01 stds - pqds major works_final draft

8/10/2019 01 STDs - PQDs Major Works_Final Draft

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STANDARD PRE-QUALIFICATION DOCUMENT

FOR

THE PROCUREMENT OF WORKS(MAJOR CONTRACTS)

Public Procurement Authority

Accra, Ghana

[Insert Title of Project]

Pre-qualification Ref: [Insert Reference]

Issue Date: [Insert Date]


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Letter of Invitation for Pre-Qualification

[ Insert pro ject name]

Ref: [ Insert reference]

1. This invitation for Pre-Qualification follows the General Procurement Notice thatappeared in [ insert media used] and was posted on the Public Procurement Authority(PPA) website www.ppaghana. gov.gh.

2. [insert full name of Employer] now invites Applications for Pre-qualification for [insertproject name].

3. As per the guidance in the Instructions to Applicants, in order to Pre-Qualify Applicantsmust demonstrate sufficient capacity to undertake the construction of the Works. [Insertname of Employer]intends to solicit tenders for [insert project name].

5. [insert name of Employer]will issue Tender Documents to those Pre-Qualified tenderersthat demonstrate sufficient capacity to implement the Works. It is expected thatInvitations for Tenders for [insert project name]will be issued in [insert date].

6. Pre-qualification will be conducted through pre-qualification procedures described in thisPre-qualification for Works Document (PQW) as set out in the PPA guidelines.

7. An electronic copy of the Pre-qualification Document (PQD) in English language may bedownloaded from the PPA website. Prospective contracting firms interested in submittingApplications for pre-qualification should submit an e-mail with a request letter attachedgiving full contact details of their firm to [insert email address(es)]

8. Applications for Pre-Qualification must be submitted in sealed envelopes, delivered to theaddress below by [insert date and time].Applications received after this time and dateshall not be considered and shall be returned unopened.

9. Each Application must be clearly marked Pre-Qualification Application for [insert projecttitle].

[Insert Full Address of Employer]


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Contents

PART 1 Pre-qualification Procedures ....................................................................... 1

Section I. Instructions to Applicants ........................................................................... 1

Section II. Pre-Qualification Data Sheet ................................................................... 11

Section III. Qualification Criteria and Requirements .................................................. 13

Section IV. Application Forms .................................................................................... 26

PART 2 Works Requirements .................................................................................. 44

Section V. Scope of Works ....................................................................................... 45


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PART 1 Pre-qualification Procedures


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Section I. Instructions to Applicants 1

Section I. Instructions to Applicants

Table of Clauses

A.

General ................................................................................................................. 3

1. Scope of Application............................................................................................ 3

2. Source of Funds................................................................................................... 3

3. Corrupt and Fraudulent Practice............................................................................... 3

4. Eligible Applicants................................................................................................ 3

5. Eligible Materials, Equipment, and Services.................................................... 5

B. Contents of the Pre-Qualification Document ........................................................ 6

6.

Sections of Pre-qualification Document..................................................... 6

7. Clarification of Pre-qualification Document...................................................... 6

8. Amendment of Pre-qualification Document..................................................... 6

C. Preparation of Applications ................................................................................... 7

9. Cost of Applications............................................................................................. 7

10. Language of Application...................................................................................... 7

11. Documents Comprising the Application............................................................ 7

12.

Application Submission Form............................................................................. 7

13. Documents Establishing the Eligibility of the Applicant.................................. 7

14. Documents Establishing Qualifications of the Applicant................................ 7

15. Signing of the Application and Number of Copies.......................................... 7

D. Submission of Applications ................................................................................... 7

16. Sealing and Identification of Applications......................................................... 7

17. Deadline for Submission of Applications.......................................................... 8

18. Late Applications.................................................................................................. 8

19. Opening of Applications...................................................................................... 8

E. Procedures for Evaluation of Applications ............................................................ 8

20. Confidentiality....................................................................................................... 8

21. Clarification of Applications................................................................................. 8

22. Responsiveness of Applications........................................................................ 8

23. Margin of Preference........................................................................................... 8

24. Subcontractors...................................................................................................... 8


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F. Evaluation of Applications and Pre-qualification of Applicants ............................. 9

25. Evaluation of Applications........................................................................................ 9

26. Employers Right to Accept or Reject Applications......................................... 9

27. Pre-qualification of Applicants............................................................................ 9

28. Notification of Pre-qualification.......................................................................... 9

29. Invitation to Tender.............................................................................................. 9

30. Changes in Qualifications of Applicants........................................................... 9

31. Validity of Pre-qualification............................................................................... 10

32. Pre-qualification Inquiries.................................................................................. 10

33. Pre-qualification Challenge............................................................................... 10


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Section I. Instructions to Applicants

A. General

1. Scope of

Application

1.1 In connection with the Invitation for Pre-qualification indicated in

Section II, Pre-qualification Data Sheet (PDS), the Employer, asdefined in the PDS, issues this Pre-qualification Document (PQD)to Applicants interested in tendering for the works described inSection V, Scope of Works. The number of contracts, the nameand identification of each contract, and the number correspondingto this pre-qualification, are provided in the PDS.

2. Source of Funds 2.1 The Procurement Entity (hereinafter referred to as the Employer)named in the PDS intends to apply a part of its budgetaryallocation to payments under the contract(s) for which thisprequalification is issued.

3. Corrupt andFraudulentPractice

3.1 It is the policy of the Government of Ghana to require thatProcurement Entities as well as tenderers/Suppliers/Contractors

under contracts financed from the public funds of the Republic ofGhana observe the highest standard of ethics during the procurementand execution of such contracts. In pursuance of this policy, thePublic Procurement Authority:

a) defines, for the purposes of this provision, the terms set forthbelow as follows:

i) corrupt practice means the offering, giving, receiving, orsoliciting of anything of value to influence the action of a publicofficial in the procurement process or in contract execution;and

ii) fraudulent practice means a misrepresentation of facts inorder to influence a procurement process or the execution of acontract to the detriment of the Borrower, and includescollusive practices among tenderers (prior to or after tendersubmission) designed to establish tender prices at artificial,non-competitive levels and to deprive the Borrower of thebenefits of free and open competition

b) or the appropriate Tender Review Board will not accept aProcurement Entitys proposal for award if it determines thatthetenderer recommended for award has engaged in corrupt orfraudulent practices in competing for the contract in question; and

c) will declare a firm ineligible, either indefinitely or for a statedperiod of time, to be awarded a contract financed from the Publicfunds of Ghana if it at any time determines that the firm hasengaged in corrupt or fraudulent practices in competing for, or inexecuting, such a contract.

4. EligibleApplicants

4.1 An Applicant shall be a natural person, private entity, government-owned legal entity, subject to ITA 4.5, or any combination of suchentities supported by a letter of intent to enter into an agreementor under an existing agreement in association in the form of a jointventure (JV) or a consortium. In these cases, (i) all partners shallbe jointly and severally liable, and (ii) the limit on the number ofpartners, if any, shall be specified in the PDS.


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4.2 The eligibility criteria listed in this Clause 4 shall apply to theApplicant, including the parties constituting the Applicant (i.e., itsproposed partners, subcontractors or suppliers for any part of thecontract including related services).

4.3 An Applicant may have the nationality of any country, subject to therestrictions specified in the paragraphs below. An Applicant shall

be deemed to have the nationality of a country if the Applicant is acitizen, or is constituted, incorporated, or registered in, and operatesin conformity with the provisions of the laws of that country, asevidenced by its Articles of Incorporation or Documents ofConstitution, and its Registration Documents.

4.4 Applicants and all parties constituting the Applicant shall not have aconflict of interest. All Applicants found to have a conflict ofinterest shall be disqualified. Applicants shall be considered tohave a conflict of interest with one or more parties in this pre-qualification process, if:

(a) they have at least one controlling partner in common; or

(b)they have the same legal representative for purposes of thispre-qualification; or

(c) they have a relationship with each other, directly or throughcommon third parties, that puts them in a position to haveaccess to information about or influence on the pre-qualification of another Applicant, or influence the decisions ofthe Employer regarding this pre-qualification process; or

(d)they participate in more than one Application in this pre-qualification process; participation by an Applicant in morethan one Application will result in the disqualification of all

Applications in which the party is involved; however, thisprovision does not limit the inclusion of the samesubcontractor in more than one Application; or

(e) they are, or have been associated in the past, with a firmwhich has been engaged to provide consulting services for thepreparation of the design, specifications, or other documentsto be used for the performance of the works that are thesubject of this pre-qualification; or

(f) they or any of their affiliates have been hired (or are proposedto be hired) by the Employer as Engineer for the works inquestion; or

(g)they have a business or family relationship with a member ofthe Employers board of directors or staff who is directly orindirectly involved in any part of (i) the preparation of thesePre-Qualification Documents, (ii) the pre-qualification selectionprocess, or (iii) supervision of the contract, unless the conflictstemming from this relationship has been resolved in amanner acceptable to the Employer.

(h)Applicants have an obligation to disclose any situation ofactual or potential conflict that impacts their capacity to servethe best interest of the Employer, or that may reasonably beperceived as having this effect. Failure to disclose saidsituations may lead to the disqualification of the Applicant ortermination of the contract.


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4.5 Government-owned entities in the Employers country mayparticipate only if they can establish that they (i) are legally andfinancially autonomous, (ii) operate under commercial law, and (iii)are not a dependent agency of the Employer.

4.6 Applicants and their associates and personnel shall not be anyperson or firm under a declaration of ineligibility for fraud and

corruption in accordance with ITA 3.1 above or that has beendeclared ineligible for participation in a procurement in accordancewith Sub-Clause 3.1 (c). This would also remove from eligibility forparticipation in a procurement any firm that is organized in or hasits principal place of business or a significant portion of itsoperations in any country that is subject to sanction or restrictionby law or official regulation of the Republic of Ghana. The PublicProcure Authority maintains a list of countries from whichtenderers, goods, and services are not eligible to participate inprocurement financed with the public funds of the republic ofGhana. The list is regularly updated and can be obtained from theoffices of the Public Procurement Authority in Accra and on their

website: www.ppaghana.org. However, the countries subject tothese sanctions and restrictions are subject to change from time totime and it is necessary to refer to the web sites above for themost current listing of sanctioned and restricted countries.

4.7 An Applicant not otherwise made ineligible for a reason describedin ITA 4.6 shall be excluded if:

(a) as a matter of law or official regulation, the Governmentprohibits commercial relations with the country of theApplicant, its associates or their personnel;

(b) by an act of compliance with a decision of the United NationsSecurity Council taken under Chapter VII of the Charter of the

United Nations, the Government prohibits any import of goodsfrom the country of the Applicant, its associates or theirpersonnel or any payments to persons or entities in suchcountry; or

(c) such Applicant, its associates, subcontractors or theirrespective personnel are otherwise deemed ineligible by PPApursuant to any policy or guidance that may, from time to time,be in effect as posted on the PPA website atwww.ppaghana.gov.gh.

4.8 Applicants and all parties constituting the Applicant shall provide suchevidence of their continued eligibility in a manner satisfactory to

Employer, as it shall reasonably request.5. Eligible Materials,

Equipment, andServices

5.1 The materials, equipment and services to be supplied under thecontract and financed by the Employer may have their origin inany country subject to the same restrictions specified forApplicants and their associates and personnel set forth in ITA 4.6and 4.7.

5.2 For purposes of ITA 5.1 above, origin means the place where thematerials and equipment are mined, grown, produced,manufactured or processed, and from which the services areprovided. Materials and equipment are produced when, throughmanufacturing, processing, or substantial or major assembling of

components, a commercially recognized product results thatdiffers substantially in its basic characteristics or in purpose or
http://www.ppaghana.gov.gh/http://www.ppaghana.gov.gh/


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utility from its underlying components.

5.3 The origin of materials, equipment and services is distinct from thenationality of the Applicant.

B. Contents of the Pre-Qualification Document

6. Sections ofPre-qualificationDocument

6.1 The document for the Pre-Qualification of Applicants (hereinaftercalled Pre-Qualification Document) consists of parts 1 and 2 whichcomprise all the Sections indicated below, and should be read inconjunction with any amendment issued in accordance with ITA 8.

PART 1 Pre-Qualification Procedures

Section I. Instructions to Applicants (ITA)

Section II. Pre-Qualification Data Sheet (PDS)

Section III Qualification Criteria and Requirements

Section IV. Application Forms

PART 2 Works Requirements

Section V. Scope of Works

The Invitation for Pre-Qualification issued by the Employer is notpart of the Pre-Qualification Document.

6.2 Employer accepts no responsibility for the completeness of thePre-qualification Document and its addenda unless they wereobtained directly from Employer.

6.3 The Applicant is expected to examine all instructions, forms, and termsin the Pre-qualification Document and to furnish all information ordocumentation required by the Pre-qualification Document. Failureto provide all the information or documentation as requested may

lead to the rejection of the Application at the discretion ofEmployer.

7. Clarification ofPre-qualificationDocument

7.1 A prospective Applicant requiring any clarification of the Pre-qualification Document shall contact Employer in writing at theEmployers address indicated in the PDS. Employer shall respondin writing to any request for clarification, provided that such requestis received no later than the number of days indicated in the PDSpriorto the deadline for submission of Applications. Employer shallrespond within the time period specified in the PDS. Copies of theEmployers response shall be forwarded to all prospectiveApplicants, without identifying its source. The response shall beposted on the Employerswebsite, including a description of the

inquiry, but without identifying its source. Should Employer deem itnecessary to amend the Pre-qualification Document as a result of aclarification, it shall do so following the procedure under ITA 8 andin accordance with the provisions of ITA 17.2.

8. Amendment ofPre-qualificationDocument

8.1 At any time prior to the deadline for submission of Applications,Employer may amend the Pre-qualification Document by issuingaddenda.

8.2 Any addendum issued shall be part of the Pre-qualificationDocument and shall be forwarded to prospective Applicants whohave contacted the Employer and shall also be posted onEmployerswebsite.

8.3 To give prospective Applicants reasonable time to take anaddendum into account in preparing their Applications, Employer


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may, at its discretion, extend the deadline for the submission ofApplications.

C. Preparation of Applications

9. Cost ofApplications

9.1 The Applicant shall bear all costs associated with the preparation andsubmission of its Application. Employer will, in no case, be

responsible or liable for those costs, regardless of the conduct oroutcome of the pre-qualification process.

10. Language ofApplication

10.1 The Application, as well as all correspondence and documentsrelating to the Application exchanged by the Applicant and theEmployer, shall be written in English and, at the discretion of theEmployer, in another language if so specified in the PDS.Supporting documents and printed literature that are part of theApplication may be in another language provided they areaccompanied by an accurate translation of the relevant passagesin English, in which case, for purposes of interpretation of theApplication, the English version shall govern.

11. DocumentsComprising theApplication

11.1 The Application shall comprise the following:(a) Application Submission Form, in accordance with ITA 12;

(b) documentary evidence establishing the Applicantseligibility to pre-qualify, in accordance with ITA 13;

(c) documentary evidence establishing the Applicantsqualifications, in accordance with ITA 14.

12. ApplicationSubmission Form

12.1 The Applicant shall prepare an Application Submission Sheetusing the form furnished in Section IV, Application Forms. ThisForm must be completed without any alteration to its format.

13. Documents

Establishing theEligibility of theApplicant

13.1 To establish its eligibility in accordance with ITA 4, the Applicant

shall complete the eligibility declarations in the ApplicationSubmission Form and Forms ELI (eligibility) 1.1 and 1.2, included inSection IV, Application Forms.

14. DocumentsEstablishingQualifications ofthe Applicant

14.1 To establish its qualifications to perform the contract(s) inaccordance with Section III, Qualification Criteria andRequirements, the Applicant shall provide the informationrequested in the corresponding Information Sheets included inSection IV, Application Forms.

15. Signing of theApplication andNumber of Copies

15.1 The Applicant shall prepare one original of the documentscomprising the Application as described in ITA 11 and clearlymark it ORIGINAL . The original of the Application shall be typedor written in indelible ink and shall be signed by a person dulyauthorized to sign on behalf of the Applicant.

15.2 The Applicant shall submit copies of the signed originalApplication, in the number specified in the PDS, and clearly markthem COPY. In the event of any discrepancy between the originaland the copies, the original shall prevail.

D. Submission of Applications

16. Sealing andIdentification ofApplications

16.1 The Applicant shall enclose the original and the copies of theApplication in a sealed envelope that shall:

(a) bear the name and address of the Applicant;

(b) be addressed to Employer, in accordance with ITA 17.1; and

(c) bear the specific identification of this pre-qualification


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process indicated in the PDS.

16.2 The Employer will accept no responsibility for not processing anyenvelope that was not identified as required.

17. Deadline forSubmission of

Applications

17.1 Applicants shall submit their Applications by mail or by courier orby hand. Applications shall be received by Employer at the

address and no later than the deadline indicated in the PDS.Applicants shall have the option of submitting their Applicationelectronically if so specified in the PDS. A receipt will be given forall Applications submitted.

17.2 The Employer may, at its discretion, extend the deadline for thesubmission of Applications by amending the Pre-qualificationDocument in accordance with ITA 8, in which case all rights andobligations of Employer and the Applicants subject to the previousdeadline shall thereafter be subject to the deadline as extended.

18. Late Applications 18.1 Any Application received by Employer after the deadline forsubmission of Applications prescribed in accordance with ITA 17 willbe treated as indicated in the PDS.

19. Opening ofApplications

19.1 The Applications shall NOT be publicly opened.

E. Procedures for Evaluation of Applications

20. Confidentiality 20.1 Information relating to the evaluation of Applications, andrecommendation for pre-qualification, shall not be disclosed toApplicants or any other persons not officially concerned with suchprocess until the notification of pre-qualification is made to allApplicants.

20.2 From the deadline for submission of Applications to the time ofnotification of the results of the pre-qualification in accordance with

ITA 28, any Applicant that wishes to contact Employer on anymatter related to the pre-qualification process, may do so but onlyin writing.

21. Clarification ofApplications

21.1 To assist in the evaluation of Applications, Employer may, at itsdiscretion, ask any Applicant for a clarification of its Applicationwhich shall be submitted within a reasonable period of time statedin the request for such clarification. Any request for clarification andall clarifications shall be in writing.

21.2 If an Applicant does not provide clarifications of the informationrequested by the date and time set in Employers request forclarification, its Application may be rejected.

22. Responsivenessof Applications

22.1 Employer may reject any Application which is not responsive to therequirements of the pre-qualification document.

23. Margin ofPreference

23.1 A margin of preference for domestic Applicants shall be asspecified in the PDS.

24. Subcontractors 24.1 Applicants planning to subcontract any of the key activitiesindicated in Section III, Qualification Criteria and Requirements,shall specify the activity(ies) or parts of the works to besubcontracted in the Application Submission Form. Applicantsshall clearly identify the proposed specialist subcontractors inForms ELI-1.2 and EXP (experience)-4.2(b) in Section IV. Suchproposed specialist subcontractor(s) shall meet the corresponding

qualification requirements specified in Section III, QualificationCriteria and Requirements.


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Since the pre-qualification process involves the approval of theentire team, the Applicant shall not be allowed to replace itssubcontractor(s) after the pre-qualification. However, a pre-qualified Applicant would be permitted to introduce newsubcontractors at the time of submission of its offer at thediscretion of Employer.

24.2 At this time, Employer does not intend to execute certain specificparts of the Works by subcontractors selected in advance by theEmployer (Nominated Subcontractors) unless otherwise stated inthe PDS.

F. Evaluation of Applications and Pre-qualification of Applicants

25. Evaluation ofApplications

25.1 The Employer shall use the factors, methods, criteria, andrequirements defined in Section III, Qualification Criteria andRequirements to evaluate the qualifications of the Applicants. Theuse of other methods, criteria, or requirements shall not be

permitted. Employer reserves the right to waive minor deviationsin the qualification criteria if they do not materially affect thecapability of an Applicant to perform the contract.

25.2 Only the qualifications of subcontractors that have been identifiedin the Application may be considered in the evaluation of anApplicant. However, the general experience and financialresources of subcontractors may not be added to those of theApplicant for purposes of pre-qualification of the Applicant. Thegeneral experience and financial resources of the partners in aconsortium, joint venture or association shall be evaluated togetheras the joint and several liability partners.

25.3 In case of multiple contracts, Employer shall pre-qualify eachApplicant for the maximum number and types of contracts forwhich the Applicant meets the appropriate aggregaterequirements of such contracts, as specified in Section III,Qualification Criteria and Requirements, and in the PDS.

26. Employers Rightto Accept orRejectApplications

26.1 The Employer reserves the right to accept or reject anyApplication, and to annul the pre-qualification process and rejectall Applications at any time, without thereby incurring any liabilityto Applicants.

27. Pre-qualificationof Applicants

27.1 All Applicants whose Applications have met or exceeded(passed) the specified threshold requirements will, to theexclusion of all others, be pre-qualified by Employer.

28. Notification ofPre-qualification

28.1 Once Employer has completed the evaluation of the Applications, itshall notify all Applicants in writing of the names of those Applicantswho have been pre-qualified. The list of pre-qualified Applicants shallalso be posted in the Employerswebsite.

29. Invitation toTender

29.1 Employer shall invite tenders from all of the Applicants that havebeen pre-qualified.

29.2 Tenderers shall be required to provide a Tender Securityacceptable to Employer in the form and an amount to be specifiedin the Tender Documents. The successful Tenderer shall berequired to provide a Performance Security to be specified in theTender Documents.

30. Changes inQualifications of

30.1 Any change in the structure or formation of an Applicant afterbeing pre-qualified in accordance with ITA 27 and invited to bid


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Applicants shall be subject to a written approval of the Employer prior to thedeadline for submission of Tenders. Such approval shall bedenied if, as a consequence of the change, the Applicant nolonger substantially meets the qualification criteria set forth inSection III, Qualification Criteria and Requirements, or if in theopinion of Employer, a substantial reduction in competition may

result. Any such changes shall be submitted to Employer not laterthan 14 days after the date of the Invitation for Tenders.

31. Validity of Pre-qualification

31.1 The pre-qualification through this procurement process shall bevalid for tenders related to sectors indicated in the PDSwithin thenumber of months indicated in the PDS.The Employer shall makeits best effort to initiate the tendering process within this period.The Employer makes no guarantee that any tender shall be issuedduring this period, and shall not be liable for any costs to anyApplicant if no tenders are issued. Thereafter, all pre-qualificationswill expire and a new pre-qualification process may be conducted.

32. Pre-qualificationInquiries

32.1 If after notification of pre-qualification, any unsuccessful Applicantwishes to ascertain the reasons on which its Application was not

pre-qualified, it should address its request to Employer after suchnotification at the address indicated in the PDS. No later than 5working days after receipt of the request, Employer shall respondeither in writing and/or in a debriefing meeting at the option ofEmployer. The requesting Applicant shall bear all the costs ofattending such a debriefing.

33. Pre-qualificationChallenge

33.1 Any pre-qualification challenges resulting from any unsuccessfulApplicant claiming to have suffered loss or injury due to a breachof duty by the Employer under the Procurement Guidelines shallbe subject to PPAs tender challenge process in accordance withprovisions in the PPA Act 2003, Act 663.


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Section II. Pre-qualification Data Sheet 11

Section II. Pre-Qualification Data Sheet

A. General

ITA 1.1 The Employer is:

[ Insert Ful l Name and Address o f Employ er]

ITA 1.1 [indicate complete contract name, number, and any other identification]

Contract Description:

[ Insert brief descript ion o f project]

ITA 4.1 (i) JV/Consortium: Entities forming the JV shall include not more than [ insertnumber]construction firms.

B. Contents of the Pre-qualification Document

ITA 7.1 For clarification purposes-:

[insert Employers Add ress]

ITA 7.1 Requests for Clarification shall be received by the Employer not later than[ ins ert date]and the Employer shall respond no later than [ insert date andt ime].

C. Preparation of Applications

ITA 10.1 The language of the Application as well as of all correspondence is English.

ITA 15.2 In addition to one original in English, the number of copies to be submitted withthe Application is: [ insert number]copies in English.

English versions of the submission shall also be provided on a CD in PDFformat.

D. Submission of Applications

ITA 16.1(c) The specific identification of the Pre-Qualification process is as follows:[ insert specif ic ident i f icat ion]

ITA 17.1 Date and Time of Submission is [ insert date and t ime].

For Application submission purposesonly, to:

[ insert ful l address of Employer]

ITA 17.1 [indicate whether or not provision will be made for electronic submission]

ITA 18.1 Late Applications shall be declared late, rejected and returned unopened to the

Applicants.

E. Procedures for Evaluation of Applications

ITA 24.2 At this time, the Employer may select Nominated Sub-Contractors for suchworks as:

[specify]

ITA 25.3 Applicants shall be evaluated for [specify] only.

ITA 31.1 Pre-Qualification through this process shall be valid for tenders related to [insertname of p roject].

This Pre-Qualification is valid until [ ins ert date].


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Section II. Pre-qualification Data Sheet 12

ITA 32.1 For inquiry purposes only, to:

[ insert address and con tact detai ls of Emp loyer]


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Section III. Qualification Criteria and Requirements 13

Section III. Qualification Criteria andRequirements

This Section contains all the methods, criteria, and requirements that the Employershall use toevaluate Applications. The information to be provided in relation to each requirement and thedefinitions of the corresponding terms are included in the respective Application Forms.

Contents

1. Eligibility ........................................................................................................... 14

2. Historical Contract Non-Performance ............................................................ 16

3. Financial Situation ............................................................................................ 17

5. Contractor Organization and Key Personnel ................................................. 24

6. Key Equipment: Estimated Minimum Requirements ..................................... 25


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Eligibility and Qualification Criteria Compliance Requirements Documentation

No. Subject Requirement Single Entity

Joint Venture/Consortium

SubmissionRequirementsAll Parties

CombinedEach Partner One Partner

1. Eligibility

1.1 Nationality Nationality in accordancewith ITA Sub-Clause 4.3

Must meetrequirement

Existing orintendedJV/Consortiummust meetrequirement


N/A Forms ELI1.1and 1.2, withattachments

1.2 Conflict ofInterest

No conflicts of interest perITA Sub-Clause 4.4


Existing orintendedJV/Consortiummust meetrequirement


N/A ApplicationSubmission Form

1.3 Ineligibility Not having been declaredineligible by MCC, asdescribed in ITA Sub-Clause 4.6 and ITA Sub-Clause 3.1(c)


ExistingJV/Consortiummust meetrequirement


N/A ApplicationSubmission Form

1.4 GovernmentOwned Entity

Applicant required to meetconditions of ITA Sub-Clause 4.5






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1.5 United Nationsresolution orlocal

governmentlaw

Not having been excludedas a result of theGovernment of Ghana laws

or official regulations, or byan act of compliance withUN Security Councilresolution, in accordancewith ITA 4.7






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2. Historical Contract Non-Performance

2.1 History of

Non-PerformingContracts

Non-performance of a

contract did not occur withinthe last five years (5) priorto the deadline forApplication submissionbased on all information onfully settled disputes orlitigation. A fully settleddispute or litigation is onethat has been resolved inaccordance with theDispute ResolutionMechanism under therespective contract andwhere all appeal instancesavailable to the applicanthave been exhausted.

Must meet

requirement byitself, includingas partner topast or existingJV/Consortium

N/A Must meet

requirement byitself or aspartner to pastor existingJV/Consortium

N/A Form CON-2

2.2 PendingLitigation All pending litigation shall intotal not represent morethan 10% (ten percent) ofthe Applicants net worthand shall be treated asresolved against theApplicant.

Must meetrequirement byitself or as apartner to pastor existingJV/Consortium

N/A Must meetrequirement byitself or as apartner to pastor existingJV/Consortium

N/A Form CON2


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3. Financial Situation

3.1 Financial

Performance

Submission of audited

financial statements,including balance sheetsand income statements or,if not required by the lawsof Applicants country, otherfinancial statementsacceptable to Employer, forthe last five (5) years todemonstrate the currentsoundness of Applicantsfinancial position and itsprospective long termprofitability.

a.1 Average coefficient ofCurrent ratio (CurrentAssets / Current Liabilities) 1. 2.

a.2 Average coefficient ofDebt ratio (Total Debt /Total Assets) 0. 75.

Must meet

requirement

N/A Must meet

requirement

N/A Form FIN3.1

with attachments


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3.2 FinancialResources

Applicant must demonstrateaccess to, or availability of,financial resources to meet:

(a) Capacity to have aminimum cash flow amountas evidenced by cash inhand, in bank and assuredline(s) of credit in anamount equivalent asfollows:

[insert amount and currencyto be awarded [insertproject name].

(b)Capacity to have cashin hand, in bank andassured line(s) of creditamount equivalent to thesum of the amountsindicated in the precedingparagraph (a) for the lot for

which the Applicant seeksto pre-qualify and its currentcommitments.



N/A N/A Form FIN3.2

3.3 AverageAnnualConstructionTurnover

(a) Minimum averageannual constructionturnover, calculated as totalcertified payments received



N/A N/A Form FIN- 3.3


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for contracts in progress orcompleted, over the last five(5) years.

For award of: [insert projectname]

i) [insert amount andcurrency]

ii) [insert amount andcurrency]

iii) [insert amount andcurrency]

iv) [insert amount andcurrency]

v) [insert amount andcurrency]

(b) Minimum turnoverequivalent to the sum of theamounts indicated in thepreceding paragraph (a) forthe lot for which theApplicant seeks to pre-qualify.

1

1In order to be awarded the contract for [insert Lot number, if applicable], in addition to the previously awarded contract for [insert Lot number, if applicable] , an Applicant

would have to demonstrate that it can meet a turnover requirement double the amount called for in 3.3(a) above.


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Values to determine (a) and(b) will be obtained from theaudited financial statements

(income statements) of thelast five years.

4.1 GeneralConstructionExperience

Experience in road relatedconstruction contracts in therole of contractor,subcontractor, ormanagement contractor foreach of the last five (5)years prior to theApplication submissiondeadline and with activity inat least nine (9) months ineach year.


N/A Must meetrequirement

N/A Form EXP4.1


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4.2(a)

SimilarConstructionExperience

Participation as Contractor,Management Contractor orSub-Contractor, in at least

two (2) contracts of similarnature within the last five(5) years, each with a valueof at least:

[insert amount andcurrency]

that have been successfullyand substantially completedand that are similar to theproposed works. Thesimilarity shall be based onthe physical size,complexity, methods,technology, and adherenceto international standardsfor environment, socialhealth and safety matters,

or other characteristics asdescribed in Section V,Scope of Works.

2


N/A N/A Form EXP--4.2(a)


would have to demonstrate that it can meet the requirement for similar construction experience double the amount called for in 4.2(a) above.


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4.2(b)

SpecificConstructionExperience for

Interchanges

Participation as Contractor,Management Contractor orSub-Contractor, in at least

two (2) contracts of similarnature within the last five(5) years, each with a valueof at least:

[insert amount andcurrency]

that have been successfullyand substantially completedand that are similar to theproposed works. Thesimilarity shall be based onthe physical size,complexity, methods,technology, and adherenceto international standardsfor environment, socialhealth and safety matters,

or other characteristics asdescribed in Section V,Scope of Works.

3



N/A N/A Form EXP--4.2(b)


would have to demonstrate that it can meet the requirement for specific construction experience for interchanges double the amount called for in 4.2(b) above.


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Section III. Qualification Criteria and Requirements


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5. ContractorsOrganization and Key Personnel

Provide an organization chart of Contractor and each proposed subcontractor that shall be usedfor the proposed contract. In case of consortium or joint venture, the organization chart of eachparty shall be included.

In addition, the Applicant shall demonstrate that it can provide the following Key Personnel.

Key Personnel Capabilities

Position Total Work/Business Experience in SimilarExperience (Years) Position (Years)

1. [insert relevant positions] [insert min. number years required] [insert min. number of yearsrequired]


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6. Key Equipment: Estimated Minimum Requirements(Subject to further refinement at the time of issuance of solicitation for bids).

Please indicate, in not more than two pages, how the Applicant would meet the minimumrequired number of equipment (e.g., owned, to be leased, to be purchased, etc.) for each lot forwhich Applicant is seeking to pre-qualify. The Applicant shall provide evidence of theavailability of the equipment as an attachment to this Form.

The Applicant shall justify the additional equipment with necessary supporting documentsrequired for the project over and above the absolute minimum mentioned here below.

EQUIPMENT CAPABILITIES

Equipment DescriptionMinimum No

Re uired

1 [insert required equipment] [insert threshold]

2

3

.

.

.


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Section IV. Application Forms 26

Section IV. Application Forms

Table of Forms

Application Submission Firm ..................................................................................... 27

Form ELI-1.1 Applicant Information Form ................................................................. 29

Form ELI -1.2 Applicant's Party Information Form ................................................... 30

Form CON2 Historical Contract Non-Performance ................................................ 31

Form FIN3.1 Financial Performance ........................................................................ 33

Form FIN3.2 Financial Resources ............................................................................ 35

Form FIN-3.3 Average Annual Construction Turnover ............................................ 37

Form EXP-4.1 General Construction Experience ..................................................... 38

Form EXP-4.2(a) Similar Construction Experience .................................................. 40

Form EXP-4.2(b) Specific Construction Experience ............................................... 42


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Application Submission Firm

Date:[insert date]

To: [insert address of Employer]

Pre-Qualification for the [ insert project name]Ref: [ insert reference]

We, the undersigned, apply to be Pre-Qualified for the Referenced Project, as follows:

[insert project name].

and declare the following:

(a) we have examined and have no reservations to the Pre-Qualification Documents,including Amendment(s) No(s), issued in accordance with Instructions to Applicants

(ITA) Clause 8: [ insert the number and issu ing date of each amendm ent].

(b) we, including any Sub-Contractors or Suppliers for any part of the Contract resulting fromthis pre-qualification process, have nationalities from eligible countries, in accordancewith ITA Sub-Clause 4.3: [ insert the nat ional i ty of the App l icant, including that of al lpartners in case of a Joint Venture/Consort ium , and the nat ional i ty of each already

ident i f ied su bcon tractor and su ppl ier of related services, i f appl icable];

(c) we, including any Sub-Contractors or Suppliers for any part of the Contract resulting fromthis Pre-Qualification, do not have any conflict of interest, in accordance with ITA Sub-Clause 4.4;

(d) we, including any subcontractors or suppliers for any part of the contract resulting from this pre-qualification, have not been declared ineligible by the Government ofGhanaLaws, OfficialRegulations, or by an Act of Compliance with a decision of the United Nations Security Council,in accordance with ITA Sub-Clauses 4.6 and 4.7;

(e) [ insert either "w e are not a Government own ed ent i ty" or " we are a Governmententity, and we meet the requirements of ITA Sub -Clause 4.5];

(f) we, in accordance with ITA Sub-Clause 24.1, plan to subcontract the following keyactivities and/or parts of the works:[ insert any o f the key activit ies identif ied in Section III- 4.2 (b) whic h the App licant

intends to subcontract]

(g) we declare that the following commissions, gratuities, or fees have been paid or are to bepaid with respect to the Pre-Qualification process, or the corresponding tenderingprocess or the execution of the contract:

Name of Recipient Address Reason Amount

[ insert ful l name for

each occurrence]

[ins ert street/

number/ci ty/country][ indicate reason]

[speci fy amoun t in

GHS equivalent]

(If none has been paid or is to be paid, indicate none.)


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(h) We understand that you may cancel the Pre-Qualification process at any time and thatyou are neither bound to accept any Application that you may receive nor to invite thePre-Qualified Applicants to bid for the Contract, subject of this pre-qualification, withoutincurring any liability to the Applicants, in accordance with ITA Clause 26.

Signed [insert sign ature(s) of an autho rized representative(s) of the Applicant]

Name [ insert full name of person signing the Application]

In the Capacity of [ insert capacity of person sign ing the Application]

Duly authorized to sign the Application for and on behalf of: Applicants Name [insert full name ofApplicant]

Address [ insert street number/town or c ity/country address]

Dated on [ insert day num ber]day of [ insert month], [insert year]


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Form ELI-1.1Applicant Information Form

Date: [insert day, month, year]

Page[insert page number]of [insert total number]pages

Applicant's legal name

[insert full legal name]

In case of Joint Venture (JV) or Consortium, legal name of each partner:

[insert full legal name of each partner in JV/Consortium]

Applicant's actual or intended country of constitution:

[indicate country of Constitution]

Applicant's actual or intended year of constitution:

[indicate year of Constitution]

Applicant's legal address in country of constitution:

[insert street/ number/ town or city/ country]

Applicant's authorized representative information

Name: [insert full legal name]

Address: [insert street/ number/ town or city/ country]

Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes]

E-mail address: [indicate e-mail address]

Attached are copies of original documents of

Articles of Incorporation or Documents of Constitution, and documents of registration of thelegal entity named above, in accordance with ITA 4.3.

In case of JV/Consortium, letter of intent to form JV/Consortium or JV/Consortiumagreement, in accordance with ITA 4.1.

In case of Government owned entity, documents establishing legal and financial autonomyand compliance with commercial law, in accordance with ITA 4.5.


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Form ELI -1.2Applicant's Party Information Form

[The following form shall be filled in for the Applicant's parties including partner(s) of a jointventure, subcontractors, suppliers and other parties.]


Page [insert page number]of [insert total number of pages]

JV/Consortium Applicant legal name:

[insert full legal name]

Applicant's Party Legal Name:

[insert full legal name of Applicant's Party]

Applicant's Party Country of Registration:

[indicate Country of Registration]Applicant Party's year of Constitution:

[indicate year of Constitution]

Applicant Party's Legal Address in Country of Constitution:

[insert street/ number/ town or city/ country]

Applicant Party's Authorized Representative Information

Name: [insert full legal name]

Address: [insert street/ number/ town or city/ country]

Telephone/Fax numbers: [insert telephone/fax numbers, including country and city codes]

E-mail address: [indicate e-mail address]

Attached are copies, duly certified by Notary in English, of original documents of:

Articles of Incorporation or Documents of Constitution, and Registration Documents of thelegal entity named above, in accordance with ITA 4.3.

In case of a Government owned entity, documents establishing legal and financial autonomyand compliance with commercial law, in accordance with ITA 4.5.


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Form CON2Historical Contract Non-Performance

[The following table shall be filled in for the Applicant and for each partner of a JointVenture/Consortium.]

Applicants Legal Name: [insert full name]


Joint Venture/Consortium Party Legal Name: [insert full name]

Page [insert page number]of [insert total number]pages

Non-Performing Contracts in accordance with Section III, Qualification Criteria and Requirements

Contract non-performance did not occur during the [number] years specified in Section III,Qualification Criteria and Requirements, Sub-Factor 2.1.

Contract(s) not performed during the [number] years specified in Section III, Qualification Criteriaand Requirements, Sub-Factor 2.1.

Year

Nonperformedportion ofcontract

Contract Identification

Total ContractAmount

(current value,GHS

equivalent)

[insertyear]

[insert amountand

percentage]

Contract Identification: [indicate complete contract name/number, and any other identification]

Name of institution: [insert full name]

Address of institution: [insert street/city/country]

Reason(s) for non performance: [indicate mainreason(s)]

[insert amount]

Pending Litigation, in accordance with Section III, Qualification Criteria and Requirements

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.


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Year

Outcome asPercentage

of Total

Assets

Contract Identification

Total ContractAmount

(current value,

GHSequivalent)

[insertyear]

[insertpercentage]

Contract Identification: [indicate complete contractname, number, and any other identification]

Name of institution: [insert full name]

Address of institution: [insert street/city/country]

Matter in dispute: [indicate main issues in dispute]

[insert amount]


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Form FIN3.1Financial Performance

[The following table shall be filled in for the Applicant and for each partner of a Joint

Venture/Consortium.]

Applicants Legal Name: [insert full name] Date: [insert day, month, year]

Applicants Party Legal Name: [insert full name]

Page [insert page number] of [insert total number] pages

1. Financial data

Financial information in

(GHS equivalent in 000s)

Historical information for previous five years

(GHS equivalent in 000s)

Year 1 Year 2 Year 3 Year 4 Year 5

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)


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2. Financial Documents

The Applicant and its parties shall provide copies in English or translated to English, of the BalanceSheets and Income Statements for five years pursuant Section III, Qualifications Criteria andRequirements, Sub-Factor 3.1. The Financial Statements shall:

(a) reflect the financial situation of the Applicant or partner to a JV/Consortium, andnot 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 five years required above; and complying with the requirements.


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Form FIN3.2Financial Resources

[The following tables shall be filled in for each Applicant and for each member of a joint ventureor other consortium that is a party to the Applicant.]

Financial Resources

Each Applicant and each member of a joint venture or other consortium must fill in this form,specifying proposed sources of financing, such as cash on hand, cash in bank, and assured linesof credit, and other financial means, net of current commitments, available to meet the totalconstruction cash flow demands of the contracts as indicated in Section III, Qualification Criteriaand Requirements.

No. Source of Financing Amount (GHS equivalent)

1

2

3

Current Contract Commitments / Works in Progress

Each Applicant and each member of a joint venture or other consortium must fill in this form,providing information on their current commitments on all contracts that have been awarded, or forwhich a letter of intent or acceptance has been received, or for contracts approaching completion,but for which an unqualified, full completion certificate has yet to be issued.

Name of Contract Employer,contact

address/tel/fax4

Value ofoutstanding work

(current GHSequivalent)

Estimatedcompletion date

Average monthlyinvoicing over

last six months(GHS/month)

1.

4The Employer reserves the right to contact this person or any other person for a reference check, as well as

checking in accordance with Employers Guidance on Reporting and Considering Past Performance by

Contractors in EmployersEntity Program Procurements. It is in the best interest of the Applicant to ensure that

the contact person provided in this form responds within a maximum of 7 days when contacted by Employer. Anon response from the reference could be treated as a poor performance.


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2.

3.

4.

etc.


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Form FIN-3.3Average Annual Construction Turnover


Applicant's/Joint Venture Partner's Legal Name: [insert full name]


Applicant's Party Legal Name: [insert full name]


Annual turnover data (construction only)

Year Amount and Currency GHS equivalent

[indicate year] [insert amount and indicate currency] [insert amount in GHS equiv.]

AverageAnnualTurnover*

* Average annual turnover as obtained from the audited financial statements (incomestatements), Qualification Criteria and Requirements, Sub-Factor 3.2.


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Form EXP-4.1General Construction Experience


Applicant's/Joint Venture/Consortium Partner's Legal Name: [insert full name]


Applicant JV/Consortium Party Legal Name: [insert full name]


[Identify contracts that demonstrate continuous construction work over the past five yearspursuant to Section III, Qualification Criteria and Requirements, Sub-Factor 4.1. List contractschronologically, according to their commencement (starting) dates.

Starting

Month /

Year

Ending

Month /

Year

Contract Identification Role ofApplicant

[indicatemonth/year]

[indicatemonth/year]

Contract name: [insert full name]

Brief Description of the Works performed by the

Applicant: [describe works performed briefly]

Amount of contract: [insert amount in GHSequivalent]

Name of institution: [indicate full name]

Address: [indicate street/number/town orcity/country]

Contact person: [insert tel. & e-mail]5

[insert "Contractoror "Subcontractoror "ContractManager]







Contact person: [insert tel. & e-mail]

[insert "Contractoror "Subcontractoror "ContractManager]




the contact person provided in this form responds within a maximum of 7 days when contacted by Employer. Anon response from the reference could be treated as a poor reference.


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Starting

Month /

Year

Ending

Month /

Year

Contract IdentificationRole of

Applicant







Contact person: [insert tel. & e-mail]

[insert "Contractor

or "Subcontractoror "ContractManager]


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Form EXP-4.2(a)Similar Construction Experience

[The following table shall be filled in for contracts performed by the Applicant, each partner of aJoint Venture/Consortium, and specialist sub contractors. A copy of the certificate of substantial

completion should be attached for each contract in order for such contract to be considered.]



JV/Consortium Party Name: [insert full name]


Similar Contract No.

[insert number] of [insert number ofsimilar contracts required]

Information

Contract Identification [insert contract name and number, if applicable]

Award date [insert day, month, year]

Start date [insert day, month, year]

Completion date [insert day, month, year]

Role in Contract[check the appropriate box]

Contractor

ManagementContractor

Subcontractor

Total Contract AmountGHS [insert total contract amount in GHS]

If partner in a JV/Consortium, orsubcontractor, specify participationin total contract amount

[insert apercentageamount]

[insert total contract amount in GHSequivalent]

Employer's Name6: [insert full name]



Contractors in Employers Entity Program Procurements. It is in the best interest of the Applicant to ensure that

the contact person provided in this form responds within a maximum of 7 days when contacted by Employer. A

non response from the reference could be treated as a poor reference.


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Information

Address:

Telephone/fax number

E-mail:

[indicate street/number/town or city/country]

[insert telephone/fax numbers, including country and

city area codes]

[insert e-mail address, if available]

Description of the similarity inaccordance with Sub-Factor 4.2(a1)of Section III:

1. Amount [insert amount in GHS in words and in

Figures]

2. Physical size [insert physical size of activities.]

3. Complexity [insert description of complexity for example, indicate ifworks included rehabilitation, construction, or both, type ofterrain, cuts on high roadside steep slopes, slopestabilization works, local conditions (if conducted in tropicalareas, in developing countries), number of simultaneous

work fronts, etc.]

4. Methods/Technology [insert specific aspects of the methods/technology involvedin the contract]

5. Other Characteristics [insert other characteristics as described in Section V,Scope of Works]


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Form EXP-4.2(b)Specific Construction Experience

[The following table shall be filled in for contracts performed by the Applicant, each partner of aJoint Venture/Consortium, and specialist sub contractors. A copy of the certificate of substantial

completion should be attached for each contract in order for such contract to be considered.]



JV/Consortium Party Name: [insert full name]




Information

Contract Identification [insert contract name and number, if applicable]

Award date [insert day, month, year]

Start date [insert day, month, year]

Completion date [insert day, month, year]

Role in Contract[check the appropriate box]

Contractor

ManagementContractor

Subcontractor

Total Contract AmountGHS [insert total contract amount in GHS]

If partner in a JV/Consortium, orsubcontractor, specify participationin total contract amount

[insert apercentageamount]

[insert total contract amount in GHSequivalent]

Employer's Name7: [insert full name]




the contact person provided in this form responds within a maximum of 7 days when contacted by Employer. A

non response from the reference could be treated as a poor reference.


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Information

Address:

Telephone/fax number

E-mail:

[indicate street/number/town or city/country]

[insert telephone/fax numbers, including country and

city area codes]

[insert e-mail address, if available]

Description of the similarity inaccordance with Sub-Factor 4.2(a1)of Section III:

1. Amount [insert amount in GHS in words and in

Figures]

2. Physical size [insert physical size of activities.]

3. Complexity [insert description of complexity, for example, indicate ifworks included rehabilitation, construction, or both, type ofterrain, cuts on high roadside steep slopes, slopestabilization works, local conditions (if conducted in tropicalareas, in developing countries), number of simultaneous

work fronts, etc.]

4. Methods/Technology [insert specific aspects of the methods/technology involvedin the contract]

5. Other Characteristics [insert other characteristics as described in Section V,Scope of Works]


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PART 2. Works Requirements 44

PART 2 Works Requirements


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Section V. Scope of Works 45

Section V. Scope of Works

Scope of the Works

The Scope of Works should provide sufficient information for an Applicant to decide whether ornot to compete for that type of works, and whether it will need to use subcontractors for specificparts of the Works, and/or form a Joint Venture. It should provide information on the threefollowing aspects:

1. Description Of the Works

Describe the Works in sufficient detail to identify location, nature, and complexity. Indicate theestimated quantities of major components of the works should be indicated in the bill ofquantities.

2. Construction Period

State expected construction period and time in weeks or months; if alternative time schedulesare permitted, give the range of acceptable construction periods. The period allowed should bereasonable and flexible.

3. Site and other Data

Provide general information on the climate, hydrology, topography, geology, access to site,transportation and communications facilities, medical facilities, project layout, facilities, servicesprovided by the Employer, and other relevant data.