Subject: Support to Public Health Engineering Department
SWASTH/BTAST/2014-08/45 08/45 Date: Oct 08, 2014 Subject: Support to Public Health Engineering Department (PHED PHED), Govt. of Bihar for Strengthening of Accounting TENDER NO: SWASTH/BTAST/2014-08/45 SWASTH/BTAST/2014 Dear Sir/Madam, CARE India, Infrastructure Professionals Enterprise (P) Ltd., India (IPE Global Global) and Options Consulting Services Ltd., UK on behalf of the Department for International Development (DFID) supported Sector Wise Approach to Strengthening Health (SWASTH)- Bihar Technical Assistance Support Team (BTAST) are pleased to invite to invite proposal from C & AG empanelled Chartered Accountants firms meeting the minimum inimum eligibility criteria for providing their services for the above work in accordance with this Invitation to Tender (ITT) package. 1. All information contained in this package should be treated as commercially confidential and you are required to limit dissemination on a need-to-know need basis. 2. This ITT package consists of the following documents: i. ITT Instructions including Proformas 1-3 1 ii. Terms of Reference for the assignment; iii. Draft Contract Documents comprising of: 3. Section 1 Form of Contract Section 2 General Conditions of Contract Section 3 Terms of Reference/Scope of Work Section 4 Special Conditions (to be finalised later) Section 5 Schedule of Prices (to be finalised later) Section 6 Format of Invoice If you intend to submit a tender you must send an acknowledgement, by letter fax or email ([email protected]), ( within 4 days quoting the contract title and number. (If If interested, agencies are encouraged to send an acknowledgement by letter, fax or email([email protected] [email protected])) in the format quoting the contract title and number within 4 days. Those who have not sent an acknowledgment, can also submit their bids on or before the closing date date.) SWASTH/BTAST/2014-08/45 08/45 4. CARE/IPE/Options will endeavour to make available all relevant information in the ITT. Should you need any further information or clarification during the tender period you must contact only the Contract Officer named below. On no account should the Tenderers communicate directly with any other CARE/IPE/Options personnel or officials of the DOHFW &/BTAST. Failure to comply with this requirement may result in the disqualification disqualification of your organisation from this competition. 5. No queries will be accepted after October 20, 2014.. Therefore any requests should be submitted at the earliest by letter/fax or email. To ensure equity, where appropriate, CARE/IPE/Options response will be notified to all Tenderers without disclosure of the initiator. 6. A Pre-bid meeting will be held on October 21, 2014, at 15:00 hrs at : Bihar Technical Assistance & Support Team (BTAST) IInd Floor, 10,, IAS Colony, Kidwai Puri Patna, Bihar, 800001 Ph. No. +91-612-2535577, 2535577, 2285674 7. Your particular attention is drawn to instructions on: a. Format for Technical Tenders: - Paragraphs 2-55 of the ITT Instructions b. Submission of proposal copy on CD: - (Paragraph 4.2 of the ITT instructions) c. Use of two-envelope envelope system for submission: submission - Paragraph 11 of ITT Instructions d. Conflict of Interest :- Clause 26 in the General Conditions onditions of Contract and Paragraph 12 in the ITT instructions e. Disclosures :–– Paragraph 13 in the ITT Instructions 8. Contracts shallll be awarded separately for each of the four zones of PHED. Only one technical bid shall be submitted, which shall be considered for award of contract along with the financial bid for each zones (Maximum 2 Zones per firm). Commercial Tender should specify the total amount in Indian Rupees (INR), giving details details/ break-up of Fees and Project expenses (as per paragraph 5 of ITT Instructions) separately for each zone (Maximum 2 Zone per firm), which the bidder may chose to respond. respond. The financial proposals proposal should be valid for acceptance for at least 6 months. 9. Decision with regard to Contract signing authority on behalf of the CARE/IPE/Options consortium would be taken at the time of award of the contract SWASTH/BTAST/2014-08/45 08/45 10. Two (2) hard copies of your Technical Tender ender along with soft copy (word format in a CD) and one hard copy of Commercial Tender (no soft copy) must be received by 1500 H Hrs on 31 October , 2014 at Kind Attention: Procurement Officer Bihar Technical Assistance & Support Team (BTAST) IInd Floor, 10,, IAS Colony, Kidwai Puri Patna, Bihar, 800001 Ph. No. +91-612-2535577, 2535577, 2285674 Tenders received after the due time and date will be returned unopened. 11. 12. Tenders for this contract will be assessed in accordance with Quality and Cost-based based selection (QCBS) method and will involve both technical and commercial evaluation with the following weightage: Technical Evaluation 70% Commercial Evaluation 30% The broad evaluation criteria, shall be as follows: CRITERIA MARKS Understanding of the assignment 10 Number of Full time Partners 10 The agency has relevant Experience and successful Completion of Projects of Similar Nature. 20 Turnover of the firm (Average annual in last three financial yrs.) Adequacy and appropriateness of the proposed methodology and work plan Key professional staff, qualification and competence for the assignment TOTAL 10 25 25 100 SWASTH/BTAST/2014-08/45 08/45 13. Financial proposal of only those firms receiving minimum of 60 marks out of the maximum 100 in technical evaluation will be opened. The financial proposals of those firms who don’t qualify in technical evaluation will be returned unopened. 14. Short-listed listed firms may be requested to make a presentation, if required. 15. The organisations invited to submit a tender are expected to adhere to the General Conditions of Contract which are attached. Yours faithfully, Procurement Officer Bihar Technical Assistance & Support Team (BTAST) IInd Floor, 10,, IAS Colony, Kidwai Puri Patna, Bihar, 800001 2535577, 2285674 Ph. No. +91-612-2535577, SWASTH/BTAST/2014-08/45 08/45 Letter of Acknowledgment (to be returned on Company headed paper) To, Procurement Officer Bihar Technical Assistance & Support Team (BTAST) IInd Floor, 10,, IAS Colony, Kidwai Puri Patna, Bihar, 800001 2535577, 2285674 2285674; Ph. No. +91-612-2535577, Date: Dear Madam, CONTRACT: CONTRACT NO: We acknowledge receipt of the documents listed in your Invitation to Submit a Proposal package for the above project. We confirm that we will submit a proposal for the above contract by [Proposal a. due date; see Covering Letter] in accordance with the "Form of Proposal" and the specified requirements. b. We do not wish to submit a proposal and therefore return the total Invitation to Submit a Proposal package with this letter. Yours faithfully Name: Position: SWASTH/BTAST/2014-08/45 08/45 INVITATION TO TENDER INSTRUCTIONS SWASTH/BTAST/2014-08/45 08/45 CONTENTS INTRODUCTION 1. General INSTRUCTIONS FOR SUBMITTING A TENDER 2. Format of Your Tender 3. Part A Executive Summary 4. Part B General & Technical Aspects 5. Part C Commercial Tender 6. Nominated Personnel 7. Government Tax 8. Alterations to Tenders 9. Declaration to Accompany Tenders 10. Packaging & Delivery of Tenders OTHER INFORMATION 11. Conflict of Interest 12. Disclosures 13. Joint Venture Tenders 14. CARE/IPE/Options Treatment of Your Tender SWASTH/BTAST/2014-08/45 08/45 INTRODUCTION 1. General 1.1. This Invitation to Tender (ITT) and in particular the Instructions for Submitting a Tender are designed to help you produce a tender that is acceptable to CARE/Infrastructure Infrastructure Professionals Enterprise (P) Ltd.& Ltd Options, in accordance with the requirements of the Department for International Development (DFID) for contracting and procurement of consultants. It is essential, therefore, that you provide the information requested in the specific format. 1.2. The instructions should ld be read in conjunction with information specific to the Project contained in the covering letter and in the accompanying documents. 1.3. CARE/IPE/Options is not bound to accept the lowest, or any, tender. We also reserve the right to request any, or all, of the Tenderers to meet with us to clarify their tender. INSTRUCTIONS FOR SUBMITTING YOUR TENDER 2. A. Format of Your Tender 2.1. Your tender should be submitted in English and be set out in three main parts • Part A - Executive Summary • Part B - General and Technical • Part C – Commercial Bid (to be submitted separately for each zone) 2.2. Parts A & B may be bound together but part C must be bound separately to enable technical and commercial tenders to be evaluated independently. Please do not include any price information in Part A or B. No publicity material is required. 3. Part A – Executive Summary 3.1. This should be a brief overview of your tender covering how you intend to achieve the outputs and your assessment of the resources required. 4. Part B – General and Technical Tender 4.1. Your General and Technical Tender should be structured in following sections: i. Section 1 Any Qualification to Terms of Reference ii. Section 2 Details of Firm and Partners (Form No. 1) SWASTH/BTAST/2014-08/45 08/45 iii. Section 3 Details of Qualified and semi-qualified semi qualified staff engaged by th the firm (Form no 2 and 3) without any reference to fees. iv. Section 4 Description of Approach & Work Plan (Form No 4) v. Section 5 Previous experience of the firm in similar types of assignments completed during last 5 years (please indicate name of assignment, name/address of employer, date of award of assignment, date of completion of assignment, value of the assignment and role of your firm viz. prime consultant, sub-consultant, sub consortium member etc.) (Form No 5) vi. Section 6 Matters not appropriate in any other appendix, e.g. Joint Ventures, Disclosures, Conflict of Interest etc. 4.2. Please also submit hard copies cop (2 nos.) and a CD containing the soft copy of your General and Technical Tender in MS-Word ord format (to be submitted in the same envelope). 5. Part C – Commercial Tender 5.1. All prices should be for the entire duration of the contract. Your Commercial Tender der should be structured in following Sections. i. Section 1 Confirmation of acceptance of CARE/IPE’s/Options IPE’s/Options Conditions of Contract ii. Section 2 Pricing, g, using Form No. 6, 7 & 8 on fees and expenses basis iii. Section 3 A list of the names and designation of all nominated personnel proposed to work on this project 5.2. Please also submit hard copy (1 no.) of your Commercial Tender (to be submitted in the same envelope). No soft copy should be submitted. 5.3. There are 4 zones in PHED in Bihar. Separate contract for each zone shall be awarded. A firm may submit commercial bid for one or more zone. 5.4. As number of units/ offices in each zone differs, the bidders are advised to make sure their financial bid is appropriate and based on the number of units existing in the zone. 6. Nominated Personnel 6.1. You must: a) confirm that all personnel will be available to provide the required services for the duration of the contract SWASTH/BTAST/2014-08/45 08/45 b) confirm that you will ensure that the personnel nominated and personnel hired for the assignment will exclusively spend adequate number of hours/ days, as detailed in the scope of work, on the assignment c) give the name of their empl employer or state if self-employed employed if any of the personnel is not a member of the Tenderer’s staff d) obtain prior written agreement from CARE/IPE/Options/DFID/DoHFW DoHFW, Govt. of Bihar,, via the Contract Officer, before nominating a member of DoHFW, GoB/DFID/ /DFID/CARE/IPE/Options staff who is in service, or on leave of absence, or has been a staff member of PHED, GoB/DFID /CARE/ CARE/ IPE/ Options within the past 2 years e) if nominating an ex ex-PHED, GoB employee who has left the service within the past 2 years, include a letter le from the PHED, GoB, granting permission for them to undertake the services 7. Government Tax 7.1. Tenders are responsible for establishing the status of the Services for the purpose of any government tax applicable in India. Any applicable taxes should be shown on pro forma 3, Summary of Fee Rates and Expenses. 8. Alterations to Tenders 8.1. Any manuscript or other alteration to the tender must be countersigned and dated by the person submitting the tender. The Tenderer must not alter the ITT documents. 9. Letters and Declaration to Accompany Tenders 9.1. Your Tender must be accompanied ac by a letter on Firm’s letter head showing the full registered and trading name(s), trading and registered office address of the Tenderer and, the place of registered office. It should be signed gned by a person of suitable authority to commit the Tenderers to a binding contract. You must quote the Contract Title, Contract Number and include the following declarations: 1 2 3 We have examined the information provided in your Invitation to Tender (ITT) and offer to undertake the work described in accordance with requirements as set out in the ITT. This tender is valid for acceptance for 6 months and we confirm that this tender will remain binding upon us and may be accepted by you at any time before this expiry date. (if applicable) This tender is a Joint Venture with [ agreement is enclosed. ]. A copy of the We accept that any contract that may result will a) comprise the SWASTH/BTAST/2014-08/45 08/45 contract documents issued with the ITT and be based upon the documents submitted as part of our tender. 4 (if applicable) Certain information included in this tender would if disclosed prejudice our commercial interests. The particular information together with an explanation, and the period this information sho should be withheld, is attached to this letter. 5 The Tender (Commercial & Technical) has been arrived at independently and without consultation, communication, agreement or understanding (for the purpose of restricting competition) with any other supplier invited to tender for this contract. 6 We understand the obligations in Paragraph 13 of the ITT instructions and have included any necessary declarations. 7 We confirm that all personnel and/or sub sub-contractors contractors named in the tender will be available to undertake the services. 8 We agree to bear all costs incurred by us in connection with the preparation and submission of this Tender and to bear any further pre precontract costs. 9 I confirm that I have the authority of [name of organisation] to submit tenders and to clarify any details on its behalf. 10. Packaging and Delivery of Tenders 10.1. Technical Tenders TWO copies and Commercial Tender ONE copy must be sealed, and clearly labelled with the following: • • • • Contract Title Contract Reference Number Tender Due Date Tenderer’s Name and should be addressed to the Procurement Officer.. The envelopes should be clearly marked as TECHNICAL TENDER and COMMERCIAL TENDER. Both the Technical Tender and Commercial Tender should be kept in ONE out outer envelope, and must be sealed and clearly labelled with the following: • • • • Contract Title Contract Reference Number Tender Due Date Tenderer’s Name SWASTH/BTAST/2014-08/45 08/45 Tenders must be received at Procurement Officer Bihar Technical Assistance & Support Team (BTAST) IInd Floor, 10,, IAS Colony, Kidwai Puri Patna, Bihar, 800001 Ph. No. +91-612-2535577, 2535577, 2285674 For the attention of Procurement Officer by 1500 Hrs on October 31, 2014 (Indian Standard Time). Late tenders will not be accepted in any circumstance and will be returned unopened. No special pleadings will be accepted. Faxed or e-mailed mailed tenders will not be accepted. 10.2. CARE/IPE/Options accept no responsibility for the premature opening of any incorrectly tly marked Tenders. OTHER INFORMATION 11. Conflict of Interest 11.1. Tenderers must disclose in their Tender details of any circumstances, including personal, financial and business activities that will, or might, give rise to a conflict of interest; this includes any sub-contractor, contractor, if they were awarded this contract. Where Tenderers identify any potential conflicts they should state how they intend to avoid such conflicts. CARE/IPE/Options reserves the right to reject any Tender which, in CARE/IPE’s/Options opinion, gives rise, or could potentially give rise to, a conflict of interest. 12. Disclosures 12.1. The Tenderer must disclose: a) If they • are or have been the subject of any proceedings or other arrangements relating to bankruptcy, insolvency or the financial standing ing of the Tenderer including but not limited to the appointment of any officer such as a receiver in relation to the Tenderer’s personal or business matters or an arrangement with creditors or of any other similar proceedings. b) If they or any of the Tenderer’s Tender sub-contractors contractors have been convicted of, or are the subject of any proceedings, relating to: • a criminal offence or other offence, a serious offence involving the activities of a criminal organisation or found by any regulator or professional body to have have committed professional misconduct. SWASTH/BTAST/2014-08/45 08/45 • corruption including the offer or receipt of any inducement of any kind in relation to obtaining any contract, with DFID/CARE/IPE/Options, IPE/Options, or any other donor of development funding, or any contracting authority. • failure e to fulfil any obligations in any jurisdiction relating to the payment of taxes or social security contributions. c) If they or any of the Tenderer’s sub-contractors: sub • are, or have reason to believe they may have been, or are subject of any proceedings, that may be listed by the World Bank in its ‘Listing of Ineligible Firms’ or ‘Listings of Firms, Letters of Reprimand’ posted at www.worldbank.org or on any similar list maintained by any other donor of developing funding, funding or any contracting authority. 12.2. Disclosure extends to any company in the same group of the Tenderer (including but not limited to parent subsidiary and sister companies, and companies with common shareholders whether direct or indirect and parties with whom m the Tenderer is associated in respect of this tender). 12.3. If a Tenderer or related company or any individual discloses details of any previous misconduct or complaint, CARE/IPE/Options will seek an explanation and background details from them. At the sole discretion d of CARE/IPE/Options an assessment as to whether the Tenderer will be allowed to submit a tender, will then be made. 13. Joint Venture (or other form of association) Tenders 13.1. Where the Tender is submitted by the Tenderers in conjunction with one or more ore associates then, in the absence of a Joint venture agreement the ‘Associate’ shall be deemed to be a sub-contractor sub contractor to the Tenderers and shall not be a party to the contract. 13.2. Tenders submitted by potential Joint Venture partnerships must include in the Tender documents a “Letter of Intent to form a Joint Venture” in the event of being successful and: a) be signed by a duly authorised representative of each partner with details of each signatory provided in print below each signature b) include an express prov provision ision that each partner is jointly and severally liable in respect of the Tenderer’s obligations c) provide details of the name of the partner nominated to act as manager of the Joint Venture and who is authorized to act for the Joint Venture in terms of committing itting it to any obligations and liabilities and to receive and act upon instructions from CARE/IPE/Options and to make and receive payments SWASTH/BTAST/2014-08/45 08/45 d) state full details of the proposed structure; the division of technical responsibilities between the partners and intended intended capitalisation 14. CARE/IPE/Options Treatment of Your Tender 14.1. CARE/IPE/Options are committed to ensuring Value for Money* in complex procurements. Therefore, when you submit a tender, we will a) ensure tenders are registered upon receipt and held securely until after the deadline for receipt of tenders b) witness the opening of all tenders after the time and deadline for receipt of tenders and separately register the commercial details of each tender c) return, unopened, any tenders received after the deadline of receipt of tenders d) disqualify any non-compliant non compliant tenders (i.e. tenders failing to meet the terms of these instructions) received. The commercial details of such tenders will be recorded and marked as disqualified e) ensure that all tenders are evaluated objectively, objectively, in line with the evaluation criteria specified in the covering letter f) following evaluation, inform the Tenderers within 10 working days of the decision being made g) following evaluation, provide feedback to each Tenderer within 15 calendar days off written request and within the bounds of confidentiality * Value for money is defined as the optimum combination of whole-life whole life cost and quality to meet requirements SWASTH/BTAST/2014-08/45 08/45 Form No. - 1 Particulars/Details of the Firm Sl. No. 1 2 PARTICULARS Name of the Firm Addresses of the Firm: Head Office Supporting Documents required to be submitted along with this Form Phone No: Fax No: Mobile No. of Head Office In-charge: charge: Date of establishment of the firm Branch Office 1,2,3…… (Particulars of each branch to be given) 3 4 5 6 7 8 9 10 Mention the date of each branch offices since when existed at the existing place Firm Income Tax PAN No. Firm Service Tax Registration No. Firm’s Registration No. with ICAI Empanelment No. with C & A G No. of Years of Firm Existence & Date of establishment of Firm Turnover of the Firm in last three years Audit Experience of the Firm: 1. Number of Assignments in Commercial/Statutory Audit 2. Number of Assignments in State’ Social Sector Audits (Other than audit of Charitable Institutions) 3. Experience in the relevant assignment. Details of Partners: Provide following details: • Number of Full Time Fellow Partners associated with the firm. • Name of each partner, • Date of becoming ACA and FCA • Date of joining the firm, • Membership No., • Qualification Phone No: Fax No: Mobile of each Branch Office In In-charge: Attach copy of PAN card Attach copy of Registration Attach proof of latest empanelment with C&AG for the year under Audit. Attach copy of Partnership Deed Attach balance sheet and P&L Account of the last three years or a C.A. Certificate give Break-up up of Audit Fee and Other Fees Received. Copy of the Offer Letter & the Fee Charged. Copy of the Offer Letter & the th Fee Charged (Relevant evidences to be given of the turnover and fee) Attested copy of Certificate rtificate of ICAI as on 1.1.2014. SWASTH/BTAST/2014-08/45 08/45 • Experience • Whether the partners is engaged full time or part time with the firm. • Their Contact Mobile No., email and full Address 11 If applying in Joint venture, then indicate the Lead Auditor in the Joint Venture. Letter jointly signed by all the firms participating in Joint venture whereby they have agreed for the Lead Auditor. SWASTH/BTAST/2014-08/45 08/45 Form No. - 2 Details of Qualified Staff (Chartered Accountants) (Please provide a self attested copy of Certificate of ICAI for each qualified staff) S. No. Name of Staff Length of Association with the Firm (in years) Educational Qualifications Area of Key Expertise Membership No. Relevant Experience 1 2 3 4 Form No. - 3 Details of Semi-qualified qualified Staff (including Article Clerks etc) S. No. Name of Staff Semi Qualified Staffs: 1 2 .. Article Clerks: 1 2 .. Others 1 2 .. Length of Association with the Firm (in years) Educational Qualifications Area of Key Expertise Relevant Experience Remarks SWASTH/BTAST/2014-08/45 08/45 Form No. - 4 Description of Approach & Work Plan for performing the assignment A. Technical Approach : The firm should explain the understanding the objectives of the assignments, approach to the services, methodology for the carrying out the activities and obtaining the expected output, and the degree of the detail of such output. B. Work Plan alongwith the time required for each work/ assignment The firm should propose the main activities of the assignment, their content and duration, phasing and inter-relations, milestones and delivery dates of the reports. The proposed work plan should be consistent with the technical approach showing understanding of the TOR and ability to translate them in to a feasible working plan. SWASTH/BTAST/2014-08/45 08/45 Form No. - 5 Brief of Relevant Experience: S. No. Name of the Auditee Organization Type/Nature of Assignment Scope & Coverage of the assignment Duration of Completion of Assignment Note: The Firm may be asked to provide copy of letter of allotment of all work listed above SWASTH/BTAST/2014-08/45 08/45 FINANCIAL BID (Please submit financial bid for each zone separately) (Please note that number of offices/ units in each zone is different) Form No - 6 Tender for (Name of Zone): TENDER NUMBER: PERSONNEL COST AND FEE RATES NAME/ DESIGNATION EMPLOYMENT STATUS (Existing/ Hired for the assignment) assignment)* DESCRIPTION / POSITION No of DAYS/ MONTH S FEE RATE (INR) AMOUNT (INR) * Full time employee / project resource Guidance on Fees and Expenses can be found in Paragraphs 15& 16 respectively in Section 2 of the General Conditions. Important Note: Number of units in Patna and Muzaffarpur zone is 13 each, while Purnia and Bhagalpur have 7 and 9 units unit respectively. SWASTH/BTAST/2014-08/45 08/45 FINANCIAL BID (Please submit financial bid for each zone separately) (Please note that number of offices/ units in each zone is different) Form No - 7 Tender for (Name of Zone): TENDER NUMBER: PROJECT EXPENSES Costs should be shown separately in the format set out below using separate sheets to provide full details under each heading. Government taxes, if applicable, should be shown separately on the Summary in pro forma 3. Projected reimbursable costs should be shown separately in the the format set out below using separate sheets to provide full details under each heading. Unit prices should be quoted for such items as air fares (stating the class of fare envisaged), subsistence, property rents and local transport (where this is to be provided by the Proposers). NO Cost of Assets: a. Desktop computer b. UPS c. Printer d. Cost of Tally Software Sub Total Cost of communication: a. Internet Dongle b. Recurring internet cost c. Communication and postage DOCUMENTATION AND including computing expenses REPORTING Cost of Training: a. To manpower hired b. To PHED accounts staff on Tally and computers Sub Total Cost of Travelling: RATE COST (Rs) SWASTH/BTAST/2014-08/45 08/45 FARES Accommodation Fooding during travel Vehicle Rental for Local Travel Sub Total Agency overhead ANY OTHER (Specify) a. b. c. Sub Total TOTAL PROJECTED REIMBURSABLE COSTS: (B) Rs #CARE/IPE/Options will not reimburse costs for normal tools of trade (e.g. portable personal computers) Important Note: Number of units in Patna and Muzaffarpur Muzaffarpur zone is 13 each, while Purnia and Bhagalpur have 7 and 9 units respectively. SWASTH/BTAST/2014-08/45 08/45 FINANCIAL BID (Please submit financial bid for each zone separately) (Please note that number of offices/ units in each zone is different) Form No - 8 Tender for (Name of Zone): TENDER NUMBER: SUMMARY OF FEE RATES AND EXPENSES PARTICULARS AMOUNT (INR) Total Fees (A) Total Project Expenses (B) Sub Total Service Tax TOTAL Total in words: Please note that CARE India policies do not allow advance payment to consultants. Important Note: Number of units in Patna and Muzaffarpur zone is 13 each, while Purnia and Bhagalpur have 7 and 9 units respectively. Signature of Authorized Person Name: Designation and seal: SWASTH/BTAST/2014-08/45 08/45 TERMS OF REFERENCE Page 24 of 45 SWASTH/BTAST/2014-08/45 08/45 Sector Wise Approach to Strengthening Health (SWASTH) Bihar Technical Assistance Support Team (BTAST) Terms of Reference for Accounting Support to Public Health Engineering Department, Government of Bihar Introduction Public Health Engineering Department (PHED), Bihar is the nodal department that plans, implements and maintains rural and urban drinking water supply and rural sanitation schemes. The department undertakes field investigation, survey, data collection, prep preparation, aration, execution and maintenance of schemes through its district level team. Various GoI programmes relating to drinking water and sanitation like, Accelerated Rural Water Supply Programme, Nirmal Bharat Abhiyan (NBA), Swajaldhara, National Rural Drinkin Drinkingg Water Programme (NRDWP), etc., are being implemented by the PHED either directly or through Bihar State Water and Sanitation Mission (BSWSM). PHED is also one of the three departments that is involved in implementation of the £ 145 million SWASTH programme, amme, funded by the Department for International Development (DfID), Government of the United Kingdom. The overarching goal of the programme is to ‘improve the health and nutrition status of the people of Bihar, particularly the poorest and the excluded, and nd thereby accelerate the state’s progress towards the Millennium Development Goals.’ The purpose of the programme is to ‘increase the use of quality, essential health, nutrition, water and sanitation services especially by the poorest people and excluded group’. The department has established a Reform Support Unit (RSU) to assist PHED in implementation of SWASTH programme and to handle DfID funds. Background and Situational Analysis Accounting system provides financial information about an organization, wherein the financial books of the organization are set up, maintained and audited. The accounting helps an organization to determine the earnings/ receipts and expenditures that have taken place. In addition to that, the accounting records are also proof proofss that such a transaction has taken place. The basic intention is to bring transparency in the transactions and to determine fields the expenditure can be decreased/ controlled. Funds for National Rural Drinking Water Programme (NRDWP) are received by PHED though the treasury route and for Nirmal Bharat Abhiyan through BSWSM. Accounting function of the NRDWP funds is carried out by the Divisional Accountants, who are appointed on deputation from the office of the Accountant General, Bihar. The accounts of BSWSM SWSM and other GoI programmes are carried out by the general Page 25 of 45 SWASTH/BTAST/2014-08/45 08/45 purpose clerks/ cashiers who are expected to follow the accounting and financial management system that are provided in the programmes guidelines for the GoI programmes. Audits carried out previously ously by CAG and also by the chartered accountants hired by the department, on the accounts of PHED, have assessed the accounting system to be very weak and have reported that there is problem of matching of receipts and expenditure in each fiscal year with h opening and closing cash/ bank balances. Further, the expenditure and payments are not properly analysed on regular basis and are not always accounted for in cash book under relevant heads. PHED has no internal audit department or Internal Auditor on board, boa to take care of the audit function and to ensure compliance of audit recommendations. At present, the accounting work of these programmes at the PHED headquarter is being carried out by general purpose clerks/cashiers. The accounting work at district offices of PHED are also carried out with inadequate staff strength. As most of the personnel involved do not have any formal education on accounting/ financial management, the quality of accounts and timeliness in maintenance of accounts has suffered. Field ld visit made to districts to assess the accounting in district offices revealed that the accounts are being maintained by general purpose clerks/ cashiers who do not have any formal education in accounting and they do not understand the intricacies of mod modern ern accounting. Though computers are available at the division offices, there is no dedicated computer for the ‘accounts department’ to carry out the accounting work. Further, none of the accountants in the district PHED office have any knowledge of compu computers. ters. The accounts staff will also have to be imparted training on basics of computer. Recommendations of Fiduciary Risk Assessment (FRA) Study: The Fiduciary Risk Assessment (FRA) study carried out recently by PricewaterhouseCoopers Private Limited (PwC) identified certain key risk while reviewing the programmes under PHED and BSWSM. The report highlights several anomalies/ deficiencies that were noticed in the accounting/ book-keeping keeping procedures followed by the department and the Mission. The key risks identified entified by PwC in the FRA report for PHED are: a. Deficiencies in book keeping and accounting practices , b. Weakness in planning and budgeting process, c. No internal audit, d. Low level of budget utilization, e. Absence of procurement plan, f. Staff vacancies, etc. Page 26 of 45 SWASTH/BTAST/2014-08/45 08/45 Almost all offices under the Mission (divisional or sub sub-divisional) divisional) follow single-entry single system of accounting for an NBA bank account which is against the guidelines. The PwC report has made several recommendations, which inter alia include: a. Introduction of a level of standardization in the accounting and book keeping practices at divisional and sub-divisional divisional level through development of financial management and procurement guidelines specific to the department. b. Introduction of Tally software for accounti accounting ng across all district offices of the Mission and discontinue manual book keeping by computerising all divisional accounts. c. Introduce decentralized planning and budgeting process and undertake capacity building of field staff. d. Fill vacancies of accounts p personnel in district. e. Introduce monthly bank reconciliation. f. Introduce Double Entry System of Accounting. g. Ensure timely submission of progress reports. h. Strengthen internal audit function and setting up of an Internal Audit Cell in the department. The Plan In view of the situation prevailing in PHED, the department needs support in introduction of ‘Double Entry System of Accounting’ (DESA), Tally implementation and capacity building of its accounts staff. To achieve this, it is proposed to hire services of C Chartered hartered Accountant firms to help the department in strengthening of accounting. a. Objective of Assignment Global Objective: To provide assistance over a period till March 2016 to each zonal unit of PHED in introduction of Tally accounting software and impl implementing ementing DESA and preparation of year-end year financial statements; sustaining the new DESA including all subsidiary books as per the guidelines issued by GoI / GoB from time to time. Specific Objectives: The assistance would be provided by chartered accounta accountant nt firms/ consultants that would be selected and appointed for the purpose. The CA firms would provide support to the accounting staff positioned at division offices of PHED, which would include updating books of accounts, maintaining all registers properl properlyy (including fixed assets and inventory registers), maintain source documents, prepare MIS reports, preparation of budgets (including outcome budgeting), take appropriate remedial actions in respect of audit paras relating to accounts and preparing the year-end end financial statements. The accounting function shall be carried out by using Tally Page 27 of 45 SWASTH/BTAST/2014-08/45 08/45 accounting software, which will be supplied by the CA firms engaged for the work. The CA firm will supply desktop computer with UPS and printer to each division office on which the Tally software shall be installed. The agency hired would also provide training to all accounts staff in each division on (a) basics of computers and use of computers, (b) use of Tally software, and (c) DESA and basics of accounting. The agenc agencyy hire would provide assistance in preparation of annual financial statements that include monthly, quarterly, and half year-end year financial statements and any other report that is required under the GoI/ GoB guidelines or rules. The assignment also includes carrying out on on-job handholding and capacity-building building exercise and provides necessary professional help for sustaining the introduction of the DESA. In addition, the CA firms would also fix parameters of training in consultation with PHED/ BTAST that would include - finalizing the training needs after doing a training needs analysis for the accounts staff based on their understanding of the capacity an and skill-level level of the accounting staff of the accounting staff of PHED. The firms will also put in place a system for flow of data required for recording accounting entries and maintaining books of accounts to ensure that the PHED units can maintain the acc accounting ounting system on its own after completion of this assignment. All divisional offices need to maintain books of accounts in accordance with the guidelines of GoI/ GoB. Therefore, the accounting staffs need adequate training to maintain books as per highest standards and follow the good accounting practices. The CA firms would provide onon the-job job training on both theoretical and practical concepts of accounting under DESA and in use of accounting software to the accounts staff. ined in accounting policies that govern the DESA so that they are The accounts staff must be trained able to maintain the system at their own level. The broad aim of the assignment is to sustain the DESA, asset accounting including inventory management; train the accounting staff of the PHED D in maintenance of books of accounts and preparation of financial statements as per GoI/ GoB provisions guidelines; and to promote accountability of use of public funds, provide data for sound and economic financial management practices. b. Scope of Work and Brief Description of Task The support will be extended for computerization of accounting function, preparation of opening Balance sheet as on 1st April, 2014 and updating accounts based on DESA upto FY 2015-16. 16. The maintenance of accounts based upon DESA is planned to be outsourced till March 2016 to make the PHED accounting staff capable and skilled enough to maintain the accounts on DESA on their own. Page 28 of 45 SWASTH/BTAST/2014-08/45 08/45 It is expected that the accounting activities carried out by the Chartered Accountant firm shall assist in improving the accountability in of use of funds and provide a deterrent to any malpractice or mismanagement. 1. PHED, Government of Bihar (GoB (GoB)) is reforming the present accounting system by outsourcing the Accounting of the state office as well as the district offices to the Chartered Accountancy firms initial for period till March 2016. 2. It is planed to engage one CA firm for one zone for a ini initial tial period till March 31, 2016. Thus four (4) CA firms will be engaged for the complete job. One CA firm would be hired for each of the following zone and will be responsible for the support to all the divisions falling under that zone: Sl. No. Zone 1 Patna 2 Muzaffarpur 3 Purnia 4 Bhagalpur PHED Divisions Covered Patna East, Patna West, Biharsharif, Hilsa, Arah, Arwal, Buxar, Sasaram, Bhabhua, Aurangabad, Gaya, Nawada, Jehanabad Muzaffarpur, Hajipur, Sitamarhi, Dhaka, Bettiah, Sheohar, Motihari, Samastipur Samastipur, Chhapra, Madhubani, Darbhanga, Siwan, Gopalganj Purnea, Kishanganj, Katihar, Araria, Saharsa, Supaul, Madhepura Bhagalpur East, Bhagalpur West, Banka, Munger, Jamui, Sheikhpura, Begusarai, Khagaria, Lakhisarai Total Units No. of Units 13 13 7 9 42 3. The appointment process will be carried out for state as a whole. CA firms will be required to apply quoting rate for one district. The selected CA firm will be allotted zone in consultation with the department, however, one agency will get contract for on one e zone only. 4. The manpower deployed by the CA firm will be dedicated full time for this service and shall be retained with that exclusive requirement. To ensure quality, the firm shall develop and follow an exclusive policy, describing standards and guidel guidelines ines for managing the manpower deployed for the purpose. 5. The CA firm will hire services of manpower/ agency capable of implementation of computerization of accounting function by use of TALLY accounting software. The CA firm will depute one full time senior or accountant for each district who shall have the requisite educational and work experience requirement as detailed in this expression of interest. Preference should be given to retired official of GoB/ official of accountant general. Page 29 of 45 SWASTH/BTAST/2014-08/45 08/45 6. The CA firm will supply pply and install a new desktop computer, printer and UPS in the accounts department all division offices allotted to it. The technical specification of the computer, printer and UPS is attached as Annexure – A. 7. The CA firm will purchase and supply single user latest version of Tally software for each division office and install the same on computer supplied by them. The technical specification of the 8. The computers, UPS, printers and all software, including Tally, supplied under the contract, shall be the property of PHED as soon as it is supplied and installed at the division office. 9. The firm will impart 6 day training on ‘basics of computer’ and Tally software, to the staff posted at the divisions/ offices falling under the zone. 10. The training roster and module shall be developed in consultation with nodal officer nominated by PHED. 11. The CA firm will provide necessary handholding support for accounting, book keeping, bank reconciliation, reporting, budgeting, audit compliance, etc., during the entire contract contr period. 12. The firm will provide services through deployment of manpower who should be result orientated, potential to lead a thematic unit and ability to extend quality support to the units. The manpower deployed should be in accordance with the service requirements and the deployment should be with the concurrence of nodal officer nominated by PHED. 13. The CA firm will ensure highest degree of transparency while selection of manpower to be deployed by it and will ensure selection of only those candidates wh who fulfill the eligibility criteria prescribed for the task to be performed. The search and selection process should continue till suitable manpower is found and recruited by them. Under no circumstance will the selection and recruitment requirements be dil diluted, uted, since that will affect adversely the quality of the services to be rendered. All information related to recruitment of manpower will be provided to PHED/ BTAST or the nodal officer as and when required. 14. The CA firm will ensure completion of accountin accountingg and computerization works through the manpower hired by it and deputed to the division offices. Following specific tasks/ work shall be carried out by the CA firm in each division office allotted to them: a. Preparation of opening balance sheet of unit under the cluster awarded as on April 01, 2014 with opening Bank Reconciliation, Tracking of Fixed Assets acquire under this program and confirmation of advance etc b. Introduction of TALLY accounting software in the department and help the department to switch ch over from manual to Tally based computerized accounting. Page 30 of 45 SWASTH/BTAST/2014-08/45 08/45 c. Maintenance of accounts on DESA by using the accounting software as per prevailing Accounting practices and Guidelines of the Central and the state Government. This will include maintaining all ac accounting counting ledgers, registers and formats as per the GoI/ GoB guidelines and rules. d. Preparation of bank reconciliation statement every month. e. Maintaining work ledgers including treatment of income tax, sales tax, royalties, and others. f. Maintenance of beneficiary iary accounts and tracking of payment of incentive. g. Identification of any grant received for specific projects, and the work done till date; pending balance if any. h. Preparation of opening balance sheet as on April 01, 2014 on DESA system for each division including reconciliation of all GoB/ GoI funds received by the division under different programmes. i. Preparation of yearly financial statements of each unit under contract for each financial years till 2015-16. 16. The yearly account will include income and ex expenditure penditure account, receipt and payment accounts, balance sheet complete with all schedules, etc. j. Preparation of monthly, quarterly and half yearly financial reports and MIS reports for submission to PHED Zonal office/ HQ k. Monitoring and coordinating with aaccounts ccounts personnel at the units under the cluster level so as to ensure that district level accounts are maintained as per the standards prescribed. l. Provide handholding support and assistance to sustain the new accounting system including use of accounting software, and provide necessary ’on site’ professional support in maintaining various books of accounts prescribed under the guidelines of GoI/ GoB. m. Provide guidelines on duration of time required for maintenance of various types of accounting records and capacity building for filing and retrieval of various categories of accounting records n. Coordinate with officials of the units under the PHED zone to ensure that the fund flow to the respective division is as per the mechanism prescribed for the same. o. Monitoring of the MIS and reporting on the MIS for the smooth financial management and fund flow. Page 31 of 45 SWASTH/BTAST/2014-08/45 08/45 p. Preparation and Consolidation of the Utilization Certificate icate and submission of Claims as per the guidelines of GoI/ GoB. q. Assist the officials of the division office in Fund Flow Management and Expenditure/ payment mechanism that would ensure timely flow of funds and adherence to expenditure targets. r. Assisting the officials of the division office in liaisoning and reporting for the fund release from the State and the Central Government. s. Ensure the Compliance of all the statutory requirements to be met by the division office that will include matters related to Income Tax, Commercial Tax department or any other Department, etc. t. Coordinate with the internal and external auditors including assisting the department in preparation of audit replies, compliance and closure of audit recommendations. u. Assisting the division sion offices in preparation of annual budget and also in budget analysis including capacity building of the field staff in planning and budgeting. v. Capacity building of the accounts personnel posted at the division office by carrying out periodical training and on job training, w. Assist in putting in place a mechanism so that the new system can be maintained even after the completion of this assignment. x. All other work assigned by the officials of the division/ zone/ state office. 15. The CA firm will ensure that the Team Leader and Finance Specialist nominated for the cluster visits at least two days in each district to guide and support the Senior Accountant stationed there. c. Result to be Achieved by This Assignment for Division Office • • • • TALLY implementation and co computerization mputerization of complete accounting and financial reporting process. Preparation of and opening balance sheet as on 01 April 2013 using the accounting records available at the division office including preparation of Fixed Assets Register, bank reconciliation, etc. Maintaining of regular accounts and preparing the year year-end end financial statements for the FY 2013-14, 2014-15 15 and 2015 2015-16. 16. Annual financial statements include monthly, quarterly, and half year-end end financial statements; and Handholding support (including cluding comprehensive training and capacity development) to help each division office in sustaining DESA including Asset Accounting. Page 32 of 45 SWASTH/BTAST/2014-08/45 08/45 • Increased technical capacity of the existing accounts personnel. d. Output and Deliverables for Division Office Report Inception Report Due Date Within 2 weeks of commencement of the assignment Contents Detailed time line for manpower recruitment, deployment, installation of Tally software at division office, training of manpower, hand holding support, preparation of opening balance sheet On April 01, 2013, annual reports, etc. Hiring and placement of manpower at all division office of the allotted zone Within 4 weeks of commencement of the assignment Preparation of opening balance sheet as on 01 April 2014 Supply and installation of desk top computer, UPS, printer at division office and installation of TALLY software on the computers supplied Carry out training needs assessment of the accounts personnel and training of accounts personnel of division office on ‘basics of computers’ and use of TALLY software Preparation of ledgers and month-end trial balances under accrual basis Half Yearly Financial Statement Within 8 weeks of commencement of the assignment Within 6 weeks of commencement of the assignment As per formats prescribed by GoI/ BoB Within 12 weeks of commencement of the assignment As per the technical specification communicated/ advised/approved by the BTAST/ PHED. By the 10th of subsequent month As prescribed by GoI/ GoB Report for April April-Dec 2014 by 31 Jan 2015 As prescribed by GoI/ GoB As per the technical specification mentioned at Annexure - A/ advised/approved by the BTAST/ PHED. Page 33 of 45 SWASTH/BTAST/2014-08/45 08/45 Report Due Date HFS Sept 2014 by 31 Oct 2014 Annual Financial Report for Ap April 2014 to Statement for the Mar 2015 by 30 April 2015 financial years Report for April 2015 to Mar 2016 by 30 April 2015 Month end report on By the 10th of subsequent Training, Handholding month, a report on the Support, Capacity training conducted during Development to the previous month and accounts personnel at progress of DESA division office and implementation. There Progress of would be a minimum of two sessions of training Implementation of DESA each month (may be more, if the consultant considers there is a require requirement of more training) Contents As prescribed As per requirement understood by the consultant and advised/approved by the BTAST / PHED Note: All reports must be submitted in English and Hindi. Reports must be submitted in both print and electronic versions. e. Manpower Requirement Experts Title Qualifications, Skills and Experience [A] Positions Common for all divisions under the PHED Zone Team Leader and Finance • Chartered Accountant / Cost & Specialist Management Accountant with at least 8 years of experience; Must have worked in at least 1 assignment with a govt. undertakings • Fluent in Hindi and English ; Proficiency in use of Tally Number of Experts One for each zone [For Team Leadership, the expert must possess leadership qualities and must have been a team leader /Dy. Team Leader in any projects] [B] Positions Unique for each unit under the Cluster [Firms must propose separate experts for each position for each unit under the cluster] Senior Accountant One for each • CA (Inter)/ Cost & Management division office Accountant (Inter) with 1 years Page 34 of 45 SWASTH/BTAST/2014-08/45 08/45 Experts Title Qualifications, Skills and Experience working experience / M.Com. with over 5 years experience in maintenance of accounts. • Fluent in Hindi and English, Proficiency in use of Tally; • Must have worked in at least 1 assignment with a govt. Undertaking Number of Experts f. Responsibilities of different Parties In addition to above, the CA firms shall be responsible for following: i. Each CA firm would open a project office at each PHED Zonal Town (only one office at the PHED Zonal HQ). Setting up of this project office is the responsibility of the agency. This Project Office would be the office to coordinate the assignment of all units under that zone and for exchange of correspondence; ii. Hire services of the agency/ agencies/ person personss to supply, install and maintain Tally software in each district office. iii. Provide one computer, printer and UPS to the accounts department in all division and state offices; iv. The agency will ensure purchase of single user latest version of Tally software for fo each district. v. Hire services of the agency/ agencies/ persons to provide 6 day training on ‘basics of computers’ and Tally software to the accounts personnel at each district falling within the unit allotted to it. The training module shall be developed in consultation with the nodal officer nominated by PHED. vi. Arrange its own communication facilities and equipment necessary for completion of the assignment; vii. Consumables (Printing Cartridges, Printing Paper etc.) required for computers and printers. viii. Ensure the Team Leader and Finance Specialist nominated for the cluster visits at least two days in each division to guide and support the Senior Accountant posted there, and provide any other assistance required. ix. Arrange all staff including staff for data entry and validation using Tally; x. Arrange for all transportation and travelling required for the assignment; xi. Arrange training material, printouts, etc. as required for implementing of DESA; Page 35 of 45 SWASTH/BTAST/2014-08/45 08/45 xii. Arrange for all stay, lodging, boarding, and food arrangements. xiii. Arrange necessary number of laptops as required and the software, printers, data storage devices. g. Review and Monitoring of the Assignment The performance of the agency will be judged on the basis of work done against the agreed work plan. The agency will prepa prepare re quarterly activity plans and share it with BTAST/ PHED. A joint monthly review mechanism will be put in place and represented by core members of BTAST, PHED and the agency. The review of the progress and plan for future action will be decided therein. In n case, PHED has any objections related to assignment deliverables, it will inform the agency in writing. The agency will comply with the recommendation made by PHED and accordingly complete the assignment at no additional cost. h. Duration of Assignment The period of the assignment will be for the period upto 31 March 2016. i. Payment Schedule This is both an input-based based and an output output-based Contract. Output-based: On submission and approval of: i. ii. iii. Inception Report: 10% of contract value Submission of financial statements for 31 31-03-2015, 2015, 20% of contract value Submission of financial statements for 31 31-03-2016, 2016, 20% of contract value Input-based: 50% of the contract value shall be paid in bi bi-monthly monthly instalments based on the input of the Staff and on submission of certified Attendance sheets of (a) Team Leader & Finance Specialist and (b) Senior Accountant; and the monthly progress report. ******** Page 36 of 45 SWASTH/BTAST/2014-08/45 08/45 Annexure – A Technical Specifications of Computer 1. Computer: a. Brand b. Type c. RAM d. Hard Drive Device e. Processor f. Operating System g. Screen Size h. DVD Recorder i. Optical Mouse j. 104 keys Keyboard : : : : : : : HP, Compaq, Dell, Lenovo, Acer, HCL, Desktop 2 GB 500 GB, 5400 rpm 3rd Generation Intel Core i3 – 3220 Windows 8 18 -20 inches 2. Printer: a. Brand b. Printer Output c. Internal Memory d. Print Resolution e. Print Speed f. Input Tray Capacity g. Output Tray Capacity h. Output Tray Type i. Media Size Support : : : : : : : : : Cannon, HP, Samsung, Toshiba, Dell, Xerox Monochrome 2 MB 600 X 600 dpi 14 PPM 150 sheets 100 sheets Face down A4, A5, A6, B5, C5, DL 3. UPS: a. UPS Type b. Input Voltage c. Output Voltage d. Battery Type e. Battery Backup f. Storage Capacity g. Recharge Time : Sine Wave : 140 – 300 Volts AC : +/ (-) 10% : 12V/ 9AH : 30 mins : 800 VA/ 400 W : 8 hours ****** Page 37 of 45 SWASTH/BTAST/2014-08/45 08/45 DRAFT CONTRACT DOCUMENT Page 38 of 45 SWASTH/BTAST/2014-08/45 08/45 CONSULTANT AGREEMENT This Agreement is dated as of ____________, 20__ between Cooperative for Assistance and Relief Everywhere, Inc a United States nonprofit corporation through its office __________________[name and address of country office] ("CARE") and __________________________ ___________________________ a corporation incorporated under the laws of ________________ _______________ with its principle place of business at _________________________________ _________________________________ (the “Vendor”) for good go and valuable consideration, the sufficiency of which the parties hereby acknowledge, agree as follows: 1) Governing Law.. This Agreement shall be construed and enforced in accordance with, and governed by the laws of _____________ [country country where Country O Office is located], ], without regard to its choice of law rules. 2) Scope of Services. Vendor shall complete the Services, including providing any specified deliverables, and be provided compensation as described in Schedule A, as modified in writing by the parties arties from time to time. All Services shall be of the best industry standards, conforming to or exceeding all specifications provided by Vendor. If risks of personal safety are a part of the Services, Vendor shall execute the release set forth in Schedule B.. Time is of the essence and delivery of Services shall be strictly in accordance with this Agreement. In the event of a dispute between the parties, CARE may withhold payments due the Vendor until a settlement has been reached. The compensation and currency hereunder shall not change regardless of exchange rate fluctuations, except as CARE may otherwise agree in writing. 3) Ownership of Work. Vendor certifies that all materials created hereunder for CARE [other than materials preexisting this Agreement and prepared for other customers] shall be original work and that no third party shall hold rights in or to the Services. Vendor agrees: (a) all rights to the Services shall belong to CARE and be deemed work for hire; and (b) on CARE’s request, quest, Vendor shall provide CARE all materials containing the Services, including deliverables, and any documentation required to show CARE’s ownership of the Services. 4) Confidential Information. During the term hereof and for three years afterwards, ex except cept as specifically set forth herein to perform the terms of this Agreement, neither party shall disclose confidential information of the other party to any third-party party or make use of such confidential information for its own purposes without the owner's prior written consent. Confidential information shall mean any information (written, oral or observed) relating to: (a) donors or potential donors; (b) participants; (c) employees; (d) business or strategic plans; (e) finances; or (f) a relationship with any ny governmental entity; and shall also include information specifically designated confidential by the owner or that the disclosing party knows or reasonably should know is not public. Confidential information does not include any information generally kn known own to the public or readily obtainable from public sources. Further, confidential information may be disclosed to government authorities if the disclosure is required by law and the disclosing party has provided the owner notice and, if practicable, a re reasonable opportunity to defend against such disclosure. Upon the termination or expiration of this Agreement, Vendor shall destroy or return such information of the other party in its possession, including copies and notes, and in the case of destruction, at the owner’s request shall certify to such destruction. Neither party shall use the other party’s name or marks in any form of publicity or publicly disclose information relating to its Services without the other party's prior written consent. Neither party arty shall publicly disparage the other. 5) Conduct. Vendor shall comply with all laws and regulations applicable to its performance hereunder. Vendor and its employees shall maintain and comply with a written code of conduct that prohibits giving anything of value, directly or indirectly, to any person or entity, including government officials or CARE staff, in the form of a bribe or kickback; establishes appropriate limitations on transactions with relatives of Vendor employees or businesses or ventures related lated to Vendor or its employees; and otherwise properly governs the performance of its employees engaged in soliciting, awarding or administering contracts, and receiving gifts. Vendor shall inform CARE in writing of any violations relating to its obliga obligations tions hereunder. Vendor certifies that it has not knowingly provided and will not knowingly provide, in violation of applicable laws, material support or resources to any individual or organization that advocates, plans, sponsors, engages in, or has engage engaged d in an act of terrorism. Vendor shall comply with industry best practices to avoid exploitation of child labor and shall not discriminate on the basis of race, ethnicity, religion, national origin, gender, age, sexual orientation, marital status, citizenship citizen status, disability, or military status. While on CARE premises or working for CARE, Vendor shall comply with: (a) the office and security policies and directives of CARE; (b) CARE's policy prohibiting harassment and discrimination; and (c) such other polices as CARE may make known to Vendor. The parties are independent contractors of each other, and: (a) each party is responsible for all payments relating to its Services, including without limitation, social security, income tax withholding, unemployment ent payments and insurance; (b) neither party is an agent of the other, has the authority to enter into any contract or obligation on behalf of the other party; and (c) nothing herein shall create an employer/employee relationship, partnership or joint ven venture ture between the parties, or between one party and any employee of the other. Page 39 of 45 SWASTH/BTAST/2014-08/45 08/45 6) Indemnity. The Vendor assumes all liability for all loss, damage, cost and expense arising out of or in any way connected with the operation or performance of, or the failure tto o perform, any duty, obligation, or activity on the part of the Vendor, its subcontractor(s), agent(s), or employee(s) in connection with this Agreement. The Vendor further agrees to defend, indemnify and hold harmless CARE and the officers, agents and employees em of CARE and such entities from all loss, damage, cost and expense, including all reasonable attorneys' fees, arising from or in any way connected with the operation or performance of, or failure to perform, any duty, obligation, or activity on the part of the Vendor, its subcontractor(s), agent(s), or employee(s) in connection with this Agreement. Agreement The parties shall first try to resolve any controversy or claim arising out of or relating to this Agreement, or the breach or alleged breach thereof, by good faith negotiation among senior managers unrelated to the dispute, and failing that, by arbitration. The parties shall select a mutually acceptable arbitrator and work in good faith with the arbitrator to resolve the dispute. To the extent permitted by law, the arbitrator’s decision shall be final and binding and may be entered in any court having competent jurisdiction. This paragraph shall survive the completion or termination of this Agreement. 7) Invoice Statements and Adjustments. Vendor shall provide ide CARE with periodic and final invoice statements indicating Services performed, expenses incurred (if reimbursable pursuant to Schedule A), past payments made and any other information CARE shall reasonably request. Vendor shall provide a final invoice statement whenever requested by CARE up to sixty (60) days after the date set for the completion of the Services on Schedule A. The receipt or payment by CARE of any invoice shall not preclude CARE from questioning the correctness thereof at any time. Iff any invoice is found to be incorrect, that invoice shall be corrected immediately and an appropriate payment or adjustment made between the parties. Vendor shall keep complete and accurate records relating to this Agreement and providing a basis for the invoice statements to CARE. During the term of this Agreement, and for three (3) years thereafter, CARE, Donor if any, or their agents, during normal working hours, shall have full and free access to inspect and make extracts from such records, provided tthat hat CARE or Donor shall provide Vendor at least seven (7) days prior written notice. If any such examination and audit shall disclose any deficiency of five percent (5%) or more for the period audited, the Vendor shall pay, in addition to such deficienc deficiency, y, the reasonable cost of such examination and audit. 8) Expiration and Termination. This Agreement shall expire thirty (30) days after the date set forth on Schedule A for the completion of the Services. CARE may terminate this Agreement at any time for a any ny reason, upon fifteen (15) days prior written notice to the Vendor. On receipt of such notice, Vendor shall discontinue all Services, and terminate any subagreements hereunder, unless the notice otherwise provides. Upon such termination not involving a breach reach of Vendor’s obligations hereunder, full and complete settlement of all Vendor’s claims shall be made as follows: a) Vendor shall be paid full compensation for Services properly performed prior to the termination date and materials relating thereto ap approved by CARE, such as work-in-progress, progress, plans, drawings, and specifications, and b) title shall vest in CARE for any such materials for which CARE has paid. Certain obligations by their content shall survive any termination or expiration of this Agreemen Agreement, t, including in sections 3 through and including 9 hereof. 9) Entire Agreement. This Agreement, together with its attachments, states the complete agreement of the parties and supersedes any prior or contemporaneous agreements, whether oral or written, wi with th respect to the subject matter hereof. This Agreement may not be amended or modified except by a writing signed by all parties hereto. All attachments are incorporated by reference herein and form a part of this Agreement. Failure by CARE to insist upon n strict compliance with any of the terms, covenants, or conditions of this Agreement shall not be deemed a waiver of such terms, covenants, or conditions, nor shall any specific waiver or relinquishment be deemed a blanket waiver or relinquishment of such right or power. No waiver shall be binding unless in writing and signed by the party granting the waiver. If any provision of this Agreement shall be held invalid, illegal or unenforceable, then the validity, legality and enforceability of the remaining provisions of this Agreement will not in any respect be affected or impaired thereby. This Agreement, and the duties to be performed hereunder, shall not be assigned, in whole or in part, except with the prior written consent of the other party. No provision provis of this Agreement shall in any way inure to the benefit of any third third-party party so as to constitute such party as a third-party third beneficiary of this Agreement or any one or more of the terms hereof, or otherwise give rise to any cause of action in any party not a party hereto. 10) Donor Regulations. If this Agreement is funded with donor (“Donors”) funds, certain donor requirements may apply. CARE will notify you regarding these additional requirements. Requirements for US Government (USG) donors: value-added added taxes and custom duties (not a) Vendor shallll provide CARE with a report on or before April 1 of value sales tax) valued at $500 or more charged by the government on purchases hereunder during the prior fiscal year (October to September), and any reimbursement of such taxes or duties by the government. Alternatively, Vendor may itemize such taxes and/or duties on individual invoices submitted to CARE. Page 40 of 45 SWASTH/BTAST/2014-08/45 08/45 b) c) d) e) f) This Agreement shall be terminated immediately if the USG terminates or suspends funding to CARE. All Services, including any deliverables, rendered prior to that date pursuant to the terms hereof will be paid to Vendor on a prorated basis. Vendor certifies that neither it nor its officers, board members or key staff is barred, suspended, proposed for debarment, ineligible, ligible, or otherwise excluded from doing business with the USG or its agencies or departments. These provisions must be passed to Vendor’s lower tier Subcontractors. At CARE’s request, Vendor shall sign any certificates or documents and such take actions action as are required by the donor. In addition to the foregoing, depending on the USG funding, Vendor is required to comply with the requirements contained in the following referenced publications i) Non-US Vendor:: Mandatory Standard Provisions [MSP]. See http://www.usaid.gov/policy/ads/300/303mab.pdf http://www.usaid.gov/policy/ads/300/303mab.pdf. US Vendor: (1) 22 CFR 226 - Administration of Assistance Awards to US Non Non-Governmental Governmental Organizations (USAID) http://www.access.gpo.gov/nara/cfr/waisidx_04/22cfr226_05.html http://www.access.gpo.gov/nara/cfr/waisidx_04/22cfr226_05.html; (2) 22 CFR 228 – Rules on Source, Origin and Nationality for Commodities & Services Financed by USAID http://www.access.gpo.gov/nara/cfr/waisidx_04/22cfr228_05.html http://www.access.gpo.gov/nara/cfr/waisidx_04/22cfr228_05.html; (3) USAID’s Mandatory Standard Provisions for US, Nongovernmental Recipients (“MSP”) at http://www.usaid.gov/policy/ads/300/303maa.pdf http://www.usaid.gov/policy/ads/300/303maa.pdf. ii) U.S. Federal Acquisition Regulation (“FAR”) at http://acquisition.gov/far/index.html [Vendor may be required to have additional insurance for its workers performing hereunder outside the US and provide CARE evidence of such insurance. USG waivers may be available if workers are not US citizens or residents and receive adequate protection.] iii) USAID Acquisition Regulation (AIDAR) at http://www.usaid.gov/policy/ads/300/aidar.pdf iv) Centers for Disease Control: http://www.access.gpo.gov/nara/cfr/waisidx_07/45cfr74_07.html http://www.access.gpo.gov/nara/cfr/waisidx_07/45cfr74_07.htm [Vendor cannot use funds provided by the USG to lobby for, promote or advocate the legalization or regulation of prostitution as a legitimate form of work. Vendor must obtain a written declaration to such an effect from its subcontractor(s).] v) Bureau of Population, Migration and Population: http://www.access.gpo.gov/nara/cfr/waisidx_09/22cfr145_09.html COOPERATIVE FOR ASSISTANCE AND RELIEF EVERYWHERE, INC. VENDOR DBA __________________[name of country office] By: _______________________________________ By: ____________________________________ Name: _____________________________________ Name: __________________________________ Title: ____________________________ ______________________________________ Title: ___________________________________ Date: ______________________________________ Date:____________________________________ Page 41 of 45 SWASTH/BTAST/2014-08/45 08/45 SCHEDULE A 1. Scope of Services. Vendor shall perform the following duties: [DESCRIBE SCOPE OF WORK/ WORK/SERVICES AND DETAILED DELIVERABLES] Time. Vendor shall start Services on: [INSERT DATE HERE] All Services shall be completed by: [INSERT DATE HERE] Assigned Employees. If names of Vendor's employees are filled in below, then Vendor agrees that these employees shall perform the duties under this Agreement, unless CARE shall otherwise agree. [INSERT NAME(S) OF ASSIGNED EMPLOYEE(S), IF APPLICABLE.] Contacts. Unless a party shall otherwise advise in writing, the contacts for this Agreement are: CARE Contact Person. Vendor Contact Person. Name Title CARE Country Office Name Title Country Office Address Country Tel: Email: Address Country Tel: Email: Any specific Donor requirements: For USG funding: Non-US Vendor:: All Services, including any deliverables, must originate from insert Country Name and Vendor must be a citizen of that country, unless CARE otherwise approves in writing. US Vendor:: All Services, including any deliverables, must originate from the United States or insert Country Name and Vendor must be a citizen of the US that countr country, y, unless CARE otherwise approves in writing. 2. Compensation. Vendor shall receive the following compensation for the Services and any deliverables: [Specify total sum or breakdown of partial payments] 3. Expenses. Vendor shall be reimbursed reasonable expenses for: [DESCRIBE EXPENSES] No reimbursable expense in excess of _________ [Amount] (currency___) shall be incurred without CARE's prior written approval. If Vendor travel reimbursement shall be made under tthis his Agreement, then Vendor shall follow CARE's travel policies and be subject to CARE per diem rates. 4. Manner of Payment. Vendor's compensation and reimbursable expenses shall be paid by check thirty (30) days after receipt of proper approved invoice,, unless the parties otherwise agree in writing. 5. Good Faith Estimate of Total Payments. The following is a good faith estimate of the total payments to be made by CARE under this Agreement: Compensation (Section 2 above): [currency] _________________________ Reimbursable expenses (Section 3 above) [currency] _________________________ Total Sum of Agreement [currency] _________________________ Page 42 of 45 SWASTH/BTAST/2014-08/45 08/45 Schedule B Vendor Release (Make copies as needed for each Vendor employee) In connection with Vendor’s Services, Vendor and its employees may encounter difficult conditions and hazards. CARE requires that Vendor all insurance Vendor considers appropriate, including emergency medical evacuation coverage, to protect itself and its employees against the risks inherent in the Services. Vendor further agrees each of its assigned employees who will travel to perform Services has reviewed and executed the below disclosure and release, which Vendor will provide to CARE. Vendor Release I agree that in that the course of my Services and travel to and from CARE missions or projects, I may encounter extremely difficult travel conditions and be subjected to hazards and risks, foreseen and unforeseen, including the dangers of delays, illnesses, sses, injuries, death or kidnapping, or the loss of, or damage to, my property (collectively, each an “injury”). I recognize that CARE, its employees and agents cannot ensure my safety or that of my property. I am aware that such injuries may be caused by a variety of difficulties of travel, including, without limitation, natural causes, poor sanitation, infectious diseases, the activities of animals, trip members, CARE personnel and agents, other persons and war or civil disturbances, and that such inj injuries uries may result from negligence or other causes. I appreciate that I may be called upon to exercise extra care for my own person as well as for others around me. I understand that there may not be rescue or medical facilities or expertise necessary to d deal eal with the hazards to which I may be exposed. I understand that these risks exist and notwithstanding them I wish to participate in this work and travel hereunder. I confirm that I have read the foregoing and voluntarily assume all such risks occurrin occurring g in connection with the Services and travel hereunder and so hereby waive, release and discharge all such claims against CARE (which includes its officers, agents and employees and its and their respective heirs, legal representatives, successors and assigns) gns) to the extent permitted by applicable law. This Agreement shall bind my heirs, executors, administrators and assigns. ___________________________________ Signed by: _________________________________________ Print Name:_______________________________ Person to contact in case of emergency: Name:________________________________ Relationship:__________________________ Title:_____________________________________ Address:_____________________________ Address:__________________________________ ________________________________________ _____________________ _______________________________________ Ph #: Home:_______________Work:______________ Page 43 of 45 SWASTH/BTAST/2014-08/45 08/45 SCHEDULE OF PRICES Page 44 of 45 SWASTH/BTAST/2014-08/45 08/45 INVOICE FORMAT (To be given on letter head of the firm) INVOICE Invoice No: To: CARE India,, Solutions for Sustainable Development, New Delhi For Attention of Mr. -----------------------------------------, Contract Officer Invoice Date: IT PAN No: Service Tax Reg. No: Consultant Ref. No: Contract For: Contract No.: Period of Consultancy: Start Date: ___________ End Date: _____________ Period Covered by this Claim From: ________________ To : _________________ Maximum Contract Value: _____________ _____________Total Amount Received: _____________ Claims Made Amount: _______ Date_______ Invoice No._______ Date Received_______ Amount: _______ Date_______ Invoice No._______ Date Received_______ INVOICE PARTICULARS Amount Tax (if any) (Rs.) (Rs.) GRAND TOTAL Cheques to be drawn in the name of: This invoice is in respect of a supply of services to CARE India,, Solutions for Sustainable Development, and is addressed purely for payment purposes. I certify that the amounts claimed in this invoice have been wholly and necessarily incurred for the purp purpose ose of the engagement and have not been claimed before. ___________________ Signature of Consultant Page 45 of 45
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