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RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

Uttar Pradesh Major District Roads


Improvement Program

Request for Proposal
For
PREPARATION OF DETAILED PROJECT
REPORT


UTTAR PRADESH PUBLIC WORKS DEPARTMENT

Office of the Chief Engineer, World Bank Project (Roads), 96 M.G. Marg, UP PWD
Lucknow -226001, Ph : 0522 2236496, Fax : 0522 2236556
Email: cewbuppwd@gmail.com, pdsrp2@yahoo.co.in
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Letter No. /01 U.P.(ADB)/PD/SRP Dated Dec , 2013.20

INVITATION FOR HIRING CONSULTANCY SERVICES
FOR
PREPARATION OF DETAILED PROJECT REPORT
FOR
UTTAR PRADESH MAJOR DISTRICT ROADS IMPROVEMENT PROGRAM

Uttar Pradesh Public Works Department (UPPWD) is negotiating a loan from
Asian Development Bank for development of 1138.0 Km of MDR network. To
facilitate this process, UPPWD intends to engage the services of technically expert
consultancy firms to prepare Detailed Project Report (DPR) for construction of
Tranche I of 650.0 Kms road including Survey, Detailed Engineering, Design,
Resettlement and Rehabilitation plan, Environmental Management Plan, utility
shifting plan, land acquisition plans, cost estimates, etc.
Consultants/ Consultancy firms should meet the following criteria
(i) They should be empanelled with MORT&H.
(ii) The Consultants shall have completed/substantially completed 90% of the
assignment DPRs for minimum 2 Lane road having cumulative length of 400.0
Kms with individual length of 40.0 Kms in the period 2007-2012.
(iii) The Consultants shall have Project Management Services experience for at
least one large public sector infrastructure Road project using modern project
management technique and tools for project size of value US$ 150 million or
more in the period 2007-2012.
(iv) Experience of carrying out Social and Environmental Assessment including
public consultation for road sections (State Highways/Major District Roads) of
at least 40.0 Kms length in the period 2007-2012.
(v) Experience of preparing contract document for civil works related to road
rehabilitation/upgrading of at least 80.0 Kms and minor Bridges in the period
2007-2012.
(vi) Experience of carrying out road safety audit for road rehabilitation/upgrading
of at least 80.0 Kms length in the period 2007-2012.
(vii) Shall have received a minimum average annual income of Rs 8.0 Crores per
annum from professional fees in the period 2007-2012.

An Agency shall be selected on the basis of Least Cost Method. Details about
the minimum Qualification criterion, the marking system, detailed scope of work, how
to apply etc. are given in the Request for Proposal (RFP) document which can be
obtained between 10:30 hrs to 17:30 hrs on all working days up to 23.01.2014 from
the office of the Executive Engineer, World Bank Division No . 1, PWD, Lucknow
on payment of non-refundable fee of Rs. 5,000/- (Rs. Five Thousand Only) by way of
Demand Draft in favour of Executive Engineer, World Bank Division No . 1,
PWD, Lucknow .
Documents can also be purchased by post and in such case the applicant will
have to remit Rs.500/- extra as postal charges. However UPPWD will not be
responsible for any postal delays. The RFP document can be viewed and downloaded
from our Website www.uppwd.up.nic.in. In such case, Applicant will be required to
pay a non-refundable fee of Rs. 5,000.00 (Rupees Five Thousand only) by way of
Demand Draft drawn in favour of Executive Engineer, World Bank Division No .
1, PWD, Lucknow., payable at Lucknow at the time of submission of RFP. A Pre-
bid meeting shall be held on 07.01.2014 at 11.00 hrs. In the office of Chief Engineer,
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

World Bank Projects (Roads), U.P.P.W.D., Lucknow . Duly filled in Request for
Proposal is to be submitted on or before 15.00 hrs on 24.01.2014. The schedule of
opening of financial proposal shall be informed to bidders who have been declared
successful on the basis of technical evaluation.


UPPWD will not be responsible for any delay in receiving the proposal and reserves
the right to accept/reject any or all proposals without assigning any reason thereof.

ADDRESS FOR COMMUNICATION

Office of the Chief Engineer
World Bank Project (Roads)
U.P.P.W.D, Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226 001 , Uttar Pradesh - INDIA
Telephone No.: (91) 0522-2236496
Fax No. : (91) 0522 - 2236556
Email. : cewbuppwd@gmail.com
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

























SECTION 1
LETTER OF INVITATION
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

SECTION 1
LETTER OF INVITATION

Letter No. /183(ADB)/PD/SRP Dated Dec ,2013.20


To




1. Government of India on behalf of the Government of Uttar Pradesh has applied for a
loan from the Asian Development Bank (ADB) toward the cost of the proposed Uttar
Pradesh Major district Roads Development program .However, as a prerequisite for
loan negotiations, DPR for some contracts are to be ready before the process All eligible
payments under this contract shall be borne by UPPWD.

2. Government of Uttar Pradesh, through the Chief Engineer (World Bank Projects)
U.P.P.W.D. Lucknow now invites proposals to provide the following consulting
services:

PREPARATION OF DETAILED PROJECT REPORT FOR UTTAR PRADESH
MAJOR DISTRICT ROADS IMPROVEMENT PROGRAM required for the
purpose of firming up UPPWDs requirements in respect of development and
construction of the roads in terms of the requirements of ADB, and enabling prospective
bidders to assess project requirements in a clear and predictable manner. More details
on the services are provided in the attached Terms of Reference.

3. A firm will be selected under least Cost Selection basis and procedures described in
this RFP.

4. The RFP comprises the following documents:
Section 1 Letter of Invitation
Section 2 Information to Consultants
Section 3 Technical Proposals Standard Forms
Section 4 Financial Proposals Standard Forms
Section 5 Terms of Reference
Section 6 Standard Form of Contract

5. Please inform us upon receipt:
(i) That you received the letter of invitation, and
(ii) Whether you will submit a proposal alone or in association as a joint Venture
confirming joint and several liabilities or as sub consultants.

Yours sincerely,


(J.P. Jain)
Chief Engineer,
(World Bank Projects)
U.P.P.W.D, Lucknow
(U.P.) India
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013




















SECTION 2
INFORMATION TO CONSULTANTS
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

SECTION 2

INFORMATION TO CONSULTANTS


1 INTRODUCTION............................................................................................................. 8
2 CLARIFICATION AND AMENDMENT OF RFP DOCUMENTS ............................. 11
3 PREPARATION OF PROPOSALS ............................................................................... 10
4 SUBMISSION, RECEIPT AND OPENING OF PROPOSALS .................................... 13
5 PROPOSAL EVALUATION ......................................................................................... 14
6 NEGOTIATIONS ........................................................................................................... 16
7 AWARD OF CONTRACT ............................................................................................. 17
8 CONFIDENTIALITY ..................................................................................................... 17
DATA SHEET ................................................................................................................ 18
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

SECTION 2

INFORMATION TO CONSULTANTS

1. INTRODUCTION

1.1 The Client named in the Data Sheet will select a firm among those listed in the letter
of invitation, in accordance with the method of selection indicated in the Data Sheet.

1.2 The consultants are invited to submit a technical proposal and a financial proposal (the
Proposal) for consulting services required for the assignment named in the Data Sheet.
The Proposal will be the basis for contract negotiations and ultimately for a signed
contract with the selected firm.

1.3 The consultants must familiarize themselves with local conditions and take them into
account in preparing their proposals. To obtain first-hand information on the assignment
and on the local conditions, consultants are encouraged to pay a visit to the Client
before submitting a proposal and to attend a pre-proposal conference. Attending the pre-
proposal conference is optional. The consultants representatives should contact the
official named in the Data Sheet to obtain additional information on the pre-proposal
conference. Consultants should ensure that these officials are advised of the visit in
adequate time to allow them to make appropriate arrangements.

1.4 The Client will provide the inputs specified in the Data Sheet, assist the firm in
obtaining licenses and permits needed to carry out the services, and make available
relevant project data and reports.

1.5 Please note that (i) the costs of preparing the proposal and of negotiating the contract,
including a visit to the Client, are not reimbursable as a direct cost to the Assignment;
and (ii) the Client is not bound to accept any of the Proposals submitted.

1.6 The consultants shall provide professional, objective; and impartial advice and at all
times hold the Clients interests paramount, without any consideration for future work,
and strictly avoid conflicts with other assignments or their own corporate interests.
Consultants shall not be hired for any assignment that would be in conflict with not
being able to carry out the assignment in the best interest of the Client.
1.6.1 Without limitation on the generality of this rule, consultants shall not be hired
under the circumstances set forth below.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

(a) A firm, which has been engaged by the client to provide goods or
works for a project, and any of their affiliates, shall be disqualified
from providing consulting services for the same project. Conversely,
firms hired to provide consulting services for the preparation of
implementation of project, and any of their affiliates, shall be
disqualified from subsequently providing good or works or services
related to the initial assignment (other than a continuation of the firms
earlier consulting services) for the same project.
(b) Consultants or any of their affiliates shall not be hired for any
assignment, which, by its nature, may be in conflict with another
assignment of the consultants.
1.6.2 Any previous or ongoing participation in relation to the assignment by the
firm, its key professional staff, or its affiliates or associates under a contract
with the Asian Development Bank may result in rejection of the proposal.
Consultants should clarify their situation in that respect with the Client before
preparing the proposal.

1.7 The client requires that consultants observe the highest standard of ethics during the
procurement and execution of such contracts. In such pursuance of this policy, the
client:
(i) Defines, for the purposes of this provision, the terms set forth below as
follows:
(a) corrupt practice means behavior on the part of officials in the public or
private sectors by which they improperly and unlawfully enrich themselves
and/or those close to them, or induce others to do so, by misusing the
position in which they are placed, and it includes the offering, giving,
receiving, or soliciting of anything of value to influence the action of any
such official in the procurement process or in contract execution; and
(b) fraudulent practice means a misrepresentation of facts in order to
influence a procurement process or in contract execution to the detriment of
the borrower, and includes collusive practices among bidders (prior to or
after bid submission) designed to establish bid prices at artificial, non-
competitive levels and to deprive the borrower of the benefits of free and
open competition).
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

1.8 Consultants shall furnish information as described in the financial proposal submission
form (Section 4A) on commissions and gratuities, if any, paid or to be paid to agents
relating to this proposal, and to contract execution if the firm is awarded the contract.
1.9 Consultants shall be aware of the provisions on fraud and corruption stated in the
standard contract under the clauses indicated in the Data Sheet.

2. CLARIFICATION AND AMENDMENT OF RFP DOCUMENTS

2.1 Consultants may request a clarification of any of the RFP documents up to the number
of days indicated in the Data Sheet before the Proposal submission date. Any request
for clarification must be sent in writing by paper mail, facsimile, or email to the
clients address indicated in the Data Sheet. The Client will respond by cable, telex,
facsimile, or email to such requests and will send copies of the response (including an
explanation of the query but without identifying the source of inquiry) to all invited
consultants who intend to submit proposals.
2.2 At any time before the submission of Proposals, the Client may, for any reason,
whether at its own initiative or in response to a clarification requested by an invited
firm, modify the RFP documents by amendment. Any amendment shall be issued in
writing through addenda. Addenda shall be sent by mail, facsimile or email to all
invited consultants and will be binding on them. The client may at its discretion
extend the deadline for the submission of Proposals.

3. PREPARATION OF PROPOSAL

3.1 Consultants are requested to submit a Proposal (para 1.2) written in the language(s)
specified in the Data Sheet. Consultants Proposal will consist of three (3) components
(i) Bid Security
(ii) the Technical Proposal, and
(iii) the Financial Proposal
(i) Bid security as mentioned below shall be placed in Envelope I. If the bid
security is found proper then only technical and financial proposals will be
entertained
(ii)The Proposal should include a cover letter signed by person(s) with full
authorization to make legally binding contractual (including financial)
commitments on behalf of the firm.

Bid Security (earnest Money Deposit)
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


a. The bid security shall in for amount mentioned in data sheet and in the form of a Bank
Guarantee or Fixed Deposit Receipts on any Nationalized/Scheduled Bank payable at
Lucknow in favour of Executive Engineer, World Bank Division No.1, U.P.P.W.D.,
Lucknow as per the format attached as Appendix-F. -. The Bank guarantee shall be
valid for 28 days beyond the bid validity period i.e. 5 months after the submission
date of proposal.
b. The employer shall reject any bid not accompanied by bid security or defective bid
security as non responsive.
c. The bid security may be forfeited if,
i) The bidder withdraws its bid during the period of bid validity.
ii) The successful bidder fails to :
a) Signs the contract within required time frame
b) Furnish a performance security in accordance with Appendix-G in Standard
Forms of Contract.

Technical Proposal

3.2 In preparing the Technical Proposal, consultants are expected to examine the
documents comprising this RFP in detail. Material deficiencies in providing the
information requested may result in rejection of a Proposal.
3.3 While preparing the Technical Proposal, consultants must give particular attention to
the following:
(i) If a firm considers that it does not have all the expertise for the Assignment, it
may obtain a full range of expertise by associating with individual consultant
(s) and/ or other firms or entities in a joint venture or sub-consultancy, as
appropriate. Consultants may associate with the other consultants invited for
this Assignment only with approval of the Client as indicated in the Data
Sheet. Consultants must obtain the approval of the client to enter into a Joint
Venture with consultants not invited for this assignment.
(ii) For assignments on a staff-time basis, the estimated number of key
professional staff-months is given in the Data Sheet. The proposal shall,
however, be based on the number of key professional staff-months estimated
by the firm.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

(iii) It is desirable that the majority of the key professional staff proposed be
permanent employees of the firm or have an extended and stable working
relation with it.
(iv) Proposed key professional staff must have at least the experience indicated in
the Data Sheet, preferably working under conditions similar to those prevailing
in the country of the Assignment.
(v) Alternative key professional staff shall not be proposed, and only one
curriculum vitae (CV) may be submitted for each position.
(vi) Reports to be issued by the consultants as part of this assignment must be in
the language(s) specified in the Data Sheet.

3.4 The Technical proposal should provide the following information using the attached
Standard Forms (Section-3):
(i) A brief description of the firms organization and an outline of recent
experience on assignments (Section 3B) of a similar nature. For each
assignment, the outline should indicate, inter alia, the profiles and names of the
staff provided, duration of the assignment, contract amount, and firms
involvement. In case the assignment was carried out in joint venture then
the JV agreement is to be submitted.
(ii) Any comments or suggestions on the Terms of Reference and on the data, a list
of services, and facilities to be provided by the Client (Section 3C)
(iii) A description of the methodology and work plan for performing the
assignment (Section 3D)
(iv) The list of the proposed staff team by specialty, the tasks that would be
assigned to each staff team member, and their timing (Section 3E)
(v) CVs recently signed by the proposed key professional staff and the authorized
representative submitting the proposal (Section 3F). Key information should
include number of years working for the firm/entity, and degree of
responsibility held in various assignments during the last ten (10) years.
(vi) Estimates of the total staff effort (professional and support staff; staff time) to
be provided to carry out the Assignment, supported by bar chart diagrams
showing the time proposed for each key professional staff team member.
(Sections 3E and 3 G)
(vii) Any additional information requested in the Data Sheet.
3.5 The Technical Proposal shall not include any financial information.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

Financial Proposal
3.6 In preparing the Financial Proposal, consultants are expected to take into account the
requirements and conditions of the RFP documents. The Financial Proposal should
follow Standard Forms (Section 4). It lists all costs associated with the Assignment,
including (a) remuneration for staff (in the field and at headquarters), and (b)
subsistence (per Diem, housing), transportation (for mobilization and demobilization),
services and equipment (vehicles, office equipment, furniture, and supplies), office
rent insurance, printing of documents and surveys. If appropriate, these costs should
be broken down by activity.
3.7 The Financial proposal should clearly identify, as a separate amount, the local taxes
(including social security), duties, fees, levies, and other charges imposed under the
applicable law, on the consultants.
3.8 Consultants may express the price of their services in the currency of any Bank
member country. The consultants may not use more than three foreign currencies. The
Client may require consultants to state the portion of their price representing local cost
in the national currency if so indicated in the Data Sheet.
3.9 Commissions and gratuities, if any, paid or to be paid by consultants and related to the
Assignment will be listed in the Financial Proposal submission form (Section 4A)
3.10 The Data Sheet indicates how long the proposals must remain valid after the
submission date. During this period, the consultant is expected to keep available the
key professional staff proposed for the assignment. The Client will make its best effort
to complete negotiations within this period. If the Client wishes to extend the validity
period of the proposals, the consultants who do not agree have the right not to extend
the validity of their proposals.

4. SUBMISSION, RECEIPT, AND OPENING OF PROPOSALS

4.1 The original Proposal (Technical Proposal and if required Financial Proposal; see para
1.2) shall be prepared in indelible ink. It shall contain no inter- lineation of overwriting,
except as necessary to correct errors made by the firm itself. Any such corrections must
be initialed by the person or persons who sign(s) the proposals.
4.2 An authorized representative of the firm initials all pages of the Proposal. The
representatives authorization is confirmed by a written power of attorney
accompanying the proposal.
4.3 For each Proposal, you should prepare the number of copies indicated in the Data Sheet.
Each Technical Proposal and Financial Proposal should be marked Original or
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

Copy as appropriate. If there are any discrepancies between the original and the
copies of the Proposal, the original governs.
4.4 The original and all copies of the Technical Proposal shall be placed in a sealed
envelope clearly marked Technical Proposal, and the original and all copies of the
Financial Proposal in a sealed envelope clearly marked Financial Proposal and
warning: Do Not Open with the Technical Proposal. The envelopes (Envelope 1
Earnest Money Deposit, Envelope 2 - Technical and Envelope 3 - Financial Proposals)
shall be placed into an outer envelope and sealed. The outer envelope shall bear the
submission address, reference number and title of the project, and other information
indicated in the Data Sheet. This outer envelope shall bear the submission address and
other information indicated in the Data Sheet and clearly marked, DO NOT OPEN,
EXCEPT IN PRESENCE OF THE EVALUATION COMMITTEE. If the Financial
Proposal is not submitted by the Consultant in a separate sealed envelope and duly
marked as indicated above, this will constitute grounds for declaring both
Technical and Financial Proposals non- responsive.
4.5 The completed Proposal must be delivered at the submission address on or before the
time and date stated in the Data Sheet. Any Proposal received after the closing time for
submission of proposals shall be returned unopened.
4.6 After the deadline for submission of proposals the envelope 1 shall be opened first. If
the bid security is not found to be in order then the proposal shall be treated as non
responsive and shall not be evaluated further. In case of responsive proposals, the
Technical Proposal shall be opened immediately by the evaluation committee. The
Financial Proposal shall remain sealed and deposited with the client or his
representative.
5. PROPOSAL EVALUATION
General
5.1 From the time the bids are opened to the time the contract is awarded, if any consultant
wishes to contact the Client on any matter related to its proposal, it should do so in
writing at the address indicated in the Data Sheet. Any effort by the firm to influence
the Client in the Clients proposal evaluation, proposal comparison or contract award
decisions may result in the rejection of the consultants proposal.
5.2 Evaluators of Technical Proposals shall have no access to the Financial Proposals until
the technical evaluation is concluded.
Evaluation of Technical Proposals

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

5.3 The evaluation committee appointed by the Client as a whole, and each of its members
individually evaluates the proposals on the basis of their responsiveness to the Terms of
Reference, applying the evaluation criteria and sub-criteria and given a technical score
(St). A proposal shall be rejected at this stage if it does not respond to important aspects
of the Terms of Reference or if it fails to achieve the minimum technical score indicated
in the Data Sheet. A Proposal shall be rejected if it does not achieve the minimum
technical mark of 75 from the maximum of 100 points.

Public Opening and Evaluation of Financial Proposals; Ranking

5.5 After the technical evaluation is completed, the Client shall notify those consultants
whose proposals did not meet the minimum qualifying mark of 75, or were considered
non-responsive to the RFP and Terms of Reference, indicating that their Financial
Proposals will be returned unopened after completing the selection process. The Client
shall simultaneously notify the consultants that have secured the minimum qualifying
mark, indicating the date and time set for opening the Financial Proposals. The
opening date shall not be sooner than two weeks after the notification date. The
notification may be sent by registered letter, facsimile, or email.
5.6 The Financial Proposals shall be opened publicly in the presence of the consultants
representative who chooses to attend. The name of the consultant, the quality scores,
and the proposed process shall be read aloud and recorded when the Financial
Proposals are opened. The client shall prepare minutes of the public opening.
5.7 The evaluation committee will determine whether the Financial Proposals are
complete, (i.e., whether they have costed all items of the corresponding Technical
Proposals, if not, the Client will cost them and add their cost to the initial price) and
correct any computational errors.
The client shall compare all the opened financial proposals to determine the lowest
evaluated bid.
Ranking of Proposals

Following completion of evaluation of Financial Proposals, ranking of the Proposals
will be determined (i.e. the lowest financial proposal will be given first rank and the
next higher second rank and so forth).
In the event of two or more proposals have the same rank in the final ranking of
proposals, the proposal with the highest technical score will be ranked first, the next
highest technical score will be ranked second, and so forth.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

6. NEGOTIATIONS

6.1 Negotiations will be held with the first ranked consultant at the address indicated in the
Data Sheet. The aim is to reach agreement on all points and sign a contract.
6.2 Negotiations will include a discussion of the Technical Proposal, the proposed
methodology (work plan), staffing and any suggestions made by the firm to improve the
Terms of Reference. The Client and firm will then work out final Terms of Reference,
staffing, and bar charts indicating activities, staff, periods in the field and in the home
office, staff-months, logistics, and reporting. The agreed work plan and final Terms of
Reference will then be incorporated in the Description of Services and form part of
the contract. Special attention will be paid to getting the most the firm can offer within
the available budget and to clearly defining the inputs required from the Client to ensure
satisfactory implementation of the Assignment.
6.3 The financial negotiation will include a clarification (if any) of the firms tax liability
and will reflect the agreed technical modification in the cost of the services. Unless
there are exceptional reasons, the financial negotiations will involve neither the
remuneration rates for staff (no breakdown of fees) nor other proposed unit rates.
6.4 Having selected the firm on the basis of, among other things, an evaluation of proposed
key professional staff, the Client expects to negotiate a contract on the basis of the
experts named in the Proposal. Before contract negotiations, the Client will require
assurances that the experts will be actually available. The Client will not consider
substitutions unless both parties agree that undue delay in the selection process makes
such substitution unavoidable or that such changes are critical to meet the objectives of
the assignment. If this is not the case and if it is established that key Staff was offered
in the proposal without confirming their availability, the firm may be disqualified.
6.5 The negotiations will conclude with a review of the draft form of the contract. To
complete negotiations the Client and the firm will initial the agreed contract. If
negotiations fail, the Client will invite the firm whose proposal received the second
highest score to negotiate a contract.




7. AWARD OF CONTRACT

7.1 The contract shall be awarded following negotiations to the first ranked consultant.
(i) The selected Consultant is expected to commence the Assignment on the date and at
the location specified in the Data Sheet.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

(ii) Within 15 days of issue of Letter of Acceptance, the selected consultant shall sign
the contract.

Performance Security

(i) The consultant will furnish within 10 days of the issue of Letter of Acceptance
(LOA), an unconditional Bank Guarantee from the Bank (any Indian nationalized
bank or Scheduled Bank) for an amount equivalent to 10% of the total contract
value to be received by him towards Performance Security valid for a period of one
year beyond the date of completion of services.
(ii) The Bank Guarantee shall be extendable till the approval of Final DPR and it will
be released by the client upon approval of Final DPR.

8. CONFIDENTIALITY

8.1 Information relating to evaluation of proposals and recommendation concerning awards
shall not be disclosed to the consultants who submitted the proposals or to other persons
not officially concerned with the process, until the winning firm has been notified that it
has been awarded the contract.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

INFORMATION TO CONSULTANTS

DATA SHEET

Clause
Reference

1.1 The name of the Client is:

Chief Engineer
World Bank Project (Roads)
U.P.P.W.D. Lucknow
For & on behalf of Governor of Uttar Pradesh
India

The method of selection is: Least Cost-Based Selection.

1.2 Technical and Financial Proposals are requested: YES

The name, objectives and description of the Assignment are:

PREPARATION OF DETAILED PROJECT REPORT FOR UTTAR PRADESH
MAJOR DISTRICT ROADS IMPROVEMENT PROGRAM.

The detailed description of services for the above assignment is given in the Terms of
Reference.

1.3 The assignment is phased: NO
The name, address and telephone numbers of the Clients Official are:

Mr Sunil Bhasin
Project Director
State Roads Project II
(World Bank), U.P.P.W.D
Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226 001 U.P. (India)


A pre-proposal conference will be held: YES,

Date: 07.01.201423
rd
January 2002
Time: 11:00 AM (IST)
Venue: Office of the Chief Engineer
World Bank Project (Roads)
U.P.P.W.D, Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226 001
Uttar Pradesh - INDIA
Telephone No.: (91) 0522-2236496
Fax No.: (91) 0522 - 2236556
Email.: cewbuppwd@gmail.com

1.4 The Client will provide the following inputs:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


See clause 13 of TOR.

1.7 The clauses on fraud and corruption in the contract are: Sub-Clauses 2.9.1 of General
Conditions of Contract.

2.1 Clarifications may be requested upto one day prior to pre-proposal conference.

The address for requesting clarifications is:

The address given under clause reference 1.4 of this Data Sheet.

3.1 Proposals should be submitted in the following language:English

The Bid security will be for amount of RS 6,00,000.00 ( six lacs) only

3.3 (i) Shortlisted firm/entity may associate with other shortlisted firm: Yes

(ii) The estimated number of key professional staff months required for the
assignment is 54 (Indicative Only)

(iv) The minimum required experience of proposed key professional staff is:
.................Reference Para 11.2 of Terms of Reference

(vi) Reports which are part of the Assignment must be written in the following
language: English.

3.4 (viii) Additional Information in the Technical Proposal includes: Nil

3.7 Local Taxes: Consultants are requested to consult tax consultants for details. The
financial proposal is only meant for assessment of the cost of service/assignment.
However, the payment to the Consultants will be output/delivery based as per Clause
10 of Terms of Reference.

3.8 The consultants to state local costs in Indian Rupees.

3.10 Proposals must remain valid 120 days after the submission date i.e. until 4 months after
submission of proposal. June 2002

4.3 Consultants must submit an original and 5 (five) additional copies of Technical
proposal. However, the financial proposal should be submitted in duplicate, wherein
one will be original and another copy. This should be legibly marked on the envelope
containing the proposals.

4.4 The proposal submission address is:

The Chief Engineer
(World Bank Projects)
U.P.P.W.D, Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226 001
Uttar Pradesh, India

4.5 Proposals must be submitted by no later than the following date and time:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Date: 24
th
January,2014 Time: 15:00 Hours (IST)

5.1 The address to send information to the Client is:

.As indicated in Clause 4.4 of the Data Sheet


5.3 The number of points to be given under each of the evaluation criteria are: Points

Consultants fulfilling the eligibility criteria mentioned in advertisement shall be
evaluated as per following details:

(i) Specific experience of the consultants related to the assignment 20

(a) Experience in similar nature and size of project 10


(b) Experience in similar regions 5


(c) Other features (performance and capabilities) 5

(ii) Adequacy of the proposed work plan and methodology in
responding to the TOR
25

(a) Under standing of TOR 10


(b) Methodology of services 10


(c) Work program / Activity Scheduling/Manning Schedule 5


(iii) Qualifications and competence of key professional staff for the
assignment
55

Team Leader / Senior Highway Engineer
15

Highway Engineer
10

Pavement cum Materials Engineer
5

Bridge Engineer
10

Quantity Surveyor
5

Environmental Specialist
5

Resettlement Specialist
5
Total Points = 100

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

[Under 5.3 (iii)] The number of points to be given for qualifications and
competence of the key professional staff for the assignment are:

Points
(i) General qualifications 20

(a) Professional education 10

(b) Length of Experience 10
(ii) Adequacy for the project 70

(b) Professional experience specific to the assignment 40

(c) Specialisation and skills 30


(iii) Experience in region and language 10
Total Points = 100

The minimum technical score required to pass is: 75 points

5.7 The single currency for price conversion is: Indian Rupees.

6 The address for negotiations is:

As per Clause 4.4 of the Data Sheet

7.2 (i) The assignment is expected to commence in March, 2014.


Yours faithfully,


(J.P. Jain)
Chief Engineer
(World Bank Projects)
U.P.P.W.D.Lucknow
U.P. India











RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

















SECTION 3
TECHNICAL PROPOSAL
STANDARD FORMS
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

SECTION 3

TECHNICAL PROPOSAL STANDARD FORMS


3A TECHNICAL PROPOSAL SUBMISSION FORM ...........................................................

3B CONSULTANTS REFERENCES ......................................................................................

3C COMMENTS AND SUGGESTIONS OF CONSULTANTS ON THE TERMS OF
REFERENCE AND ON DATA, SERVICES, AND FACILITIES TO BE PROVIDED
BY THE CLIENT ...............................................................................................................

3D DESCRIPTION OF THE METHODOLOGY AND WORK PLAN FOR
PERFORMING THE ASSIGNMENT ...............................................................................

3E TEAM COMPOSITION AND TASK ASSIGNMENTS ...................................................

3F FORMAT OF CURRICULA VITAE FOR PROPOSED PROFESSIONAL STAFF .......

3G TIME SCHEDULE FOR PROFESSIONAL PERSONNEL ..............................................

3H ACTIVITY (WORK) SCHEDULE ....................................................................................
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3A TECHNICAL PROPOSAL SUBMISSION FORM

[Location, Date]


FROM: [Name of Consultant] TO: The Chief Engineer and Project
Director
World Bank Projects (Roads)
U.P.P.W.D., Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226001
U.P., INDIA

Dear Sir:

Subject: PREPARATION OF DETAILED PROJECT REPORT FOR UTTAR
PRADESH MAJOR DISTRICT ROADS IMPROVEMENT
PROGRAM


We, the undersigned, offer to provide the consulting services for the above in
accordance with your Request for Proposal dated and our
Proposal. We are hereby submitting our Proposal which includes this Technical
Proposal, Earnest Money and a Financial Proposal in a separate sealed envelope.

If negotiations are held during the period of validity of the Proposal, i.e., before (date)
we undertake to negotiate on the basis of the proposed staff. Our Proposal is binding
upon us and subject to any modifications resulting from contract negotiations.

We understand that you are not bound to accept any Proposal you receive.

We remain,



Yours sincerely,



Authorised Signature:
Name & Title of Signatory:
Name of Firm:
Address:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3B CONSULTANTS REFERENCES

Relevant services carried out in the last five years that best illustrate qualifications

Using the format below, provide information on each referenced assignment for which your
firm/entity, either individually or as a corporate entity or as one of the major companies
within an association, was legally contracted.

Assignment Name :

Country :
Location within Country: Professional Staff Provided by your
Firm/Entity (profiles):
Name of Client:

No. of Staff:
Address:


No. of Staff Months; Duration of
Assignment:
Start
Date:(Month/Year)
Completion Date:
(Month/Year)
Approximate Value of Services: (in
INR)
Name of Associated Consultants, if any: No of Months of Professional Staff
Provided by Associated Consultants:

Names of Senior Staff (Project Director/Coordinator, Team Leader) involved and functions
performed:


Narrative Description of Project:


Description of Actual Services Provided by Your Staff:





Firms Name:


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3C COMMENTS AND SUGGESTIONS OF CONSULTANTS ON THE TERMS OF
REFERENCE AND ON DATA, SERVICES, AND FACILITIES TO BE
PROVIDED BY THE CLIENT


On the Terms of Reference:

1.

2.

3.

4.

5. etc.







On the Data, services and facilities to be provided by the Client:

1.

2.

3.

4.

5. etc.













CONSULTING FIRMS NAME Authorized Signatory :

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3D DESCRIPTION OF THE METHODOLOGY AND WORK PLAN FOR
PERFORMING THE ASSIGNMENT











































Authorized Signatory :

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3E TEAM COMPOSITION AND TASK ASSIGNMENTS



1 Technical/Managerial Staff


SI
No
.
Name Position Task



4

etc.






2 Support Staff

SI
No
.
Name Position Task
1.
2.
3.
4

etc.













RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

3F FORMAT OF CURRICULUM VITAE (CV) FOR PROPOSED KEY
PROFESSIONAL STAFF

Proposed Position :....................................................................................................

Name of Consultant: .................................................................................................

Name of Staff: ...........................................................................................................

Profession: .................................................................................................................

Date of Birth: .............................................................................................................

Years with the firm/Entity:....................... Nationality:............................................

Membership of Professional Societies:
......................................................................................................................................

Detailed Tasks Assigned:

.


Key Qualifications:
(Give an outline of staff members experience and training most pertinent to the tasks
for this assignment. Describe the degree of responsibility held by the staff member on
relevant previous assignments and give dates and locations. Use about half a page).


Education:
(Summarise college/university and other specialised education of staff member, giving
names of schools/colleges/universities, dates attended and degrees obtained. Use about
one quarter of a page).













Employment Record:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013

(Starting with present position list, in reverse order, every employment held. List all
positions held by staff member since graduation, giving dates, names of
employerClient, title of positions held and location of assignments. For experience in
last ten years, also give types of activities performed and client references, where
appropriate. Use about three-quarters of a page).

Languages:
(For each language indicate proficiency: excellent, good, fair, or poor in
speaking, reading and writing).

Certification:
I, the undersigned, certify that to the best of my knowledge and belief, these data
correctly describe me, my qualifications, and my experience.

. Date:
..
Signatures of Staff Member and Authorised Representative of the Firm
Day/Month/Year


Full name of staff member:

Full name of authorised representative:



R
F
P

U
t
t
a
r

P
r
a
d
e
s
h

M
a
j
o
r

D
i
s
t
r
i
c
t

R
o
a
d
s

I
m
p
r
o
v
e
m
e
n
t

P
r
o
g
r
a
m

D
e
c
,

2
0
1
3


3G TIME SCHEDULE FOR PROFESSIONAL STAFF
Months (in the form of a Bar Chart)
Number of
months
Sub-total (1)
Sub-total (2)
Sub-total (3)
Sub-total (4)
etc.








12
etc.








.
..

11







10







9






8






7






6






5






4






3




Part time:


2






1






Reports
Due/Activities




Signature:
(Authorised Representative)
Full Name:
Title:

Address:
Position




Name




Full time:
Reports Due:
Activities Duration:





SI.
No.
1.
2.
3.
etc.
R
F
P

U
t
t
a
r

P
r
a
d
e
s
h

M
a
j
o
r

D
i
s
t
r
i
c
t

R
o
a
d
s

I
m
p
r
o
v
e
m
e
n
t

P
r
o
g
r
a
m

D
e
c
,

2
0
1
3



3H ACTIVITY (WORK) SCHEDULE

A. FIELD INVESTIGATION AND STUDY ITEMS:
Month wise Programme (in form of Bar Chart) (1st, 2
nd
etc. are months from the start of the
assignment)
12
th
etc.


B. COMPLETION AND SUBMISSION OF REPORTS AND MANUALS
Programme (Date):







Consultants Name
11
th






10
th






9
th






8
th






7
th






6
th






5
th






Reports


Land Plan schedule and Investigation Report


Etc.
2
nd






1
st






Name of Activity (Work)


Inception report & Quality
Assurance Plan
Topographic Survey and
Investigation Report
Report on environmental and
Social Impact Assessment

Sl.
No.


1.
2.
3.
4.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


SECTION 4
FINANCIAL PROPOSAL
STANDARD FORMS
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


SECTION 4

FINANCIAL PROPOSAL STANDARD FORMS


4A FINANCIAL PROPOSAL SUBMISSION
FORM..

4B SUMMARY OF COSTS .

4C BREAKDOWN OF LOCAL CURRENCY COSTS



RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4A FINANCIAL PROPOSAL SUBMISSION FORM
[Location, Date]

FROM: [Name of Consultant] TO: The Chief Engineer and Project
Director
World Bank Projects (Roads)
U.P.P.W.D., Nirman Bhawan
96, Mahatma Gandhi Marg
Lucknow 226001
U.P., INDIA
Dear Sir,

Subject: PREPARATION OF DETAILED PROJECT REPORT FOR UTTAR
PRADESH MAJOR DISTRICT ROADS IMPROVEMENT PROGRAM

We, the undersigned, offer to provide the consulting services for the above in accordance with
your Request for Proposal dated and our Proposal (includes Technical and
Financial proposals and Earnest Money). Our attached Financial Proposal is for the sum of
... [Amount in words and figures]. This amount is inclusive exclusive of
all local taxes wherever we have is estimated at [Amount in words and figures]. which we have
estimated at . [Amount in
words and figures].

Our Financial Proposal shall be binding upon us subject to any modifications resulting from
contract negotiations, up to the expiration of the validity period of the Proposal, [date].

We undertake that in competing for and, if the award is made to us, in executing the above
contract, we will strictly observe the laws against fraud and corruption in force in India namely
the Prevention of Corruption Act 1988.

Commissions and gratuities, if any, paid or to be paid by us to agents relating to this proposal
and contract execution, if we are awarded the contract, are listed below:

Name and address of Agents Amount and Currency Purpose of commission or gratuity

.............................................. ................................... .....................................................

............................................... ..................................... ......................................................

We understand that you are not bound to accept any Proposal you receive.

We remain,

Yours sincerely,


Authorised Signature:
Name and Title of Signatory:
Name of Firm:
Address:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4B SUMMARY OF COSTS IN LOCAL CURRENCY

No. Description Amount (LC) *
*

L-I
L-II
L-III
L-IV
L-V
L-VI
L-VII
L-VIII
L-IX
L-X
L-XI
L-XII
Local Consultants
Remuneration for Local Key Professional Staff
Supporting Staff
Transportation
Duty Travel to Site
Office rent
Office Supplies, utilities and Communication
Office Furniture and Equipment
Reports and Document Printing
Per Diems
Accommodation
Laboratory Equipment
Surveys

Subtotal Local Consultants
Total Cost Net of Tax


Local
Taxes
and
Duties
Tax payable on fees for technical services provided
by the consultant

Consultancy Services Tax
TOTAL COSTS (including Tax)*

LC * Local Currency

Note: The ceiling cost of the consultancy is as shown in this Summary of Costs. Payments will
be made as per stipulations of the Special Conditions of Contract. The cost breakdowns given in
forms 4C are to facilitate assessment of reasonableness of costs and for conducting negotiations
in accordance with Clause 6 of the Information to Consultants.








RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4C BREAKDOWN OF COSTS

L-I REMUNERATION

No. Position Name Rate* Staff-
Months
Amount
Key Professional Staff


1

2

3

4 Etc

Sub-Total


Support Sub key
Professional Staff

1

2

3

4 Etc

Sub-Total

Field Support Staff

1

2

3

4 Etc

Sub-total



Total


L-II SUPPORT STAFF@

No. Position Name Billing Staff Staff Months Amount
1 Office Manager
2 Secretary
3 Accountant
4 Computer Operator I
5 Computer Operator II
6 Office Boy
7 Night Watchman
Total

@ Modify the items as appropriate


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


L-III TRANSPORTATION

1 The vehicles provided by the consultants
shall include ,the cost of rental, drivers,
operation, maintenance, repairs,insurance etc.

Purchases

Operation, maintenance, repairs

Total

L-IV DUTY TRAVEL TO SITE

Key Professional Staff

..x trips x days @

Transport . x . Trips @ .

Total

L-V OFFICE RENT

a) Office Rent (Including maintenance, cleaning, repairs etc.)


Consultants office in Lucknow( min 200 sq.m.)

months x .. per month

Total


L-VII REPORTS AND DOCUMENT PRINTING

No Description No. of
Reports
Total No. of
Copies*
Amount

Inception Report
1 4 hard 1 soft

Topographic Surveys and Investigation
Reports
1
4 hard 1 soft


Land Plan Schedules and Utility
Relocation Plans
1
4 hard 1 soft


Reports on Environment and Social
Impact Assessment
1
4 hard 1 soft

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013



Preliminary Drawings, including Strip
Plans
1
4 hard 1 soft


Specifications for works, and Output
Specifications for Maintenance
1
4 hard 1 soft


Contract packaging, BOQs and Costing
1
4 hard 1 soft


Implementation Schedule
1
4 hard 1 soft


Draft DPR, including the above
1
4 hard 1 soft


Final DPR
1
4 hard 1 soft


Support for preparation of bid documents,
pre-bid meetings and clarifications



Total

L-VIII PER DIEMS@
No Description Days Rate@ Amount
1
2
3

Professional staff (local)
Sub-professional staff (local)
Field Support staff

Total


L-IX ACCOMMODATION@
No Description Months Rate Amount
1
2
3
Professional staff (local)
Sub-professional staff (local)
Field Support staff

Total
@ Modify the items as appropriate

L-X PAYMENT SCHEDULE IN LOCAL CURRENCY

No Item
Month Month Month Month Month Month Month
etc
Advance Payment
L-I Remuneration for Local
Staff

L-II Supporting Staff
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


L-III Transportation
L-
IV
Duty Travel to Site
L-V Office Rent
L-
VI
Office Supplies and
Communication

L-
VII
Office Furniture and
Equipment

L-
VIII
Reports and Document
Printing

L-
IX
Accommodations
A Sub-Total Local
Currency Costs

Advance Repayment @
TOTAL PAYMENT
ACCUMULATED
TOTAL


@ Modify the items as appropriate

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013



















SECTION 5
TERM OF REFERENCE
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Contents: Terms of Reference for Detailed Project Report
1. General 1
2. Objective 1
3. Scope of Services General 2
3.1 Codes & Standards 3
3.2 Quality Assurance Plan (QAP) 4
3.3 Review of Data and Documents 4
4. Scope of Services Investigations 5
4.1 Traffic Assessment 5
4.1.1 Traffic Survey Locations 5
4.1.2 Classified Traffic Volume Counts 5
4.1.3 Origin-Destination and Commodity Movements Surveys 6
4.1.4 Turning Movement Surveys 6
4.1.5 Axle Load Surveys 7
4.1.6 Speed-Delay Surveys 7
4.1.7 Traffic Demand Estimates 7
4.1.8 Accident Spots 8
4.2 Topographic Surveys 8
4.2.1 Reconnaissance & Alignment 8
4.2.2 Details of Topographic Survey 9
4.3 Road and Pavement Investigations 11
4.3.1 Road Inventory 11
4.3.2 Pavement Composition 12
4.3.3 Road and Pavement Condition Surveys 12
4.3.4 Pavement Roughness 13
4.3.5 Pavement Structural Strength 13
4.3.6 Subgrade Characteristics and Strength 14
4.4 Bridges and Structures 14
4.4.1 Hydraulic and Hydrological Investigations 14
4.4.2 Condition Surveys for Bridges, Culverts and Structures 15
4.5 Geotechnical and Subsoil Investigations 15
4.6 Material Testing 16
5. Scope of Services Design 17
5.1 General 17
5.2 Geometric Design 17
5.3 Pavement Design 18
5.4 Design of Embankments 19
5.5 Design of Bridges and Structures 19
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


5.6 Drainage System 20
5.7 Traffic Safety, Road Furniture and Road Markings 20
5.8 Maintenance Specifications 20
5.9 Miscellaneous 20
6. nviron!ental an" Social St#"ies 21
6.1 Environmental Assessment 21
6.2 Social Assessment 22
7. sti!ation of $#antities an" %roject &osts 23
'. cono!ic (nal)sis 23
*. Deliverables + %a)!ent 24
1,. -eetings 24
11. &ons#ltanc) .ea! 25
11.1 Personnel Allocation 25
11.2 Personnel Qualifications 26
12. /eporting 27
13. Data + Soft0are to be !a"e available b) 1%%2D 27
14. &o!pletion of Services 2'
(nne3#re I4 5ist of /oa"s for D%/ 2*



RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


1. General

1. Uttar Pradesh is Indias most populous state with population of about 200 million.
While its population is around 16% of the population of India, it has only about 7% of the
countrys geographical area. Uttar Pradesh also has the largest rural population in the
country, with agriculture being the main activity contributing 46% of state income. Although
Uttar Pradesh has a good rail network, the dispersed nature of agricultural production means
that the road network is a critical element of the economic infrastructure. While the
dependence on agriculture is high, the road network is not very well developed: the state has
a network density of about 72 km per 100 sq km, as against the national average of 107. The
state has a road network of about 300,000 km, out of which about 174,000 km are with the
state Public Works Department (UPPWD). Almost 60% of state highways are double lane,
but 62% of MDRs and 83% of other district roads (ODRs) are having total width less than
3.75 m. Therefore, road connectivity and capacity are both an issue.

2. To address this issue of road connectivity and capacity, UPPWD is preparing a
Vision Statement and Strategic Master Plan for road development in the state. The scope of
this ongoing study includes (i) preparation of Vision Statement and Strategic Master Plan; (ii)
identification of CRN; (iii) requirements for augmentation and improvement of state
highways, MDRs and ODRs; (iv) planning connectivity to all habitations by all-weather
roads; and (v) preparation of implementation and financing plan for achieving the above
targets, including assessment of potential participation of private sector. At this time, the
UPPWDs CRN consultants have submitted a draft report on the identification of CRN.

3. This assessment of CRN includes about 7,100 km of state highways and 3,200 km of
MDRs, which form a vital connectivity element within the state. UPPWD is requesting
financing assistance from the Asian Development Bank (ADB) to take up specific parts of the
state-wide road improvement mandate. The Uttar Pradesh Major District Roads Investment
Program (the Program) proposed for ADBs assistance seeks to upgrade and rehabilitate
about 1,138 km of MDRs, thereby improving connectivity and fostering inclusive economic
growth. The estimated cost of the Program is about Rs.3,400 Crore ($572 million): 70% of
this being the proposed ADB financing, would be about $400 million.

4. The Program is designed to improve transport connectivity in the state of Uttar
Pradesh, by rehabilitating and upgrading major district roads (MDRs) forming part of the
Core Road Network (CRN) in the state. The Program constituents are (i) rehabilitating and
upgrading about 1,138 km of MDRs; and (ii) improving planning for road asset maintenance.

2. Objective

5. The Program will be implemented in two phases (tranches), with the first phase being
about 650 km. The objective of this assignment is to prepare detailed project reports (DPRs)
for the tranche 1 roads, The DPRs will cover: (i) Traffic surveys and assessments, (ii)
Engineering surveys, studies, designs; (ii) Project costing for construction and operations &
maintenance; (iv) Economic analysis; (v) Environmental assessments; and (vii) Resettlement
and rehabilitation assessments.

6. While the detailed scope of work is given in subsequent sections, the key objective is
to prepare DPRs for the purpose of firming up UPPWDs requirements in respect of
development and construction of the roads in terms of the requirements of ADB, and
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


enabling prospective bidders to assess project requirements in a clear and predictable manner
with a view to ensuring:
i. Enhanced safety and level of service for the road users;
ii. Superior operation and maintenance enabling enhanced operational efficiency
of the project roads;
iii. Minimal adverse impact on the local population and road users due to road
construction;
iv. Minimal adverse impact on environment; and
v. Minimal additional acquisition of land.

7. The DPR Consultant should note that ADB will carry out a project preparatory
assignment (called PPTA) through a separate set of consultants. ADBs PPTA will
supplement the DPR in specific areas, which are outlined as: (i) Technical review of the
DPR, with emphasis on road safety, sustainability, and climate change mitigation; (ii)
Economic analysis in terms of ADBs guidelines; (iii) Governance; (iv) Institutional; (v)
Poverty, Social, and Gender aspects; and (v) Safeguards. The PPTA Consultant will mobilize
and commence work after a period of about 2 months of the DPR Consultant. The DPR
Consultant will work closely with the PPTA Consultant, providing data and decision support,
under the oversight of UPPWD.

3. Scope of Services General

8. The DPRs are for improving and rehabilitating the selected MDRs to a standard 2-
lane configuration, geometric improvements as required, and bypasses in identified locations.
The main objective of the DPRs is to establish the technical, environmental, social,
economical, and financial viability of the project, suitable for funding by multilateral
agencies. The DPRs will include traffic and condition assessment, detailed road design,
design of pavement, design of bridges and cross drainage structures and grade separated
structures, design of service roads, quantities of various items, detailed working drawings,
detailed cost estimates, economic and financial viability analyses, environmental and social
feasibility, resettlement plans and environmental action plans as appropriate and documents
required for tendering the project on commercial basis for international/ local competitive
bidding. The DPRs will also include aspects of value engineering, quality audit and safety
audit requirement (in accordance with IRC: SP-88-2010 Road Safety Audit Manual) in
design and implementation. The scope of the DPRs will generally cover the following:

(i) Priority Roads for Tranche 1. The works will be completed in two tranche,
which will be approximately equal in cost. In tranche 1, projects needing lesser
development effort, particularly from environmental and social safeguards aspects,
will be selected based on a rapid assessment of corridors.

(ii) Engineering Surveys. For the priority roads, topographic, geotechnical,
hydrologic, sub-grade and pavement assessments will be carried out. Surveys will
also be carried out at proposed new alignment locations (bypasses, geometric
improvements).

(iii) Bridges, Structures, Hydrology. Surveys will be carried out to assess
condition, waterway adequacy, longitudinal and cross drainage works, and structural
foundations.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


(iv) Traffic Surveys. Classified traffic volume counts, axle load surveys, speed
and delay studies, pedestrian and cycle movement assessments, intersection studies,
and traffic safety audits will be carried out.

(v) Road/Bridge Design. The alignment will be designed based on the surveys
and requirement of geometric improvements. Longitudinal and cross sections will be
prepared as per standard practice. Road safety will be a cardinal feature of the design
basis, particularly with respect to intersections and signage. Pavement and structural
designs will be prepared, keeping in view climate change adaptation.

(vi) Environmental Assessment & Environment Management Plan. The EIA
(or IEE, as the case may be), will be prepared in accordance with the operational
policies, the Safeguard Policy Statement (SPS) 2009 of the Asian Development Bank.
The objective is to identify and assess potential environmental impacts, evaluating
alternatives and designing appropriate mitigation, enhancement, management and
monitoring measures to ensure that road improvement options are environmentally
sound and sustainable. The main objectives of the Environmental Management Plan
are to detail cost effective measures for the protection and enhancement of
environmental assets during construction and operation according to an agreed
implementation schedule.

(vii) Social and Gender Assessment, and Resettlement Plan, and Gender
Action Plan. The DPRs will include these reports to improve decision making and to
ensure that the projects under consideration are socially sound, sustainable and
contribute to the development of social development goals, including comprehensive
mitigation measures to ensure that the affected and displaced persons are
appropriately resettled and rehabilitated i.e., to improve their livelihoods and
standards of living or at least to restore them, in real terms. All the resettlement
studies will be conducted in line with the ADBs Safeguard Policy Statement (SPS),
2009 and other related policies such as the Public Communication Policy (2011). The
report should explicitly have a section on Social and Gender Analysis. The DPRs will
include the poverty and social assessment study based on the detailed design and
provide any additional inputs that will be required to finalize the report in terms of
gender analysis and preparation of the gender action plan, HIV/ AIDS, human
trafficking, child labor, socio economic analysis and poverty assessment etc.

(viii) Project Costing, Economic & Financial Analysis. Detailed BOQs and costs
based on realistic market rates will be adopted to arrive at component-wise cost
estimates. Economic and Financial Analysis will be conducted for with and without
project scenarios.

3.1 Codes & Standards

9. All activities related to field studies, design and documentation shall be done as per
the latest guidelines/ circulars of MORTH and relevant publications of the Indian Roads
Congress (IRC) and Bureau of Indian Standards (BIS). For aspects not covered by IRC and
BIS, international standard practices, such as, British and American Standards may be
adopted. The Consultants, upon award of the Contract, may finalize this in consultation with
UPPWD and reflect the same in the inception report. Consultant should also look at
international best practices and try to adopt them wherever there is scope for value addition.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


10. All notations, abbreviations and symbols used in the reports, documents and drawings
shall be as per IRC: 71-1977.

3.2 Quality Assurance Plan (QAP)

11. The data formats proposed by the Consultants for use in field studies and
investigations shall be submitted within 14 days after the commencement of services and got
approved by UPPWD. The Consultants should prepare a detailed Quality Assurance Plan
(QAP) for all field studies including topographic surveys, traffic surveys, engineering surveys
and investigations, design and documentation activities. The quality assurance plans/
procedures for different field studies, engineering surveys and investigation, design and
documentation activities should be presented as separate sections like engineering surveys
and investigations, traffic surveys, material geotechnical and subsoil investigations, road and
pavement investigations, investigation and design of bridges & structures, environment and
R&R assessment, economic & financial analysis, drawings and documentation, preparation,
checking, approval and filing of calculations, identification and tractability of project
documents etc. Further, additional information as per format shall be furnished regarding the
details of personal that shall be responsible for carrying out/preparing and checking/verifying
various activities forming part of feasibility study and project preparation, since inception to
the completion of work. The detailed Draft QAP Document must be discussed and finalized
with the concerned UPPWD officers immediately upon the award of the Contract and
submitted as part of the inception report. It is imperative that the QAP is approved by
UPPWD before the Consultants start the field work.

3.3 Review of Data and Documents

12. The Consultants shall collect the available data and information relevant for the
Study. The data and documents of major interest shall include, but not be limited to, the
following:
i. Climate;
ii. Road inventory;
iii Road condition, year of original construction, year and type of major
maintenance/rehabilitation works;
iv. Condition of bridges and cross-drainage structures;
v Sub-surface and geo-technical data for existing bridges;
vi Hydraulic data, drawings and details of existing bridges;
vii Detailed of sanctioned / on-going works on the stretch sanctioned by UPPWD/
other agencies for tie-in purposes;
viii. Survey and evaluation of locally available construction materials;
ix Historical data on classified traffic volume (preferably for 5 years or more);
x. Origin-destination and commodity movement characteristics; if available;
xi Speed and delay characteristics; if available;
xii Commodity-wise traffic volume; if available;
xiii. Accident statistics;
xiv. Vehicle loading behavior (axle load spectrum), if available;
xv. Type and location of existing utility services (e.g. Optical Cable, O/H and U/G
Electric, Telephone line, Water mains, Sewer, Trees etc.);
xvi. Environmental setting and social baseline of the project; and
xvii. Vision and Core Road Network reports prepared by UPPWD consultants.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4. Scope of Services Investigations

4.1 Traffic Assessment

4.1.1 Traffic Survey Locations
13. Traffic survey locations will generally be as under, subject to the proviso that if local
traffic conditions so warrant, additional locations may be selected to give a finer picture of
traffic characteristics. The methodology of collection and analysis of data, number and
location of traffic survey stations shall be finalized in consultation with UPPWD. The
Consultants shall, immediately upon award of the work, submit to UPPWD proposals
regarding the total number as well as the locations of the traffic survey stations with suitable
maps and charts, clearly indicating the rationale for selecting the location of survey stations.

Description Number of Survey Stations per
100 km on project roads
1 Classified Traffic Volume Count 3
2 Origin-Destination and Commodity
Movement Characteristics
Minimum 2
3 Axle Loading Characteristics 2
4 Intersection Volume Count All Major Intersection
5 Speed-Delay Characteristics Project Road Section
6 Pedestrian/ animal crossing traffic
count
All major in habilitations along the
road

4.1.2 Classified Traffic Volume Counts

14. Classified traffic volume counts shall be carried out for 7 days (continuous, direction-
wise) at the selected survey stations. The vehicle classification system as given in relevant
IRC code may be followed. However, the following generalized classification system is
suggested in view of the requirements of traffic demand estimates and economic analysis:

Motorized Non-Motorized
2-Wheeler Bi-Cycle
3-Wheeler Cycle-Rickshaw
Passenger Car Animal Drawn Vehicle (ADV)
Utility Vehicle (Jeep, Van etc.) Hand Cart
Other Non-Motorized Vehicle
Bus, Mini Bus, Standard Bus
LCV passenger, LCV freight
Truck, MCV: 2 Axle Rigid Chassis
HCV: 3 Axle Rigid Chassis
MAV: Semi Articulated, Articulated
Tractor Trolley

15. All results shall be presented in tabular and graphical form. The survey data shall be
analyzed to bring out the hourly and daily variations. The traffic volume count per day shall
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


be averaged to show a weekly Average Daily Traffic (ADT) by vehicle type. The Annual
Average Daily Traffic (AADT) shall be worked out by applying seasonal factors.

16. The consultants shall compile the relevant traffic volume data from secondary sources
also. The salient features of traffic volume characteristics shall be brought out and variations,
if any, from the traffic census carried out by the UPPWD shall be suitably explained.

4.1.3 Origin-Destination and Commodity Movements Surveys

17. The Consultants shall carry out 1-day (24 hour, both directions) O-D and Commodity
Movement Surveys at locations finalized in consultation with UPPWD. These will be
essentially to ascertain the probable diverted traffic on the project roads after improvement.
In addition, some locations may be selected on the project roads essentially required around
congested towns to delineate through traffic. The roadside interviews shall be on random
sample basis and cover all four-wheeled vehicles. The locations of the O-D survey and
Commodity Movement surveys shall normally be same as for the classified traffic count
stations.

18. The location of origin and destination zones shall be determined in relation to each
individual station and the possibility of traffic diversion from/to other road routes including
bypasses.

19. The trip matrices shall be worked out for each vehicle type. Information on weight for
trucks should be summed up by commodity type and the results tabulated, giving total weight
and average weight per truck for the various commodity types. The sample size for each
vehicle type shall be indicated on the table and also in the graphical representations.

20. The data derived from surveys shall also be analyzed to bring out the lead and load
characteristics and desire line diagrams. The data analysis should also bring out the
requirement for the construction of bypasses. The distribution of lead and load obtained from
the surveys should be compared with those derived from the axle load studies. The
commodity movement data should be duly taken into consideration while making the traffic
demand estimates.

4.1.4 Turning Movement Surveys

21. Turning movement surveys for estimation of peak hour traffic for the design of major
and minor intersections shall be carried out. The details regarding composition and
directional movement of traffic shall be furnished by the Consultant. The methodology for
the surveys shall be as per IRC: SP: 41-1994. The details including location and duration of
surveys shall be finalized in consultation with UPPWD officials.

22. The data derived from the survey should be analyzed to identify requirements of
suitable remedial measures, such as construction of underpasses, flyovers, interchanges, and
grade-separated intersections along the project road alignment. Intersections with high traffic
volume requiring special treatments, either presently or in future, shall be identified.

23. Pedestrian/ Animal Crossing Surveys may be conducted to determine if provision of
viaduct for pedestrians/animals is necessary to improve the traffic safety.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4.1.5 Axle Load Surveys

24. The axle load surveys shall normally be done using axle load pads or other
sophisticated instruments. Axle load surveys in both directions shall be carried out at suitable
location(s) in the project road stretch on a random sample basis normally for trucks only
(both empty and loaded trucks) for 2 normal days - (24 hours) at special count stations to be
finalized in consultation with UPPWD. However, a few buses may be weighed in order to get
an idea about their loading behavior. While selecting the location(s) of axle load survey
station(s), the locations of existing bridges with load restrictions, if any, should be taken into
account and such sites should be avoided.

25. The axle load data should be collected axle configuration-wise. The number of
equivalent standard axles per truck shall be calculated on the basis of results obtained. The
results of the survey should bring out the VDF for each truck type (axle configuration). If the
calculated VDF is found to be below the national average, then national average shall be
used. Furthermore, the data from axle load surveys should be analyzed to bring out the Gross
Vehicle Weight (GVW) and Single Axle Load (SAL) Distributions by truck type (axle
configuration).

26. The Consultant shall ascertain from local enquiries about the exceptional live loads
that have used the roads in the past in order to assess the suitability of existing bridges to
carry such loads.

27. The data derived from the O-D, speed-delay, other surveys and also supplementary
surveys should be analyzed to assess requirements for present and future development of
truck terminals at suitable locations en-route.

4.1.6 Speed-Delay Surveys

28. The Consultants shall carry out appropriate field studies such as moving car survey to
determine running speed and journey speed. The data should be analyzed to identify sections
with typical traffic flow problems and congestion. The objective of the survey would be to
recommend suitable measures for segregation of local traffic, smooth flow of through traffic
and traffic safety. These measures would include the provision of bypasses, under-passes,
flyovers, interchanges, grade-separated intersections and service roads.

4.1.7 Traffic Demand Estimates

29. The Consultants shall prepare traffic demand estimates and establish possible traffic
growth rates in respect of all categories of vehicles, taking into account the past trends,
annual population and real per capita growth rate, elasticity of transport demand in relation to
income and estimated annual production increase. The other aspects including socio-
economic development plans and the land use patterns of the region having impact on the
traffic growth, the projections of vehicle manufacturing industry in the country, development
plans for the other modes of transport, O-D and commodity movement behavior should also
be taken into account while working out the traffic demand estimates. The values of elasticity
of transport demand shall be based on the prevailing practices in the country. The Consultants
shall give complete background including references for selecting the value of transport
demand elasticity.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


30. It is envisaged that the 2-laning of the project road sections covered under this TOR
would be completed and opened to traffic after 3 years. The traffic demand estimates shall be
done for a further period of 15 years from completion. The demand estimates shall be done
assuming three scenarios, namely, optimistic, pessimistic and most likely traffic growth. The
growth factors shall be worked out for five-yearly intervals.

31. Traffic projections should be based on sound and proven forecasting techniques. In
case traffic demand estimated is to be made on the basis of a model, the application of the
model in the similar situation with the validation of the results should be established. The
traffic projections should also bring out the possible impact of implementation of any
competing facility in the near future. The demand estimates should also take into account the
freight and passenger traffic along the major corridors that may interconnect with the project.

32. The methodology for traffic demand estimates described in the preceding paragraphs
is for normal and diverted traffic only. In addition to the estimates for normal and diverted
traffic, the Consultants shall also work out the estimates for generated and induced traffic.

4.1.8 Accident Spots

33. The data on accident statistics should be compiled and reported showing accident type
and frequency so that black spots are identified along the project road section. The possible
causes (such as poor geometric features, pavement condition etc.) of accidents should be
investigated into and suitable cost effective remedial measures suggested for implementation.

4.2 Topographic Surveys

4.2.1 Reconnaissance & Alignment

34. The Consultants should make a study of the available land width (ROW) topographic
maps, satellite imageries and air photographs of the project area and other available relevant
information collected by them concerning the existing alignment. Consultant himself has to
arrange the required maps and the information needed by him from the potential sources.
Consultant should make efforts for minimizing land acquisition.

35. The detailed ground reconnaissance may be taken up immediately after the study of
maps and other data. The primary tasks to be accomplished during the reconnaissance
surveys include:
i. Topographical features of the area;
ii. Typical physical features along the existing alignment within and outside
ROW i.e. land use pattern;
iii Possible alignment alternatives, vis--vis, scheme for the construction of
additional lanes parallel to the existing road;
iv Realignment requirements including the provision of bypasses, ROBs /
Flyovers and via-duct for pedestrian crossings with possible alignment
alternatives;
v. Preliminary identification of improvement requirements including treatments
and measures needed for the cross-roads;
vi. Traffic pattern and preliminary identification of traffic homogenous links;
vii. Sections through congested areas;
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


viii Inventory of major aspects including land width, terrain, pavement type,
carriageway type, bridges and structures (type, size and location),intersections
(type, cross-road category, location) urban areas (location, extent),
geologically sensitive areas, environmental features:
ix Critical areas requiring detailed investigations; and,
x. Requirements for carrying out supplementary investigations.
xi. Soil (textural classifications) and drainage conditions
xii Type and extent of existing utility services along the alignment (within ROW).

36. The data derived from the reconnaissance surveys are normally utilized for planning
and programming the detailed surveys and investigations. All field studies including the
traffic surveys should be taken up on the basis of information derived from the
reconnaissance surveys. The data and information obtained from the reconnaissance surveys
should be documented. The data analysis and the recommendations concerning alignment and
the field studies should be included in the Inception Report. The data obtained from the
reconnaissance surveys should form the core of the database which would be supplemented
and augmented using the data obtained from detailed field studies and investigations.

37. The data obtained from the reconnaissance surveys should be compiled in the tabular
as well as graphical (chart) form indicating the major physical features and the proposed
widening scheme for UPPWDs comments. The data and the charts should also accompany
the rationale for the selection of traffic survey stations.

4.2.2 Details of Topographic Survey

38. The basic objective of the topographic survey would be to capture the essential
ground features along the alignment in order to consider improvements and for working out
improvements, rehabilitation and upgrading costs. The detailed topographic surveys should
normally be taken up after the completion of reconnaissance surveys.

39. The carrying out of topographic surveys will be one of the most important and crucial
field tasks under the project. The detailed field surveys shall be carried out using high
precision instruments i.e., Total stations. The data from the topographic surveys shall be
collected w.r.t. G.T.S. and will be made available in (x, y, z) format for use in a digital terrain
model (DTM). The Consultants would be fully responsive for accuracy in surveys.

40. The detailed field surveys would essentially include the following activities:
i. Topographic Surveys along the Existing Right of Way (ROW): Running a
continuous open Traverse along the existing road and realignments, wherever
required, and fixation of all cardinal points such as horizontal intersection
points (HIPs), centre points and transit points etc. and properly referencing the
same with a pair of reference pillars fixed on either side of the centre-line at
safe places within the ROW.
ii. Collection of details for all features such as structures (bridges, culverts etc.)
utilities, existing roads, electric and telephone installations (both O/H as well
as underground), huts, buildings, fencing and trees (with girth greater than 0.3
meter) oil and gas lines etc. falling within the extent of survey.
iii. Surveys for bypasses as mentioned below.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


41. The width of survey corridor will generally be as given under:
i. The width of the survey corridor should taken into account the layout of the
existing alignment including the extent of embankment and cut slopes and the
general ground profile. While carrying out the field surveys, the widening
scheme (i.e. right, left or symmetrical to the centre line of the existing
carriageway) should be taken into consideration so that the topographic
surveys cover sufficient width beyond the centre line of the proposed divided
carriageway. Normally the surveys should extend a minimum of 15 m beyond
either side of the centre line or land boundary whichever is more. However,
the widening arrangement should be proposed in such a way that the tree
cutting is minimized.
ii. In case the reconnaissance survey reveals the need for bypassing the congested
locations, the traverse lines would be run along the possible alignments in
order to identify and select the most suitable alignment for the bypass. The
detailed topographic surveys should be carried out along the bypass alignment
approved by UPPWD. At locations where grade separated intersections could
be the obvious choice, the survey area will be suitably increased. Field notes
of the survey should be maintained which would also provide information
about traffic, soil, drainage etc.
iii. The width of the surveyed corridor will be widened appropriately where
developments and/ or encroachments have resulted in a requirement for
adjustment in the alignment, or where it is felt that the existing alignment can
be improved upon through minor adjustments.
iv. Where existing roads cross the alignments, the survey will extend a minimum
of 100 m either side of the road centre line and will be of sufficient width to
allow improvements, including at grade intersection to be designed.

42. The surveyed alignment shall be transferred on to the ground as under:
i. Reference Pillar and Bench Mark / Reference pillar of size 15 cm X 15 cm X
45 cm shall be cast in RCC of grade M 15 with a nail fixed in the centre of the
top surface. The reference pillar shall be embedded in concrete upto a depth of
30 cm with CC M10 (5 cm wide all around). The balance 15 cm above ground
shall be painted yellow. The spacing shall be 250m apart, incase Bench Mark
Pillar coincides with Reference Pillar, only one of the two need be provided.
ii. Establishing Bench marks at site connected to GTS Bench marks at an interval
of 250 meters on Bench mark pillar made of RCC as mentioned above with
RL and BM No. marked on it with red paint.

43. The topographic surveys for longitudinal and cross-sections shall cover the following:
i. Longitudinal section levels along final centre line at every 25 m interval, at the
locations of curve points, small streams, intersections, and at the locations of
change in elevation.
ii. Cross sections at every 50 m interval in full extent of survey covering
sufficient number of spot levels on existing carriageway and adjacent ground
for profile correction course and earth work calculations. Cross sections shall
be taken at closer interval at curves.
iii. Longitudinal section for cross roads for length adequate for design and
quantity estimation purposes.
iv. Longitudinal and cross sections for major and minor streams as per
recommendations contained in IRC Special Publication No. 13 (Guidelines for
the Design of Small Bridges and Culverts) and IRC:5-1998 (Standard
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Specifications & Code of Practice for Road Bridges, Section 1 General
Features of Design).

44. The Consultants shall collect details of all important physical features along the
alignment. These features affect the project proposals and should normally include buildings
and structures, monuments, burial grounds, cremation grounds, places of worship, railway
lines, stream/ river/ canal, water mains, severs, gas/ oil pipes, crossings, trees, plantations,
utility services such as electric, and telephone lines (O/H & U/G) and poles, optical fiber
cables (OFC) etc. The survey would cover the entire right-of-way of the road on the adequate
allowance for possible shifting of the central lines at some of the intersections locations.

45. The information collected during reconnaissance and field surveys shall be shown on
a strip plan so that the proposed improvements can be appreciated and the extent of land
acquisition with land acquisition schedule, utility removals of each type etc., assessed and
suitable actions can be initiated. Separate strip plan for each of the services involved shall be
prepared for submission/coordination with the concerned agency.


4.3 Road and Pavement Investigations

46. The Consultants shall carry out detailed field studies in respect of road and pavement.
The data collected through road inventory and pavement investigations should be sufficient to
meet the input requirements of HDM-IV or any acceptable model.

4.3.1 Road Inventory

47. Detailed road inventory surveys shall be carried out to collect details of all existing
road and pavement features along the existing road sections. The data should be collected in
sufficient detail. The data should be compiled and presented in tabular as well as graphical
form, using simple utility packages, such as MS-Excel. The inventory data shall include but
not limited to the following:
i. Terrain (flat, rolling, mountainous);
ii. Land-use (agricultural, commercial, forest, residential etc) @ every kilometer;
iii. Carriageway width, surfacing type @ every 500m and every change of feature
whichever is earlier;
iv Shoulder surfacing type and width @ every 500m and every change of feature,
whichever is earlier;
v. Sub-grade / local soil type (textural classification) @ every 500m and every
change of feature whichever is earlier;
vi Horizontal curve; vertical curve
vii Road intersection type and details, at every occurrence;
viii Retaining structures and details, at every occurrence;
ix Location of water bodies (lakes and reservoirs), at every occurrence;
x. Height of embankment or depth of cut @ every 200m and every change of
feature whichever is earlier.
xi. Land width i.e. ROW
xii Culverts, bridges and other structures (type, size, span arrangement and
location)
xiii. Roadside arboriculture
xiv. Existing utility services on either side within ROW.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


xv. General drainage conditions
xvi. Design speed of existing road
xvii. Inventory of all roadside facilities for the public including educational, health,
communication facilities and road user based facilities such as tea shops,
dhaba, vehicle service shops etc

4.3.2 Pavement Composition

48. The data concerning the pavement composition may be already available with the
UPPWD. However, the consultants shall make trial pits to ascertain the pavement
composition. The test pit interval will be at every 500m. For each test pit, the following
information shall be recorded:
Test pit reference (Identification number, location):
Pavement composition (material type and thickness); and
Subgrade type (textural classification) and condition (dry, wet)

4.3.3 Road and Pavement Condition Surveys

49. Detailed field studies shall be carried out to collect road and pavement surface
conditions. The objective of the road and pavement condition surveys shall be to identify
defects and sections with similar characteristics. All defects shall be systematically
referenced, recorded and quantified for the purpose of determining the mode of rehabilitation.
The pavement condition surveys shall be carried out using visual means. Supplemented by
actual measurements and in accordance with the widely accepted methodology (AASHTO,
IRC, OECD and TRL Publications) adapted to meet the study requirements. The
measurement of rut depth would be made using standard straight edges. The shoulder and
embankment conditions shall be evaluated by visual means and the existence of distress
modes (cuts, erosion marks, failure, drops) and extent (none, moderate, frequent and very
frequent) of such distress manifestations would be recorded. For sections with severe
distresses, additional investigations as appropriate shall be carried out to determine the cause
of such distresses. Middle 200m could be considered as representative sample for each one
km. of road and incase all other things are considered similar. The data obtained from the
condition surveys should be analyzed and the road segments of more or less equal
performance may be identified using the criteria given in IRC: 81-1997. The data should
generally cover:

i. Pavement
Cracking (narrow and wide cracking), % of pavement area affected
Raveling, % of pavement area affected
Potholing, % of pavement area affected
Edge break, length (m)
Rut depth, mm
ii. Shoulder
Paved: Same as for pavement
Unpaved: material loss, rut depth and corrugation
Edge drop, mm.
iii. Embankment
General condition
Extent of slope erosion
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iv. Drainage
General condition
Connectivity of drainage turnouts into the natural topography
Condition in cut sections
Condition at high embankments
Local(village/local area level)drainage and flooding problem

4.3.4 Pavement Roughness
50. The roughness surveys shall be carried out using Bump Integrator or similar
instrument. The methodology for the surveys shall be as per the widely used standard
practices. The calibration of the instrument shall be done as per the procedure given in the
World Banks Technical Publications and duly got authenticated by established
laboratory/institution acceptable to the client. The surveys shall be carried out along the outer
wheel paths. The surveys shall cover a minimum of two runs along the wheel paths for each
direction. The results of the survey shall be expressed in terms of BI and IRI and shall be
presented in tabular and graphical forms. The processed data shall be analyzed using the
cumulative difference approach to identify road segments homogenous with respect to
surface roughness.

4.3.5 Pavement Structural Strength
51. The Consultants shall carry out structural strength surveys for existing two lane
pavements using Benkelman Beam Deflection technique in accordance with the CGRA
procedure given in IRC: 81-1997 (Guidelines for Strengthening of Flexible Road Pavements
Using Benkelman Beam Deflection Technique). It is suggested that the deflection surveys
may be carried out as per the scheme given below for (i) mainline testing and (ii) control
section testing:
i. The deflection tests for the mainline shall be carried out at every 500 m along
the road sections covered under the study. The control section testing shall
involve carrying out deflection testing for each 100 m long homogenous road
segment along the road sections. The selection of homogenous segment shall
be based on the data derived from pavement condition surveys. The total
length of such homogenous segments shall not be less than 100 m per
kilometer. The deflection measurements for the control section testing should
be at an interval of not more than 10 m.
ii. Test pits shall be dug at every 500 m (see Sec 3.6.2) and also along each
homogeneous road segment to obtain pavement composition details (pavement
course, material type and thickness) so as to be able to study if a correlation
exists between deflection and composition. If so, the relationship may be used
while working out the overlay thickness for the existing pavement.
iii. Benkelman Beam Deflection surveys may not be carried out for severely
distressed sections of the road warranting reconstruction. The Consultants,
immediately upon the award of the contract, shall submit to UPPWD the
scheme describing the testing schedule including the interval. The testing
scheme shall be supported by data from detailed reconnaissance surveys.
iv. In case, the Consultants wish to use any acceptable method(s) other than
Benkelman Beam deflection technique for the evaluation of pavement
strength, details of such methods or innovative features for deflection testing
using Benkelman Beam technique along with the methodology for data
analysis, interpretation and the use of such data for pavement overlay design
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


purposes using IRC or any other widely used practices, such as AASHTO
guidelines, should be got approved by UPPWD. The sources of such methods
should be properly referenced.

4.3.6 Subgrade Characteristics and Strength
52. Based on the data derived from condition (surface condition, roughness) and
structural strength surveys, the project road section should be divided into segments
homogenous with respect to pavement condition and strength. The delineation of segments
homogenous with respect to roughness and strength should be done using the cumulative
difference approach (AASHTO, 1993). The data on soil classification and mechanical
characteristics for soils along the existing alignments may already be available with the
UPPWD. The laboratory for testing of material should be got approved from UPPWD before
start of work. The testing scheme is, therefore, proposed as given under:

i. For the widening of existing road within the ROW, the Consultants shall test
at least three sub-grade soil samples for each homogenous road segment or
three samples for each soil type encountered, whichever is more.
ii. For the roads along new alignments, the test pits for subgrade soil shall be @5
km or for each soil type, whichever is more. A minimum of three samples
should be tested corresponding to each homogenous segment.
iii. The testing for subgrade soil shall include:
In-situ density and moisture content at each test pit
Characterization (grain size and Atterberg limits) at each test pit and,
Laboratory moisture-density characteristics (modified Proctor
compaction);
Laboratory CBR (unsoaked and 4-day soak compacted at three energy
levels) and swell.
iv. For problematic soils, the testing shall be more rigorous. The characteristics
with regard to permeability and consolidation shall also be determined for
these soils. The frequency of sampling and testing of these soils shall be
finalized in consultation with the UPPWD officers after the problematic soil
types are identified along the road sections.

4.4 Bridges and Structures

53. The Consultants shall make an inventory of all the structures (bridges, viaducts,
ROBs, culverts, etc.) along the road under the project. The inventory for the bridges, viaducts
and ROBs shall include the parameters required as per the guidelines of IRC-SP: 35-1990.
The inventory of culverts shall be presented in a tabular form covering relevant physical and
hydraulic parameters.

4.4.1 Hydraulic and Hydrological Investigations

54. Hydrological and hydraulic studies shall be carried out in accordance with IRC
Special Publication No. 13 (Guidelines for the Design of Small Bridges and Culverts) and
IRC: 5-1998 (Standard Specifications & Code of Practice for Road Bridges, Section I
General Feature of Design). These investigations shall be carried out for all existing
drainage structures along the road sections under the study.

55. The Consultants shall make a desk study of available data on topography (topographic
maps, stereoscopic aerial photography), storm duration, rainfall statistics, top soil
characteristics, vegetation cover etc. so as to assess the catchment areas and hydraulic
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


parameters for all existing and proposed drainage provisions. The findings of the desk study
would be further supplemented and augmented by a reconnaissance along the area. All
important hydrological features shall be noted during this field reconnaissance.

56. The Consultants shall collect information on high flood level (HFL), low water levels
(LWL), discharge velocity etc. from available past records, local inquiries and visible signs,
if any, on the structural components and embankments. Local inquiries shall also be made
with regard to the road sections getting overtopped during heavy rains.

4.4.2 Condition Surveys for Bridges, Culverts and Structures

57. The Consultants shall thoroughly inspect the existing structures and shall prepare a
report about their condition including all the parameters given in the Inspection pro-forma of
IRC-SP: 35-1990. The condition and structural assessment survey of the bridges/ culverts/
structures shall be carried out by senior experts of the Consultants. For the bridges identified
to be in a distressed condition based upon the visual condition survey, supplementary testing
shall be carried out as per IRC-SP: 35 and IRC-SP: 40. Selection of tests may be made based
on the specific requirement of the structure.

58. The evaluation of the load carrying capacity of the bridge shall be carried out as per
IRC-SP:37 (Guidelines for Evaluation of Load Carrying Capacity of Bridges). The
analytical and correlation method shall be used for the evaluation of the load carrying
capacity as far as possible. When it is not possible to determine the load carrying capacity of
the bridge using analytical and correlation method, the same shall be carried out using load
testing. The consultant has to exhaust all other methods of evaluation of strength of bridges
before recommending taking up load testing of bridges. Road closure for testing if
unavoidable shall be arranged by UPPWD for a limited duration, say 12 hours or so. The
assessment of the load carrying capacity or rating of existing bridges shall be carried out
under one or more of the following scenarios:

i. When the design live load is less than that of the statutory commercial vehicle
plying or likely to ply on bridge;
ii. If during the condition assessment survey and supplementary testing the
bridge is found to indicate distress of serious nature leading to doubt about
structural and / or functional adequacy, and
iii Design live load is not known nor are the records and drawings available.

59. Consultant shall carryout necessary surveys and investigations to establish the
remaining service life of each retainable bridge or structure with and without the proposed
strengthening and rehabilitation according to acceptable international practice in this regard.

4.6 Geotechnical and Subsoil Investigations

60. Sub-soil investigations will be done as per IRC:78/MORTH Specification. The
Consultants shall carry out geo-technical investigations and sub-surface explorations for the
proposed Bridges/Road over bridges/tunnels/viaducts/interchanges etc., along high
embankments and any other location as necessary for proper design of the works and conduct
all relevant laboratory and field tests on soil and rock samples. The scheme for the borings
locations and the depth of boring shall be prepared by the Consultants and submitted to
UPPWD for approval. These may be finalized in consultation with UPPWD. The minimum
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


scope of geo-technical investigations for bridge and structures shall be as under, and
deviations, if any, should be approved by UPPWD:

Description Location of Boring
1 Overall length = 6 30 m One abutment location
2. Overall length = 30 60 m One abutment location and at least one
intermediate location between abutments for
structures having more than one span
3. Overall length >60 m Each abutment and each pier locations

61. However, where a study of geo-technical reports and information available from
adjacent crossings over the same waterway (existing road and railway bridges) indicates that
subsurface variability is such that boring at the suggested spacing will be insufficient to
adequately define the conditions for design purposes, the Consultants shall review and
finalize the bore hole locations in consultation with the UPPWD officers.

62. The sub-soil exploration and testing should be carried out through the Geotechnical
Consultants who have done Geo-technical investigation work in similar project. In case of
outsourcing Geo-technical Investigation, the firm selected by the Consultant for this purpose
should also be got approved from UPPWD before start of such works. The soil testing reports
shall be in the format prescribed in relevant IRC Codes.

63. For the road pavement, bore holes at each major change in pavement condition or in
deflection readings or at 2 km intervals whichever is less shall be carried out to a depth of at
least 2 m below embankment base or to rock level and are to be fully logged. Appropriate
tests to be carried out on samples collected from these bore holes to determine the suitability
of various materials for use in widening of embankments or in parts of new pavement
structure.

4.7 Material Testing

64. The Consultants shall identify sources (including use of fly-ash/ slag), quarry sites
and borrow areas, undertake field and laboratory testing of the materials to determine their
suitability for various components of the work and establish quality and quantity of various
construction materials and recommend their use on the basis of techno-economic principles.
The Consultants shall prepare mass haul diagram for haulage purposes giving quarry charts
indicating the location of selected borrow areas, quarries and the respective estimated
quantities. The Material Investigation aspect shall include preparation and testing of
bituminous mixes for various layers and concrete mixes of different design mix grades using
suitable materials (binders, aggregates, sand filler etc.) as identified during Material
Investigation to conform to latest MORTH specification.

65. It is to be ensured that no material shall be used from the right-of-way except by way
of leveling the ground as required from the construction point of view or for landscaping and
planting of trees etc. or from the cutting of existing ground for obtaining the required
formation levels. Environmental restrictions, if any, and feasibility of availability of these
sites to prospective civil works contractors, should be duly taken into account while selecting
new quarry locations. The Consultants shall make suitable recommendations regarding
making good the borrow and quarry areas after the exploitation of materials for construction
of works.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


5. Scope of Services Design
5.1 General

66. The Consultants shall evolve Design Standards and material specifications for the
Study primarily based on IRC publications, MORTH Circulars and relevant
recommendations of the international standards (American, British) for approval by UPPWD.
The Design Standards evolved for the project shall cover all aspects of detailed design
including the design of geometric elements, pavement design, bridges and structures, traffic
safety and materials. Innovative type of structures with minimum joints, aesthetically,
pleasing and appropriate to the topography of the region shall be designed wherever feasible.
The Consultants are to carryout detailed designs and prepare working drawings for the
following:
i. Prepare alignment plans, longitudinal sections and cross-sections @ 50m
intervals;
ii. Design standard 2-lane road configuration (divided carriageway where
required) complete in all respects;
iii. Design of pavement for the additional lanes and overlay for the existing road,
paved shoulders, medians, verges;
iv. Bridges, viaduct/subways and structures including ROBs etc.;
v. At-grade and grade-separated intersections, interchanges (if required);
vi. ROB for railway crossings as per the requirement and the standards of the
Indian Railways;
vii. Designs for road furniture and road safety/traffic control features;
viii. Designs and drawings for service roads, under passes, overpasses, pedestrian
crossings, cattle passes, tree planting, and fencing at locations where
necessary;
ix. Bypasses at congested locations;
x. Drainage design showing location of turnouts, out falling structures, separate
drawings sheet for each 5 km. stretch;
xi. Bridges and structures rehabilitation plan with design and drawings; and
xii. Traffic amenities (Parking Areas, Weighing Station and Rest Areas, etc.) as
required.

5.2 Geometric Design

67. Based on the data collected from reconnaissance and topographic surveys, the
sections with geometric deficiencies, if any, should be identified and suitable measures for
improvement should be suggested for implementation. Accident statistics should be assessed
to indicate potential geometric and signage improvements. The detailed design for geometric
elements shall cover, but not be limited to the following major aspects:
i. Horizontal alignment;
ii. Longitudinal profile;
iii Cross-sectional elements.
iv. Junctions, intersections and interchanges;
v. Bypasses; and,
vi. Service roads as and when require i.e. built up area.

68. The consultants shall make detailed analysis of traffic flow and level of service for the
existing road and workout the traffic flow capacity for the improved project road. The
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


analysis should clearly establish the widening requirements with respect to the different
horizon periods taking into account special problems such as road segments with isolated
steep gradients. The alignment design shall be verified for available sight distances as per the
standard norms. The provision of appropriate markings and signs shall be made wherever the
existing site conditions do not permit the adherence to the sight distance requirements as per
the standard norms.

69. Requirements for the construction of bypasses should be identified on the basis of
data derived from reconnaissance and traffic studies. The available alignment options should
be worked out on the basis of available maps. The most appropriate alignment option for
bypasses should be identified on the basis of site conditions, techno-economic, and
environmental-social considerations.

70. If required The Consultants shall prepare design and other details in respect of the
parallel service roads in urbanized locations and other locations to cater to the local traffic,
their effect of the viability of the project on commercial basis if service roads are constructed
as part of the project and the implications of not providing the service roads. The consultant
shall prepare complete road and pavement design including drainage for new bypass option
identified around congested towns.

5.3 Pavement Design

71. Flexible pavements are envisaged for the project roads. For the design of pavement,
each set of design input shall be decided on the basis of rigorous testing and evaluation of its
suitability and relevance in respect of in-service performance of the pavement. The design
methodology shall accompany the design proposals and shall clearly bring out the basic
assumptions, values of the various design inputs, rationale behind the selection of the design
inputs and the criteria for checking and control during the implementation of works. In other
words, the design of pavement structure should take due account of the type, characteristics
of materials used in the respective courses, variability of their properties and also the
reliability of traffic predictions. Furthermore, the methodology adopted for the design of
pavement shall be complete with flow charts indicating the various steps in the design
process, their interaction with one another and the input parameter required at each step.

72. For the design of overlays for the existing pavement, the strengthening requirement
shall duly take into account the strength of the existing pavement vis--vis the remaining life.
The overlay thickness requirements shall be worked out for each road segment homogenous
with respect to condition, strength and sub-grade characteristics. For existing pavement with
acceptable levels of cracking, provision of a crack inhibiting layer should also be included.
Appropriate techniques of pavement strengthening should be duly considered by the
consultant for achieving economy.

73. The paved shoulders, wherever applicable, shall be designed as integral part of the
pavement for the main carriageway. The design requirements for the carriageway pavement
shall, therefore, be applicable for the design of shoulder pavements. The design of granular
shoulder should take into account the drainage considerations besides the structural
requirements.

74. The detailed design of pavement shall involve:
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


i. Strengthening of existing road pavement and design of the new pavement if
any, if the findings of the traffic studies and life-cycle costing analysis confirm
the requirement for widening of the road beyond the existing carriageway
ii. Pavement design for bypasses; and,
iii. Design of shoulders.
iv. The pavement design task shall also cover working out the maintenance and
strengthening requirements and periodicity and timing of such treatments.

5.4 Design of Embankments

75. The Consultants shall carry out detailed analysis and design for all embankments of
height greater that 6 m based on relevant IRC publications. The embankments design should
provide for maximum utilization of locally available materials consistent with economy. Use
of fly-ash, wherever available, within economical leads must be considered. In accordance
with Government instructions, use of fly-ash within 100 km from Thermal Power Stations is
mandatory. The design of embankments should include the requirements for protection works
and traffic safety features.

5.5 Design of Bridges and Structures

76. The Consultant shall prepare General Arrangement Drawing (GAD) and Alignment
Plan showing the salient features of the bridges and structures proposed to be constructed/
reconstructed along the road. These salient features such as alignment, overall length, span
arrangement, cross section, deck level, founding level, type of bridge components
(superstructure, substructure, foundations, bearings, expansion joint, return walls etc.) shall
be finalized based upon hydraulic and geotechnical studies, cost effectiveness and ease of
construction. The GAD shall be supplemented by Preliminary designs. In respect of span
arrangement and type of bridge a few alternatives with cost-benefit implications should be
submitted to enable UPPWD to approve the best alternative.

77. The location of all railway level crossings shall be identified and assessed for
providing ROB/ RUB as needed. The Consultants shall prepare preliminary GAD as required.
The Consultant shall pursue the Indian Railways Authorities or/and any statutory authority of
State/Central Government for approval of the GAD from concerned Authorities. Subsequent
to the approval of the GAD and Alignment Plan by UPPWD and Railways, the Consultant
shall prepare detailed design as per IRC and Railways guidelines and working drawings for
all components of the bridges and structures.

78. Dismantling/ reconstruction of existing structures shall be avoided as far as possible
except where considered essential in view of their poor structural conditions/ inadequacy of
the provisions etc. Suitable repair/ rehabilitation measures shall be suggested in respect of the
existing structures as per IRC-SP:40 along with their specifications, drawings and cost
estimate in the form of a report. The rehabilitation or reconstruction of the structures shall be
suggested based on broad guidelines for rehabilitation and strengthening of existing bridges
contained in IRC-SP:35 and IRC-SP:40. The existing structures having inadequate
carriageway width shall be widened/ reconstructed in part or fully as per the latest MORTH
guidelines. The Consultant shall furnish the detailed design and working drawings for
carrying out the above improvements.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


79. The Consultants shall also carry out the design and make suitable recommendations
for protection works for bridges and drainage structures. In case land available is not
adequate for embankment slope, suitable design for RCC retaining wall shall be furnished.
However, RES wall may also be considered depending upon techno-economic suitability to
be approved by UPPWD.

5.6 Drainage System

80. The requirement of roadside drainage system and the integration of the same with
proposed cross-drainage system shall be worked out for the entire length of the project road
section. In addition to the roadside drainage system, the Consultants shall design the special
drainage provisions for sections with super-elevated carriageways, high embankments and for
road segments passing through cuts. The drainage provisions shall also be worked out for
road segments passing through urban areas. The designed drainage system should show
locations of turnouts/outfall points with details of outfall structures fitting into natural
contours. A separate drawing sheet covering every 5 km. stretch of road shall be prepared.

5.7 Traffic Safety, Road Furniture and Road Markings

81. The Consultants shall design suitable traffic safety features and road furniture
including traffic signals, signs, markings, overhead sign boards, crash barriers, delineators
etc. The locations of these features shall be given in the reports and also shown in the
drawings. The Consultants shall prepare detailed plan for the traffic management and safety
during the construction period.

5.8 Maintenance Specifications

82. Maintenance of the roads is very important, and the Consultants shall detail
maintenance requirements for the project roads. The requirements will be in terms of
specifications and inputs (managerial, material, and financial resources) as well as outputs
that refer to performance parameters such as integrated roughness index. The output
parameters selected should be simple to measure and objective, and which can be included
into performance based maintenance contracts.

5.9 Miscellaneous

83. The Consultants shall work out appropriate plan for planting of trees (specifying type
of plantation), horticulture, floriculture on the surplus land of the right-of-way with a view to
beautify the road and making the environment along the road pleasing. The existing trees/
plants shall be retained to the extent possible.

84. The Consultants shall make suitable designs and layout for miscellaneous works
including rest areas, bus bays, vehicle parking areas, weighing stations, telecommunication
facilities etc. wherever appropriate. The common facilities like petrol pump, first-aid medical
facilities, police office, restaurant, vehicle parking etc., should be included in the general
layout for planning. For petrol pump, the guidelines issued by OISD of Ministry of Petroleum
shall be followed. The facilities should be planned to be at approximately 50 km interval.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


6. Environmental and Social Studies

85. Detailed Environmental and Social assessments will be carried out separately under
the PPTA of ADB. Therefore, the scope of work under this DPR assignment is for (i)
gathering required data needed for proper decision-making, (ii) evaluating alternatives, (iii)
undertaking initial stakeholder consultations, (iv) designing appropriate mitigation, (v)
enhancement, management and monitoring measures to ensure that road improvement
options are sound and sustainable, and (vi) assessing costs thereof. Compliance with State,
GOI and ADB social/ environmental guidelines and regulations has to be ensured. The
Consultant shall make available all reports/ data/ notes of consultations to the PPTA
Consultants, and provide all required support.

6.1 Environmental Assessment

86. The main objectives are to define boundaries (spatial and temporal) of the
environmental assessment, limitations and constraints, stakeholder consultations, and to
determine significant, hotspots. These aspects will be covered in an Environmental
Screening Report prepared by the consultant. Screening includes:
i. Assessment of potential impacts to ensure that environmental considerations
are given adequate weight in the selection and design of proposed road
improvements;
ii. Information on existing environmental baseline conditions (based on desk
review and field visits) such as congested and densely populated areas,
sensitive/ critical natural habitats i.e., national parks, wildlife reserves,
sanctuaries, sacred groves, protected areas, forests, wetlands, tree cover, major
rivers and waterways; cultural heritage sites of importance to people;
iii. Valued environmental components and screening criteria to help in the
analysis of alternatives;
iv. Assessment of positive and negative impacts and proposals of cost-effective
measures to enhance positive impacts and to avoid and/or mitigate negative
impacts;
v. Coordination of the environmental screening with the study, by integration of
the environmental considerations and their associated costs, in the economic
analysis. This should include identification and analysis of alternatives in-built
into the recommendations for engineering improvements and sensitivity
analysis;
vi. Application of National and State framework and relevant Asian Development
Bank guidelines and policies;
vii. Plans of proposed road alignments, showing all attributes within the corridor
of impact.

87. Analysis of Alternatives. The PPTA Consultant will systematically analyze criteria
to include environment; social, technical/design, economic options; alignment alternatives
within the existing ROW; bypasses; road configuration alternatives; other engineering
alternatives; including the with and without project situation; and suitability under local
conditions. For each of the alternatives, quantify the environmental impacts, and coordinate
with the economic and social analysis.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


88. Mitigation Measures. The PPTA Consultant will identify feasible and cost effective
measures to minimize negative and enhance positive environmental and social impacts
through integration in the engineering design and construction practices (including labor
welfare measures) for all stages of the project. Develop a mitigation plan, to form the basis
for the Environmental Management Plan, including costs, institutional, training and
monitoring requirements. Identify any additional actions taken to protect the biophysical and
social environment, as well as individuals impacted adversely by a project through continued
public involvement.

89. The consultant will furnish any relevant information required for obtaining clearance
from various state and central government agencies such as:
(i) Assisting the client in the submission of application for the Clearance of
Reserved Forests to the Forest Departments.
(ii) Assistance in presentation to the Wildlife Board of the MoEF in obtaining
clearance for the section of the corridor passing through the Wildlife Reserves
or Sanctuaries, etc., if any.
(iii) Assistance in submission for any other clearance requirements with respect to
the environmental components relevant to the project.

6.2 Social Assessment

90. The main objectives are to improve decision making and to ensure that the road
improvement options under consideration are socially sound, sustainable and contribute to the
development of social development goals. The proposals should gather full baseline
information and include mitigation measures to ensure that the affected and displaced persons
are appropriately resettled and rehabilitated.

91. The draft R&R framework shall be based on the following principles:
Involuntary resettlement should be avoided where feasible, or minimized,
exploring all viable alternative project designs;
Where it is not feasible to avoid resettlement, resettlement activities should be
conceived and executed as sustainable development programs, providing
sufficient investment resources to enable the persons affected/displaced by the
project to share in project benefits;
Affected/displaced persons should be meaningfully consulted and should have
opportunities to participate in planning and implementing resettlement programs;
Affected/Displaced persons should be assisted in their efforts to improve their
livelihoods and standards of living or at least to restore them in real terms, to pre-
displacement levels or to levels prevailing prior to the beginning of project
implementation, whichever is higher. This will be inclusive of full replacement
cost for losses of assets attributable directly to the project, assistance during
relocation, residential, commercial sites agriculture sites, transitional and
subsistence allowance;

92. The scope of work will be to:
i. Carry out a preliminary social screening in coordination with other screening
exercise (environment and technical) desk review and field visit to
determine the magnitude of actual and potential impact and ensure that social
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


considerations are given adequate weight in the selection and design of
proposed road improvements;
ii. Collect information desk review and field visit on existing baseline
conditions (include all within the proposed width or Right of Way), and
undertake a preliminary evaluation to define the zone of impact of such
component or activities, design and management studies;
iii. Explore viable alternative project designs and alignments to avoid, where
feasible, or minimize displacement and carry out public consultations on
alternate bypass alignments;
iv. Identify major and minor social impact issues and estimate the economic and
social negative impacts on people and land of upgrading the road and propose
cost-effective measures to avoid and/or mitigate negative impacts;
v. Identify case of likely impact on Indigenous communities, to establish the
applicability of GOI/ State Government/ ADBs regulation;
vi. Carry out preliminary public consultation with the likely affected groups,
NGOs, district administration and other stakeholders and document the
outcomes;
vii. Provide a preliminary cost estimate for land acquisition, transfer and
resettlement and rehabilitation and ensure inclusion in the overall project cost;
viii. Assets both within and outside of the right of way such structures and land
will be recorded on strip maps; and
ix. Pre-testing of socio-economic questionnaires, checklist for focus group
consultations on R&R with different social groups, administrative level and
other stakeholders.

7. Estimation of Quantities and Project Costs

93. The consultants shall package various projects into various civil (works) packages in
consultation with UPPWD. The Consultants shall prepare detailed estimates for quantities
(considering designs and mass haul diagram) and project cost for the entire project (civil
packages wise), including the cost of environmental and social safeguards proposed based on
UPPWD and MORTHs Standard Data Book and market rate for the inputs. The estimation
of quantities shall be based on detailed design of various components of the projects. The
estimation of quantities and costs would have to be worked out separately for each civil work
Package. The project cost estimates so prepared for are to be checked against rates for similar
on-going works in India under MORTH/ ADB financed road sector projects.

94. The Consultants shall make detailed analysis for computing the unit rates for the
different items of works. The unit rate analysis shall duly take into account the various inputs
and their basic rates, suggested location of plants and respective lead distances for
mechanized construction. The unit rate for each item of works shall be worked out in terms of
manpower, machinery and materials.

8. Economic Analysis

95. The Consultants shall review the Economic analysis already carried out by UPPWD
through Consultants hired for Development of Network Master Plan of the State to be in
accordance with ADBs Guidelines for the Economic Analysis of Projects.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


9. Deliverables & Payment

Report
a
Time in weeks,
from notice to
proceed
Milestone
Payment
Quality Assurance Plan 4 5%
Inception Report
Topographic Surveys and Investigation Reports 16 25%
Land Plan Schedules and Utility Relocation Plans
Reports on Environment and Social Impact
Assessment
18 10%
Preliminary Drawings, including Strip Plans 20 15%
Specifications for works, and Output Specifications
for Maintenance
Contract packaging, BOQs and Costing 24 25%
Implementation Schedule
Draft DPR, including the above
Final DPR 32 15%
Support for preparation of bid documents, pre-bid
meetings and clarifications
52 5%
Total 100%

All deliverables will be submitted in 3 hard copies to UPPWD and 1 hard copy for ADB. In addition, 1
soft copy on CD will be given to UPPWD and 1 soft copy on CD for ADB.

Apart from these reports, Consultants shall also submit a monthly status report to UPPWD in a very
succinct form, highlighting progress, staffing and changes, and issues needing decisions/ interventions
from UPPWD.

CDs containing all basic as well as processed data from all field studies and investigations, report,
appendices, annexure, documents and drawings shall be submitted to UPPWD at the time of the
submission of the Final Report. The data includes engineering investigations, traffic studies,
topographic surveys and drawings, rate analyses and costing, economic and financial analysis, etc. The
CDs should be properly indexed and a catalogued.

Mobilization Advance upto 10% of the total Agreement Value shall be paid on request against Bank
Guarantee of a Scheduled Bank. This shall attract 10% simple interest per annum and shall be adjusted
against the first four bills in four equal installments and the accrued interest shall be recovered from the
fifth bill.

For load testing of Bridges , if required , fixed rate of (a) Rs 5.0 Lakh per Span at Major Bridge (b) Rs.
1.0 Lakh per Span at Minor Bridge shall be paid to the Consultants. The total amount in this head will
be reimbursable as per actual subject to the ceiling of Rs 5.0 Lakh.

For sub-soil investigation using mechanized boring and including laboratory testing etc., payment shall
be made to the Consultants at the rate of Rs 1000.0/R.m. The total amount in this head will be
reimbursable as per actual.

10. Meetings

96. UPPWD may review with the Consultant, any or all of the documents and advice
forming part of the Consultancy, in meetings and conferences which will be held in
Lucknow. Further, the Consultant may be required to attend pre-bid meetings to provide
clarifications regarding the DPRs prepared by the Consultant. Expenses towards attending
such meetings, for a period of upto 6 months beyond the submission of final reports, shall be
factored into the cost of the proposal.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


11. Consultancy Team

97. The Consultant shall form a multi-disciplinary team (the Consultancy Team) for
undertaking this assignment. The following Key Personnel whose experience and
responsibilities are briefly described herein would be considered for evaluation of the
Technical Proposal. Other expertise such as that required for financial analysis, pavement
design, material investigation characterization, quantity survey, social impact assessment etc.,
for the project shall be included in the Team either through the Key Personnel specified
below or through other Professional Personnel, as necessary.

98. The Consultant shall establish a Project Office at a suitable location in Lucknow for
efficient and coordinated performance of its Services. All the Key Personnel shall be
deployed at this office as specified in the Manning Schedule forming part of the Agreement.
The authorized officials of UPPWD may visit the Consultants Project Office any time during
office hours for inspection and interaction with the Consultants Personnel. It is not expected
of the Consultant to carry out the operations from the Head/Home Office, except as agreed in
the Manning Schedule.

99. The Consultant shall mobilize and demobilize its Professional Personnel and Support
Personnel with the concurrence of UPPWD and shall maintain the time sheet/ attendance
sheet of the working of all Personnel in the Project Office. These time sheets/ attendance
sheets shall be made available to the UPPWD as and when asked for and a copy of such
record shall be submitted to the UPPWD at the end of each calendar month.

11.1 Personnel Allocation

Key Personnel Person-months
Team Leader / Senior Highway Engineer 8
Highway Engineer 8
Pavement cum Materials Engineer 3
Bridge Engineer 3
Traffic Engineer 3
Geotechnical Engineer 2
Senior Survey Engineer 5
Senior Contract Engineer 2
Quantity Surveyor 4
Drainage Engineer 2
Economist cum Financial Analyst 3
Environmental Specialist 4
Resettlement Specialist 4
Social Development Specialist 3
Total 54
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


11.2 Personnel Qualifications
Experts Education Essential Experience
Total
Professional
Experience
Relevant Experience Experience in Similar
Capacity
Team Leader/
Senior
Highway
Engineer
Graduate in
Civil
Engineering
Min.
20 years
Min. 15 years in
preparing road projects
and min. 5 years as team
leader
2-laning or 4 laning road
projects preferably funded
by WB or ADB
Highway
Engineer
Graduate in
Civil
Engineering
Min.
15 years
Min. 10 years
experience in road
design projects
2-laning or 4 laning road
projects
Pavement cum
Materials
Engineer
Graduate in
Civil
Engineering
Min.
15 years
Min. 10 years
experience in road
pavement design and
maintenance
Pavement design for road
projects, preferably funded
by WB or ADB
Bridge
Engineer
Graduate in
Civil
Engineering
Min.
15 years
Min. 10 years
experience in bridge
design projects
Bridge design for road
design consultancy
projects, preferably funded
by WB or ADB
Traffic
Engineer
Graduate in
Civil
Engineering
or Traffic
Planning/
Engineering
Min.
15 years
Min. 10 years
experience in road
projects and minimum
two projects as Traffic
Engineer
Traffic Engineer in 2-
laning or 4 laning road
projects preferably funded
by WB or ADB
Geotechnical
Engineer
Graduate in
Civil
Engineering
or Material
Engineering
Min.
15 years
Min. 10 years
experience in road
projects
Material or geotechnical
engineer for road projects,
preferably funded by WB
or ADB
Senior Survey
Engineer
Graduate in
Civil
Engineering
Min.
15 years
Min. 10 years
experience in road
projects with design and
construction and
thorough knowledge of
modern computer based
methods of surveying
Material or geotechnical
engineer for road projects,
preferably funded by WB
or ADB
Senior
Contract
Engineer
Graduate in
Civil
Engineering
or
Construction
Management
Min.
15 years
Min. 10 years in
preparation and
management of
construction contracts
and procurements for
international bidding
2-laning or 4 laning road
projects preferably funded
by WB or ADB
Quantity
Surveyor
Graduate in
Civil
Engineering
Min.
15 years
Min. 10 years
experience in road
projects
2-laning or 4 laning road
projects preferably funded
by WB or ADB
Drainage Graduate in Min. Min. 10 years Drainage or hydrological
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Experts Education Essential Experience
Total
Professional
Experience
Relevant Experience Experience in Similar
Capacity
Engineer Civil
Engineering
15 years experience on similar
projects in design and/or
construction
engineer on 2-laning or 4
laning road projects
preferably funded by WB
or ADB. Experience in
flood-prone or high
precipitation areas
preferred.
Economist
cum Financial
Analyst
Graduate in
Engineering
or Economics
Min.
15 years
Min. 10 years
experience in economic
and financial analysis
on transport projects
Economic and financial
analyst on 2-laning or 4
laning road projects
preferably funded by WB
or ADB.
Environmental
Specialist
Graduate in
Engineering
with
specialization
in
Environment
Min.
10 years
Min. 8 years in
environment impact
assessment of transport
projects, preferably
funded by WB or ADB.
Environmental Specialist
in 2-laning or 4 laning
road projects preferably
funded by WB or ADB
Resettlement
Specialist
Graduate in
Social
Science
Min.
10 years
Min. 8 years experience
on resettlement
activities for road
projects
Resettlement Specialist for
at least one road project
Social
Development
Specialist
Graduate in
Social
Science
Min.
10 years
Min. 8 years experience
on social/ poverty/
gender/ road projects
Social Development
Specialist for at least one
road project

12. Reporting

100. The Project Implementation Unit under UPPWD will be the nodal agency for
interfacing with the consultant, and Chief Engineer of the Project Implementation Unit (PIU)
will be the controlling officer. The Consultant will work closely with the PIU in UPPWD.
The Chief Engineer may nominate a Nodal Officer in the PIU to interface with the
Consultant, who will be responsible for the overall coordination and project development.

13. Data & Software to be made available by UPPWD

101. UPPWD will provide the consultant with the following:
(i) Report on the Vision Document and Core Road Network, prepared by
UPPWD consultants;
(ii) Access to available data, records, and other information required to perform
the assigned tasks; and
(iii) Counterpart staff and engineers to coordinate with the Consultants team.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


14. Completion of Services

102. All the study outputs including primary data shall be compiled, classified and
submitted by the Consultant to the Authority in soft (electronic) form apart from the reports
indicated in the Deliverables. The study outputs shall remain the property of UPPWD and
shall not be used for any purpose other than that intended without the permission of the
UPPWD. The Consultancy shall stand completed on acceptance by the UPPWD of all the
Deliverables of the Consultant. UPPWD shall issue a certificate to that effect. The
Consultancy shall in any case be deemed to be completed upon expiry of [1 (one)] year from
the Effective Date, unless extended by mutual consent of UPPWD and the Consultant.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


Annexure I: List of Roads for DPR

This list of approximately 650.0 Km length of roads will be finalized by UPPWD in
consultation with ADB and the Consultants appointed for DPR preparation.







RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013























SECTION 6
STANDARD FORMS OF CONTRACT
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


CONTENTS
page

I FORM OF CONTRACT FOR CONSULTANTS SERVICES...77

II GENERAL CONDITIONS OF CONTRACT ............................................................ 73

1 General Provisions ........................................................................................................ 79

1.1 Definitions ....................................................................................................................... 79
1.2 Relation between the Parties ........................................................................................... 80
1.3 Law Governing the Contract ........................................................................................... 80
1.4 Language ......................................................................................................................... 80
1.5 Headings
1.6 Notices
1.7 Location
1.8 Authority of Member in . Charge.
1.9 Authorised . Representatives
1.10 Taxes and Duties .................................................................................................................

2 Commencement, Completion, Modification, and Termination of Contract ...............
2.1 Effectiveness of Contract ....................................................................................................
2.2 Termination of Contract for Failure to Become Effective ..................................................
2.3 Commencement of Services ................................................................................................
2.4 Expiration of Contract .........................................................................................................
2.5 Entire Agreement ................................................................................................................
2.6 Modification ........................................................................................................................
2.7 Force Majeure .....................................................................................................................
2.7.1 Definition ...................................................................................................................
2.7.2 No Breach of Contract ...............................................................................................
2.7.3 Measures to be Taken ................................................................................................
2.7.4 Extension of Time .....................................................................................................
2.7.5 Payments ....................................................................................................................
2.7.6 Consultation ...............................................................................................................
2.8 Suspension ..........................................................................................................................
2.9 Termination .........................................................................................................................
2.9.1 By the Client ..............................................................................................................
2.9.2 By the Consultants .....................................................................................................
2.9.3 Cessation of Rights and Obligations .........................................................................
2.9.4 Cessation of Services .................................................................................................
2.9.5 Payment upon Termination .......................................................................................
2.9.6 Disputes about Events of Termination ......................................................................

3 Obligations of the Consultants .........................................................................................
3.1 General ................................................................................................................................
3.1.1 Standard of Performance ...........................................................................................
3.1.2 Law Governing Services ...........................................................................................
3.2 Conflict of Interests .............................................................................................................
3.2.1 Consultants not to Benefit from Commissions, Discounts, etc. ................................
3.2.2 Procurement Rules of Funding Agencies ..................................................................
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


3.2.3 Consultants and Affiliates not to Engage in Certain Activities .................................
3.2.4 Prohibition of Conflicting Activities .........................................................................
3.3 Confidentiality ....................................................................................................................
3.4 Liability of the Consultants .................................................................................................
3.5 Insurance to be Taken Out by the Consultants ...................................................................
3.6 Accounting, Inspection andAuditing .
3.7 Consultants Actions Requiring Clients Prior Approval ...................................................
3.8 Reporting Obligations .........................................................................................................
3.9 Documents Prepared by the Consultants to be the Property of the Client ..........................
3.10 Equipment and Materials Furnished by the Client ..............................................................

4 Consultants Personnel .....................................................................................................

4.1 General ................................................................................................................................
4.2 Description of Personnel .....................................................................................................
4.3 Approval of the Personnel ...................................................................................................
4.4 Working Hours, Overtime, Leave, etc. ...............................................................................
4.5 Removal and/or Replacement of Personnel ........................................................................
4.6 Resident Project Manager ...................................................................................................

5 Obligations of the Client ...................................................................................................

5.1 Assistance and Exemptions .................................................................................................
5.2 Access to Land ....................................................................................................................
5.3 Change in the Applicable Law ............................................................................................
5.4 Services, Facilities and Property of the Client ....................................................................
5.5 Payment ...............................................................................................................................
5.6 Counterpart Personnel .........................................................................................................

6 Payments to the Consultants ............................................................................................

6.1 Cost Estimates; Ceiling Amount .........................................................................................
6.2 Currency of Payment ..........................................................................................................
6.3 Mode of Billing and Payment .............................................................................................

7 Responsibility for accuracy of document ........................................................................

7.1 General ................................................................................................................................
7.2 Retention money .................................................................................................................
7.3 Penalty .................................................................................................................................
7.4 Action for deficiency in service ..........................................................................................

8 Fairness and Good Faith ..................................................................................................

8.1 Good Faith ...........................................................................................................................
8.2 Operation of the Contract ....................................................................................................

9 Settlement of Disputes ......................................................................................................

9.1 Amicable Settlement ...........................................................................................................
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9.2 Dispute Settlement ..............................................................................................................

III SPECIAL CONDITIONS OF CONTRACT ..................................................................

VI APPENDICES ...................................................................................................................
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


FORM OF CONTRACT FOR CONSULTANTS SERVICES


This CONTRACT (hereinafter called the Contract) is made the .. day
of the month of .., 2014, between the .. on one
hand, (hereinafter called the Client) and, on the other hand,
.. (hereinafter called the Consultants)

[Note: If the Consultants consist of more than one entity, the above should be partially
amended to read as follow:

.. (hereinafter called the Client) and, on the other hand, a joint
venture consisting of the following entities, each of which will be jointly and severally liable
to the Client for all the Consultants obligations under this Contract, namely
and
. (hereinafter called the Consultants.)]

WHEREAS

(a) The Client has requested the Consultants to provide certain consulting services as
defined in the General Conditions of Contract attached to this Contract (hereinafter
called the Services);
(b) The Consultants, having represented to the Client that they have the required
professional skills, personnel and technical resources, have agreed to provide the
Services on the terms and conditions set forth in this Contract;
(c) The Client has applied for a loan from the Asian Development Bank ( hereinafter called
the Bank) towards the cost of the Services . However the eligible payments under this
Contract shall be borne by UPPWD from their own sources, it is being understood that
payments will be made only at the request of the Client and upon approval by the Bank,

NOW THEREFORE the parties hereto hereby agree as follows:

1 The following documents attached hereto shall be deemed to form an integral part of
this Contract:

(a) The General Conditions of Contract (hereinafter called GC);

(b) The Special Conditions of Contract (hereinafter called SC);

(c) The following Appendices:
[Note: If any of these Appendices are not used, the words Not Used should be
inserted below next to the title of the Appendix on the sheet attached hereto
carrying the title of that Appendix.]

Appendix A : Description of the Services
Appendix B : Reporting requirements
Appendix C : Key Personnel and Sub-Consultants
Appendix D : Cost Estimates in Local Currency
Appendix E : Form of Guarantee for Advance Payments
Appendix F : Form of Guarantee for Bid security
Appendix E : Form of Guarantee for Performance Guarantee
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


2 The mutual rights and obligations of the Client and the Consultants shall be as set forth
in the Contract; in particular

(a) the Consultants shall carry out the Services in accordance with the provisions of the
Contract; and

(b) the Client shall make payments to the Consultants in accordance with the provisions of
the Contract.

IN WITNESS WHEREOF, the Parties hereto have caused this Contract to be signed in their
respective names as of the day and year first above written.


FOR AND ON BEHALF OF
[NAME OF CLIENT]

By

(Authorised Representative)


FOR AND ON BEHALF OF
[NAME OF CONSULTANTS]

By .

(Authorised Representative)
[Note: If the Consultants consist of more than one entity, all of these entities should appear as
signatories, e.g., in the following manner:]


FOR AND ON BEHALF OF EACH OF THE MEMBERS OF THE CONSULTANTS

[Name of the Member]

By .
(Authorised Representative)

[Name of the Member]

By .
(Authorised Representative)

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


II GENERAL CONDITIONS OF CONTRACT

1 GENERAL PROVISIONS

1.1 Definitions

Unless the context otherwise requires, the following terms whenever used in this
Contract have the following meanings:

(a) Applicable Law means the laws and any other instruments having the force of law of
the Governments country, as they may be issued and in force from time to time;

(b) Bank means the Asian Development Bank;

(c) Contract means the Contract signed by the Parties, to which these General
Conditions of Contract are attached, together with all the documents listed in
Clause 1 of such signed Contract;

(d) Effective Date means the date on which this Contract comes into force and
effect pursuant to Clause GC 2.1;

(e) GC means these General Conditions of Contract;

(g) Government means the Government of India;

(h) local currency means Indian Rupees;

(i) Member, in case the Consultants consist of a joint venture of more than one
entity, means any of these entities, and Members means all of these entities;

(j) Party means the Client or the Consultants, as the case may be, and Parties
means both of them;

(k) Personnel means persons hired by the Consultants or by any Sub-Consultant as
employees and assigned to the performance of the Services or any part thereof,;
local Personnel means such persons who at the time of being so hired had their
domicile inside India; and key personnel mean the personnel referred to in
Clause GC 4.2(a);

(l) SC means the Special Conditions of Contract by which these General
Conditions of Contract may be amended or supplemented;

(m) Services means the work to be performed by the Consultants pursuant to this
Contract for the purposes of the Project, as described in Appendix A hereto;

(n) Sub-Consultant means any entity to which the Consultants subcontract any part
of the Services in accordance with the provisions of Clause GC 3.7; and

(o) Third Party means any person or entity other than the Government, the Client,
the Consultants or a Sub-Consultant.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


1.2 Relation between the Parties

Nothing contained herein shall be construed as establishing a relationship of master and
servant or of agent and principal as between the Client and the Consultants. The
Consultants, subject to this Contract, have complete charge of Personnel and sub
consultants, if any performing the Services and shall be fully responsible for the
Services performed by them or on their behalf hereunder.

1.3 Law Governing the Contract

This Contract, its meaning and interpretation, and the relation between the Parties shall
be governed by the Applicable Law.

1.4 Language

This Contract has been executed in the language specified in the SC, which shall be the
binding and controlling language for all matters relating to the meaning or
interpretation of this Contract.

1.5 Headings

The headings shall not limit, alter or affect the meaning of this Contract.

1.6 Notices

1.6.1 Any notice, request or consent required or permitted to be given or made pursuant to
this Contract shall be in writing. Any such notice, request or consent shall be deemed to
have been given or made when delivered in person to an authorised representative of
the Party to whom the communication is addressed, or when sent by registered mail,
telex, telegram or facsimile to such Party at the address specified in the SC.

1.6.2 Notice will be deemed to be effective as specified in the SC.

1.6.3 A Party may change its address for notice hereunder by giving the other Party notice of
such change pursuant to the provisions listed in the SC with respect to Clause GC1.6.2.

1.7 Location

The Services shall be performed at such locations as are specified in Appendix A hereto
and, where the location of a particular task is not so specified, at such locations,
whether in India or elsewhere, as the Client may approve.

1.8 Authority of Member in Charge

In case the Consultants consist of a joint venture of more than one entity, the Members
hereby authorise the entity specified in the SC to act on their behalf in exercising all the
Consultants rights and obligations towards the Client under this Contract, including
without limitation the receiving of instructions and payments from the Client.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


1.9 Authorised Representatives

Any action required or permitted to be taken, and any document required or permitted
to be executed, under this Contract by the Client or the Consultants may be taken or
executed by the officials specified in the SC.

1.10 Taxes and Duties

Unless otherwise specified in the SC, the Consultants, sub consultants and their
personnel shall pay such taxes, duties, fees and other impositions as may be levied
under the Applicable Law.

2 COMMENCEMENT, COMPLETION, MODIFICATION AND TERMINATION
OF CONTRACT

2.1 Effectiveness of Contract

This Contract shall come into force and effect on the date (the Effective Date) of the
Clients notice to the Consultants instructing the Consultants to begin carrying out the
Services. This notice shall confirm that the effectiveness conditions, if any, listed in the
SC have been met.

2.2 Termination of Contract for Failure to Become Effective

If this Contract has not become effective within such time period after the date of the
Contract signed by the Parties as shall be specified in the SC, either Party may, by not
less than four (4) weeks written notice to the other Party, declare this Contract to be
null and void, and in the event of such a declaration by either Party, neither Party shall
have any claim against the other Party with respect hereto.

2.3 Commencement of Services

The Consultants shall begin carrying out the Services at the end of such time period
after the Effective Date as shall be specified in the SC.

2.4 Expiration of Contract

Unless terminated earlier pursuant to Clause GC 2.9 hereof, this Contract shall expire
when services have been completed and all payments have been made at the end of
such time period after the Effective Date as shall be specified in the SC.

2.5 Entire Agreement

This Contract contains all covenants, stipulations and provisions agreed by the Parties.
No agent or representative of either Party has authority to make, and the Parties shall
not be bound by or be liable for, any statement, representation, promise or agreement
not set forth herein,


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


2.6 Modification

Modification of the terms and conditions of this Contract, including any modification of
the scope of the Services, may only be made by written agreement between the Parties.
Pursuant to Clause GC 8.2 hereof, however, each Party shall give due consideration to
any proposals for modification made by the other Party.

2.7 Force Majeure

2.7.1 Definition

(a) For the purpose of this Contract, Force Majeure means an event which is beyond the
reasonable control of a Party, and which makes a Partys performance of its obligations
hereunder impossible or so impractical as reasonably to be considered impossible in the
circumstances, and includes, but is not limited to, war, riots, civil disorder, earthquake,
fire, explosion, storm, flood or other adverse weather conditions, strikes, lockouts or
other industrial action (except where such strikes, lockouts or other industrial action are
within the power of the Party invoking Force Majeure to prevent), confiscation or any
other action by government agencies.

(b) Force Majeure shall not include (i) any event which is caused by the negligence
or intentional action of a Party or such Partys sub-consultants or agents or
employees, nor (ii) any event which a diligent Party could reasonably have been
expected to both (a) take into account at the time of the conclusion of this
Contract and (b) avoid or overcome in the carrying out of its obligations
hereunder.

(c) Force Majeure shall not include insufficiency of funds or failure to make any
payment required hereunder.

2.7.2 No Breach of Contract

The failure of a Party to fulfil any of its obligations hereunder shall not be considered to
be a breach of, or default under, this Contract insofar as such inability arises from an
event of Force Majeure, provided that the Party affected by such an event has taken all
reasonable precautions, due care and reasonable alternative measures, all with the
objective of carrying out the terms and conditions of this Contract.

2.7.3 Measures to be Taken

(a) A Party affected by an event of Force Majeure shall take all reasonable measures to
remove such Partys inability to fulfill its obligations hereunder with a minimum of
delay.

(b) A Party affected by an event of Force Majeure shall notify the other Party of such
event as soon as possible, and in any event not later than fourteen (14) days
following the occurrence of such event, providing evidence of the nature and
cause of such event, and shall similarly give notice of the restoration of normal
conditions as soon as possible.

(c) The Parties shall take all reasonable measures to minimise the consequences of
any event of Force Majeure.
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2.7.4 Extension of Time

Any period within which a Party shall, pursuant to this Contract, complete any action or
task, shall be extended for a period equal to the time during which such Party was
unable to perform such action as a result of Force Majeure.

2.7.5 Payments

During the period of their inability to perform the Services as a result of an event of
Force Majeure, the Consultants shall be entitled to be reimbursed for additional costs
reasonably and necessarily incurred by them during such period for the purposes of the
Services and in reactivating the Services after the end of such period.

2.7.6 Consultation

Not later than thirty (30) days after the Consultants, as the result of an event of Force
Majeure, have become unable to perform a material portion of the Services, the Parties
shall consult with each other with a view to agreeing on appropriate measures to be
taken in the circumstances.

2.8 Suspension

The Client may, by written notice of suspension to the Consultants, suspend all
payments to the Consultants hereunder if the Consultants fail to perform any of their
obligations under this Contract, including the carrying out of the Services, provided that
such notice of suspension (i) shall specify the nature of the failure, and (ii) shall request
the Consultants to remedy such failure within a period not exceeding thirty (30) days
after receipt by the Consultants of such notice of suspension.

2.9 Termination

2.9.1 By the Client

The Client may, by not less than thirty (30) days written notice of termination to the
Consultants (except in the event listed in paragraph (f) below, for which there shall be a
written notice of not less than sixty (60) days), such notice to be given after the
occurrence of any of the events specified in paragraphs (a) through (g) of this Clause
GC 2.9.1, terminate this Contract:

(a) if the Consultants fail to remedy a failure in the performance of their obligations
hereunder, as specified in a notice of suspension pursuant to Clause GC 2.8
herein above, within thirty (30) days of receipt of such notice of suspension or
within such further period as the Client may have subsequently approved in
writing;

(b) if the Consultants become (or, if the Consultants consist of more than one entity,
if any of their Members becomes) insolvent or bankrupt or enter into any
agreements with their creditors for relief of debt or take advantage of any law for
the benefit of debtors or go into liquidation or receivership whether compulsory
or voluntary;
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013



(c) if the Consultants fail to comply with any final decision reached as a result of
arbitration proceedings pursuant to Clause GC 9 hereof;

(d) if the Consultants submit to the Client a statement which has a material effect on
the rights, obligations or interests of the Client and which the Consultants know
to be false;

(e) if, as the result of Force Majeure, the Consultants are unable to perform a material
portion of the Services for a period of not less than sixty (60) days; or

(f) if the Client, in its sole discretion and for any reason whatsoever, decides to
terminate this Contract;

(g) if the Consultant, in the judgement of the Client has engaged in corrupt or
fraudulent practices in competing for or in executing the Contract.

For the purpose of this Clause:

corrupt practice means the offering, giving, receiving or soliciting of anything
of value to influence the action of a public official in the selection process or in
contract execution.

fraudulent practice means a misrepresentation of facts in order to influence a
selection process or the execution of a contract to the detriment of the Borrower,
and includes collusive practice among consultants (prior or after submission of
proposals) designed to establish prices at artificial non-competitive levels and to
deprive the Borrower of the benefits of free and open competition.

2.9.2 By the Consultants

The Consultants may, by not less than thirty (30) days written notice to the Client,
such notice to be given after the occurrence of any of the events specified in paragraphs
(a) through (d) of this Clause GC 2.9.2, terminate this Contract:

(a) if the Client fails to pay any money due to the Consultants pursuant to this Contract and
not subject to dispute pursuant to Clause 8 hereof within forty-five (45) days after
receiving written notice from the Consultants that such payment is overdue;

(b) if the Client is in material breach of its obligations pursuant to this Contract and
has not remedied the same within forty-five (45) days (or such longer period as
the Consultants may have subsequently approved in writing) following the receipt
by the Client of the Consultants notice specifying such breach;

(c) if, as the result of Force Majeure, the Consultants are unable to perform a material
portion of the Services for a period of not less than sixty (60) days; or

(d) if the Client fails to comply with any final decision reached as a result of
arbitration pursuant to Clause GC 8 hereof.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


2.9.3 Cessation of Rights and Obligations

Upon termination of this Contract pursuant to Clauses GC 2.2 or 2.9 hereof, or upon
expiration of this Contract pursuant to Clause GC 2.4 hereof, all rights and obligations
of the Parties hereunder shall cease, except:

(i) such rights and obligations as may have accrued on the date of termination or
expiration;

(ii) the obligation of confidentiality set forth in Clause GC 3.3 hereof;

(iii) the Consultants obligation to permit inspection, copying and auditing of their
accounts and records set forth in Clause GC 3.6 (ii); and

(iii) any right which a Party may have under the Applicable Law.

2.9.4 Cessation of Services

Upon termination of this Contract by notice of either Party to the other pursuant to
Clauses 2.9.1 or 2.9.2 hereof, the Consultants shall, immediately upon dispatch or
receipt of such notice, take all necessary steps to bring the Services to a close in a
prompt and orderly manner and shall make every reasonable effort to keep expenditures
for this purpose to a minimum. With respect to documents prepared by the Consultants
and equipment and materials furnished by the Client, the Consultants shall proceed as
provided, respectively, by Clauses GC 3.9 or 3.10 hereof.

2.9.5 Payment upon Termination

Upon termination of this Contract pursuant to Clauses GC 2.9.1 or 2.9.2 hereof, the
Client shall make the following payments to the Consultants (after offsetting against
these payments any amount that may be due from the Consultant to the Client):

(a) Pursuant to Clause GC 6 hereof for Services satisfactorily performed prior to the
effective date of termination; and

(c) Except in the case of termination pursuant to paragraphs (a) through (d) and
paragraph (g) of Clause GC 2.9.1 hereof, payment of any reasonable cost incident
to the prompt and orderly termination of the Contract.

2.9.6 Disputes about Events of Termination

If either Party disputes whether an event specified in paragraph (a) through (e)
paragraph (g) of Clause GC 2.9.1 or in Clause GC 2.9.2 hereof has occurred, such Party
may, within forty-five (45) days after receipt of notice of termination from the other
Party, refer the matter to arbitration pursuant to Clause GC 8 hereof, and this Contract
shall not be terminated on account of such event except in accordance with the terms of
any resulting arbitral award.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


3 OBLIGATIONS OF THE CONSULTANTS

3.1 General

3.1.1 Standard of Performance

The Consultants shall perform the Services and carry out their obligations hereunder
with all due diligence, efficiency and economy, in accordance with generally accepted
professional techniques and practices, and shall observe sound management practices,
and employ appropriate advanced technology and safe and effective equipment,
machinery, materials and methods. The Consultants shall always act, in respect of any
matter relating to this Contract or to the Services, as faithful advisers to the Client, and
shall at all times support and safeguard the Clients legitimate interests in any dealings
with sub-consultants or Third Parties.

3.1.2 Law Governing Services

The Consultants shall perform the Services in accordance with the Applicable Law and
shall take all practicable steps to ensure that any sub-consultants, as well as the
Personnel and agents of the Consultants and any sub-consultants, comply with the
Applicable Law. The Client shall advise the Consultants in writing of relevant local
customs and the Consultants shall, after such notifications, respect such customs.

3.2 Conflict of Interests

3.2.1 Consultants not to Benefit from Commissions, Discounts, etc.

The payment to the Consultants pursuant to Clause GC 6 hereof shall constitute the
Consultants sole payment in connection with this Contract or the Services and, subject
to Clause GC 3.2.2 hereof, the Consultants shall not accept for their own benefit any
trade commission, discount or similar payment in connection with activities pursuant to
this Contract or to the Services or in the discharge of their obligations hereunder, and
the Consultants shall use their best efforts to ensure that any sub-consultants, as well as
the Personnel and agents of either of them, similarly shall not receive any such
additional remuneration.

3.2.2 Procurement Rules of Funding Agencies

If the Consultants, as part of the Services, have the responsibility of advising the Client
on the procurement of goods, works or services, the Consultants shall comply with any
applicable procurement guidelines of the Bank or the Association, as the case may be,
and other funding agencies and shall at all times exercise such responsibility in the best
interests of the Client. Any discounts or commissions obtained by the Consultants in
the exercise of such procurement responsibility shall be for the account of the Client.

3.2.3 Consultants and Affiliates not to Engage in Certain Activities

The Consultants agree that, during the term of this Contract and after its termination,
the Consultants and any entity affiliated with the Consultants, as well as any sub-
consultant and any entity affiliated with such sub-consultant, shall be disqualified from
providing goods, works or services (other than the Services and any continuation
thereof) for any project resulting from or closely related to the Services.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


3.2.4 Prohibition of Conflicting Activities

The Consultants shall not engage, and shall cause their Personnel as well as their Sub-
consultants and their Personnel not to engage, either directly or indirectly, in any of the
following activities:

(a) during the term of this Contract, any business or professional activities in the
Governments country which would conflict with the activities assigned to them
under this Contract,

(b) after the termination of this Contract, such other activities as may be specified in
the SC.

3.3 Confidentiality

The Consultants, their sub-consultants and the Personnel of either of them shall not,
either during the term or within two (2) years after the expiration of this Contract,
disclose any proprietary or confidential information relating to the Project, the Services,
this Contract or the Clients business or operations without the prior written consent of
the Client.

3.4 Liability of the Consultants

Subject to additional provisions, if any, set forth in the SC, the Consultants liability
under this Contract shall be as provided by the Applicable Law.

3.5 Insurance to be Taken Out by the Consultants

The Consultants (i) shall take out and maintain, and shall cause any sub-consultants to
take out and maintain, at their (or the sub-consultants, as the case may be) own cost
but on terms and conditions approved by the Client, insurance against the risks, and for
the coverages, as shall be specified in the Special Conditions (SC), and (ii) at the
Client request, shall provide evidence to the Client showing that such insurance has
been taken out and maintained and that the current premiums thereof have been paid.

3.6 Accounting, Inspection and Auditing

The Consultants (i) shall keep accurate and systematic accounts and records in respect
of the Services hereunder in accordance with internationally accepted accounting
principles and in such form and detail as will clearly identify all relevant time charges
and cost, and the bases thereof (including such bases as may be specifically referred to
in the SC); (ii) shall permit the Client or its designated representative periodically, and
up to one year from the expiration or termination of this Contract, to inspect the same
and make copies thereof as well as to have them audited by auditors appointed by the
Client; and (iii) shall permit the Bank to inspect the Consultants accounts and records
relating to the performance of the Consultant and to have them audited by auditors
appointed by the Bank, if so required by the Bank.



RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


3.7 Consultants Actions Requiring Clients Prior Approval

The Consultants shall obtain the Clients prior approval in writing before taking any of
the following actions:

(a) appointing such members of the Personnel as are listed in Appendix C
(Consultants and Sub-consultants Key Personnel) merely by title but not by
name;

(b) entering into a subcontract for the performance of any part of the Services, it
being understood (i) that the selection of the sub-consultant and the terms and
conditions of the subcontract shall have been approved in writing by the Client
prior to the execution of the subcontract, (ii) that the Consultants shall remain
fully liable for the performance of the Services by the sub-consultant and its
Personnel pursuant to this Contract; and

(c) any other action that may be specified in the SC.

3.8 Reporting Obligations

The Consultants shall submit to the Client the reports and documents specified in
Appendix B hereto, in the form, in the numbers and within the time periods set forth in
the said Appendix.

3.9 Documents Prepared by the Consultants to be the Property of the Client

All plans, drawings, specifications, designs, reports, other documents and software
prepared by the Consultants for the Client under this Contract shall become and remain
the property of the Client, and the Consultant shall, not later than upon termination or
expiration of this Contract, deliver all such documents to the Client together with a
detailed inventory thereof. The Consultants may retain a copy of such documents and
software. Restrictions about the future use of these documents and software, if any,
shall be specified in the SC.

3.10 Equipment and Materials Furnished by the Client

Equipment and materials made available to the Consultants by the Client, or purchased
by the Consultants with funds provided by the Client, shall be the property of the Client
and shall be marked accordingly. Upon termination or expiration of this Contract, the
Consultants shall make available to the Client an inventory of such equipment and
materials and shall dispose of such equipment and materials in accordance with the
Clients instructions. While in possession of such equipment and materials, the
Consultants, unless otherwise instructed by the Client in writing, shall insure them at
the expense of the Client in an amount equal to their full replacement value.

4 CONSULTANTS PERSONNEL AND SUBCONSULTANTS

4.1 General

The Consultants shall employ and provide such qualified and experienced Personnel
and subconsultants as are required to carry out the Services.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


4.2 Description of Personnel

(a) The titles, agreed job descriptions, minimum qualifications and estimated periods
of engagement in the carrying out of the Services of each of the Consultants Key
Personnel are described in Appendix C. If any of the Key Personnel has already
been approved by the Client his/her name is listed as well.

(b) If required to comply with the provisions of Clause GCC 3.1.1 of this Contract,
adjustments with respect to the estimated periods of engagement of Key
Personnel set forth in Appendix C may be made by the Consultants by written
notice to the Client, provided (i) that such adjustments shall not alter the
originally estimated period of engagement of any individual by more than 10% or
one week, whichever is larger, and (ii) that the aggregate of such adjustments
shall not cause payments under this Contract to exceed the ceilings set forth in
Clause GC 6.1 (b) of this Contract. Any other such adjustments shall only be
made with the Clients written approval.

(c) If additional work is required beyond the scope of the Services specified in
Appendix A, the estimated periods of engagement of Key Personnel set forth in
Appendix C may be increased by agreement in writing between the Client and the
Consultants, provided that any such increase shall not, except as otherwise
agreed, cause payments under this Contract to exceed the ceilings set forth in
Clause GC 6.1(b) of this Contract.

4.3 Approval of Personnel

The Key Personnel and sub-consultants listed by title as well as by name in Appendix C
are hereby approved by the Client. In respect of other Key Personnel which the
Consultants propose to use in the carrying out of the Services, the Consultants shall
submit to the Client for review and approval a copy of their biographical data and (in
the case of Key personnel to be used within the country of the Government) a copy of a
satisfactory medical certificate in the form attached hereto as Appendix D. If the Client
does not object in writing (stating the reasons for the objection) within twenty one (21)
calendar days from the date of receipt of such biographical data and (if applicable) such
certificate, such Key Personnel shall be deemed to have been approved by the Client.

4.4 Working Hours, Overtime, Leave, etc.


The Key Personnel shall not be entitled to be paid for overtime nor to take paid sick
leave or vacation leave except as specified in Appendix E hereto, and except as
specified in such Appendix, the Consultants remuneration shall be deemed to cover
these items.

4.5 Removal and/or Replacement of Personnel

(a) Except as the Client may otherwise agree, no changes shall be made in the Key
Personnel. If, for any reason beyond the reasonable control of the Consultant, it
becomes necessary to replace any of the Personnel, the Consultants shall forthwith
provide as a replacement a person of equivalent or better qualifications.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


(b) If the Client (i) finds that any of the Personnel has committed serious misconduct or has
been charged with having committed a criminal action, or (ii) has reasonable cause to
be dissatisfied with the performance of any of the Personnel, then the Consultants shall,
at the Clients written request specifying the grounds therefor, forthwith provide as a
replacement a person with qualifications and experience acceptable to the Client.

(c) Any of the Personnel provided as a replacement under Clauses (a) and (b) above, the
rate of remuneration applicable to such person as well as any reimbursable expenditures
(including expenditures due to the number of eligible dependents) the Consultants may
wish to claim as a result of such replacement, shall be subject to the prior written
approval by the Client. Except as the Client may otherwise agree, (i) the Consultants
shall bear all additional travel and other costs arising out of or incidental to any removal
and/or replacement, and (ii) the remuneration to be paid for any of the Personnel
provided as a replacement shall not exceed the remuneration which would have been
payable to the Personnel replaced.

5 OBLIGATIONS OF THE CLIENT

5.1 Assistance and Exemptions

Unless otherwise specified in the SC, the Client shall use its best efforts to ensure that
the Government shall:

(a) provide the Consultants, Sub-Consultants and Personnel with work permits and such
other documents as shall be necessary to enable the Consultants, Sub-Consultants or
Personnel to perform the Services;

(b) issue to officials, agents and representatives of the Government all such instructions as
may be necessary or appropriate for the prompt and effective implementation of the
Services;

(c) assist the Consultants and the Personnel and any Sub-Consultants employed by the
Consultants for the Services in respect of any requirement to register or obtain any
permit to practice their profession or to establish themselves either individually or as a
corporate entity according to the Applicable Law;

(d) provide to the Consultants, Sub-Consultants and Personnel any such other assistance as
may be specified in the SC.

5.2 Access to Land

The Client warrants that the Consultants shall have, free of charge, unimpeded access to
all land in the Governments country in respect of which access is required for the
performance of the Services. The Client will be responsible for any damage to such
land or any property thereon resulting from such access and will indemnify the
Consultants and each of the Personnel in respect of liability for any such damage,
unless such damage is caused by the default or negligence of the Consultants or any
sub-consultant or the Personnel of either of them.


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5.3 Change in the Applicable Law

If, after the date of this Contract, there is any change in the Applicable Law with
respect to taxes and duties which increase or decrease the cost incurred by the
Consultants in performing the Services, then the expenses otherwise payable to the
Consultants under this Contract shall be increased or decreased accordingly by
agreement between the Parties hereto, and corresponding adjustments shall be made to
the ceiling amounts specified in Clause GC 6.1 (b).

5.4 Services, Facilities and Property of the Client

The Client shall make available to the Consultants and the Personnel, for the purposes
of the Services and free of any charge, the services, facilities and property described in
Appendix F at the times and in the manner specified in said Appendix F, provided that
if such services, facilities and property shall not be made available to the Consultants as
and when so specified, the Parties shall agree on (i) any time extension that it may be
appropriate to grant to the Consultants for the performance of the Services, (ii) the
manner in which the Consultants shall procure any such services, facilities and property
from other sources, and (iii) the additional payments, if any, to be made to the
Consultants as a result thereof pursuant to Clause GC 6.1 (c) hereinafter.

5.5 Payment

In consideration of the Services performed by the Consultants under this Contract, the
Client shall pay to the Consultants such amounts and in such manner as is provided for
by Clause GC 6 of this Contract.

5.6 Counterpart Personnel

The Client shall make available to the Consultants, free of charge, such counterpart
personnel to be selected by the Client, with the Consultants advice.

6 PAYMENTS TO THE CONSULTANTS

6.1 Cost Estimates; Ceiling Amount

(a) The payment shall be made as per clause 9 mentioned in TOR.

(b) The payment shall be made through A/c payee cheque in Indian Rupees.

6.2 Currency of Payment

local currency payments shall be made in INR.

6.3 Mode of Billing and Payment

Billing and payments in respect of the Services shall be made as follows:-

(a) The Employer shall cause to be paid to the Consultants an advance and as otherwise
set forth below. The advance payment will be due after provision by the Consultants to
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


the Employer of a bank guarantee of any nationalised bank acceptable of value of 10%
of total contract value. Such bank guarantee (i) to remain effective until the advance
payment has been fully set off and ii) in such form as the Employer shall have approved
in writing.

(b) Payment Schedule: - The Consultant will be paid stagewise as a percentage of the
contract value as per the schedule given below

Report
a
Time in weeks,
from notice to
proceed
Milestone
Payment
Quality Assurance Plan 4 5%
Inception Report
Topographic Surveys and Investigation Reports 16 25%
Land Plan Schedules and Utility Relocation
Plans
Reports on Environment and Social Impact
Assessment
18 10%
Preliminary Drawings, including Strip Plans 20 15%
Specifications for works, and Output
Specifications for Maintenance
Contract packaging, BOQs and Costing 24 25%
Implementation Schedule
Draft DPR, including the above
Final DPR 32 15%
Support for preparation of bid documents, pre-
bid meetings and clarifications
52 5%
Total 100%

7 Responsibility for Accuracy of Project Documents

7.1 General

7.1.1 The Consultant shall be responsible for accuracy of the data collected, by him directly
or procured from other agencies/authorities, the designs, drawings, estimates and all
other details prepared by him as part of these services. He shall indemnify the Authority
against any inaccuracy in the work which might surface during implementation of the
project. The Consultant will also be responsible for correcting, at his own cost and risk,
the drawings including any resurvey/ investigations and correcting layout etc. if
required during the execution of the Services.

7.1.2 The Consultant shall be fully responsible for the accuracy of design and drawings of the
bridges and structures. All the designs and drawings for bridges and structures including
all their components shall be fully checked by a Senior Engineer after completion of the
designs. All drawings for bridges and structures shall be duly signed by the (a)
Designer, (b) Senior Checking Engineer, and (c) Senior Bridge / Structure Expert. The
designs and drawings not signed by the three persons mentioned above shall not be
accepted. The Consultant shall indemnify the Employer against any inaccuracy /
deficiency in the designs and drawings of the bridges and structures noticed during the
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


construction and even thereafter and the Employer shall bear no responsibility for the
accuracy of the designs and drawings submitted by the Consultants.

7.1.3 The survey control points established by the Consultant shall be protected by the
Consultants till the completion of the Consultancy Services.

7.2. Retention Money

An amount equivalent to 10% of the contract value shall be retained at the end of the
contract for accuracy of design and quantities submitted and the same will be released
after the completion of civil contract works or 4 years from the date of approval of DPR
by UPPWD whichever is earlier. The Retention Money so deducted from the Bills of
the Consultant may be converted into an unconditional irrevocable Bank Guarantee on
the format attached in the Document for the equal amount for the time prescribed
above.

7.3. Penalty

7.3.1. Penalty for Error/Variation

If variation in any of the main quantities of work like earth work including sub grade,
GSB,WMM, Bituminous works (BM/DBM/AC/BC),drains, total concrete quantities
and reinforcing steel in bridge works or overall project cost, found during execution is
more than +/- 15%, the penalty equivalent to 5% of the contract value shall be imposed.
For this purpose retention money equivalent to 5% of the contract value will be
forfeited. This shall exclude any additional/deletion of items/works ordered during the
execution.

7.3.2 Penalty for delay

In case of delay in completion of services, a penalty equal to 0.05% of the contract price
per day subject to a maximum 5% of the contract value will be imposed and shall be
recovered from payments due/performance security. However in case of delay due to
reasons beyond the control of the consultant, suitable extension of time will be granted.

7.4 Action for Deficiency in Service

7.4.1 Consultants liability towards the Employer

Consultant shall be liable to indemnify the Employer for any direct loss or damage
accrued or likely to accrue due to deficiency in service rendered by him.

7.4.2 Warning / Debarring

In addition to the penalty as mentioned in para 7.3, warning may be issued to the erring
consultants for minor deficiencies. In the case of major deficiencies in the Detailed
Project Report involving time and cost overrun and adverse effect on reputation of
client, other penal action including debarring for certain period may also be initiated as
per policy of client.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


8 FAIRNESS AND GOOD FAITH

8.1 Good Faith

The Parties undertake to act in good faith with respect to each others rights under this
Contract and to adopt all reasonable measures to ensure the realisation of the objectives
of this Contract.

8.2 Operation of the Contract

The Parties recognise that it is impractical in this Contract to provide for every
contingency which may arise during the life of the Contract, and the Parties hereby
agree that it is their intention that this Contract shall operate fairly as between them,
and without detriment to the interests of either of them, and that, if during the term of
this Contract either Party believes that this Contract is operating unfairly, the Parties
will use their best efforts to agree on such action as may be necessary to remove the
cause or causes of such unfairness, but no failure to agree on any action pursuant to this
Clause shall give rise to a dispute subject to arbitration in accordance with Clause GC
9 hereof.

9 SETTLEMENT OF DISPUTES

9.1 Amicable Settlement

The Parties shall use their best efforts to settle amicably all disputes arising out of or in
connection with this Contract or the interpretation thereof.

9.2 Dispute Settlement

Any dispute between the Parties as to matters arising pursuant to this Contract which
cannot be settled amicably within thirty (30) days after receipt by one Party of the other
Partys request for such amicable settlement may be submitted by either Party for
settlement in accordance with the provisions specified in the SC.


RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


III SPECIAL CONDITIONS OF CONTRACT

GC Clause No.

A AMENDMENTS OF AND SUPPLEMENTS TO CLAUSES IN THE GENERAL
CONDITIONS

1.1 (a) The words in the Governments country are amended to read in INDIA

1.4 The language is: English
1.6.1 The addresses are:
For the Client: The Chief Engineer and Project Director
World Bank Projects (Roads) U.P.P.W.D.
Nirman Bhawan 96 Mahatma Gandhi Marg
Lucknow 226001 - U.P. (India)
Telephone : (91) 0522 2236496
Fax No.: (91) 0522 2236556
E-mail: cewbuppwd@gamil.com
For the Consultants:

Telephone Facsimile:

E-mail:
Attention:

1.6.2 Notice will be deemed to be effective as follows:
(a) in the case of personal delivery or registered mail, on delivery and;
(d) in the case of facsimiles, 24 hours following confirmed transmission.

1.8 The Member in Charge is: .. (Name of
Member)

[Note: If the Consultants consist of a joint venture of more than one entity, the name of the
entity whose address is specified in SC 1.6.1 should be inserted here. If the Consultants
consist only of one entity, this Clause 1.8 should be deleted from the SC.]

1.9 The Authorized Representatives are:

For the Client:

Project Director , SRP Circle, U.P.P.W.D. , Lucknow shall act as Authorized
Representative of the Employer for Supervision Consultancy contract as follows :

For the Consultant:



RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


1.10 The consultants, subconsultants and their personnel shall pay the taxes, duties, fees,
levies and other impositions levied under the existing, amended or enacted laws during
life of this contract and the Client shall perform such duties in regard to the deduction
of such tax as may be lawfully imposed.

2.1 The effectiveness conditions are the following:

(ii) Clients approval of Consultants proposals for appointment of specified key staff
members;

(iii) receipt by Consultants of advance payment and by the Client of advance payment
guarantee (see Clause SC 6.4 (a), etc.)

2.2 The time period shall be two (2) months, or such other time period as the Parties
may agree in writing.

2.3 The time period shall be one (1) month, or such other time period as the Parties
may agree in writing.

2.3 The time period shall be twelve (12) months, or such other time period as the
Parties may agree in writing.

3.4 Limitation of the Consultants Liability towards the Client.

(a) Except in the event of gross negligence or willful misconduct on the part of the
Consultants or on the part of any person or firm acting on behalf of the Consultants
in carrying out the Services, the Consultants, with respect to damage caused by the
Consultants to the Clients property, shall not be liable to the Client:

(i) for any indirect or consequential loss or damage; and

(ii) for any direct loss or damage that exceeds (a) the total payments for
Professional Fees and Reimbursable Expenditures made or expected to be
made to the Consultants hereunder, or (b) the proceeds the Consultants
may be entitled to receive from any insurance maintained by the
Consultants to cover such liability, whichever of (a) or (b) is higher.

(b) This limitation of liability shall not affect the Consultants liability, if any, for
damage to Third Parties caused by the Consultants or any person or firm acting on
behalf of the Consultants in carrying out the Services.

3.5 The risks and the coverage shall be as follows:

(a) Third Party motor vehicle liability insurance as required under the Motor
Vehicles Act, 1988 in respect of motor vehicles operated in India by the
Consultants or their Personnel or any Sub-Consultants or their Personnel for the
period of the consultancy;
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


(b) Third Party liability insurance with a minimum coverage of Rs 5,00,000 (Rs. Five
lacs) for the period of the consultancy.

(c) professional liability insurance, with a minimum coverage equal to the estimated
payment as per clause 3.4(a)(ii) of SC of the consultancy

(d) Clients liability and workers compensation insurance in respect of the Personnel
of the Consultants and of any sub-consultant, in accordance with the relevant
provisions of the Applicable Law, as well as, with respect to such Personnel, any
such life, health, accident, travel or other insurance as may be appropriate, and

(e) insurance against loss of or damage to (i) equipment purchased in whole or in part
with funds provided under this Contract, (ii) the Consultants property used in the
performance of the Services, and (iii) any documents prepared by the Consultants
in the performance of the Services.

3.7 The other actions are:

(i) taking any action under a civil works contract designating the Consultants as
Engineer, for which action, pursuant to such civil works contract, the written
approval of the Client as Employer is required.

3.8 Review of Reports
A review committee (to be restricted to three members), consisting of following
officers of the client i.e. Public Works Department will review all reports of consultants
(inception, progress and draft final) and suggest any modifications/changes considered
necessary within 7 days of receipt.
i. Engineer-in-Chief (Design and Planning), UP PWD, Lucknow.
ii. Chief Engineer, World Bank Project (Roads), UP PWD, Lucknow.
iii. Project Director, SRP Circle, UP PWD, Lucknow.

3.9 The Consultants shall not use these documents for purposes unrelated to this Contract
without the prior written approval of the Client.

9.2 Disputes shall be settled by arbitration in accordance with the following provisions:

9.2.1 Selection of Arbitrators

Each dispute submitted by a Party to arbitration shall be heard by a sole arbitrator or an
arbitration panel composed of three arbitrators, in accordance with the following
provisions:

(a) Where the Parties agree that the dispute concerns a technical matter, they may
agree to appoint a sole arbitrator or, failing agreement on the identity of such sole
arbitrator within thirty (30) days after receipt by the other Party of the proposal of
a name for such an appointment by the Party who initiated the proceedings, either
Party may apply to the President, Indian Roads Congress, New Delhi, for a list of
not fewer than five nominees and, on receipt of such list, the Parties shall
alternately strike names therefrom, and the last remaining nominee on the list
shall be the sole arbitrator for the matter in dispute. If the last remaining nominee
has not been determined in this manner within sixty (60) days of the date of the
list, the President, Indian Roads Congress, New Delhi, shall appoint, upon the
request of either Party and from such list or otherwise, a sole arbitrator for the
matter in dispute.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013



(b) Where the Parties do not agree that the dispute concerns a technical matter, the
Client and the Consultants shall each appoint one arbitrator, and these two
arbitrators shall jointly appoint a third arbitrator, who shall chair the arbitration
panel. If the arbitrators named by the Parties do not succeed in appointing a third
arbitrator within thirty (30) days after the latter of the two arbitrators named by
the Parties has been appointed, the third arbitrator shall, at the request of either
Party, be appointed by the Secretary, the Indian Council of Arbitration, New
Delhi

(c) If, in a dispute subject to Clause SC 9.2.1 (b), one Party fails to appoint its
arbitrator within thirty (30) days after the other Party has appointed its arbitrator,
the Party which has named an arbitrator may apply to the Secretary, Indian
Council of Arbitration, New Delhi, to appoint a sole arbitrator for the matter in
dispute, and the arbitrator appointed pursuant to such application shall be the sole
arbitrator for that dispute.

9.2.2 Rules of Procedure

Arbitration proceedings shall be conducted in accordance with procedure of the
Arbitration & Conciliation Act 1996, of India.

9.2.3 Substitute Arbitrators

If for any reason an arbitrator is unable to perform his function, a substitute shall be
appointed in the same manner as the original arbitrator.

9.2.4 Qualifications of Arbitrators

The sole arbitrator or the third arbitrator appointed pursuant to paragraphs (a) through
(c) of Clause 8.2.1 hereof shall be an internationally recognised legal or technical
expert with extensive experience in relation to the matter in dispute.

9.2.5 Miscellaneous

In any arbitration proceedings hereunder:

(a) proceedings shall, unless otherwise agreed by the Parties, be held in LUCKNOW, State
of Uttar Pradesh, India;

(b) the English language shall be the official language for all purposes; and

(c) the decision of the sole arbitrator or of a majority of the arbitrators (or of the third
arbitrator if there is no such majority) shall be final and binding and shall be
enforceable in any court of competent jurisdiction, and the Parties hereby waive any
objections to or claims of immunity in respect of such enforcement.
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VI APPENDICES Page No.


Appendix A Description of Services .........................................................................................

Appendix B Reporting Requirements .......................................................................................

Appendix C Key Personnel and Sub-Consultants .....................................................................

Appendix D Cost Estimates in Local Currency ........................................................................

Appendix E Form of Bank Guarantee for Advance Payments ..................................................

Appendix F Form of Guarantee for Bid security .......................................................................

Appendix G Form of Guarantee for Performance Guarantee ...................................................

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX A
DESCRIPTION OF THE SERVICES
(See GC clauses 1.7)

[Give detailed descriptions of the Services to be provided; dates for completion of various
tasks, place of performance for different tasks; specific tasks to be approved by the Client,
etc.]
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX B
REPORTING REQUIREMENTS
(See GC cluase 3.8 )

[List format, frequency and contents of reports; persons to receive them; dates of submission,
etc. If no reports are to be submitted, state here Not Applicable.]
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX C
KEY PERSONNEL AND SUB-CONSULTANTS
(See GC Clauses 3.7, 4.2,4.3,4.5)

[List under C-1 Titles [and names, if already available], detailed job descriptions and
minimum qualifications of Personnel to be assigned to work in the
Governments country, and staff-months for each.

C-2 List of approved Sub-Consultants [if already available]; same
information with respect to their Personnel as in C-1 through C-3.]
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX D

COST ESTIMATES IN LOCAL CURRENCY

(See GC/SC Clauses 6.1,6.2 and 6.3 and Section 4-Financial Proposals)

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX E
FORM OF BANK GUARANTEE FOR ADVANCE PAYMENT

[See GC Clause 6.4 (a)]


(To be stamped in accordance with Stamp Act, if any, of the country of issuing bank)

Ref: Bank Guarantee:

Date: .

Dear Sir,

In consideration of M/s (hereinafter
referred as the Client, which expression shall, unless repugnant to the context or meaning
thereof include its successors, administrators and assigns) having awarded to M/s
. (hereinafter referred to as the Consultant which
expression shall unless repugnant to the context or meaning thereof, include its successors,
administrators, executors and assigns), a contract by issue of Contract Agreement
No . dated and the
same having been unequivocally accepted by the Consultant, resulting in a Contract valued at
. for
.. (hereinafter called the
Contract) (scope of work)

and the Client having agreed to make an advance payment to the Consultant for performance
of the above Contract amounting to (in words
and figures) as an advance against Bank Guarantee to be furnished by the Consultant.

We .. (name of the Bank) having its Head Office at
. (hereinafter referred to as the Bank, which expression shall, unless
repugnant to the context or meaning thereof, include its successors, administrators, executors
and assigns) do hereby guarantee and undertake to pay the Client immediately on demand
any or, all monies payable by the Consultants to the extent of
.. as aforesaid at any time upto
@

without any demur, reservation, contest, recourse or protest and/or without any reference to
the Consultant. Any such demand made by the Client on the Bank shall be conclusive and
binding notwithstanding any difference between the Client and the Consultant or any dispute
pending before any Court, Tribunal, Arbitrator or any other authority. We agree that the
Guarantee herein contained shall be irrevocable and shall continue to be enforceable till the
Client discharges this guarantee.

The Client shall have the fullest liberty without affecting in any way the liability of the Bank
under this Guarantee, from time to time to vary the advance or to extend the time for
performance of the contract by the Consultant. The Client shall have the fullest liberty
without affecting this guarantee, to postpone from time to time the exercise of any powers
vested in them or of any right which they might have against the Client and to exercise the

@
The date will be ninety (90) days after the date of completion of contract.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


same at any time in any manner, and either to enforce or to forebear to enforce any
covenants, contained or implied, in the Contract between the Client and the Consultant any
other course or remedy or security available to the Client. The Bank shall not be relieved of
its obligations under these presents by any exercise by the Client of its liberty with reference
to the matters aforesaid or any of them or by reason of any other act or forbearance or other
acts of omission or commission on the part of the Client or any other indulgence shown by
the Client or by any other matter or thing whatsoever which under law would but for this
provision have the effect of relieving the Bank.

The Bank also agrees that the Client at its option shall be entitled to enforce this Guarantee
against the Bank as a principal debtor, in the first instance without proceeding against the
Consultant and notwithstanding any security or other guarantee that the Client may have in
relation to the Consultants liabilities.

Notwithstanding anything contained herein above our liability under this guarantee is limited
to .. and it shall remain in force upto and including
.
@
and shall be extended from time to time for such
. period (not exceeding one year), as may be desired by
M/s on whose behalf this guarantee has been given.

Dated this .. day of . 20.. at
.


WITNESS


. .

(signature) (signature)



. .
(name) (name)

(Official Address) Designation (with Bank stamp)




Attorney as per Power of
Attorney No.
.
Dated
..

Note 1 The stamp papers of appropriate value shall be purchased in the name of bank
who issues the Bank Guarantee

@
The date will be ninety (90) days after the date of completion of contract.
RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX-F
FORM OF BANK GUARANTEE FOR BID SECURITY

.Banks Name, and Address of Issuing Branch or Office....
Beneficiary:...Name and Address of Employer....
Date:................
Bid Sccurity
No.:.....
We have been informed that.name of the Consultant..(hereinafter called the Applicant) is
being submitted to you its proposal dated ..(hereinafter called the proposal) for
Preparation of Detailed Project Report for (Package.) under Invitation
No.
Furthermore, we understand that, according to your conditions, proposal must be supported
by a Bid Security.
At the request of the Applicant, we..name of Bank.. hereby irrevocably and
unconditionally undertake to pay you any sum or sums not exceeding in total an amount of
..amount in figures..(amount in words.) upon receipt by us of your first demand in
writing accompanied by a written statement stating that the Applicant is in breach of its
obligation(s) under the conditions, because the Applicant:
(a) has withdrawn its Proposal during the period of bid validity specified by the Applicant in
the Form of Proposal; or
(b) does not accept the correction of errors in accordance with the Instructions to; or
(c) having been notified of the acceptance of its Proposal by the Employer during the period
of Proposal validity, (i) fails or refuses to execute the Contract Agreement, or (ii) fails or
refuses to furnish the Performance Security, in accordance with the ITC.
This guarantee will expire: (a) if the Applicant is the successful Applicant, upon our receipt
of copies of the Contract Agreement signed by the Applicant and the performance security
issued to you upon the instruction of the Applicant; and (b) if the Bidder is not the successful
Applicant, upon the earlier of (i) our receipt of a copy your notification to the Applicant of
the name of the successful Applicant; or (ii) thirty days after the expiration of the Applicants
Proposal i.e. upto.(208 days after the submission date of
proposal)
Consequently, any demand for payment under this guarantee must be received by us at the
office on or before that date.
Banks seal and authorized signature(s).
Note: All italicized text is for use in preparing this form and shall be deleted form the final document.

RFP Uttar Pradesh Major District Roads Improvement Program Dec, 2013


APPENDIX-G
FORM OF BANK GUARANTEE FOR PERFORMANCE SECURITY

.Banks Name, and Address of Issuing Branch or Office....
Beneficiary:...Name and Address of Employer.......
Date:................
Performance Guarantee
No.:...

We have been informed that a Letter of Acceptance has been issued to...name of the
Consultant..(hereinafter called the Consultant) vide No....reference number of the LoA
dated..for Preparation of Detailed Project Report for... (Package.)
(hereinafter called the Consultant).
Furthermore, we understand that, according to the conditions of the Contract, a performance
guarantee is required.
At the request of the Consultant, we.name of Bank.. hereby irrevocably and
unconditionally undertake to pay you any sum or sums not exceeding in total an amount
of..name of the currency and amount in figures..(amount in words.) such sum
being payable in the types and proportions of currencies in which the Contract Price is
payable, upon receipt by us of your first demand in writing accompanied by a written
statement stating that the Consultant is in breach of its obligation(s) under the Contract,
without your needing to prove or to show grounds for your demand or the sum specified
therein.
This guarantee shall expire, no later than the.Day of.
2
, and any
demand for payment under it must be received by us at this office on or before that date.
This guarantee is subject to the Uniform Rules for Demand Guarantees, ICC Publication No.
458, except that subparagraph (ii) of Sub-article 20(a) is hereby excluded.

Seal of Bank and Signature(s)
All italicized text is for guidance on how to prepare this demand guarantee and shall be deleted from the
final document.
1 The Guarantor shall insert an amount representing the percentage of the Contract Price specified
in the Contract and denominated either in the currency(ies) of the Contract or a freely
convertible currency acceptable to the Employer.


2
Insert the date twenty-eight days after the expected completion date.The Guarantor agrees to a one-
time extension of this guarantee for a period not to exceed six months, in response to the Employers
written request for such extension, such request to be presented to us, the Guarantor, before the expiry
of this Guarantee.