii} agricultural practice; (iii) livestock management (pastoralism). (iv) Commercial use; (v) traditional use (herb, firewood collection, sacred sites etc.); (vi) access to public services (health, education etc.). Impacts of access roads and how to manage these impacts and if needed closure or immobilization of access roads. In case of improved access to sensitive natural and critical natural habitats through access roads to be constructed under the project, an Induced Access Management Plan needs to be prepared, in order to manage long term impacts on natural habitat. Traffic density. Safety and dust control. Land acquisition and resettlement as per ADS Guidelines. The Consultant will analyze: Positive and negative impacts. Direct and indirect impacts, short term and long term. Impacts that are avoidable/unavoidable. Reversible/irreversible Pre-construction actions to avoid or minimize negative impacts. Construction and operational phase impacts. Impacts due to fencing of the railway corridor 47

48 Cumulative impacts occurring as a consequence of other activities in the project area: existing activities, projects under construction or planned activities within a reasonable time frame. Impacts in critical and non-critical habitats. Identify the potential risk of the spread of HIV/AIDS and other sexually transmitted diseases during the construction period, and prepare a detailed plan for awareness and prevention including resource implications. Wherever possible, the consultant will describe impacts quantitatively. In terms of environmental costs and benefits, and assign economic values when feasible. Impact analysis should be divided between construction and operation impacts. h) Environmental and Social Management Plan An Environmental and Social Management Plan (ESMP) that addresses the following aspects should be prepared: Activities and impacts: Predicted adverse environmental and social impacts (and any uncertainties about their effects) for which mitigation is necessary should be identified and summarized. * Effective measures to prevent or reduce significant negative impacts to acceptable levels during (i) construction and (ii) operation. Estimate the impacts and costs of those measures. Estimate the costs of any residual impacts. Another area of impacts that could contribute substantially is the cumulative effects of construction and operational phases of the Project. Most of these, if not all, can be avoided by following a set of best practices that the consultant will prepare (e g. construction workers not littering, soil stockpiled in such a way as to prevent erosion and waterway sedimentation, only working day shifts to avoid unnecessary noise to adjacent households). Description of implementation and monitoring program: Prepare detailed institutional arrangements (responsibilities) for implementing and for monitoring implementation of mitigation measures and the impacts of the project during construction and operation and maintenance. This will include a description of monitoring methodology, specific operations and features to be monitored, monitoring reporting relationships, and arrangements to ensure that monitoring is effective and leads to modifications where required to ensure minimal impact on the environment. Include in the plan an estimate of costs and description of other inputs such as training and institutional strengthening to ensure effective monitoring. An indication of what performance indicators to be used is to be provided. Institutional strengthening and training: Identification of institutional needs to implement environmental recommendations: Review the authority and capability of KRC and other relevant institutions and 48

49 recommend steps to strengthen or expand these institutions to ensure that effective environmental management and monitoring will occur. i) Resettlement Action Plan (RAP) The Consultant shall develop a comprehensive RAP based on a door-to-door survey ("resettlement survey") for all expropriation operations and displacements of houses and businesses needed for the selected option. The objective of the RAP is to ensure that the population to be expropriated and displaced by the project is formally consulted and adequately compensated and treated. Involuntary resettlement should be avoided or minimized where feasible. However if displacements and expropriation are unavoidable, a resettlement plan needs to be developed. Displaced and expropriated persons should be consulted and compensated for the losses at full replacement costs prior to the actual move. Secondly they should be assisted in the move and supported during the transition period in the resettlement site. Thirdly assistance should be provided in their efforts to improve on their former living standards or at the very least maintain them. In general, a RAP would include the following sections: i. Executive Summary: including the statement of objectives legal framework and main recommendations ii. Description of the Project. Including a general description and identification of the project area iii. Potential impacts, including identification of: a) The project component or activities that give rise to resettlement. b) The zone of impact of such activities c) The alternatives considered to avoid or minimize resettlement; and d) The mechanisms established to minimize resettlement to the extent possible, during project implementation. iv. Main objectives of the resettlement program. v. Socio-economic survey: Findings of socio-economic studies to be conducted in the early stages of Project preparation and with the involvement of potentially displaced people, including: a) The results of a census survey covering: The current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people for eligibility for compensation and resettlement assistance; Standard characteristics of displaced households The magnitude of the expected loss - total or partial of assets, and the extent of displacement, physical or economic; Information on vulnerable groups or persons, for whom special provisions may have to be made; and 49

50 Provisions to update information on the displaced peoples livelihoods and standards of living at regular intervals b) Other studies describing the following: Land tenure and transfer systems, Including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems, and any issues raised by different tenure systems in the project area; The patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project Public infrastructure and social services that will be affected and Social and cultural characteristics of displaced communities including a description of formal and informal institutions that may be relevant to the consultation strategy and to designing and implementing the resettlement activities vi. Legal framework including: The scope of the power of eminent domain and the nature of compensation associated with it In terms of both the valuation methodology and the timing of payment; The applicable legal and administrative procedures; Relevant laws governing land tenure, valuation of assets and losses, compensation and natural resource usage rights customary personal law related to displacement and * a) Laws and regulations relating to the agencies responsible for implementing resettlement activities: b) Gaps, if any, between local laws in the two countries covering eminent domain and resettlement and the World Banks resettlement policy, and the mechanisms to bridge such gaps and c) Any legal steps necessary to ensure the effective implementation of Resettlement activities under the project. vii. Institutional framework covering: a. The identification of agencies responsible for resettlement activities and NGOs that may have a role in project implementation; b. An assessment of the institutional capacity of agencies and NGOs; and c. Any steps that are proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation. Viii. Grievance Redress Mechanisms Under the grievance redress mechanism, the consultant shall describe the 50

51 options available to PAPs for grievance redress they may have about the process, the identification of eligible people for compensation, the valuing and compensation and any other complaints they may have with the entire process. The RAP shall indicate how these would be disseminated and accessible to them in a way that is clear and comprehensible to the PAPs. The grievance redress mechanism should also have an in-built monitoring mechanism to check on responsiveness to complaints or grievances lodged. The different forms of receiving the complaints should be clearly described together with the different stages of going through the process. In addition, the redress mechanism shall indicate alternatives, in case the proposed mechanism, for any reason, does not respond to all grievances and complaints. ix. Budget and Funding Arrangements The RAP should clearly state the sources of funding for subsequent RAPs, an overall cost estimates for resettlement including for monitoring of the resettlement activities. If there are multiple sites, the RAP should give an indicative budget for resettlement for each of the sites or communities. The financial responsibility of the relevant stakeholders, where applicable, should be categorically stated to avoid ambiguity of source of funds for resettlement activities. These budgets should take into consideration inflationary tendencies X. Monitoring Arrangements The RAP shall provide appropriate mechanism for monitoring the implementation of the resettlement activities. The consultant shall propose current and participatory monitoring methodologies that would involve the PAPs themselves. The roles of different players like the PAPs, civil society, traditional authorities, and local government authorities among others, in the implementation and monitoring process will need to be clarified. The RPF shall develop, as part of this, a template for monitoring with indicators based on the main issues identified and spelt out in the RPF. Xi. Implementation Schedule To avoid confusion with cut-off dates and other time lines especially because compensation will have to be paid prior to commencement of any civil works, it is important for the RPF to set out implementation schedule for the resettlement. Due to the fast track nature of this project, the RPF shall in addition to the implementation schedule identify potential risks that could militate against the smooth implementation of the resettlement actions and suggest plausible mitigation measures to serve as a guide to the client and the team who will be working on the implementation. 51

52 The outline of the Resettlement action plan will be as follows: EXECUTIVE SUMMARY I. BACKGROUND Project Description and Overall Context Rationale for Preparation of the Resettlement Framework Objectives of the Resettlement Framework Potential for Adverse Social Impacts II. INSTITUTIONAL FRAMEWORK Project Organization and Implementation Arrangements Resettlement Planning: Principles and Practices III. LEGAL FRAMEWORK Constitution Laws on Property, Compensation, Expropriation Land Act 2012 IV. ORGANIZATION Implementation Process Grievance Mechanism V. OPERATIONAL PROCEDURES Stakeholder Analysis Institutional Arrangements Project Implementation VI. SOCIO-ECONOMIC BACKGROUND Approach for Identifying Project Affected Persons (PAPs) Creation of Baseline Information on PAPs Social impacts VII. METHODS FOR VALUING ASSETS Organization Procedures Methods for Valuation Entitlement matrix Compensation Schedule VIII. BUDGET AND SOURCES OF FUNDING IX. CONSULTATION AND STAKEHOLDER PARTICIPATION Involving Stakeholders Documenting Consultation and Participation 52

53 X. MONITORING AND EVALUATION Content of Monitoring and Evaluation Program Mechanisms for Monitoring Mechanisms for Evaluation (Internal and External) ANNEXES 1. List of Relevant Institutions 2. Outline of a Sub-Project Resettlement Action Plan 3. List of Methods of Valuation of Assets 4. References 5.0 Obligations of the Client / Facilities to be provided by Client The consultant shall be provided with project document, studies already conducted for the project including ESIA and participatory strategy. The client may also facilitate meeting with stakeholders for the consultant to give legitimacy and support from the key stakeholders. 6.0 Time Frame for the Assignment The assignment shall be completed within six (6) weeks after signing of contract. 7.0 Reporting Format The Consultant is expected to have the following deliverables: (i) Inception Report with detailed work plan and indicators of performance. This will be discussed by consultant, client and other experts to ensure quality of final outcome. Six (6) copies shall be submitted to the client. In addition there shall be an electronic version. This will be delivered one (1) week after signing of contract; (ii) Draft Report this will be circulated for comments and relevant issues raised incorporated into revised version. Three copies shall be submitted to the client. In addition the consultant will provide an electronic version. This will be delivered three (3) weeks after submission of inception report. (iii) Final Report The final report should include a concise Executive Summary and should have all annexes and bibliography and the dissemination/disclosure plan. Six copies will be delivered to the client. This will be delivered two (2) weeks after submission of draft report. 8.0 Payment Schedule a. Submission of Inception Report 20% b. Submission of Draft final Report 40% c. Submission of Final acceptable Report 40% 53

54 SECTION VI: STANDARD FORMS Form 1 Standard Form of Contract Form 2 Letter of Notification of Award Form 3 Confidential Business Questionnaires Form 4 Tender Security Form Form 5 Performance Security Form Form 6 Bank Guarantee for Advance payment Form 7 Litigation History Form RB 1 Public Procurement Administrative Review Form 54

55 FORM 1 REPUBLIC OF KENYA S T A N D A R D F O R M O F C O N T R A C T F O R CONSULTING SERVICES 55

56 CONTENTS Special notes Contract for Consultant s Services iii iv I Form of Contract.. v-vi II General Conditions of Contract vii 1. General Provisions vii-viii 1.1 Definitions. viii 1.2 Law Governing the Contract.. viii 1.3 Language.. viii 1.4 Notices viii 1.5 Location. viii 1.6 Authorized Representatives viii 1.7 Taxes and Duties ix 2. Commencement, Completion, Modification and Termination of Contract ix 2.1 Effectiveness of Contract.. ix 2.2 Commencement of Services.. ix 2.3 Expiration of Contract. ix 2.4 Modification. ix 2.5 Force Majeure. ix Definition.. ix No Breach of Contract.. ix Extension of Time.. x Payments.. x 2.6 Termination. x By the Client x By the Consultant xi Payment upon Termination xi 3. Obligations of the Consultant. xii 3.1 General.. xii 3.2 Conflict of Interests xiii Consultant Not to Benefit from Commissions, Discounts, etc. xiixiii Consultant and Affiliates Not to Be Otherwise Interested in Project. xiii Prohibition of Conflicting Activities xiii 3.3 Confidentiality. xiii 56

57 (i) 3.4 Insurance to be Taken Out by the Consultant xiv 3.5 Consultant s Actions Requiring Client s Prior Approval xv 3.6 Reporting Obligations xv 3.7 Documents Prepared by the Consultant to Be the Property of the Client xv 4 Consultant s Personnel xv 4.1 Description of Personnel xv 4.2 Removal and/or Replacement of Personnel xv 5 Obligations of the Client xvi 5.1 Assistance and Exemptions xvi 5.2 Change in the Applicable Law xvi 5.3 Services and Facilities xvi 6 Payments to the Consultant xvi 6.1 Lump-Sum Remuneration xvi 6.2 Contract Price xvii 6.3 Payment for Additional Services. xvii 6.4 Terms and Conditions of Payment xvii 6.5 Interest on Delayed Payments xvii 7 Settlement of Disputes xvii 7.1 Amicable Settlement xvii 7.2 Dispute Settlement xviii III Special Conditions of Contract xix IV Appendices xxi Appendix A Description of the Services xxi Appendix B Reporting Requirements xxi Appendix C Key Personnel and Sub-Consultants xxi Appendix D Breakdown of Contract Price in Foreign Currency xxi Appendix E Breakdown of Contract Price in Local Currency xxi Appendix F Services and Facilities Provided by the Client xxii (ii) 57

58 Special Notes 1. The Lump-Sum price is arrived at on the basis of inputs including rates provided by the Consultant. The Client agrees to pay the Consultant according to a schedule of payments linked to the delivery of certain outputs, usually reports. Lump-sum contracts have the simplicity of administration, the Client having only to be satisfied with the outputs without monitoring the staff inputs and should be used for large Assignments in for example Design; Engineering; Supervision and Management Services; Master plans; Economic and Feasibility studies; and Surveys. 2. The Contract includes four parts: Form of Contract, the General Conditions of Contract, the Special Conditions of Contract and the Appendices. The Client using this standard contract should not alter the General Conditions. Any adjustment to meet any specific project features should be made only in the Special Conditions. (iii) 58

59 CONTRACT FOR CONSULTANT S SERVICES CONTRACT FOR CONSULTANCY SERVICES FOR RESETTLMENT ACTION PLAN (RAP) FOR THE STANDARD GAUGE RAILWAY (SGR) PHASE 2A NAIROBI- NAIVASHA BETWEEN KENYA RAILWAYS AND (Name of the Consultant) Dated: Day Month Year (iv) 59