skl PROCUREMENT GUIDANCE Environmental, Social, Health & Safety in Procurement

Transcription

1 skl PROCUREMENT GUIDANCE Environmental, Social, Health & Safety in Procurement

2 Published September 2018 First Edition Copyright 2018 The World Bank 1818 H Street NW Washington DC Telephone: Internet: Disclaimer This work is a product of the staff of The World Bank. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. Rights and Permissions The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as long as full attribution to this work is given. Any queries on rights and licenses, including subsidiary rights, should be addressed to: Office of the Publisher The World Bank 1818 H Street NW Washington, DC USA Fax: pubrights@worldbank.org.

3 Common abbreviations and defined terms This section explains the common abbreviations and defined terms that are used in this guidance. Defined terms are written using capital letters. Abbreviation / term Applicant Application Bank Bid Bidder BoQ Borrower C-ESMP Client CoC Commencement Date Full terminology / definition A firm or joint venture that submits an Application in response to an invitation for Prequalification or Initial Selection. To improve readability, the term Applicant is throughout this guidance written as applicant A document submitted by an Applicant in response to an invitation for Prequalification or Initial Selection. To improve readability, the term Application is throughout this guidance written as application IBRD and/or IDA (whether acting on its own account or in its capacity as administrator of trust funds provided by other donors). An offer, by a firm or joint venture, in response to a request for bids, to provide the required Goods, Works or Non-consulting Services. To improve readability, the term Bid is throughout this guidance written as bid. A firm or joint venture that submits a Bid for Goods, Works, or Nonconsulting Services in response to a request for bids. To improve readability, the term Bidder is throughout this guidance written as bidder. Bill of Quantities. A Borrower or recipient of Investment Project Financing (IPF). This term may include any entity of the Borrower that is involved in the implementation of a project financed by IPF. In the context of this guidance, this may include relevant entities such as an Employer/Client etc. Contractor s Environmental and Social Management Plan. This may comprise a number of individual MSIPs or a stand- alone document. The entity named as such in the respective contract e.g. provision of Consulting Services based on Bank s SPD. Code of Conduct. The date that precedent conditions are met and therefore the contract work program commences. Works should start as reasonably practical after this date.

4 Abbreviation / term Consultant Consulting Services Contract Manager Contractor Employer EOI ESF ESCP ESMP ESHS ESIA Full terminology / definition A variety of private and public entities, joint ventures, or individuals that provide services of an advisory or professional nature. Where the Consultant is an individual they are not engaged by the Borrower as an employee. Where the Consultant is an individual they are not engaged by the Borrower as an employee. To improve readability, the term Consultant is throughout this guidance written as consultant Covers a range of services that are of an advisory or professional nature and are provided by Consultants. These Services typically involve providing expert or strategic advice e.g., management consultants, policy consultants or communications consultants. Advisory and project related consulting services include, for example: feasibility studies, project management, engineering services, finance and accounting services, training and development. For the purpose of this Guidance, Contract Manager is a generic term used to refer to a legal entity or a natural person assigned to/ authority vested on/ delegated to manage the execution of a contract. Depending on the applicable contract form, Contract Manager refers to a range of contract management arrangements such as the: Engineer in FIDIC: Conditions of Contract for Construction or Conditions of Contract for Plant &Design build; Employer s Representative in FIDIC: Conditions of Contract for EPC/Turnkey; Project Manager, for example, in Bank s SPDs for small works. The entity named in the respective contracts to execute the Works. To improve readability, the term Contractor and Sub-contractor are throughout this guidance written as contractor and sub-contractor respectively. The entity named as such in the respective contract e.g. procurement of Works based on Bank s SPDs. Expression of Interest. Environmental and Social Framework. Environmental and Social Commitment Plan Environmental and Social Management Plan. Environmental, Social, Health and Safety. Environmental and Social Impact Assessment.

5 Abbreviation / term FIDIC Full terminology / definition Fédération Internationale des Ingénieurs-Conseils-the international federation of consulting engineers. Fraud and Corruption GBV GCC Good International Industry Practice Goods GPN IBRD IDA Initial Selection (IS) Investment Project Financing (IPF) ITB Most Advantageous Bid/Most Advantageous Proposal The sanctionable practices of corruption, fraud, collusion, coercion and obstruction defined in the Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants and reflected in paragraph 2.2a of Annex IV of the Procurement Regulations. Gender-Based Violence. General Conditions of Contract. The exercise of professional skill, diligence, prudence, and foresight that would reasonably be expected from skilled and experienced professionals engaged in the same type of undertaking under the same or similar circumstances globally or regionally. Examples of Good International Industry Practice may be found in the WBG EHS Guidelines. A category of procurement that includes: commodities, raw material, machinery, equipment, vehicles, Plant, and related services such as transportation, insurance, installation, commissioning, training, and initial maintenance. General Procurement Notice. International Bank for Reconstruction and Development. International Development Association. The shortlisting process used prior to inviting request for proposals in the procurement of Goods, Works or Non-consulting Services. The Bank s financing of investment projects that aims to promote poverty reduction and sustainable development. IPF supports projects with defined development objectives, activities, and results, and disburses the proceeds of Bank financing against specific eligible expenditures. Instructions to Bidders. defined in para 5.69 and 5.70 of the Procurement Regulations.

6 Abbreviation / term MSIP Non-consulting Services NPP Notification of Intention to Award PCC Plant Post-qualification Prequalification (PQ) Procurement Documents Procurement Plan Procurement Process Procurement Regulations Full terminology / definition Management Strategies and Implementation Plans. MSIP set out the contractor s methods to deliver particular elements of the ESHS specification. Collectively, the MSIPs comprise the C-ESMP. Services which are not Consulting Services. Non-consulting Services are normally bid and contracted on the basis of performance of measurable outputs, and for which performance standards can be clearly identified and consistently applied. Examples include: drilling, aerial photography, satellite imagery, mapping, and similar operations. national procurement procedures. The notice transmitted to Bidders/Proposers informing them of the intention to award the contract, as described in the Procurement Regulations, Paragraphs 5.72 to Particular Conditions of Contract. The provision of equipped facilities, such as those executed on the basis of design, supply, installation and commissioning. Assessment of the qualifications of the Bidder/Proposer recommended for contract award. The shortlisting process which can be used prior to inviting request for Bids in the procurement of Goods, Works or Non-consulting Services. To improve readability, the term Prequalification is throughout this guidance written as prequalification A generic term used in the Procurement Regulations to cover all procurement documents issued by the Borrower. It includes: GPN, SPN, EOI, REOI, prequalification document, initial selection document, request for bids document, request for proposals document, forms of contracts and any addenda. To improve readability, the term Procurement Documents is throughout this guidance written as procurement documents A plan for a project which includes: a brief description of the activities/contracts, selection methods, cost estimate, time schedules, Bank s review requirements and any other relevant procurement information. The process that starts with the identification of need and continues through planning, preparation of specifications/ requirements, budget considerations, selection, contract award and contract management. It ends on the last day of the warranty period. The World Bank Procurement Regulations for IPF Borrowers.

7 Abbreviation / term Project Procurement Strategy for Development (PPSD) Proposal Proposer REOI RFB RFP SEA SBDs SPDs SPN Standstill Period Substantially Responsive Bid /Proposal Full terminology / definition A project-level strategy document, prepared by the Borrower, that describes how Procurement in IPF operations will support the development objectives of the project and deliver VfM. An offer, in response to a request for proposals, which may or may not include price, by one party to provide Goods, Works, Non-consulting Services or Consulting Services to another party. To improve readability, the term Proposal is throughout this guidance written as proposal. An individual entity or joint venture that submits a Proposal for Goods, Works, and Non-consulting Services in response to a request for proposals. To improve readability, the term Proposer is throughout this guidance written as proposer. Request for Expressions of Interest. Request for Bids as a selection method. Request for Proposals as a selection method. Sexual Exploitation and Abuse. Standard Bidding Documents issued by the Bank to be used by Borrowers for IPF financed projects where the Project Concept Note (PCN) pre-dates July 1, Standard Procurement Documents issued by the Bank to be used by Borrowers for IPF financed projects where the Project Concept Note (PCN) post-dates July 1, Specific Procurement Notice. The period following the Notification of Intention to Award as described in the Procurement Regulations, Paragraphs 5.78 to A Bid/Proposal that meets the requirements of the request for bids/request for proposals document without material deviation, reservation, or omission. A material deviation, reservation, or omission is one that: (a) if accepted, would: i. affect in any substantial way the scope, quality, or performance of the Works specified in the Contract; or ii. limit in any substantial way, inconsistent with the request for bids/request for proposals document, the Employer s rights or the Bidder s/proposers obligations under the proposed Contract; or

8 Abbreviation / term TOR VfM Works Full terminology / definition (b) if rectified, would unfairly affect the competitive position of other Bidders/Proposers presenting substantially responsive Bids/Proposals. Terms of Reference. Value for Money. A category of procurement that refers to construction, repair, rehabilitation, demolition, restoration, maintenance of civil work structures, and related services such as transportation, insurance, installation, commissioning, and training.

9 Contents Guidance - Improving ESHS outcomes in civil Works contracts Introduction... 1 Background... 1 Purpose... 1 Scope of this Guidance... 1 STAGE 1: Project identification and initial considerations... 3 Understanding ESHS Risks and Issues... 3 Borrower s ESHS policy... 3 Stage 1 summary... 4 STAGE 2: Market research, analysis and planning... 5 Market research and analysis... 5 Approaching the market... 5 Procurement Organization... 8 Recording the Market Research Analysis and Planning... 9 Stage 2 summary... 9 STAGE 3: Preparing Procurement Documents ESHS aspects common to civil works and Contract Managers Additional aspects for civil works Additional aspects for Contract Managers (for civil works) Bank s review of procurement documents Stage 3 summary STAGE 4: Sourcing process Inviting Applications/Bids/Proposals Clarifications Qualification and Evaluation Bank s review of evaluation report Stage 4 summary Annex 1: Key steps for incorporating ESHS requirements into procurement process for civil works... 32

10 Annex 2: Typical structure of Standard Procurement Documents Annex 3: ESHS provisions in Standard Procurement Documents... 35

11 Guidance - Improving ESHS outcomes in civil Works contracts Introduction Introduction Background The Bank recognizes the importance of procurement processes in delivering ESHS performance during civil works. `The Bank s Procurement Regulations for IPF Borrowers (the Procurement Regulations) set out the procurement rules and procedures to be followed by Borrowers, including the need for specific procurement methods and approaches, as informed by the Project Procurement Strategy for Development (PPSD), to be described in the Borrower s Procurement Plan for the agreement of the Bank. The Procurement Plan therefore specifies, for example, whether the international or the national market should be approached, a key consideration when incorporating ESHS requirements into procurement documents. When approaching the international market for civil works or supervision of civil works, the Bank mandates the use of its SPDs/SBDs (as available) which guides the incorporation of ESHS provisions required by the Bank. The SPDs/SBDs (hereafter referred to as SPDs) may be found on the following link Procurement for Projects and Programs and more specifically at: 1. Standard Bidding Documents: to be used for projects where the Project Concept Note (PCN) predates July 1, Standard Procurement Documents : to be used for projects where the PCN post-dates July 1, When approaching the national market for civil works or supervision of civil works, the Borrower may use the national procurement documents, if found acceptable to the Bank including with respect to managing ESHS risks. Purpose This guidance assists Borrower and Bank staff with the integration of ESHS requirements into procurement documents for civil works and its supervision. The guidance advises how to undertake assessments of national procurement documents and how to prepare procurement documents based on the Bank s SPDs, building on the guidance already contained in the SPDs. Therefore, this guidance should be read alongside the SPDs; cross reference is provided to relevant sections of the SPDs as appropriate. When implementing this guidance, it may also be useful to refer to the Bank s guidance on Contract Management: Practice, Sustainable Procurement, and the Environmental and Social Framework (ESF) and its associated guidance and good practice notes. Scope of this Guidance This guidance explains how ESHS aspects are considered in the procurement process, until the award of a contract. The Contract Management: Practice guidance provides advice on contract management aspects starting from the award of a contract. 1

12 Guidance - Improving ESHS outcomes in civil Works contracts Figure I summarizes the ESHS considerations in the procurement cycle. Details of how the ESHS considerations are delivered are provided within the sections of this guidance, with each section corresponding to the first four key stages of the procurement cycle. Figure I: Summary of ESHS considerations at key stages in procurement 1 1 This Guidance covers stages 1 to 4 in Figure I. Further details of the application of ESHS issues during contract implementation (stages 5 and 6) are included in the Contract Management: Practice. 2

13 Guidance - Improving ESHS outcomes in civil Works contracts STAGE 1: Project identification and initial considerations STAGE 1: Project identification and initial considerations Stage 1 in the procurement cycle involves understanding the ESHS risks and issues to be reflected in the procurement and contractual arrangements and setting a clear expectation for ESHS performance in the form of an ESHS policy/statement prepared by the Borrower. Understanding ESHS Risks and Issues Identifying the ESHS risks and impacts normally requires input from Borrower s specialists, including environment, social, health and safety, construction, legal, technical and procurement skills. Specialists from other disciplines may contribute on specific aspects, for example, dam safety, or road safety. The Bank may advise the Borrower on the types of expertise and information required, and the levels of knowledge, skills and experience needed by the specialists. The ESHS risks and issues to be considered include those arising from the design and construction of the Works, as described in project preparation documents such as: 1. Environmental and Social Impact Assessment; 2. Environment and Social Management Frameworks; 3. Environmental Management Plan or Environmental and Social Management Plan; 4. Environmental and Social Commitment Plan; 5. Resettlement Policy Framework; 6. Resettlement Action Plan; 7. Permit or consent conditions, or any form of regulatory authority conditions attached to any permits or approvals for the project; and/or 8. Regulations, general specifications, sector specific specifications, or standard operating procedures. In addition, the Borrower s environmental and social specialists should consider contextual issues and risks that may be specific to the sector, country, region or operating and regulatory regime. This may include, for example: 1. the availability of mitigation measures (such as traffic control, waste facilities, spill kits, etc.); 2. the traditionally accepted methods of work; and 3. the extent of application of Good International Industry Practice. Borrower s ESHS policy The Borrower should set out its expectations to bidders/proposers with respect to ESHS performance during Works implementation. This is best achieved in the form of a statement (for example, an ESHS policy) that captures and clearly communicates the overall aims of the Borrower s legislation, regulation, standards, practice, specifications and requirements. The Borrower s ESHS policy should 3

14 be a simple, brief (e.g. one-page) and unambiguous series of statements appropriate for the Works and specific to the ESHS issues, risks and impacts for the project. It should require, for example, Good International Industry Practice, a safe and healthy worksite, and the intent of applicable laws, regulation etc. so that it is clear how they are to be interpreted in practice. The Bank s SPDs provide guidance on the topics to be included in the Borrower s ESHS policy (reference: Section VII for Works, and Section 7 for Consulting Services). The Borrower s ESHS policy is required to include a statement specifying that the term child / children for the purpose of the policy means any person(s) under the age of 18 years. As the Borrower s ESHS policy specifies what the contractor and Contract Manager will be required to deliver, it describes the standards against which performance will be measured to drive ESHS outcomes. Some Borrowers (or the implementing agencies) may have an existing ESHS policy that is appropriate or may be adapted (to consider the specific environmental and social issues) for use on a project. An ESHS policy that is specifically prepared for a project is likely to be applicable for subsequent projects implemented by that agency, and should therefore be a worthwhile investment. As described in the SPDs, the ESHS policy should be signed by a senior manager of the Borrower such as a managing director, department head, board chairman, or equivalent. The Borrower s ESHS policy should be included in the Works Requirements (e.g. Section VII - Works Requirements in the Bank s Works SPD) or Terms of Reference (e.g. Section 7 Terms of Reference in the Bank s SPD for Consulting Services) of the procurement documents. In addition, consideration should be given to publishing the ESHS policy on the implementing agency s or the project s website. The Bank s environmental and social specialists may advise the Borrower during the preparation of the Borrower s ESHS policy on content appropriate to the risks of the Project. Stage 1 summary At the end of Stage 1, the Borrower should: 1. have identified the key ESHS issues, risks and impacts related to the Works; 2. have established the multi-disciplinary team required to prepare and administer the procurement; and 3. be able to articulate, through a succinct policy/statement, the minimum ESHS performance requirements. 4

15 Guidance - Improving ESHS outcomes in civil Works contracts STAGE 2: Market research, analysis and planning STAGE 2: Market research, analysis and planning This section provides guidance on considering ESHS aspects: during market research and analysis; when approaching the market (including assessing the national procurement procedures); and in the organization of the procurement function. It also explains where to record the decisions made. Market research and analysis The Borrower is required to carry out market research and analysis to inform the optimal approach for procurement under a Project. Detailed Guidance on how to undertake this research and analysis can be found at Project Procurement Strategy for Development Long Form Detailed Guidance. The assessment should be adequate to understand the capacity of the market to manage ESHS aspects of the Project including whether: 1. the current ESHS industry practice and track record is adequate to deliver the ESHS requirements (e.g. as may be described in the ESIA/ESMP); and/or 2. there is a need for innovative solutions or technological advances that improve ESHS outcomes and deliver Good International Industry Practice. With respect to these issues, the Borrower may refer to the WBG EHS Guidelines to understand better the Good International Industry Practice that could be applied. The Bank s environmental and social specialists may support the Borrower in this research, for example, by providing a broader regional/international perspective on ESHS performance and solutions. Where there are needs for customized solutions or innovations to meet the requirements, the Borrower should consult with the market on potential solutions. This may be done by the Borrower through market engagement 2 (e.g. contractor/supplier workshops), road show, or industry consultations, for example, with civil engineering institutions. The key findings, risks and recommendations from the ESHS market research should be summarized in the PPSD. Approaching the market How ESHS risks and impacts are managed depends on whether international or national markets are to be approached. The Borrower recommends which market to approach based on the market research. If the Borrower recommends approaching the national market, an assessment of the national procurement procedures (NPP) should be undertaken, as described in this section. Approaching the national market For the Bank to accept the use of NPP under national open competitive procurement, the Procurement Regulations require that the procurement documents include provisions intended to adequately mitigate against ESHS risks and impacts. The Bank undertakes an assessment to confirm that the provisions are acceptable. 2 Refer to Market engagement section in the long form PPSD. 5

16 Assessing the national procurement procedures The Borrower should provide the proposed NPP procurement documents and any relevant supporting information (e.g. general specification) for the Bank s assessment. When reviewing the NPP documents, the Bank s team (including procurement, environmental and social specialists) should consider the adequacy of the NPP documents to manage the ESHS risks and impacts (as identified in Stage 1) using the factors described in Box I. All relevant aspects of the procurement documents, including conditions of contract, the specifications, and the bid qualification and evaluation criteria should be reviewed to determine if the provisions are adequate. For further advice on ESHS aspects in procurement documents and contract management, teams may wish to refer to the detail in Stage 3 of this guidance and to the section on Special Considerations: Managing ESHS risk in Works Contracts of the Contract Management: Practice. Addressing ESHS in NPP Based on the findings of the assessment, and in consultation with the Borrower, the Bank should recommend one of the following approaches: 1. adopt the NPP document; 2. amend/strengthen the NPP document; or 3. adapt an appropriate Bank SPD for use in national competitive procurement, if it is not feasible to adapt/strengthen the NPP documents. Approach 1 (adopt the NPP document): should be applied if the Bank s team (including procurement, environmental and social specialists) consider that the NPP documents are adequate to manage the ESHS risks, impacts and performance. Approach 2 (amend/ strengthen the NPP document): should be applied if the NPP documents are in a form that can be reasonably adapted to adequately manage ESHS risks, impacts and performance. The Bank s team (including procurement, environmental and social specialists) should identify the missing aspects from Box I, and suggest, through reference to the SPDs, the measures the Borrower should take to ensure that the NPP documents are acceptable to the Bank. Caution needs to be exercised in integrating provisions directly from the SPDs into other procurement documents to ensure there is no inconsistency and/or confusion with other provisions of the NPP documents. Approach 3 (adapt an appropriate Bank s SPD for use in NPP): should be used if the NPP documents are not acceptable to the Bank and/or require significant amendment and/or amendment is not a feasible option. 6

17 Factors to assess the adequacy of the NPP to manage ESHS risks and impacts 1. Bidder commitment: Are bidders required to submit a commitment to comply with ESHS requirements (e.g. within the letter of bid or as a separate undertaking attached to the bid)? 2. Code of Conduct: Is there a requirement for bidders to submit and implement an agreed CoC? Will the agreed CoC address the social issues identified at project preparation (e.g. as set out in the ESIA), including any GBV/SEA risks? 3. Management Strategies and Implementation Plans (MSIP): Are bidders required to submit MSIP demonstrating how they intend to manage key ESHS risks? Are contractors required to obtain approval of their MSIP prior to carrying out site-based activities? Is there a requirement for MSIP to be updated periodically and as needed? 4. Declaration of ESHS past performance: Does the N`PP process require past ESHS performance to be taken into consideration? How is the information used (is it for debarment)? It should be noted that bidder eligibility should be in line with the Bank s Procurement Regulations. See Box II below. 5. Qualification Criteria/ESHS experience: Does the NPP allow, when appropriate, for relevant experience in managing ESHS aspects to be included in qualification criteria, e.g. as part of the similar experience requirements? 6. Key personnel: Do the procurement documents allow for ESHS key staff qualifications and experience to be specified? Do they require information from bidders on availability and time commitment of ESHS key staff? 7. Reporting requirements: Is there an explicit requirement for immediate reporting to the Borrower on serious ESHS incidents, including fatalities, and GBV/SEA? Are the contractor s regular reporting requirements specified and do they include adequate forward-looking ESHS metrics? See Box III below. 8. ESHS Policy & Specification: Do the NPP processes include appropriate ESHS specifications? Is there a clear and simple overall statement of ESHS objectives for the contract (ESHS Policy/Statement)? 9. Term of Reference (TOR) for supervision: Does the TOR specify appropriate ESHS roles and responsibilities (including ESHS reporting) and key staffing requirement? Does the TOR require the engineer/contract manager/project manager/consultant to consider ESHS issues during any design development/ change? 10. Contract variation: Is there a requirement for the contractor to submit relevant ESHS information as part of the variation procedures? 11. Remedies: Does the contract have explicit contractual remedies for noncompliance with ESHS requirements (including code of conduct) such as: a. withholding of payments, b. removal of personnel from the works, c. forfeiting the ESHS performance security (if applicable). Box I: Factors to assess the adequacy of the NPP to manage ESHS risks and impacts 7

18 ESHS declaration The Bank does not accept the use of Borrower s debarment (e.g. through a black list ) other than for Fraud and Corruption (Procurement Regulation- Paragraph 3.23 f). As part of assessing the NPP process, the Bank s team should identify whether the Borrower debars firms based on past ESHS performance. Past ESHS performance can be influenced by several factors (for example Borrower s default) and is not always reflective of intentional noncompliance. Therefore, the circumstance and the response of the bidder to the incidence is likely to reveal more useful information about the bidder s attention to managing ESHS issues than the occurrence of an incidence. ESHS past performance information should be used to carry out due diligence, e.g. to ascertain if the bidders have responded to past incidences with appropriate risk mitigation measures to prevent recurrence. Box II: ESHS declaration Forward-looking metrics Forward-looking metrics (or leading indicators) are measures that monitor and/or indicate the conditions that may result in future adverse ESHS performance; forward-looking metrics may track the number of minor injuries, training provided, or the issuing of safety equipment. Forwardlooking metrics should be proactive in nature and report what employees, management, and the organization are doing to eliminate risks and prevent incidents from happening. Box III: Forward looking metrics Approaching the International Market When approaching the international market, the Bank mandates the use of an applicable SPD. The SPDs provide a framework for managing ESHS risks as further discussed in Stage 3 of this guidance. Procurement Organization The Borrower should gain a clear understanding of the procedures and process required to deliver the ESHS outcomes, through consideration of: 1. available in-house (Borrower s) resources: including the number, skill, and experience of environment, social, health, safety specialists, to assist, for example, in the preparation of ESHS specifications, contract provisions, bid/proposal evaluation, pre-contract discussions, and in monitoring /supervising contract execution. Any gaps may be filled through external expertise (e.g. consultant support, Contract Manager, third-party monitor) and/or training; 8

19 2. organizational setup and authority matrix: roles and responsibilities for managing the ESHS aspects; decision making matrix; and 3. availability and quality of information: for example, finalized ESIA/ESMP; permit and consent conditions; general specifications. Depending on the ESHS risks and the procurement organization, the use of a third- party monitor (for example, independent environmental and social consultant, lender s technical advisor, etc.) should be considered. Further information is provided in the Good Practice Note: Environmental and Social Framework for IPF Operations- Third-party monitoring. Recording the Market Research Analysis and Planning The market research findings and analysis are recorded in the Project Procurement Strategy for Development (PPSD) template prepared by the Borrower. The information collected and analyzed informs the strategic approach to market, selection of the contractor and Consultant(s), and management of the contract. If, following discussion with the Bank, the national market is to be approached, the Borrower should record in the PPSD the preferred approach and any measure to be taken to strengthen ESHS provisions in the NPP. If the international market is to be approached, the Borrower should record within the PPSD the applicable SPDs to be used. Procurement Plan The Procurement Plan is one of the outputs of the PPSD and among others sets out whether: 1. the international or the national market will be approached; 2. pre-qualification/initial selection or post qualification will be used; and 3. a contract will be subject to the Bank s prior or post review (based on the procurement risk level). The Procurement Plan and any updates should be subject to Bank s approval. Stage 2 summary At the end of Stage 2, the Borrower should have: 1. assessed the capacity of the market to manage ESHS risks; 2. identified which market (national or international) to approach; 3. decided on the applicable SPDs and/or any ESHS strengthening of NPP documents; 4. an understanding of the organization and internal processes for delivering ESHS aspects during the procurement; and 5. completed the PPSD and prepared the Procurement Plan. At the end of Stage 2, the Bank should have: 1. assessed the adequacy of the NPP to manage ESHS risks and impacts, as needed; 9

20 2. discussed and agreed with the Borrower the ESHS strengthening measures for the NPP as appropriate and/or agreed the appropriate SPD/s to be adopted for international competitive procurement; and 3. reviewed the PPSD and approved the Procurement Plan. 10

21 Guidance - Improving ESHS outcomes in civil Works contracts STAGE 3: Preparing Procurement Documents STAGE 3: Preparing Procurement Documents The procurement documents are prepared at this stage. Figure II shows how ESHS requirements should be incorporated into procurement documents for civil works, and Annex 1 describes in summary form the steps to be taken by each responsible party. Annex 2 sets out the typical structure of a Bank s SPD, and Annex 3 lists where the ESHS provisions may be found in each of the relevant SPDs. This section provides guidance on incorporating the ESHS requirements into the procurement documents for civil works and Contract Managers (for civil works), using the Bank s SPDs as a model. Therefore, it is advised to read this section in conjunction with the relevant SPDs and refer to the annexes as needed. This section first describes the ESHS aspects that are common to both civil works and Contract Managers procurement documents. It then discusses the additional aspects for civil works, followed by the additional aspects for Contract Managers. 11

22 ESHS aspects common to civil works and Contract Managers The following aspects apply to the preparation of both civil works and Contract Managers (for civil works) procurement documents. Borrower s ESHS policy The Borrower s ESHS policy (prepared in accordance with the guidance in Stage I) should be included in the Work s Requirements/Employer s Requirements/TOR of the procurement documents (e.g. Section VII - Works Requirements / Employer s Requirements or Section 7 - Terms of Reference of the Bank s SPDs for Works and Consulting Services). Code of conduct All parties to the works are expected to maintain the highest standards of behavior during the execution of the contract. This includes interactions among the parties and with the local communities. The expected standards of behavior should be set out in a CoC, which responds to the specifics of the contract and local context. The CoC should be followed by the workforce, and clearly communicated to the local communities. The procurement documents should require an appropriate CoC to be submitted by each bidder/proposer/consultant. The content of a CoC prepared by the organization that will implement it provides an indication of that organization s depth of understanding, intention and commitment to the code. Therefore, the Borrower should not provide the CoC but include the minimum content that the bidder s/proposer s/consultant s CoC should incorporate. The minimum content for the bidder s/proposer s/consultant s CoC should be included by the Borrower in the Work s Requirements/Employer s Requirements/TOR (Section VII/7 of the Bank s SPDs) of the procurement documents. Guidance on the minimum requirements for the CoC is provided in the SPD Section VII/7 (Works Requirements/Employer s Requirements/TOR). In addition to submitting a CoC, bidders/proposers/consultants should be required to describe the implementation arrangements. This includes: 1. how the CoC will be communicated to personnel, including any sub-contractors/day workers; 2. how the CoC will be introduced into conditions of employment/engagement, and how violations will be handled; 3. how compliance with the CoC will be monitored and reported; and 4. what measures will be taken to ensure local communities are aware of the CoC and how they may raise any concerns. Contract Managers for civil works that are selected using a simplified technical proposal (in accordance with the Bank s SPD for Consulting Services) are not required to submit the CoC implementation arrangements, although these may be requested after contract award. 12

23 Reporting Requirements: Immediate Notification Information about what is happening on the site is fundamental to understanding whether ESHS requirements are being adequately applied. Although there are various sources of information about ESHS performance, the contract conditions should require regular reporting (described later in this guidance) and immediate notifications. Incidents subject to immediate notification should include: fatality or serious injury; damage to property; damage to protected areas; and allegation of sexual misbehaviour (GBV/SEA). Immediate notifications provided by the contractor should be passed to the Borrower through the Contract Manager (e.g. this is described in PCC 4.21 (g) of the Bank s Works SPD and within the TOR of the Bank s Consulting Services SPD). The Contract Manager is also required to immediately notify such incidents occurring as a result of the Contract Manager s activities (Section 7-TOR of the consultants SPD). On receipt of such notification, the Contract Manager and/or Borrower should take timely action to understand: 1. the incident, and ensure it is contained to prevent further harm/damage; 2. the causes of the incident; and 3. what remedial action the contractor and/or the Contract Manager will take to resolve the issue and prevent recurrence. The Borrower should also be aware of any obligation (e.g. in the legal agreement) with respect to reporting to the Bank. Regarding the immediate notification of alleged incidents, it should be recognized that it is not presumption of guilt. The immediate notification is to inform what control measures and subsequent investigations should be instigated. The Borrower, in consultation with the Bank as appropriate, may prompt the involvement of appropriate bodies in a timely manner, to assist in the investigation. With respect to allegations of GBV, the Borrower is expected to consult with the Bank. Additional aspects for civil works This section describes the additional ESHS aspects applicable only to civil works procurement documents. ESHS Declaration As part of the qualification criteria, each applicant/bidder/proposer should be required to submit an ESHS Declaration to attest to their past ESHS performance. The ESHS Declaration should require details of any civil work contracts (during the preceding five years) that have been suspended or terminated, and/or performance security called by an employer, for reasons related to noncompliance of ESHS requirements. The ESHS Declaration should apply to the applicant/bidder/proposer and any specialized sub-contractor. An example ESHS Declaration template may be found in Section IV of the Bank s SPDs (e.g. Form CON- 3 for Works SPD). 13

24 Key Personnel The Borrower should identify the environmental, social, safety and health skills that will be needed by the successful bidder/proposer to manage the ESHS risks. The required skills should be indicated in the procurement documents using a key personnel table (such as in Section III of the SPDs) by specifying the relevant academic qualification and required level of experience, proportional to the ESHS risks. The level of experience should be indicated (for example in the minimum years of relevant work experience column of Section III of the SPDs) not only by specifying the number of years but also by describing the relevant activities that should have been undertaken to demonstrate the skills. The focus on the skill means that bidders/proposers may not necessarily propose a different person for each specialization, but may propose the same person who demonstrates skills that can cover more than one specialization. The bidders/proposers are required to submit the names, resume and declaration for their proposed key personnel. The information to be provided should be guided by using forms, such as those in Section IV of the SPDs. The first form should be a schedule listing the names of the candidates, and details of their availability as follows: 1. Duration of appointment: This indicates whether the person will be available for the entire contract period or only part of it; 2. Time commitment: This provides the total number of days (weeks/months etc.) that the person will work on the contract during the appointment; and 3. Time schedule: This describes the program for deployment, for example, whether all the key person days will be at the beginning, at the end or spread evenly during the appointment. The second form should comprise the resume of the person and a declaration signed by both the individual and the authorized representative to confirm the accuracy of the detail and the time commitment. Specification The specification is one of the most important parts of the procurement documents because this is where the Borrower identifies what is to be delivered and monitored. Therefore, the ESHS specifications should be clear and unambiguous, and set the well-defined ESHS outcomes that are to be achieved. The specification is an integral part of the contract and should be consistent with the general and particular conditions of contract. The conditions of contract govern the contractual relationship, liabilities and application of remedies etc. whereas the specification sets out the performance and standards that the contractor shall meet in delivering the contract. It should be noted that the GCC should not be modified; and the PCC should not generally be amended other than as indicated in the SPDs. Any technical, scope, or implementation requirements should be included in the specification. In preparing the specifications, the Borrower should consider any applicable technical specification (e.g. 14

25 a general specification for roads and bridges), the ESCP, the World Bank Group EHS Guidelines, measures contained in the ESIA/ESMP (such as the international and national standards to be applied) and any terms and conditions required as part of the permits or consents that have been obtained. In preparing the specifications, caution needs to be exercised so as not to dilute/confuse/create inconsistency with the conditions of contract (which may result in, among other things, problems with the application of remedies). Section VII of the SPDs identifies by way of example GCC clauses that could be confused through use of inappropriate specifications. The ESHS specifications should, as far as practicable, be outcome oriented: i.e. specify the end results as opposed to the method of achieving it (See Box IV below). This allows for the contractor to demonstrate innovation or efficiency or apply a fit for purpose approach to achieve the desired outcomes. An outcome-oriented approach is not prescriptive, and may help achieve cost efficiencies. Example of outcome-oriented approach Specifying that a contractor should provide 15 traffic speed control signs may not necessarily result in pedestrian safety if those signs are in the wrong place and with the wrong speed limit. Pedestrian safety may have been better achieved by other methods such as rerouting of construction vehicles, installing speed humps at key points, traffic signalization etc. A more appropriate specification would have required the contractor to (i) take the necessary measures to ensure pedestrian safety along public roads, and (ii) detail these measures in a traffic management plan subject to the Contract Manager s prior approval. Box IV: Example of outcome-oriented approach It should be noted that the language and content of an ESCP/ESIA/ESMP may not necessarily be directly transferable to a contract. For example, the ESIA/ESMP may: 1. contain measures that are not pertinent to the contract (for example design measures in a purely construction contract); 2. be too detailed or lengthy for the contractor to easily comprehend their role; 3. conflict with the contractual provisions 4. contain responsibilities beyond what the contract allocates; and/or 5. may focus on methods rather outcome. Where possible, the language of the ESHS specifications should be modeled on the language contained in technical specifications (e.g. general specifications for roads and bridges). In the specification, the Borrower should also provide any information that it may have on permits or consents that it or the contractor may yet be required to obtain. As stated in conditions of contract, the Borrower may be required to provide reasonable assistance to the contractor in obtaining permits or consents. Where a third- party monitor will be used, the Borrower should include in the specification a requirement for the contractor to provide support to the third- party monitor, for example, by 15

26 assisting with logistics, meetings, translation etc. as well as providing the information necessary for the third-party monitor to undertake their duties. Where the specifications require the contractor to prepare management plans, method statements or implementation plans, an outline content of each plan should be provided by the Borrower to ensure that the contractor understands what they are required to provide. Examples of such plans include health and safety management plan, traffic management plan and water protection management plan. Where a C-ESMP is required, the Borrower should similarly make it clear what is to be included as part of the C-ESMP. The effective management of risks during Works contract implementation requires regular review and update of the contract risk register. As described in the Contract Management: Practice, the contractor should participate in the review and update of the risk register and therefore an appropriate requirement should be included in the specifications. For design and build contracts, the proposer is required to submit a risk register identifying the risks anticipated during the execution of the contract; the specification should require a contractor to review regularly the ESHS risks and keep the register up to date, and to submit with the contract handover documentation a register that reflects maintenance and operational risks. Management Strategy and Implementation Plans To prepare the C-ESMP, the contractor will need to understand fully the requirements of the contract (specification, works information, conditions of contract), and the details of how they will deliver the activities (e.g. the program, approach and equipment, etc. they will bring). This normally requires considerable investment of time and resources, including assembling the site team with the right mix of specialist skills and experience. Assembling the full team and planning the work in sufficient detail to prepare a meaningful C- ESMP can normally be achieved during the early stages of the contract, but not at the time of bidding. In addition, the time and resources required from the Borrower to evaluate C-ESMPs from all bidders/proposers could be onerous in the context of the bid/proposal evaluation. It is therefore not recommended to request a complete C-ESMP at the bid/proposal stage. However, bidders should be requested to submit a few MSIPs, as part of bid, to demonstrate their understanding of, and ability to manage, the key ESHS risks. The ESHS risks that may arise during mobilization or pre-construction phases (i.e. early activities) or those that are key issues for the contract (e.g. as identified in the ESCP) should be identified, for example: 1. unplanned land clearance due to unpredicted mobilization activities; 2. works in advance of consent/permit issue; 3. construction traffic impacts on the community; 4. pollution of drinking water; 5. incursion into private land/impacts on property; or 6. impacts on rare species or endangered habitat. 16

27 and the appropriate MSIPs to manage these risks or issues to be requested in the procurement documents, may include: 1. mobilization strategy; 2. strategy for obtaining consents/permits; 3. traffic management plan including measures for safe working on operational roads; 4. water resource protection plan; 5. strategy for marking and respecting work site boundaries; or 6. biodiversity protection/management plan. The MSIPs provided in the bid should be comprehensive but concise, and explain the specific actions the bidder proposes to manage the ESHS risks, including the materials, equipment and management processes that will be used. The procurement documents should require (e.g. PCC 4.1 in the Bank s Works SPD) the contractor not to carry out any activity unless the Contract Manager is satisfied that measures are in place to address the ESHS risks and impacts of the activities. The MSIPs submitted as part of the Bids/Proposals that have application for early works would assist the contractor in achieving this approval during the mobilization phase. During contract execution, the MSIPs should be developed and additional MSIPs prepared to reflect the work program and meet the requirements of the contract. Collectively, the MSIPs form the C- ESMP and should be reviewed by the contractor and Contract Manager and updated by the contractor as necessary to remain appropriate to the works being carried out. Access to and possession of site The Borrower should specify in the procurement document a realistic program for providing access to and possession of site (for example as indicated in the Section IX -Particular Conditions of Contract Part A- Contract Data Sub-Clause 2.1 of the Works SPD). In determining this program, the Borrower should allow time for: 1. surveys (for example to establish ownership, or land value); 2. agreeing and making compensation payments; 3. the challenge or review process; and 4. any other activities that may be required by a relevant resettlement action plan. The program may indicate a phased release of land (e.g. sections along a road corridor), and in developing the program, it is recommended that the Borrower considers: 1. likely critical path construction activities, and 2. the access needed to support the critical path activities. Setting a realistic program clearly in the procurement document minimizes the risk of delays and additional costs during contract implementation. 17

28 Pricing There are two main approaches for pricing works: 1. where the Borrower provides the design (e.g. admeasurement type of contracts), detailed pricing can be provided against BoQ items; 2. for design and build and similar contractual arrangements where the design is not ready at the time of requesting Bids/Proposals (e.g. performance-based contracting, D&B, DBO,), pricing can be provided on a lump sum, milestone or service level basis. In both cases, provisional sums may be used. This section discusses the use of BoQ and provisional sums for ESHS aspects; further information on lump sum, milestone or service level pricing is provided in the Bank s D&B SPDs. BoQ The Borrower should list in the procurement documents the items to be priced by the Bidders, using templates such as those shown Section IV of the Bank s SPD for Works. If an item can be clearly defined, Bidders can price the item with accuracy. Items or scope that may vary or cannot be defined in advanced are not suitable for a BoQ. In relation to ESHS requirements, it is possible, for example, to include a BoQ item for the preparation and approval of a management plan. It is not recommended that BoQ items are used for implementing the plan. The ways of implementing the plan may not be known at bidding, may vary during the works and, as advised in this guidance, should be based on outcome-based ESHS specifications (rather than defined actions). Where an item is listed in the BoQ, the Borrower is limited generally to use that BoQ price in the application of remedies with respect to that item. Therefore, the full effect of remedies (e.g. withholding payments) cannot be applied. Payment for the implementation of the ESHS requirements should therefore generally be a subsidiary obligation of the contractor covered under the prices quoted for other BoQ items such as earthworks, asphalting etc. The ESHS requirements may not be easily disaggregated into separate cost items anyway, for example, where it is the contractor s approach to asphalting, for example, that delivers the outcome rather than using specific equipment or other resources. Provisional Sums Provisional sums are amounts set aside in the contract for discrete activities, not covered by the priced BoQs or lump sum payments. A provisional sum enables a budget to be allocated for activities that cannot be adequately defined in advance to enable pricing, or that may require an unknown number and/or extent of interventions. The amount of the provisional sum is estimated by the Borrower and included in the pricing tables (see example templates in Section IV of the Bank s SPDs). Provisional sums are to be used, in whole or in part, in accordance with the Contract Manager s instruction. A provisional sum may have application where there is a need to separate out the ESHS implementation costs, for example, to mitigate the risk of underpricing or overpricing (e.g. due to 18

29 misunderstanding of the ESHS requirements, or for competitive advantage). The Borrower should include, with the agreement of the Bank, an adequate sum for the implementation of ESHS interventions and describe the mechanism for making payment on the basis of satisfactory performance. If this approach is to be taken, the Borrower is recommended to discuss early on with the Bank s team the adequacy of the sum (and how it takes into consideration the ESHS risks and impacts), and the mechanism by which the payments will be made (and how this will be linked to performance). Other examples where provisional sums may be used are HIV counseling services, GBV/ SEA awareness and sensitization, etc. A provisional sum may also serve as a contingency to reward contractors for good ESHS initiatives, if specified in the contract. Reporting Requirements: Progress Reports In addition to the immediate notification reporting described earlier, contractors should be required to provide information on ESHS performance (e.g. as stated in Works SPD PCC 4.21) as part of the regular progress reports. The ESHS metrics to be reported should be included in the procurement documents (e.g. as an Appendix to the General Conditions of Contract or a Particular Condition of Contract). An indicative list of ESHS metrics for regular reporting is included in the SPDs (see, for example, Appendix B to the General Conditions of Contract- Small Works SPD). When using the Bank s SPDs, the Borrower should review and modify the metrics to ensure that they are appropriate to the contract, the Borrower s ESHS policy and the ESHS specifications. Progress reports should be required to provide information about past performance (lagging indicators) as well as details of the activities that the contractor is taking to prevent or avoid noncompliance (leading or forward-looking indicators). In determining the metrics to be reported, the Borrower should recognize that during contract implementation, the Contract Manager will review and discuss with the contractor the monthly progress reports, and as necessary give instructions to the contractor for any remedial actions to ensure compliance with the ESHS requirements based on the metrics provided. Further details on how Progress Reports should be used during Contract implementation are provided in Contract Management: Practice. ESHS Performance Security An ESHS Performance Security shall normally be required for contracts where the ESHS risks are significant. The significance of the ESHS risks should be informed by the project category and the specific risks of the contract (or other environmental and social risk classification). However, where market analysis indicates systemic contractor ESHS poor performance, an ESHS performance security may be required notwithstanding the environmental and social risk classification (i.e. even if the environmental and social risks are low, an ESHS performance security may be required where there is a history of poor performance). The ESHS performance Security, should normally be in the form of a demand guarantee, and should be between 1% and 3% of the contract value depending on the significance of the risks and potential for negative impacts. For example, the Borrower may use professional judgement to specify an ESHS 19

30 performance security at the top of the range, where the impact is high and there is a high probability of occurrence. The sum of the main performance security and the ESHS performance security when in the form of a demand guarantee shall not normally exceed 10% of the contract value. Qualification criteria As specified in the Procurement Plan, civil works may be procured with or without prequalification (e.g. when using the Bank s RFB selection method for large works, small works and performancebased road contracts), or with initial selection (e.g. when using the Bank s RFP selection method for design and build-works and DBO contracts). Prequalification/Initial Selection criteria Requirements to select applicants should be specified in prequalification or initial selection documents and should be applied on a pass/fail basis. Advice and templates are provided in Qualification Criteria and Requirements section of the Bank s standard prequalification documents and/or Table 1 -Qualification Criteria and Requirements of the Bank s standard initial selection documents. In a prequalification process, only prequalified applicants should be invited to submit Bids. In an initial selection process, applicants should also pass a second stage assessment based on rated criteria. From an ESHS perspective, the qualification criteria should include historical contract nonperformance (in the form of an ESHS declaration as described earlier), and may include relevant experience on similar contracts as described in Box V. 20

31 The Borrower s environmental and social specialists should work with the procurement specialists to define and set the qualification criteria. Approach to requiring ESHS relevant experience when using Bank s SPDs Section III- Evaluation and Qualification Criteria of prequalification/ initial selection documents is where relevant experience in managing ESHS aspects on similar contracts is requested, if appropriate, as part of the requirement for the specific construction & contract management experience qualification criterion 4.2. Where there are known significant ESHS risks (for example: pollution of drinking water; impact of workers on local community; community safety from construction traffic; damage to important biodiversity), this should be clearly specified in the criterion 4.2 as minimum key requirements (e.g. experience in: building across drinking water aquifers; managing labor influx; safe traffic management; respecting works boundaries) to be demonstrated in the similar contracts claimed by the applicant. Applicants may be referred to Section VII of the prequalification/ initial selection document for further information on potential ESHS risks and impacts to guide their response. Applicants are required to complete Form Exp- 4.2 (specific construction and contract management experience) with the information about their experience meeting the requirements specified in criterion 4.2. With respect to the Bank s initial selection documents the rated qualification criteria in Section III- Table 2 may also include criteria on the applicant s understanding of the ESHS risks and their proposed approach to managing those risks. Box V-Approach to requiring ESHS relevant experience when using Bank s SPDs Post Qualification criteria If prequalification is not used, or in exceptional circumstance if initial selection is not used, the procurement document should specify the post qualification criteria. The post qualification criteria should be prepared and specified as described for prequalification above. Evaluation criteria If the procurement documents apply rated evaluation criteria, ESHS aspects may be included as part of the criteria. Guidance on how to set evaluation criteria can be found in Procurement Guidance: Evaluation Criteria, and Box VI describes the application of rated criteria in the Bank s SPDs. If rated criteria are not applied, the ESHS requirements will normally be evaluated as part of substantial responsiveness as described in Stage 4. The Borrower s environmental and social specialists should work with the procurement specialists to define and set the rated criteria. 21

32 Application of rated criteria in the Bank s Design and Build SPD Section III Evaluation and Qualification Criteria advises the proposer on how the technical proposals will be evaluated, including the rated criteria that will apply, and cross refers to the specifics in Section II - Proposal Data Sheet (PDS). In the PDS, ITP 43.2 lists the technical factors to be weighted by the Borrower based on their relative significance to the contract. As the relative weightings are unique to the specifics of a contract, the Borrower s multidisciplinary team, including the environmental and social specialist/s, should normally discuss and agree the weightings bearing in mind the content of the different technical factors. Section IV Proposal Forms describes the information that would be required (and evaluated) within the technical proposal e.g. design methodology, construction management strategy and CoC, and the minimum content of each including where the ESHS aspects should be incorporated. The Borrower should ensure consistency of the technical factors within Sections IV, III and the PDS. The technical factors should be listed in the PDS with the most important at the top, to highlight the significance to the proposers. Box VI: Application of rated criteria in the Bank s Design and Build SPD Additional aspects for Contract Managers (for civil works) This section describes the additional ESHS aspects applicable only to Contract Managers (for civil works) procurement documents. Short-listing Short-listing should be used in the selection of Contract Managers. The short-listing process should be as described in the Procurement Regulations and requires the complete TOR (see below) to be attached to the Request for Expression of Interest. The criteria to be used for short-listing normally include: core business and number of years in that business; relevant experience; and, technical and managerial capability of the Consultant. The scope of ESHS services are part of the TOR and therefore should be considered when assessing the experience and technical capability of the Consultant to deliver the ESHS services. Key personnel are not evaluated at the short-listing stage. The evaluation of the short-listed Consultant s technical capability and proposed key personnel is undertaken on the technical proposal. Technical proposal When applying the Bank s SPD for Consulting services, the Borrower determines whether to require a simplified or full technical proposal and indicates this in Section 2 Instruction to Consultants Data Sheet. 22

33 Terms of Reference (TOR) The TOR should include the scope of services, team composition, reporting requirements, environmental and social policy and CoC. Scope of Services The sample outline of the TOR provided in Section 7 of the Bank s SPD for Consulting Services describes where the ESHS scope of services should be included. Sub section 3 (Scope of Services) provides a list of ESHS related activities required of Contract Managers. The topics included correspond to the requirements on the contractor (as set out in Section VII Work s Requirements) and therefore should not be modified without due regard to those requirements. For example, PCC 4.1 of the Bank s SPD for Works requires the contractor to update the C-ESMP not less than every six months and the scope of the Contract Manager s services should include a requirement to review and approve the updated C-ESMP to the same time scale. For some contracts, the exemplar scope of services may be adequate as is to specify the ESHS services to be provided by the Contract Manager. However, for other contracts, it may be necessary to elaborate and explain additional services or to provide supporting information pertinent to the provision of the services. For example, where a third- party monitor will be used, the Borrower should include in the TOR a requirement for the Contract Manager to support and provide the information necessary for that third-party monitor to undertake their duties. Team composition When using the Bank s SPD for Consulting Services, Section 7 TOR sub section 4 (Team composition) is where the Borrower should specify the environmental, social, safety and health skills that are necessary to supervise the contractor s ESHS performance. The skills should be indicated by specifying the relevant academic and professional qualifications, and the required level of experience, necessary to identify the Good International Industry Practice that the contractor is required to apply. The level of experience should be indicated not only by specifying the number of years but also by describing the relevant activities that should have been undertaken to demonstrate the skills (e.g. 10 years experience in supervising social aspects in civil works contracts in high GBV risk environments including with respect to labor influx impacts on local communities; 5 years experience in supervising construction that affect drinking water aquifers). The focus on the skill gives consultants opportunity to propose a key expert that demonstrates skills in more than one specialization, as opposed to a different key expert for each position. For procurement documents based on the Bank s SPD for Consulting Services, the Borrower completes the key positions in Section 2 ITC data sheet 21.1 consistent with the skills requested in the TOR. ITC data sheet 21.1 sets out the criteria, sub-criteria, and point system for evaluating the proposals. The Borrower allocates points against each of the positions depending on the relative importance of the positions to the assignment. The curriculum vitae and time inputs for key experts should be provided by the consultants using the Standard Forms Tech 6 in Section 3. The resume of the person is required to be signed by both the 23

34 individual and the authorized representative to confirm the accuracy of the detail and the time commitment. Reporting- Progress Reports When using the Bank s SPD for Consulting Services, Contract Managers should be required to submit to the Borrower the reports indicated in sub section 5 of the TOR, in accordance with the indicated time schedule. The reports should be required to include the contractor s ESHS metrics (as submitted to the Contract Manager as part of the contractor s progress reports) and details of the actions that the Contract Manager has taken/will take to ensure contractor s ESHS performance. Borrower s ESHS policy and code of conduct The Borrower s ESHS policy and minimum requirements for the CoC (prepared in accordance with earlier guidance) should be included in the TOR, as indicated in the Bank s SPD for Consulting Services Section 7 TOR sub sections 7 and 8. Bank s review of procurement documents When prior review is specified in the Procurement Plan, the Bank s team should review the Borrower s relevant procurement documents and provide a no objection before the Borrower proceeds to the next stage. For contracts subject to post review, the Bank s team carries out a review of a sample of the procurement processes and documents (including contracts) after the Borrower has awarded the contract to ensure that the procurement processes are in compliance with the legal agreement. Further details can be found in Bank Guidance: Procurement Post Review, Independent Procurement Review and Integrated Fiduciary Reviews. Stage 3 summary At the end of Stage 3, the Borrower should have prepared the necessary procurement documents containing the: 1. ESHS specifications/scope of services and contractual provisions that are fit-for-purpose and proportional to the ESHS risks; 2. skills and experience needed for ESHS personnel; 3. immediate and regular reporting requirements; 4. ESHS evaluation and qualification criteria; and 5. relevant documents and information to be submitted by applicants/bidders/proposers/consultants. During the preparation of the procurement documents, the Bank may have provided advice to the Borrower, for example, on the appropriateness of any proposed provisional sum. For contracts subject to prior review, the Bank should have provided no objection to the procurement document. 24

35 Guidance - Improving ESHS outcomes in civil Works contracts STAGE 4: Sourcing process STAGE 4: Sourcing process 1. inviting applications (prequalification, initial selection), expressions of interest (consultants), and bids/proposals as required by the procurement method and approach agreed in Stage 2; 2. providing clarifications, holding pre-application/bid/proposal meetings, and as necessary issuing amendments to the procurement documents; and 3. evaluating bids/proposals and assessing qualifications. a) for single stage process: opening and evaluating the applications/bids/proposals received and undertaking any BAFO, pre-contract discussions or negotiations (if BAFO is not carried out) before signing the contract; or b) for two stage/multi stage process: opening and evaluating the initial proposals, carrying out a dialogue (multiple dialogues in competitive dialogue), inviting final proposals, evaluating, and undertaking any BAFO, pre-contract discussions or negotiations (if BAFO is not carried out) before signing the contract. This section describes how ESHS aspects are considered during Stage 4. Inviting Applications/Bids/Proposals The procurement plan identifies how applications/bids/proposals would be invited from the market. Clarifications Potential applicants/bidders/proposers/consultants may seek clarifications on the ESHS aspects or provisions of the procurement document. The Borrower may also hold pre-submission meetings to provide them the opportunity to ask questions, and to clarify the Borrower s requirements. It should be noted that all clarifications during this period should be provided in writing to all potential applicants/bidders/proposers/consultants without identifying the source of the request. Any verbal clarifications should be followed by written communication to all potential applicants/bidders/proposers/consultants. The Borrower s environmental and social team should provide consistent advice on the ESHS aspects when requested, via the Borrower s representative entitled/assigned to provide the clarifications. The Borrower s environmental and social team may also be required to attend the pre-submission meetings. There should be no other communication with potential applicants/bidders/proposers/consultants outside of this framework. Qualification and Evaluation The Borrower should have established the evaluation team by the application/bid/proposal opening date. To enable evaluation of the ESHS aspects, the Borrower s team should have the appropriate skills and experience to advise on the content and adequacy of the submission to fulfil the Borrower s ESHS requirements and deliver appropriate ESHS performance during implementation. This may require an environmental and/or social specialist to be part of the team. 25

36 Evaluation should be carried out in accordance with the requirements and criteria specified in the procurement documents, developed as per the advice in Stage 3. Assessment of Qualification As required by the qualification requirements, applicants/bidders/proposers should submit an ESHS declaration and details of any requested ESHS experience. ESHS declaration Applicants/bidders/proposers are required to submit a declaration of whether they have had a contract terminated, suspended or a performance security called, for reasons of poor ESHS performance, and provide details as necessary. The reasons for poor ESHS performance may be varied and do not always indicate systemic ESHS management failures, and as such, are not always a reliable measure of future poor performance. Therefore, having a contract terminated, suspended or a performance security called should not on its own be used to disqualify applicants/bidders/proposers. The ESHS Performance Declaration should be examined to identify ESHS issues in past performance that may indicate deficiencies of management control and it should be used to focus further due diligence and obtain information to understand the applicants/bidders/proposers ability to recognize, respond and rectify problems. The due diligence should be carried out to establish if they have learned from the past experiences and how they have modified or implemented management controls to prevent recurrence. The Borrower should consider the ESHS Performance Declaration and the information obtained from further due diligence to decide the appropriate action which may include the following: 1. risks are not foreseen for the contract and therefore no further measures are needed; 2. the risks/issues could be addressed through strengthening the bidding/ request for proposals document (for prequalification/initial selection) or the contract (for post-qualification); or 3. the risks/issues, when considered with other findings, are of a material nature sufficient to disqualify the applicants/bidders/proposers from further consideration. Specific experience The Borrower should assess whether the applicants/bidders/proposers/consultants meet the specified ESHS experience requirements and if they do not substantially meet the criteria, additional information may be requested and the information considered in the assessment. If as a result of this additional assessment, they still do not substantially meet the criteria, they may be disqualified. If, however, the deficiencies are not substantial, they may be qualified. Professional judgement should be used to determine the degree to which the criteria are fulfilled. 26

37 Evaluation of ESHS aspects The Bid/Proposal should describe how it will address the Borrower s ESHS requirements. The Borrower shall evaluate to what extent the submission meets the criteria and requirements specified in the procurement documents, using substantial responsiveness, and rated criteria as applicable. Application of Substantial Responsiveness A simple pass/fail test is not normally appropriate when assessing ESHS requirements. Instead, the substantial responsiveness test should be applied. This should take the form of an assessment of the materiality of deviations, if any, of the ESHS submission against the ESHS requirements (for example as described in the Bank s SPD for Works Section I - ITB 29 and 30). If minor deviations are identified, the Borrower may request clarifications from the bidder and/or may address the deviations through pre-contract discussions. If the ESHS deviation is considered to be material, i.e. impacting the substantial responsiveness of the submission, the Bid/Proposal should be rejected. Boxes VII and VIII provide examples of the application of substantial responsiveness. Examples of substantial non-responsiveness for ESHS Bidders were considered as substantially non- responsive for the following reason. 1. Bidder 1 made no specific mention of any environmental and social safeguards methods to be applied. 2. Bidder 2 did not demonstrate how environment and social safeguards would be addressed. The write up presented lacked details of any specific methods and processes that they intended to apply. 3. Bidder 3 s ESHS key personnel did not demonstrate the required skills and experience. Box VII: Examples of substantial non-responsiveness for ESHS Examples of ESHS substantial responsiveness following clarification/pre-contract discussions 1. The bidder has met the ESHS requirements in all aspects except for an incomplete CoC. The Borrower requested clarifications and obtained an acceptable CoC. 2. The bidder s method statement did not provide sufficient detail on how the bidder will deliver the ESHS requirements. The Borrower carried out pre-contract discussions with the bidder and the ESHS approach and processes were agreed and the method statement was updated accordingly. Box VIII: Examples of ESHS substantial responsiveness following clarification/pre-contract discussions 27

38 Application of Rated Criteria The quality of the ESHS submission should be evaluated using the rated criteria, if specified in the procurement documents. Key areas to consider during evaluation include: 1. have all the required documents for the evaluation been provided; 2. are there any missing elements within the documents provided; 3. are there inconsistencies between documents or approaches; 4. is there any programing discrepancy or illogical sequencing of events; 5. is Good International Industry Practice proposed? ESHS aspects to be evaluated Applying either substantial responsiveness and/or rated criteria, the Borrower should use professional judgement to review the submission and confirm the adequacy of the proposed ESHS actions to deliver the requirements of the contract. In order to do this, the Borrower should have the right combination of skills (e.g. to recognize relevant Good International Industry Practice), and should ideally include the team that participated in the preparation of the procurement documents. The components of the technical proposal to be evaluated are described below: 1. ESHS Management Strategies and Implementation Plans (MSIPs): These plans should be evaluated against the Work s Requirements and/or Specification) set out in the procurement document and should contain specific and practical measures that the contractor will implement. The emphasis should be on the activities to be undertaken, and not generic commitments to achieve an outcome. When management strategies have been requested (for example when adequate information is not available to prepare a comprehensive plan), the bidders/proposers should set out the detailed steps they propose to follow to implement the strategy. 2. Code of Conduct and Implementing the Code of Conduct: The CoC should meet or exceed the minimum requirements specified in the procurement documents. The CoC may take the form of staff rules, staff handbook, HR policies, or conditions of employment etc. and does not need to have been specifically prepared for the project. In terms of implementation, the evaluation should consider the aspects set out in the procurement documents for informing workers about the CoC and how the CoC would be communicated to the community. The evaluation should also consider whether the proposed remedial measures are appropriate, and whether a clear process for reviewing allegations of infringements and applying disciplinary measures is provided. The process should include a right to challenge the application of the disciplinary measures. 3. ESHS Bill of Quantities: Where line items for ESHS aspects are included in the BoQ the Borrower should check that the bidder has adequately priced the line items. This should be informed by the pricing of the same items in other Bids and any Borrower s estimate such as may be included in the ESMP. 4. Key Personnel: In addition to evaluating the skills and experience demonstrated in the CV against the criteria included in the procurement document, the availability and time allocation and phasing of the inputs should be reviewed against the work program. It should be clear that skills 28

39 and experience will be available for the tasks that require them. Where provided, the roles and responsibilities, and organization chart, should be reviewed to ensure that they meet the needs of the contract and demonstrate clear reporting lines. 5. The bidder s/proposer s technical proposal may comprise various statements and schedules, covering topics such as design methodology, construction management strategy, method statement for key construction activity, work program, risk assessment, and contractor s equipment. This information should be provided in sufficient detail to demonstrate the adequacy of the proposed activity to meet the Work s requirements, including as necessary how ESHS aspects would be incorporated. Examples of the types of ESHS aspects that should be included within these various statements and schedules are: a. Design Methodology: This may describe proposals for incorporating sustainability into the design; approaches for any sustainable procurement; strategy for gathering baseline ESHS information; managing ESHS risks through design; obtaining environmental permits; etc. Further details may be found in the Bank s SPD for Design and Build. b. Construction Management Strategy: This is a key document for design and build contracts since it describes how ESHS risks and impacts will be managed during the construction period. The Bank s SPD for Design and Build provides a minimum list of the factors to be addressed in the strategy. c. Risk assessment: where provided, the risk register should be reviewed to understand if the bidder/proposer has adequately identified the types of ESHS risks that may occur, and has proposed appropriate measures for managing the risks. d. Construction Schedule, Site Organization, Method Statement for key construction activities Work program: other parts of the technical proposal may include ancillary information useful to the ESHS evaluation. The Borrower should consider the alignment of all parts of the technical proposal during the review, for example, that the key personnel are available to meet the construction schedule; the MSIPs protection measures are reflected in the site organization. Bid/Proposal Evaluation Report The findings of the evaluation of bids, including the ESHS evaluation, should be described by the Borrower in a bid/proposal evaluation report. The bid/proposal evaluation report may highlight issues or aspects where bids/proposals could be further enhanced to better align with the requirements. With respect to works contracts, there are two processes which may be used to achieve this alignment, namely pre-contract discussion, or negotiations (if needed followed by pre-contract discussions). Both processes provide an opportunity for the Borrower to discuss with the contractor the proposals for managing ESHS risks and impacts until the Borrower is satisfied that the appropriate processes have been identified and will be put in place. Pre-contract discussions normally involve clarifications of a minor nature, whereas negotiations are more comprehensive, and may involve improvement of the bid/proposal to the extent that there may be changes in the contract price. The Borrower s ESHS team should use professional judgement 29

40 regarding the nature and extent of the ESHS deviations, to advise if they could be addressed through pre-contract discussions or negotiations. With respect to Contract Managers, negotiation is part of the selection process and pre-contract discussions do not apply. Pre-contract discussion When a bidder/proposer has been recommended for contract award, it is good practice to clarify key issues or aspects during the pre-contract discussions, to minimize any misunderstandings during contract execution. If there are ESHS issues or aspects to be discussed, the Borrowers ESHS team should be closely involved to ensure the discussions are focused and informed on the interventions necessary to satisfactorily resolve the issues. The pre-contract discussions should be recorded in minutes of meeting which shall form part of the contract documents. In addition, it may be agreed that the recommended bidder/proposer may modify ESHS aspects (for example, updated CoC, clarified MSIP) of their bid/proposal which will also be part of the contract. Negotiations For selection of Contract Managers, and if the works procurement documents specify it, negotiations may apply. The negotiations will initially be held with the preferred bidder/proposer/consultant, but if unsuccessful it may be repeated with the next preferred bidder/proposer/consultant and so on until a satisfactory outcome is achieved. Negotiations may include ESHS issues that have been identified in the bid/proposal evaluation report that require improvement to an acceptable level. The Borrower s ESHS team should be involved in these negotiations. During the negotiations, the Borrower may request the recommended bidder/proposer to modify ESHS aspects of its bid/proposal. This may include additional or modified MSIPs or ESHS management processes or a strengthened CoC/implementation mechanism. The negotiations should be recorded in minutes of meeting which along with the agreed modified documents, shall form part of the contract. Contract Documents Following the evaluation and pre-contract award discussions/negotiations the Borrower s ESHS team should ensure that all relevant documents (such as including MSIP, CoC, ESHS requirements/specifications, technical proposal) are included as part of the contract documents. Contract Award All bidders/proposers (that have not already been notified that they are unsuccessful) will be notified by the Borrower of the intention to award the contract to the recommended bidder/proposer. This initiates a standstill of not less than 10 days, prior to contract signature. The contract only becomes effective (for works, referred to as Commencement Date) once all the pre-conditions listed in the contract (for example performance security, advanced payment, site handover) have been met. Only when contract becomes effective can the physical works start. 30

41 Bank s review of evaluation report When prior review is specified in the Procurement Plan, the Bank s team should review the Borrower s evaluation report, award recommendation and draft contract (as applicable) and provide a no objection before the Borrower proceeds to the next step. The review considers whether the Borrower s evaluation has been conducted in accordance with the provisions and requirements set out in the procurement documents. Stage 4 summary At the end of Stage 4, the Borrower will have: 1. involved suitably qualified and experienced ESHS specialists in the evaluation; 2. evaluated the proposals/bids and selected the Most Advantageous Proposal/Bid; 3. identified any issues or aspects to be clarified or improved; 4. discussed and agreed with the recommended bidder/proposer the ESHS aspects such that the Borrower is confident that the bidder/proposer has a good understanding of the ESHS requirements; and 5. finalized the contract document. At the end of Stage 4, the Bank would have provided its no objection as applicable 31

42 Annex 1: Key steps for incorporating ESHS Guidance - Improving ESHS outcomes in civil Works contracts requirements into procurement process for civil works Annex 1: Key steps for incorporating ESHS requirements into procurement process for civil works The following are the key steps for incorporating ESHS requirements into the procurement process for civil works (without pre-qualification). The main text of this guidance should be consulted for detailed advice on each of the steps. 1. Borrower undertakes PPSD and prepares a Procurement Plan to assess and understand market issues relating to ESHS issues. At this stage, consideration is given to using the national procurement procedures or applying the Bank s SPDs; 2. Bank reviews proposed national procurement documents (as necessary) and confirms any ESHS measures necessary for them to be acceptable to the Bank; 3. Bank reviews and approves the Procurement Plan; 4. Borrower prepares the procurement documents, considering the ESHS risks and impacts identified during project preparation. Key actions for the Borrower are to: a) Develop the ESHS Policy/Statement applicable for the Contract; b) Identify and specify the minimum content for the contractor s CoC; c) Review and extract the pertinent ESHS mitigation/requirements from ESIA, ESMP, RAP, Permits, Consents, and/or other preparation documents that are to be delivered by the contractor, and prepare a Specification that will obligate the contractor to meet these requirements; d) Identify the MSIPs and/or other ESHS information required to be submitted as part of the Proposal; e) Set out the minimum ESHS skills and experience needed on the contractor s staff (key personnel); f) Review and finalize the reporting metrics for progress reporting; g) Specify the minimum ESHS experience needed for Qualification; h) Clarify if an ESHS Performance Security is required and, if so, what percentage should be specified; i) Include specific ESHS deliverables, if required, as line items for pricing; 5. Bank provides no objection (when necessary); 6. Borrower invites bids on the finalized procurement documents; 7. Borrower reviews bids, considering: a) ESHS Declaration of past performance; b) Substantive responsiveness of the MSIPs, CoC and method statement; c) Substantive responsiveness of the proposed ESHS personnel; d) Appropriate pricing of any ESHS line items; 8. Borrower assesses if the recommended bidder meets the qualification requirements; 9. When necessary, the Borrower prepares and submits a bid evaluation report to Bank, for no objection; 10. Borrower takes pre-contract steps (e.g. negotiations; pre-contract discussions) required by the applicable procurement documents; 11. As required, Borrower submits the contract package for Bank s review and no objection. 32

43 Annex 2: Typical structure of Standard Procurement Documents Guidance - Improving ESHS outcomes in civil Works contracts Annex 2: Typical structure of Standard Procurement Documents The SPDs follow a standard format, with variations to accommodate: 1. different categories of procurement: e.g. Small Works, Works or Design and Build 2. different selection methods: e.g. Request for Bids (RFB) or Request for Proposals (RFP) 3. different procurement process options: e.g. one-envelope or two-envelope. This annex presents a typical structure for a SPD for Works. PART 1 - BIDDING PROCEDURES Section I - Instructions to Bidders (ITB) The Instructions to Bidders (ITB) is standard text which explains the procedures that govern the submission and evaluation of Bids, and the award of the contract. The text in this section must not be modified by the Borrower. Section II - Bid Data Sheet (BDS) This section supplements the ITB. It contains the specific information and procedures that will apply to the procurement. In this section, the Borrower may, complement, supplement, or amend the provisions in the Instructions to Bidders (ITB). Whenever there is a conflict, the provisions in the BDS prevail over those in ITB. Section III - Evaluation and Qualification Criteria This section specifies the criteria and methodology to determine the Most Advantageous Bid. It helps Bidders to prepare Bids that meet the Borrower s requirements by providing the appropriate information, in the right level of detail. Section IV - Bidding Forms This Section contains the templates that the bidder is to complete, when preparing its Bid, e.g. the MSIPs, CoC, ESHS declaration, and key personnel. This guides Bidders on the form and content of the information to be provided. It also helps the Borrower evaluate Bids as information from all Bidders is provided with a degree of uniformity. Section V - Eligible Countries This Section states the names of in-eligible countries, if any. Section VI - Fraud and Corruption This section includes the Bank s Fraud and Corruption provisions which apply to the bidding process and should not be modified. 33

44 PART 2 - WORKS REQUIREMENTS Section VII - Works Requirements This Section is where the scope of the Works and specifications are provided. It includes the environmental, social, health and safety requirements. It may include standard (general) specifications, as well as drawings or Works specific specifications. PART 3 CONDITIONS OF CONTRACT AND CONTRACT FORMS Section VIII - General Conditions of Contract This Section contains the general clauses to be applied in all contracts. The text of the clauses in this Section shall not be modified. The ESHS metrics for regular progress reporting is included as an appendix and may be modified by the Borrower as appropriate for the contract. Section IX - Particular Conditions of Contract This Section consists of Part A, Contract Data, which contains data, and Part B, Specific Provisions, which contains clauses specific to each contract. The contents of this Section supplement the General Conditions. Whenever there is a conflict, the provisions herein shall prevail over those in the GC. Section X - Contract Forms This Section contains the Letter of Acceptance, Contract Agreement and other relevant forms. 34

45 Guidance - Improving ESHS outcomes in civil Works contracts Annex 3: ESHS provisions in Standard Procurement Documents Annex 3: ESHS provisions in Standard Procurement Documents This table lists the sections of the Bank s Standard Procurement Documents where the ESHS provisions are included. ESHS requirement Borrower s ESHS Policy/Statement Contractor s/ Contract Manager s Code of Conduct Reporting Requirements: Immediate Notification ESHS declaration Standard Procurement Document (October 2017) Works Small Works OPBRC Design and Build Design, Build and Operate Section VII Section VII Section VII Section VII Works Specifications: Employer s Employer s Requirements: Environmental, Requirements: Requirements: Environmental, Social, Health Environmental, Environmental, Social, Health and Safety Social, Health Social, Health and Safety Requirements and Safety and Safety Requirements Requirements Requirements Section VII Works Requirements: Environmental, Social, Health and Safety Requirements Section II Bid Data Sheet: ITB 11.1 (h); Section IV Bidding Forms; Section VII Works Requirements: Environmental, Social, Health and Safety Requirements. Section IX PCC: 4.21 Section III Evaluation and Section II Bid Data Sheet: ITB 11.1 (i); Section IV Bidding Forms; Section VII Works Requirements: Environmental, Social, Health and Safety Requirements. Section IX PCC: 26.2 Section III Evaluation and Section II Bid Data Sheet: ITB 11.1 (h); Section IV Bidding Forms; Section VII Specification: Environmental, Social, Health and Safety Requirements. Section IX PCC: 17.3 Section III Evaluation and Section I Instruction to Proposers: ITP 15.4; Section IV Proposal Forms; Section VII Employer s Requirements: Environmental, Social, Health and Safety Requirements. Section IX PCC: 4.21 Section IV Proposal Forms Section I Instruction to Proposers: ITP 15.4; Section IV Proposal Forms; Section VII Employer s Requirements: Environmental, Social, Health and Safety Requirements. Section IX PC: 4.21 Section IV Proposal Forms Consulting Services Section 7 Terms of Reference Section 3 Technical Proposal: Standard Forms; Section 7 Terms of Reference Section 7 Terms of Reference n/a 35

46 ESHS requirement Key Personnel Specification MSIPs Provisional Sum Reporting Requirements: Progress Reports Standard Procurement Document (October 2017) Works Small Works OPBRC Design and Build Design, Build and Operate Qualification Qualification Criteria: 2.5; Criteria: 2.5; Section IV Section IV Bidding Forms Bidding Forms Qualification Criteria: 2.5; Section IV Bidding Forms (without prequalification) Section III Evaluation and Qualification Criteria; Section IV Bidding Forms Section VII Works Requirements: Environmental, Social, Health and Safety Requirements. Section II: Bid Data Sheet ITB 11.1 (h); Section IV-Biding Forms Section IV Bidding Forms Section VII Works Requirement Section VIII GCC Appendix C: ESHS Section III Evaluation and Qualification Criteria; Section IV Bidding Forms Section VII Works Requirements: Environmental, Social, Health and Safety Requirements. Section II: Bid Data Sheet ITB 11.1 (i); Section IV- Biding Forms Section IV Bidding Forms Section VII Works Requirement Section VIII GCC Appendix C: ESHS Metrics Section III Evaluation and Qualification Criteria; Section IV Bidding Forms Section VII Specification: Environmental, Social, Health and Safety Requirements. Section II: Bid Data Sheet ITB 11.1 (h); Section IV- Biding Forms Section IV Bidding Forms Section VII Specifications Section VIII GCC Appendix B: ESHS Metrics Section III Evaluation and Qualification Criteria; Section IV Proposal Forms Section VII Employer s Requirements: Environmental, Social, Health and Safety Requirements Section III Evaluation and Qualification Criteria; Section IV Proposal Forms Section VII Employer s Requirements: Environmental, Social, Health and Safety Requirements n/a n/a n/a Section IV Proposal Forms; Section VII Employer s Requirement Section VIII GC Appendix C: ESHS Metrics Section IV Proposal Forms; Section VII Employer s Requirement Section VIII GC Appendix C: ESHS Metrics Consulting Services Section 7 Terms of Reference (Key Experts) Section 7 Terms of Reference n/a Section 7 Terms of Reference 36

47 ESHS requirement ESHS Performance Security Standard Procurement Document (October 2017) Works Small Works OPBRC Design and Build Design, Build and Operate for Progress for Progress for Progress for Progress Reports; Reports; Reports; Reports; Section IX: PCC Section IX: PCC Section IX: PCC Section IX: PC Metrics for Progress Reports; Section IX: PCC 4.21 Section II: Bid Data Sheet ITB 48.1 and 48.2; Section IX PCC 4.2; Section II: Bid Data Sheet ITB 48.1 and 48.2; Section IX PCC 50.1; Section II: Bid Data Sheet ITB 47.1 and 47.2; Section IX PCC and ; Section II: Proposal Data Sheet ITB 65.1 and 65.2; Section IX PCC 4.2; Section II: Proposal Data Sheet ITB 65.1 and 65.2; Section IX PCC 4.2; n/a Consulting Services 37

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49 For additional information about the World Bank Procurement Framework, including Standard Procurement Documents (SPDs), Guidance, briefing, training and e-learning materials see