Sample Prequalification Documents Under Japanese Oda Loans: Japan International Cooperation Agency (JICA) April 2010
Sample Prequalification Documents Under Japanese Oda Loans: Japan International Cooperation Agency (JICA) April 2010
Foreword
These Sample Prequalification Documents (SPD) have been prepared by Japan International Cooperation Agency (JICA) to facilitate prequalification of bidders for large or complex civil works contracts.1 This is to ensure that only firms with appropriate experience, a proven track record, and necessary annual turnover, which are free of any major pending litigation, will be invited to submit bids. These SPD are to be utilized for the prequalification process for contracts to be procured through International Competitive Bidding (ICB) in projects that are financed in whole or in part with Japanese ODA Loans, and are consistent with the Guidelines for Procurement under Japanese ODA Loans, March 2009. These SPD are based on the structure and the provisions of the Master Procurement Document Prequalification Documents for Procurement of Works issued by the Multilateral Development Banks and International Financial Institutions, except where specific considerations within JICA have required a change.
For industrial plant, custom designed or heavy equipment, and other types of contracts, the text of these SPD should be adapted to the needs of the specific procurement.
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iii
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2.
3. 4.
5.
6.
7.
[Insert name of office] [Insert name of person in charge] [Insert postal address] and/or [Insert street address] [Insert telephone number, indicate country and city code] [Insert facsimile or cable number] [Insert E-mail address]
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Notes
1. [Insert the following if applicable]. This contract will be jointly financed by [insert name of cofinancing agency]. Bidding will be governed by JICAs eligibility rules and procedures. 2. A brief description of the Works or Goods should be provided, including quantities, location of project, and other information necessary to enable potential bidders to decide whether or not to respond to the invitation. Bidding documents may require bidders to have specialized experience or capabilities; such requirements should also be included in this paragraph. Moreover, the information should be provided for each contract slice if prequalification is being invited for more than one contract as a slice and package procurement (multiple contracts), based upon the estimated cost and duration of each slice. In that case, describe the details of each contract and indicate whether applications may be made for prequalification for one or more of the contracts. 3. Insert this paragraph, if applicable. 4. The fee, to defray printing and mailing/shipping costs, should be nominal. 5. The time allowed for preparation and submission of the Prequalification Documents should be sufficient for Applicants to gather all the information required - preferably eight weeks, but in any case not less than six weeks after the date when the documents are available for distribution or the date of the advertisement. This period may be longer for very large projects, where time should be allowed for the formation of joint ventures and assembly of the necessary resources.
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Procurement of
[insert identification of the Works] ____________________________ _______________________________
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Table of Contents
PART 1 Prequalification Procedures....................................................................................... 1 Section I. Instructions to Applicants............................................................................................... 3 Section II. Prequalification Data Sheet......................................................................................... 13 Section III. Qualification Criteria and Requirements ................................................................... 17 Section IV. Application Forms ..................................................................................................... 25 Section V. List of Eligible Countries of Japanese ODA Loans .................................................... 39 PART 2 Works Requirements ................................................................................................ 41 Section VI. Scope of Works.......................................................................................................... 43
Table of Clauses
A. General...................................................................................................................................... 5 1. Scope of Application........................................................................................................ 5 2. Source of Funds................................................................................................................ 5 3. Fraud and Corruption........................................................................................................ 5 4. Eligible Applicants ........................................................................................................... 5 5. Eligible Goods and Related Services ................................................................................ 7 B. Contents of the Prequalification Documents ......................................................................... 7 6. Sections of Prequalification Documents ........................................................................... 7 7. Clarification of Prequalification Documents..................................................................... 7 8. Amendment of Prequalification Documents..................................................................... 8 C. Preparation of Applications .................................................................................................... 8 9. Cost of Applications ......................................................................................................... 8 10. Language of Application .................................................................................................. 8 11. Documents Comprising the Application........................................................................... 8 12. Application Submission Form ......................................................................................... 9 13. Documents Establishing the Eligibility of the Applicant ................................................ 9 14. Documents Establishing the Qualifications of the Applicant .......................................... 9 15. Signing of the Application and Number of Copies.......................................................... 9 D. Submission of Applications ..................................................................................................... 9 16. Sealing and Identification of Applications ...................................................................... 9 17. Deadline for Submission of Applications ........................................................................ 9 18. Late Applications ........................................................................................................... 10 19. Opening of Applications ................................................................................................ 10 E. Procedures for Evaluation of Applications.......................................................................... 10 20. Confidentiality ............................................................................................................... 10 21. Clarification of Applications.......................................................................................... 10 22. Responsiveness of Applications .................................................................................... 10 23. Subcontractors................................................................................................................ 10 F. Evaluation of Applications and Prequalification of Applicants......................................... 11 24. 25. 26. 27. 28. 29. Evaluation of Applications ............................................................................................ 11 Employers Right to Accept or Reject Applications...................................................... 11 Prequalification of Applicants ....................................................................................... 11 Notification of Prequalification ..................................................................................... 11 Invitation for Bids .......................................................................................................... 11 Changes in Qualifications of Applicants ....................................................................... 12
A. General
1. Scope of Application 1.1 In connection with the Invitation for Prequalification indicated in Section II, Prequalification Data Sheet (PDS), the Employer, as defined in the PDS, issues these Sample Prequalification Documents (SPD) to Applicants interested in bidding for the Works described in Section VI, Scope of Works. The reference identification number of the contract, if any, is provided in the PDS. The Borrower indicated in the PDS has applied for or received a Japanese ODA Loan from Japan International Cooperation Agency (hereinafter referred to as JICA), with the number, in the amount, and on the signed date of the Loan Agreement indicated in the PDS, towards the cost of the project named in the PDS. The Borrower intends to apply a portion of the proceeds of the loan to eligible payments under the contract(s) resulting from the bidding for which this prequalification is conducted. Disbursement of a Japanese ODA Loan by JICA will be subject, in all respects, to the terms and conditions of the Loan Agreement, including the disbursement procedures and Guidelines for Procurement under Japanese ODA Loans. No party other than the Borrower shall derive any rights from the Loan Agreement or have any claim to loan proceeds. The above Loan Agreement will cover only part of the project cost. As for the remaining portion, the Borrower will take appropriate measures for finance. It is JICAs policy to require that Bidders and Contractors, as well as Borrowers under contracts funded with Japanese ODA Loans and other Japanese ODA, observe the highest standard of ethics during the procurement and execution of such contracts. In pursuance of this policy, JICA: (a) will reject a proposal for award if it determine that the Bidder recommended for award has engaged in corrupt or fraudulent practices in competing for the contract in question; will recognize a Bidder or Contractor as ineligible, for a period determined by JICA, to be awarded a contract funded with Japanese ODA Loans if it at any time determines that the Bidder or the Contractor has engaged in corrupt or fraudulent practices in competing for, or in executing another contract funded with Japanese ODA Loans or other Japanese ODA.
2. Source of Funds
2.1
2.2
2.3
3.1
(b)
4. Eligible Applicants
4.1
An Applicant may be a single entity or any combination of entities in the form of joint venture or association (JVA) with the formal intent,
as evidenced by a letter of intent, to enter into an agreement or under an existing agreement. In the case of a JVA, (a) unless otherwise specified in the PDS, all partners shall be jointly and severally liable for the execution of the Contract in accordance with the Contract terms, and the JVA shall nominate a Representative who shall have the authority to conduct all business for and on behalf of any and all the partners of the JVA during the prequalification process and, in the event the JVA is prequalified, during the bidding process, and in the event the JVA is awarded the Contract, during contract execution.
(b)
4.2
An Applicant and all partners constituting the Applicant shall be from an eligible source country as listed in Section V, List of Eligible Countries of Japanese ODA Loans. An Applicant shall not have a conflict of interest. All Applicants found to have a conflict of interest shall be disqualified from participating in this prequalification process. An Applicant may be considered to have a conflict of interest with one or more parties in this prequalification process if: (a) an Applicant has been engaged by the Employer to provide consulting services for the preparation related to procurement for or implementation of the project; an Applicant is any of its associates/affiliates (inclusive of parent firms) mentioned in subparagraph (a) above; or an Applicant lends, or temporarily seconds its personnel to firms or organizations which are engaged in consulting services for the preparation related to procurement for or implementation of the project, if the personnel would be involved in any capacity on the same project.
4.3
(b) (c)
4.4
An Applicant shall submit only one application in the same Prequalification process, either individually as an Applicant or as a partner of a JVA. An Applicant who submits, or participates in, more than one application will cause all the applications in which the Applicant has participated to be disqualified. No Applicant can be a subcontractor while submitting an application individually or as a partner of a JVA in the same Prequalification process. A subcontractor in any application may participate in more than one application, but only in that capacity. An Applicant, that has been determined to be ineligible by JICA in accordance with ITA 3, shall not be eligible to be awarded a contract. Applicants shall provide such evidence of their continued eligibility
4.5 4.6
satisfactory to the Employer, as the Employer shall reasonably request. 5. Eligible Goods and Related Services 5.1 All Goods and related services to be supplied under the Contract to be financed by JICA shall have their origin in any country in accordance with Section V, List of Eligible Countries of Japanese ODA Loans.
The Invitation for Prequalification issued by the Employer is not part of the Prequalification Documents. A sample form is provided as an attachment to these Prequalification Documents for information only. The Employer accepts no responsibility for the completeness of the Prequalification Documents and its addenda unless they were obtained directly from the Employer. The Applicant is expected to examine all instructions, forms, and terms in the Prequalification Documents and to furnish all information or documentation required by the Prequalification Documents. General information on the climate, hydrology, topography, access to site, transportation and communications facilities, medical facilities, project layout, expected construction period, and other services and facilities to be provided by the Employer is furnished in Section VI, Scope of Works. A prospective Applicant requiring any clarification of the Prequalification Documents shall contact the Employer in writing at the Employers address indicated in the PDS. The Employer will respond in writing to any request for clarification provided that such
6.3
6.4
6.5
7.1
request is received no later than fourteen (14) days prior to the deadline for submission of applications. The Employer shall forward copies of its response to all Applicants who have acquired the Prequalification Document directly from the Employer including a description of the inquiry but without identifying its source. Should the Employer deem it necessary to amend the Prequalification Document as a result of a clarification, it shall do so following the procedure under ITA 8 and in accordance with the provisions of ITA 17.2. 8. Amendment of 8.1 Prequalification Documents 8.2 At any time prior to the deadline for submission of applications, the Employer may amend the Prequalification Documents by issuing addenda. Any addendum issued shall be part of the Prequalification Documents and shall be communicated in writing to all who have obtained the Prequalification Documents from the Employer. To give prospective Applicants reasonable time to take an addendum into account in preparing their applications, the Employer may, at its discretion, extend the deadline for the submission of applications.
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C. Preparation of Applications
9. Cost of Applications 9.1 The Applicant shall bear all costs associated with the preparation and submission of its application. The Employer shall in no case be responsible or liable for those costs, regardless of the conduct or outcome of the prequalification process.
10.1 The application as well as all correspondence and documents relating to the prequalification exchanged by the Applicant and the Employer, shall be written in the language specified in the PDS. Supporting documents and printed literature that are part of the application may be in another language, provided they are accompanied by an accurate translation of the relevant passages in the language specified in the PDS, in which case, for purposes of interpretation of the application, the translation shall govern. 11.1 The application shall comprise the following: (a) (b) (c) Application Submission Form, in accordance with ITA 12; documentary evidence establishing the Applicants eligibility to prequalify, in accordance with ITA 13; documentary evidence establishing the qualifications, in accordance with ITA 14; and Applicants
(d) 12. Application Submission Form 13. Documents Establishing the Eligibility of the Applicant 14. Documents Establishing the Qualifications of the Applicant 15. Signing of the Application and Number of Copies
12.1 The Applicant shall prepare an Application Submission Sheet using the form furnished in Section IV, Application Forms. This Form must be completed without any alteration to its format. 13.1 To establish its eligibility in accordance with ITA 4, the Applicant shall complete the eligibility declarations in the Application Submission Form and Forms ELI (eligibility) 1.1 and 1.2, included in Section IV, Application Forms. 14.1 To establish its qualifications to perform the contract(s) in accordance with Section III, Qualification Criteria and Requirements, the Applicant shall provide the information requested in the corresponding forms included in Section IV, Application Forms.
15.1 The Applicant shall prepare one original of the documents comprising the application as described in ITA 11 and clearly mark it ORIGINAL. The original of the application shall be typed or written in indelible ink and shall be signed by a person duly authorized to sign on behalf of the Applicant. 15.2 The Applicant shall submit copies of the signed original application, in the number specified in the PDS, and clearly mark them COPY. In the event of any discrepancy between the original and the copies, the original shall prevail.
D. Submission of Applications
16. Sealing and Identification of Applications 16.1 The Applicant shall enclose the original and the copies of the application in a sealed envelope that shall: (a) (b) (c) bear the name and address of the Applicant; be addressed to the Employer, in accordance with ITA 17.1; and bear the specific reference identification number of this prequalification process, if any, indicated in PDS 1.1.
16.2 The Employer will accept no responsibility for not processing any envelope that was not identified as required. 17. Deadline for Submission of Applications 17.1 Applicants may always submit their applications by mail or by hand. Applications shall be received by the Employer at the address and no later than the deadline indicated in the PDS. A receipt will be given for all applications submitted.
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17.2 The Employer may, at its discretion, extend the deadline for the submission of applications by amending the Prequalification Documents in accordance with ITA 8, in which case all rights and obligations of the Employer and the Applicants subject to the previous deadline shall thereafter be subject to the deadline as extended. 18. Late Applications 19. Opening of Applications 18.1 The Employer reserves the right to accept or reject late applications. 19.1 The Employer shall prepare a record of the opening of applications that shall include, as a minimum, the name of the Applicant. A copy of the record shall be distributed to all Applicants.
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Requirements. 23.2 At this time, the Employer does not intend to execute certain specific parts of the Works by subcontractors selected in advance by the Employer (Nominated Subcontractors) unless otherwise stated in the PDS.
26.1 All Applicants, whose applications have been determined to be substantially responsive to the requirements of the Prequalification Documents and who have met or exceeded (passed) the specified threshold criteria, shall be prequalified by the Employer. 27.1 Once the Employer has completed the evaluation of the applications, it shall notify all Applicants in writing of the names of those Applicants who have been prequalified. 28.1 Promptly after the notification of the results of the prequalification, the Employer shall invite bids from all the Applicants that have been prequalified. 28.2 Bidders may be required to provide a Bid Security acceptable to the Employer in the form and an amount to be specified in the Bidding
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Documents, and the successful Bidder shall be required to provide a Performance Security to be specified in the Bidding Documents. 29. Changes in Qualifications of Applicants 29.1 Any change in the structure or formation of an Applicant after being prequalified in accordance with ITA 26 and invited to bid shall be subject to a written approval of the Employer prior to the deadline for submission of bids. Any such changes shall be submitted to the Employer not later than fourteen (14) days after the date of the Invitation for Bids. Such approval shall be denied if as a consequence of the change; (a) the prequalified Applicant, after the change, no longer substantially meets the qualification criteria set forth in Section III, Qualification Criteria and Requirements; or in the opinion of the Employer, a substantial reduction in competition may result.
(b)
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A. General
ITA 1.1 [The following may be included and the relevant reference identification number inserted for the Borrowers use for clear distinction of the subject contract from other contracts provided that the contract is to be bid simultaneously with other contracts on a slice and package basis.] The reference identification number of this Invitation for Prequalification is: [insert reference ID number] ITA 1.1 ITA 1.1 The name of the Employer is: [insert name of Employer] [The following text is to be included and the corresponding information inserted only if the contract is to be bid on a slice and package basis. Otherwise omit.] The names, number and identification of the slices/ packages comprising this contract is: [insert names, number and identification of slices/ packages] ITA 2.1 ITA 2.1 The name of the Borrower is: [insert name of Borrower ] The number of the Loan Agreement is [insert Loan Agreement Number] The amount of a Japanese ODA Loan is: [insert amount in Japanese Yen] The signed date of the Loan Agreement is: [insert signed date of Loan Agreement] ITA 2.1 ITA 4.1 (a) The name of the Project is: [insert name of Project] [The following provision should be included and the corresponding information inserted only if partners of a JVA will not be required to be jointly and severally liable. Otherwise omit.] The individuals or firms in a joint venture or association shall not be jointly and severally liable.
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Telephone: [insert telephone number including country and city codes] Facsimile number: [insert fax number including country and city codes] Electronic mail address: [insert E-mail address, if applicable]
C. Preparation of Applications
ITA 10.1 The language of the application as well as of all correspondence is: [insert language, i.e., Japanese or English or Spanish or French] The Applicant shall submit with its application, the following additional documents: [insert list of additional documents, if any] In addition to the original, the number of copies to be submitted with the application is: [insert number of copies]
D. Submission of Applications
ITA 17.1 For application submission purposes only, the Employer's address is: [insert information requested below or insert Employers address is the same as that indicated in 7.1 above] Attention: [insert full name of person in charge, if applicable] Street Address: [insert street address and number] Floor/Room number: [insert floor and room number, if applicable] City: [insert name of city or town] ZIP Code: [insert postal (ZIP) code, if applicable] Country: [insert name of country] Telephone: [insert telephone number including country and city codes] Facsimile number: [insert fax number including country and city codes] Electronic mail address: [insert E-mail address, if applicable] The deadline for application submission is: Date: [insert date] Time: [insert time, and identify if a.m. or p.m. i.e. 10:30 a.m.] [The time allowed for preparation and submission of the Prequalification Documents should be sufficient for Applicants to gather all the information requiredpreferably eight weeks, but in any case not less than six weeks after the
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date when the documents are available for distribution or the date of the advertisement. This period may be longer for very large projects, where time should be allowed for the formation of joint ventures and assembly of the necessary resources.]
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Table of Contents
1. Eligibility .................................................................................................................................. 19 2. Historical Contract Non-Performance ...................................................................................... 20 3. Financial Situation .................................................................................................................... 21 4. Experience................................................................................................................................. 23
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
1. Eligibility
1.1 Nationality Nationality in accordance with ITA Sub-Clause 4.2 Must meet requirement Existing or intended JVA must meet requirement Existing or intended JVA must meet requirement Existing JVA must meet requirement Must meet requirement N/A Forms ELI 1.1 and 1.2, with attachments Application Submission Form
1.2
Conflict of Interest
N/A
1.3
JICA Ineligibility
Not having been declared ineligible by JICA, as described in ITA Sub-Clause 4.5
N/A
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
2.2
Pending Litigation
N/A
N/A
Form CON 2
Notes: 2.1: History of Non-Performing Contracts 1. Number of years should usually be one (1) or two (2). 2.2: Pending Litigation 2. The percentage should be normally within the range of 50% to 100% of an Applicants net worth.
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
3. Financial Situation
3.1 Financial 1 Performance Submission of audited balance sheets or if not required by the law of the Applicants country, other financial statements acceptable to the Employer, for the last [insert number of years in words and figures] 2 years to demonstrate the current soundness of the Applicants financial position and its prospective long term profitability. As the minimum requirement, an Applicants net worth calculated as the difference between total assets and total liabilities should be positive.
3
N/A
N/A
3.2
Minimum average annual construction turnover of US$ [insert amount in US$ equivalent in words 4 and figures] , calculated as total certified payments received for contracts in progress or completed, within the last [insert number of years 5 in words and figures] years.
Notes: 3.1: Financial Performance 1. In contracts for procurement of Works, Bidders will be required at the bidding stage to demonstrate their construction cash flow to verify the soundness and stability of their financial circumstances. The construction cash flow should be calculated by following the procedure below, and the requirement clearly indicated by the Employer at the bidding stage: Indicate the construction cash flow for a number of months (to the nearest half-month), determined as the total time needed by the Employer to pay a contractor's invoice, allowing for (a) the actual time consumed for construction, from the beginning of the month invoiced, (b) the time needed by the Engineer to issue the monthly payment certificate, (c) the time needed by the Employer to pay the amount certified, and (d) a contingency period of one month to allow
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
for unforeseen delays. The total period should not exceed six (6) months. The assessment of the monthly amount should be based on a straight-line projection of the estimated cash flow requirement, over the particular contract period, neglecting the effect of any advance payment and retention monies, but including contingency allowances in the estimated contract cost. 2. Time period usually specified is five (5) years; it may be reduced to three (3) years minimum (in agreement with JICA) under special country circumstances, such as to provide opportunity for a newly privatized construction industry with limited period of existence, but with suitable experience, etc. Firms owned by individuals and partnerships may not be required to maintain audited balance sheets by the laws of their countries of origin; in such cases, the Employer may relax the audit requirement, but should request other acceptable financial statements. 3. The financial information provided by an Applicant should be reviewed in its entirety to allow a truly informed judgment, and the pass-fail decision on the financial position of the Applicant should be given on this basis. Any abnormal features which may lead to financial problems should alert the Employer to seek expert professional advice for further review and interpretation. 3.2: Average Annual Construction Turnover 4. The amount stated should normally not be less than twice the estimated annual turnover in the proposed Works contract (based on a straight-line projection of the Employers estimated cost, including contingencies, over the contract duration). The multiplier of 2 may be reduced for very large contracts but should not be less than 1.5. 5. The time period is normally five (5) years or more, but may be reduced to not less than three (3) years (in agreement with JICA) under special country circumstances, such as to provide opportunities for a newly privatized construction industry with only a short record of experience, etc. 6. usually 25% of the requirement for each partner of a joint venture 7. usually 40% of the requirement for one partner of a joint venture
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
4. Experience
4.1 General Construction Experience Experience under construction contracts in the role of contractor, management contractor, or 1 subcontractor, for at least the last [insert number of years in words and 2 figures] years prior to the application submission deadline, and with activity in at least nine (9) months in each year. Experience exclusively in the role of prime contractor, in at least [insert 3 number of contracts] contracts within the last [insert number of years 4 in words and figures] years, that have been successfully and substantially completed and that are similar to the proposed Works. The similarity shall be based on the physical size, complexity, methods/technology or other characteristics as described in Section VI, Scope of Works. For the above or other contracts executed during the period stipulated in 4.2 (a) above, a minimum construction experience, as prime contractor, management contractor, or subcontractor, in the following key 5 activities: [list activities] (1) _________ (2) _________ Must meet requirement N/A Must meet requirement N/A Form EXP 4.1
4.2 (a)
N/A
N/A
4.2 (b)
N/A
N/A
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Compliance Requirements Joint Venture or Association All Partners Combined Each Partner At Least One Partner
(3) _________ Notes: 4.1: General Construction Experience 1. A management contractor is a firm which takes on the role of contract management as a general contractor of sort could do. It does not normally perform directly the construction work(s) associated with the contract. Rather, it manages the work of other (sub) contractors while bearing full responsibility and risk for price, quality, and timely performance of the work contract. 2. The time period is normally five (5) years or more, but may be reduced to not less than three (3) years (in agreement with JICA) under special country circumstances, such as to provide opportunities for a newly privatized construction industry with only a short record of experience. 3. The range of contract numbers should be one (1) to three (3), depending on the size and complexity of the subject contract, the exposure of the Employer to risk of contractor default, and country conditions. 4. The time range is normally five (5) years, and over a period of ten (10) years for large-scale projects. 4.2: Specific Construction Experience 5. List an annual production rate for the key construction activity (or activities) in the proposed contract or Works, e.g., (1) X cubic meters off rock placed in rockfill dams in one year; (2) Y tons of asphalt concrete per month placed in road paving; (3) Z cubic meters of concrete placed per etc. The rates should be about 80% of the estimated production rate of the key activity (or activities) in the contract or Works as needed to meet the expected construction schedule with due allowance for adverse climatic conditions.
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(b)
(c)
(d)
(e)
Signed [insert signature(s) of an authorized representative(s) of the Applicant] Name [insert full name of person signing the application] In the capacity of [insert capacity of person signing the application] Duly authorized to sign the application for and on behalf of:
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Applicants name [insert full name of Applicant] Address [insert street number/town or city/country address] Dated on [insert day number] day of [insert month], [insert year]
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29
30
Form CON 2
[insert [insert amount Contract Identification: [indicate complete contract year] and percentage] name, number, and any other identification] Name of Employer: [insert full name] Address of Employer: [insert street/city/country] Reason(s) for non performance: [indicate main reason(s)]
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2. Pending Litigation Pending Litigation No pending litigation in accordance with Section III, Qualification Criteria and Requirements, Sub-Factor 2.2. Pending litigation in accordance with Section III, Qualification Criteria and Requirements, Sub-Factor 2.2 as indicated below. Year Outcome as Percentage of Net Worth [insert percentage] Contract Identification Total Contract Amount (current value, US$ equivalent) [insert amount]
[insert year]
Contract Identification: [indicate complete contract name, number, and any other identification] Name of Employer: [insert full name] Address of Employer: [insert street/city/country] Matter in dispute: [indicate main issues in dispute]
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Financial Situation
[ The following table shall be filled in for the Applicant and for each partner of a Joint Venture]
Date: [insert day, month, year] Applicants Legal Name: [insert full name] Applicants Party Legal Name: [insert full name] Reference ID No.: [insert number, if any] Page [insert page number] of [insert total number] pages 1. Financial data Historic Information for Previous [insert number] years, [insert in words] (US$ Equivalent) Year 1 Year 2 Year 3 Year Year n
Information from Balance Sheet Total Assets (TA) Total Liabilities (TL) Net Worth (NW) Current Assets (CA) Current Liabilities (CL) Information from Income Statement Total Revenue (TR) Profits Before Taxes (PBT) Profits After Taxes (PAT)
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2. Financial documents The Applicant and its partners shall provide copies of the balance sheets and/or financial statements for [number] years pursuant to Section III, Qualifications Criteria and Requirements, Sub-factor 3.1. The financial statements shall: (a) reflect the financial situation of the Applicant or partner to a JV, and not sister or parent companies. (b) be audited by a certified accountant. (c) be complete, including all notes to the financial statements. (d) correspond to accounting periods already completed and audited (no statements for partial periods shall be requested or accepted). Attached are copies of financial statements (balance sheets including all related notes, and income statements) for the [number] years, as indicated above, and complying with the requirements.
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Average Annual Construction Turnover * * Average Annual Construction Turnover calculated as total certified payments received for work in progress or completed, divided by the number of years specified in Section III, Qualification Criteria and Requirements, Sub-Factor 3.2.
35
[indicate [indicate Contract name: [insert full name] month/ month/ Brief description of the Works performed by the year] year] Applicant: [describe Works performed briefly] Name of Employer: [indicate full name] Address: [indicate street/number/town or city/country]
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[insert full name] [indicate street / number / town or city / country] [insert telephone/fax numbers, including country and city area codes] [insert E-mail address, if available]
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38
Total Contract Amount If partner in a JV or subcontractor, specify participation of total contract amount Employers Name: Address: Telephone/Fax Number: E-mail: 2. Activity No. (2) _____ 3. Activity No. (3) _____
[insert total contract amount in US$] [insert a percentage amount [insert total contract amount in US$]
[insert full name] [indicate street / number / town or city / country] [insert telephone/fax numbers, including country and city area codes] [insert E-mail address, if available]
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44
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2. Construction Period
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