Unsolicited Proposal Assessment Forms (USP AFs)

USP AF1: Assessment of the project proponent’s legal eligibility

Objective: To establish the project proponent's legal eligibility pursuant to Section 5.4(a) of the Revised 2022 BOT Law IRR.

The information in this form shall be supported by proof of legal eligibility as required in the list of documentary requirements for
unsolicited projects pursuant to Section 10.7 of the 2022 BOT Law IRR.

Official Project Name

1) Check which of the following describes the nature of the proponent and provide the requested information.

Project proponent is composed of at least one Filipino individual, but not a corporation.
List the owner/s of the entity
Name Citizenship
(add rows as necessary)

Project proponent is a corporation.

List the shareholders of the corporation
Name % Ownership Citizenship

(add rows as necessary)

Project proponent is a consortium.

List the members of the consortium
Name of Consortium Member Mark X if lead Amount of Equity % to Total % of Filipino
member Contribution Equity ownership

(add rows as necessary)

 Project proponent is a cooperative.
Is the cooperative registered with the Cooperative Development Authority?
Yes No

2) Are the proponent and the facility operator one and the same?
Yes No

If no, check which applies to the nature of the facility operator. Provide the required information.

Facility operator is an composed of at least one Filipino individual, but not a corporation.
List the owner/s of the facility operator
Name Citizenship

(add rows as necessary)

Facility operator is a corporation.

List the shareholders of the corporation
Name % Ownership Citizenship

(add rows as necessary)

Facility operator is a cooperative.

Is the cooperative registered with the Cooperative Development Authority?
Yes No
Unsolicited Proposal Assessment Forms (USP AFs)

USP AF2: Assessment of the project proponent’s experience or track record

Objective: To establish the firm experience and track record of entities that shall undertake activities in the proposed project, pursuant to the
requirements of Rule 5.4(b) of the Revised 2022 BOT Law IRR.

The information in this form shall be supported by proof of experience and track record as required in the list of documentary requirements for
unsolicited projects pursuant to Section 10.7 of the 2022 BOT Law IRR.

Official Project Name

1) Firm experience. Identify the entity who will undertake each of the key activities under the proposed scope of the project.

Activity Name of entity Nature of entity Years of

(choose from selection) experience
1.1) All construction handled by one entity ---
1.2) only
All operation handled by one entity only ---
1.3) All maintenance handled by one entity ---

Activity Name of entity Nature of entity Years of

(choose from selection) experience
1.4) If various activities of construction are to be handled by separate entities:
Construction - civil ---
Construction - mechanical ---
Construction - electrical ---
Construction - automation ---
(add rows as necessary) ---
Activity Name of entity Description of sub-operation Nature of entity Years of
to be undertaken (choose from selection) experience
1.5) If various aspects of operation are to be handled by separate entities:
Sub-operation A ---
Sub-operation B ---
(add rows as necessary) ---
Activity Name of entity Description of maintenance Nature of entity Years of
to be undertaken (choose from selection) experience
1.6) If various activities of maintenance are to be handled by separate entities:
Maintenance A ---
Maintenance B ---
(add rows as necessary) ---
Unsolicited Proposal Assessment Forms (USP AFs)

USP AF3: Assessment of the project proponent’s financial capability

Official Project Name

A. EQUITY
Objective: To establish the project proponent's financial capability to provide the equity requirement of the project pursuant to Rule 5.4(c)(i) of the Revised
2022 BOT Law IRR.

The information in this form shall be supported by proof of financial capability to provide the equity requirement as required in the list of documentary
requirements for unsolicited projects pursuant to Section 10.7 of the 2022 BOT Law IRR.

1) What is the cost of the project?

2) How much of the project cost will be financed through equity?

Amount in PhP % of project cost (equity ratio)

3) How will the equity requirement be financed?

(Fill-out item 3.1 OR 3.2, as applicable)

3.1)
Set-aside deposit equivalent to the
minimum
Set-aside equitytorequired
deposit equivalent the minimum equity required (See Sec. 5.4(c)(i)(2) of the IRR of the BOT Law)
Name of consortium Mark X if the % Ownership Amount of set-aside deposit As of
member Lead Member (in PhP) (date)

(Add rows as necessary)

Total 0

Or

3.2) Equity
Checkcontribution
which of the following describes the nature of the proponent and provide the requested information.
(See Sec. 5.4(c)(i)(1) of the IRR of the BOT Law)

Project proponent is composed of at least one Filipino individual, but not a corporation, what is the net worth of the owner/s?
Net worth As of
Name of the owners/entity
(PhP) (date)

(Add rows as necessary)

Total 0

Project proponent is a corporation, what is the net worth of the company?

Net worth As of
Name of the owners/entity
(PhP) (date)

(Add rows as necessary)

Total 0

Project proponent is a consortium, what is the net worth of each member?

Name of consortium Mark X if the Net worth Prorated Net As of
% Ownership
member Lead Member (PhP) worth (date)

(Add rows as necessary)

Total 0
B. DEBT
Objective: To establish the project proponent's financial capability to provide the debt requirement of the project pursuant to Rule 5.4(c)(ii) of the Revised
2022 BOT Law IRR.

The information in this form shall be supported by proof of financial capability to provide the debt requirement as required in the list of documentary
requirements for unsolicited projects pursuant to Section 10.7 of the 2022 BOT Law IRR.

1) How will debt be financed?

Name of lending institution Origin of Lending Institution % to Total Debt Requirement
(domestic or foreign)

(Add rows as necessary)

Total 0
USP AF4: Assessment of the draft contract

Objectives: To establish the consistency of the draft contract pursuant to Section 4.3 of the Revised 2022 BOT Law IRR

Official Project Name

1) Provisions that the identified Sections (Sec.) in the Revised Identify the section/s in the draft contract that pertains to the provision
2022 BOT Law IRR explicitly require to be included in the
draft contract
1. Specific contractual arrangement Sec. 4.3(a)

2. Specific term Sec. 4.3(a)

3. Specific scope of work Sec. 4.3(a)

4. Key performance indicators, targets, and Sec. 4.3(b)

procedures for measuring reporting results
5. Implementation milestones including those for Sec. 4.3(c)
securing other approvals, project completion date
6. Cost recovery Sec. 4.3(d)

7. Obligation of the Project Proponent to disclose Sec. 4.3(e)

loan or financing documents, as required under
Section 14.6
8. Liquidated damages as contemplated in Sec. Sec. 4.3(f)
12.14
9. Performance security, including their validity and Sec. 4.3(g)
top-up mechanism procedures contemplated under
Section 12.8 and 12.9
1) Provisions that the identified Sections (Sec.) in the Revised Identify the section/s in the draft contract that pertains to the provision
2022 BOT Law IRR explicitly require to be included in the
draft contract
10. Minimum insurance coverage, as may be Sec. 4.3(h)
required
11. Acceptance tests and procedures Sec. 4.3(i)
12. Warranty period and procedures (after transfer) Sec. 4.3(j)
and warranty security. See details in Section 12.23
13. Lock-in periods, as applicable Sec. 4.3(k)
14. Grounds for and effects of contract termination Sec. 4.3(l)
(as elaborated in Sec 12.21)
15. Conditions and procedures for lender step-in Sec. 4.3(m)
rights
16. Conditions for acceptable permitted security Sec. 4.3(n)
interest
17. Procedures for resolving disputes as detailed in Sec. 4.3(o)
Section 12.22
18. Manner and procedures for the resolution of Sec. 4.3(p)
warranty against corruption
19.Compliance with all other applicable laws, rules, Sec. 4.3(q)
and regulations
Unsolicited Proposal Assessment Forms (USP AFs)

USP AF5: Assessment of proposed new technology/concept

Note: This form is only for projects that involve a New Technology/Concept.

Objective: To establish the eligibility of the project pursuant to Section 10.1(a) and 10.2 of the Revised 2022 BOT Law IRR.

The information in this form shall be supported by the required documents on the proposed New Technology/Concept indicated in the list of
documentary requirements for unsolicited projects pursuant to Section 10.7 of the 2022 BOT Law IRR.

Official Project Name

1) Does the project include a new technology/concept (New T/C) as defined in Section 10.2 of the Revised 2022 BOT Law IRR?
New T/C means any of the following: green, smart, emerging, or state-of-the-art technology, or any other similar or related concepts/technologies.

Y
e
s
1.1) Is the proposed New T/C new or pioneering where the project is intended to be implemented?
Y
e
s
1.2) Mark "x" for each positive impact that the new T/C has on the implementation and operations of the project:
Reduces construction costs
Accelerates project execution
Improves safety
Enhances project performance
Improves productivity or quality of produce
Extends economic life
Reduces O&M costs
Reduces adverse or unfavorable environmental impact
Reduces social/economic disturbances either during construction or operation phase
Increased use of materials with high domestic content
Other feature/s of the new T/C that has a positive impact on the implementation and operations of the project

1.3) Has the project proponent itself, or through any of its consortium members or contractors or nominated entities, directly and successfully implemented the said new T/C
at a scale similar to the proposed project?

Yes No