Request for Proposal (RFP): Model Documents for Selection of Systems Implementation Agencies/Partners Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for E–Governance Projects MODEL RFP TEMPLATES SELECTION OF AGENCIES FOR PUBLIC PRIVATE PARTNERSHIPS December, 2011 Engaging Implementation Agencies/Partners for e-Governance Projects, India 1 | Pa ge Model RFP Templates for Public Private Partnerships This document is advisory in nature and aim to sensitize the bid management teams on good practices and harmonize/standardize the RFP clauses and terms & conditions. All the deliverables of the assignment “Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for E–Governance Projects” are based on existing Central Government Guidelines, feedback from stakeholders and prevalent international practices. However it is possible that the State Government / Nodal Agencies may have their own specific procurement Guidelines which may or may not be consistent with the clauses of the RFP, Guidance notes or Contract Agreement. It may be noted that these documents do not substitute or overrule any approvals currently required by the concerned Department/State Government Nodal Agency for finalization of the RFP. Accordingly it is advised that all necessary approvals are taken from appropriate authorities, as done before publishing of these model documents. ………….. It may be noted that the (Draft) Public Procurement Bill (2011) has been published by the Government of India for consultations and this may be revised on the basis of the suggestions received. The Bill contains broad principles and will be supplemented by rules. It is expected that the final version of this Bill (and rules) will cover some of the contents of this documents. Users of this document are advised to refer and ensure compliance to the Act, as and when it is brought into force. Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 2 | Pa ge Model RFP Templates for Public Private Partnerships Glossary 1 A&M Approach & Methodology 2 ATS Annual Technical Support 3 BCA Bachelor of Computer Applications 4 CCN Change Control Notes 5 CD Compact Disc 6 COTS Commercially Off The Shelf 7 CS Computer Science 8 CV Curriculum Vitae 9 CVC Central Vigilance Commission 10 DD Demand Draft 11 DFID Department for International Development 12 DIT Department of Information Technology 13 DR Disaster Recovery 14 EMD Earnest Money Deposit 15 EMS Enterprise Management System 16 EOI Expression of Interest 17 ESH Extended Service Hours 18 GFR General Financial Rules 19 GIS Geographical Information System 20 GoI Government of India 21 ICT Information and Communication Technology 22 INR Indian National Rupee 23 IP Implementation Partner 24 IT Information Technology 25 LD Liquidated Damages 26 LLP Limited Liability Partnership Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 3 | Pa ge Model RFP Templates for Public Private Partnerships 27 LoA Letter of Award 28 LoI Letter of Intent 29 MCA Master of Computer Applications 30 MMP Mission Mode Project Contract 31 Agreement Contract Agreement 32 NeGP National e-Governance Plan 33 O&M Operations and Maintenance 34 OEM Original Equipment Manufacturer 35 PAN Permanent Account Number 36 PBG Performance Bank Guarantee 37 PoA Power of Attorney 38 PoC Proof of Concept 39 QCBS Quality Cum Cost Based Selection 40 RFE Request for Empanelment 41 RFP Request for Proposal 42 RFP Request for Proposal 43 RoC Registrar of Companies 44 SI System Integrator 45 SLA Service Level Agreement 46 SOW Scope of Work 47 T&M Time and Material 48 ToR Terms of Reference 49 UAT User Acceptance Test Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 4 | Pa ge Model RFP Templates for Public Private Partnerships Terms and Legends for the Document Symbol / Terms Meaning < > Text to be inserted by the user of the template [ ] Tips provided to the user of the template. These are to be deleted by the user from the final document being created << >> Text to be filled in by the bidder in response to this document. This is not to be inputted / tinkered by the user Nodal Agency The nodal agency which is responsible for executing the project and assists the Department in carrying out the bidding. Also this is known as State Designated Agency. In case the Government department itself decides to carry out the bidding and execute the project, then the term “Nodal Agency” should be replaced by the Department. Department or The Department is the ultimate “owner” of the project. The e- Authority Governance is carried out within the domain of the department. (Optional) Certain clauses are optional to be put in the document and would depend on certain conditions. These may be included in the RFP, post establishing the relevance of the clause. Bidder Supplier/Vendor of Software application development, Software products Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 5 | Pa ge Model RFP Templates for Public Private Partnerships Key Highlights / Changes Introduced 1 Preparation for − Provided for enough pre-Tender planning establishing the feasibility and establishing financial and economic of a e-Governance PPP feasibility of the project project 2 Eco-System for managing − Defining roles of various entities for ensuring the PPP Project proper check and balances for creating a successful PPP project 3 Balanced Sharing of Risks − Identification of risks and allocating it to the party best positioned to handle that risk 4 Eligibility and Technical − Rationalized the criterions in the Eligibility / Evaluation Prequalification and the Technical evaluation (eliminated restrictive criterions) 5 Promote Transparency of − Standards in the quality of information to be Information provided in the RFP document − Upfront sharing of Project Budget information 6 Standardization / Clarity − Recommendations on Performance and Output specifications − Choice of PPP Model − Risk Allocation Matrix 7 Focus on Outcomes − Payment Schedule linked to the outcomes/Transactions 8 Rational approach to − Aligned as per International practices & drafting of Service Level procedures for establishing a baseline, Agreements service credits and earn-backs 9 Updated Some of the Key − Blacklisting Clauses − Conflict of interest − Clarifications Request/Appeal Post Technical Evaluation 10 Promoted Small and − Allocation of % on Contract Value Medium Enterprises − Evaluation Score assigned Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 6 | Pa ge Model RFP Templates for Public Private Partnerships Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 7 | Pa ge Model RFP Templates for Public Private Partnerships Key Reference Documents 1. Standardization of Public Funded Initiatives (PFI) Contracts (Version 4), HM Treasury, © Crown Copyright 2007 2. Public-Private Partnerships in e-Governance: Knowledge Map An Infodev Publication Prepared By: The Institute for Public-Private Partnerships, June 2009 3. The Guide to Guidance: How to Prepare, Procure and Deliver PPP Projects, European PPP Expertise Centre (EPEC) 4. Public-Private Partnership Handbook, Asian Development Bank (ADB) 5. PPP In India, Ministry of Finance, Government of India - http://www.pppinindia.com/ 6. Toolkit for PPP in Roads and Highways, Public-Private Infrastructure Advisory Facility (PPIAF) 7. Payment Mechanisms In Operational PPP Projects, Financial Partnerships Unit, Finance Directorate, The Scottish Government 8. Model Request for Proposals and Quotations for PPP Projects, Department of Expenditure, Ministry of Finance, Government of India 9. PPP Template, Yesser Government, Saudi Arabia Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 8 | Pa ge Model RFP Templates for Public Private Partnerships Table of Contents 1 Model EOI Document .......................................................................................................... 16 1.1 Advertisement for Expression of Interest ............................................................................. 16 1.2 Invitation for Expression of Interest ..................................................................................... 16 1.3 Introduction to the Project ................................................................................................... 16 1.4 Broad Scope of Work ............................................................................................................ 16 1.5 Proof of Concept (PoC): Optional.......................................................................................... 17 1.5.1 Scope of Proof of Concept ............................................................................................ 17 1.5.2 Output Expected from the PoC ..................................................................................... 17 1.6 Instructions to the Bidders .................................................................................................... 18 1.6.1 Completeness of Response ........................................................................................... 18 1.6.2 EOI Proposal Preparation Costs & related issues.......................................................... 18 1.6.3 Pre-Bid Meeting ............................................................................................................ 19 1.6.4 Responses to Pre-Bid Queries and Issue of Corrigendum ............................................ 19 1.6.5 Right to Terminate the Process ..................................................................................... 20 1.6.6 Submission of Responses .............................................................................................. 20 1.6.7 Bid Submission Format ................................................................................................. 21 1.6.8 Venue and Deadline for Submission ............................................................................. 21 1.6.9 Short Listing Criteria ...................................................................................................... 21 1.6.10 Evaluation Process ........................................................................................................ 21 1.6.11 Consortiums .................................................................................................................. 22 1.7 Pre-Qualification Criteria ...................................................................................................... 22 Appendix I: Bid Submission forms .................................................................................................... 26 Form 1: Covering Letter with Correspondence Details................................................................. 27 Form 2: Details of the Bidder’s Operations and IT Implementation Business .............................. 28 Form 3: Compliance Sheet for Pre-Qualification Criteria ............................................................. 29 2 Model RFP Document for PPP Vendor ................................................................................. 32 2.1 Fact Sheet .............................................................................................................................. 32 2.2 Request for Proposal ............................................................................................................. 34 2.3 Structure of the RFP .............................................................................................................. 34 2.4 Background Information ....................................................................................................... 35 2.4.1 Basic Information .......................................................................................................... 35 2.4.2 Project Background ....................................................................................................... 36 Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 9 | Pa ge Model RFP Templates for Public Private Partnerships 2.4.3 Key Information ............................................................................................................ 36 2.4.4 About the Department .................................................................................................. 36 2.4.5 Current Numbers of Transactions ................................................................................. 36 2.5 Instructions to the Bidders .................................................................................................... 37 2.5.1 General .......................................................................................................................... 37 2.5.2 Compliant Bids / Completeness of Response ............................................................... 38 2.5.3 Pre-Bid Meeting & Clarifications ................................................................................... 38 2.5.3.1 Pre-bid Conference ................................................................................................... 38 2.5.3.2 Responses to Pre-Bid Queries and Issue of Corrigendum ........................................ 39 2.5.4 Key Requirements of the Proposal ............................................................................... 39 2.5.4.1 Government’s Right to No Selection ......................................................................... 39 2.5.4.2 Contract Agreement.................................................................................................. 40 2.5.4.3 RFP Document Fees .................................................................................................. 40 2.5.4.4 Earnest Money Deposit (EMD).................................................................................. 40 2.5.1 Consortiums .................................................................................................................. 41 2.5.1.1 Inclusion of MSMEs in Project Delivery .................................................................... 41 2.5.1.2 Submission of Proposals ........................................................................................... 42 2.5.1.3 Authentication of Bids .............................................................................................. 42 2.5.2 Preparation and Submission of Proposal ...................................................................... 43 2.5.2.1 Proposal Preparation Costs ....................................................................................... 43 2.5.2.2 Government Department Site Visit........................................................................... 43 2.5.2.3 Language ................................................................................................................... 43 2.5.2.4 Venue & Deadline for Submission of Proposals ........................................................ 43 2.5.2.5 Late Bids .................................................................................................................... 44 2.5.3 Deviations ..................................................................................................................... 44 2.5.4 Evaluation Process ........................................................................................................ 45 2.5.4.1 Tender Opening ........................................................................................................ 45 2.5.4.2 Proposal Validity ....................................................................................................... 45 2.5.4.3 Proposal Evaluation .................................................................................................. 45 2.6 Criteria for Evaluation ........................................................................................................... 46 2.6.1 Technical Evaluation Criteria......................................................................................... 46 2.6.2 Commercial Proposal Evaluation .................................................................................. 49 2.6.3 Combined and Final Evaluation .................................................................................... 50 2.7 Appointment of Private Sector Vendor/Agency ................................................................... 51 Preparation of Model Requests for Proposals (RFPs), Toolkit and Guidance Notes for preparation of RFPs for e- Governance Projects 10 | Pa ge