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INVITATION FOR EXPRESSION OF INTEREST

1. State Bank of India (SBI), the Project-Executing Agency (PEA, §2) hereby invites qualified independent consultants to submit a prequalification document for consulting services required (see §3.) under the Solar Partnership I (SP I) – Promotion of Solar/PV in India Phase I. Funds have been earmarked for this project by the German bilateral Financial Cooperation, implemented by KfW.

2. State Bank of India is India’s largest bank having its branches spread across India. The Bank also has presence in 37 countries across the globe. The Bank offers wide range of products and services to both Corporate and Retail Customers.

3. Within the framework of the program Solar Partnership I - Promotion of Solar/PV in India Phase 1, a loan facility of up to USD 177.33 million (“Loan”) has been provided by KfW to State Bank of India (SBI) for implementing phase 1 of the program. The first phase of the program shall be complemented by a Technical Assistance (TA) Package, for which up to EUR 1 million shall be granted by KfW.

4. The requested services of the consultant comprise long-term support and strategic consultancy to SBI as specified in the draft Terms of References for the pre-qualified Consultant (Annex 1) which would help in efficient and successful implementation of the Solar Partnership I. The main task is to support SBI in the establishment of an appropriate Environmental and Social Management System (ESMS) with a focus on financing of solar/PV projects, including related training activities. The Consultant needs to be adequately qualified for this interdisciplinary assignment. As a general requirement, the Consultant shall have adequate education, professional knowledge and experience in handling similar tasks in the past. A team comprising of various experts with relevant expertise and other professional as well as administrative support staff shall provide the services. Additionally, efficient management and backstopping services shall be made available.

5. Consultants are free to associate themselves with other firms to ensure that all required know-how and experience are available to them. In case a non-Indian Consultant is interested in the assignment, they are expected to have a branch office in India or else they should associate with an Indian consulting firm, active in the Indian environmental and social (E&S) sector for at least 5 years. The Consultant needs to be available at site/call as per requirement of PEA for a period of two years.

6. The prequalification document in English language shall have the following structure and content and shall be presented in the same sequence as shown below:

(i) Covering Letter, comprising the firm’s name, address, contact person, telephone, fax and email if applicable mention the association for this project.

(ii) Presentations of firms (maximum 10 pages), inclusive clear statements of type,

property and key task of the association, if applicable.

(iii) Statements and Declarations:

a) Declaration of submitting a proposal in case of being short-listed;

b) Statement on affiliations of any kind with other firms which may present a

conflict of interest in providing the envisaged services.

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c) In case of an association – the intended contractual arrangement with

international and local firms, nominating the lead consultant and including letters of intent of participating firms (in case of local partners a fax copy of such letter of intent is sufficient).

d) Standard Declaration: The Consultant declares that it does not have any pecuniary liability or any claim/disciplinary/legal proceeding pending against itself/its partners/directors or any other cause which could hamper its ability to render the services as envisaged. The Consultant also declares that it has not been banned / declared ineligible for corrupt and fraudulent practices by the Govt. of India / State Governments / any other regulatory body and does not have any disciplinary proceedings pending against it or any of the partners. If the aforesaid representation /declaration or information in the annexures is found to be incorrect, the Consultant agrees that the Bank shall be entitled to terminate the agreement, if allotted, or initiate suitable action as deemed fit and appropriate by the Bank, without reference to the Consultant

e) Declaration to observe the highest standard of ethics during execution of the contract. Applicants should be aware that any fraudulent or corrupt activities disqualify them immediately from participation in the selection process and will be subject to further legal investigation. The said declaration shall be submitted and duly signed according to the following form:

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Declaration of Undertaking

We underscore the importance of a free, fair and competitive contracting procedure that

precludes abusive practices. In this respect we have neither offered nor granted directly or

indirectly any inadmissible advantages to any public servant or other person nor accepted

such advantages in connection with our bid, nor will we offer or grant or accept any such

incentives or conditions in the present tendering process or, in the event that we are awarded

the contract, in the subsequent execution of the contract. We also declare that no conflict of

interest exists in the meaning of the kind described in the corresponding Guidelines1.

We also underscore the importance of adhering to minimum social standards (core labour

standards) in the implementation of the project. We undertake to comply with the core labour

standards ratified by India.

We will inform our staff of their respective obligations and of their obligation to fulfil this

declaration of undertaking and to obey the laws of India.

We also declare that our company/all members of the consortium has/have not been

included in the list of sanctions of the United Nations, nor of the EU and affirm that our

company/all members of the consortium will immediately inform SBI and KfW if this

situation occurs at a later stage.

We acknowledge that, in the event that our company (or a member of the consortium) is

added to a list of sanctions that is legally binding on SBI and/or KfW, SBI shall be entitled to

exclude us/the consortium or, if the contract is awarded to our company/the consortium, to

immediately cancel such contract if the statements made in the Declaration of Undertaking

were objectively false or the reason for exclusion from the tender procedure occurs after the

Declaration of Undertaking has been issued.

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

(Place) (Date) (Name of company)

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

(Signature(s))

1 See “Guidelines for the Assignment of Consultants in Financial Cooperation with Partner Countries“ and “Guidelines for

Procurement of Goods, Works and associated Services in Financial Cooperation with Partner Countries”

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e) Certified statement of financial capacity (by independent chartered

accountant) of the lead consultant and all associated partners, if any showing the necessary annual turnover of more than 1,000,000 EUR in any of the last three financial years. The Consultant should not have negative net worth, in any of the last three financial years.

(iv) List of project references carry out as Annex 2 covering the last eight years

and strictly related to the envisaged services.

(v) List of available personnel structure for the envisaged services with

information about education, professional experience, regional experience, years with firm, specific project-related experience and experience in similar posts (see Annex 3). This list shall allow a profound judgement on the consultants’ general ability to provide the required personnel having the specific experience for the project in case of an offer. Personal belonging to the firm or having a long cooperation gets more points.

(vi) List of documents/information to be submitted along with Expression of Interest

a) Copy of Certificate of Incorporation, Certificate of Registration, Memorandum and, articles of association or equivalent documents for international bidders and details of Registered Office.

b) Copy of resolution authorizing the person to sign the papers on behalf of the Consultant company.

c) Copies of engagement letters for the relevant completed assignments referred in point (iv) above

d) Details of regulatory issues faced by the consultant / promoters if any in the past 5 years and present status

e) Annexure 2, 3.a and 3.b duly filled

Interested consultants are requested to submit concise and clear but substantial documents and to adhere to the above structure. Non-compliance with this invitation or faulty information shall lead to non-qualification. Any surplus of information not specific to the material requested may be penalized.

7. One hard and one soft copy of the prequalification proposal shall be submitted by mail in one original and one copy to the Project-Executing Agency (State Bank of India (SBI), 4th Floor, Corporate Centre, State Bank Bhawan, Madame Cama Road, Mumbai- 400021, India).This is the binding delivery address. Sending prequalification proposals by e-mail shall lead to non-qualification.

8. One hard copy and one soft copy of the prequalification proposal shall be submitted to the Tender Agent (ah-Advice International, Mr Andreas Hahn, Germanenweg 9, 65527 Niedernhausen, Germany) latest by the date indicated in the advertisement on the same date. Sending prequalification proposals by e-mail shall lead to non-qualification.

9. All cost for a site visit, obtaining information/data and preparation/submission of the prequalification document, meetings, negotiations, etc. in relation with the prequalification or the subsequent proposal shall be borne by the consultants.

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10. At any time, PEA either at its own initiative or in response to clarifications requested by an interested consultant may clarify this invitation. Such information shall be sent in writing by facsimile or e-mail to all parties, which have informed PEA about their participation.

11. Timeline for Pre-Qualification

1. Date of posting of Request for Expression of Interest (EOI) on GTAI2 website and other local/regional media

Date: 21 Sep 2018

2. Last date and time for receipt of written queries for clarification from consultants

Date: 01 Oct 2018 Time: 5:00 pm (GMT + 5:30)

3. Last date and time for reply to queries by the Bank

Date: 09 Oct 2018 Time: 5:00 pm (GMT + 5:30)

4. Deadline of receipt of EOI Date: 22 Oct 2018 Time: 5:00 pm (GMT + 5:30)

5. Date and Time of opening of EOI Date: 24 Oct 2018 Time: 3:00 pm (GMT + 5:30)

6. Date of announcement of name of consultants who pre-qualify

Date: 05 Nov 2018

7. Place of opening of EOI CPPD (Credit Policy & Procedure Department), Corporate Centre, 4th Floor State Bank Bhavan Mumbai. Representatives of consultants may be present during opening of the response to EOI. However, responses to EOI would be opened even in the absence of any or all of the representatives of the consultant.

8. Address for communication (Bank)

Name: Mr. K. P Baiju Designation: Deputy General Manager (Credit Policy & Procedure) State Bank of India (SBI), Corporate Centre, CPPD Department, 4th floor, State Bank Bhavan, Madam Cama Road, Mumbai - 400021 Contact Number: 022-2274 2420 Fax: 022 2202 1574 Email: [email protected]

12. It is planned to establish a short-list consultants and to invite technical and financial proposals from these consultants.

13. The evaluation procedure for the prequalification process will follow the latest version of the „Guidelines for the Assignment of Consultants in Financial Cooperation with Partner Countries“ (refer to homepage of KfW development bank: www.kfw-

2 GTAI – Germany Trade & Invest

http://www.kfw-entwicklungsbank.de)/

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entwicklungsbank.de). and the procedure and the policy followed by PEA.3 Only financially capable firms which have submitted the necessary statements (see §6 iii) satisfying the set conditions will be evaluated. Specific evaluation criteria and their individual weight are presented in the following table:

S.N.

Parameter Criteria for Evaluation Scoring criteria Maximum Score

1 Specific experience of the firm gained in the establishment of Environment and Social Management Systems (ESMS) by consultants during the past 8 (eight) years.

i. Working experience with corporates, banks, lenders and development banks, globally

ii. Working experience in India (must have). At least 1 assignment for setting up of ESMS in India

i. i. Max 30 marks (6 marks per project)

ii.

ii. 20 marks (20 marks if complied with, else 0)

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2 Qualification and Competence of the Key Experts for the assignment

Kindly refer to the table under Point 7 in Annex 1

Marks on the basis of number of experts and their relevant experience, relevant qualification, etc. (refer to the listed key personnel under Annex 3)

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Grand Total 100

Minimum Technical score required to qualify 70

14. After having completed the evaluation of the prequalification documents, a short-list consisting of five highest ranked Consultants or less, scoring a minimum of 70 points will be established. Short-listed firms will be invited to submit a technical and financial proposal. Firms not pre-qualified will be informed accordingly.

15. PEA is not bound to select any consultant. Also submission of expression of interest does not guarantee any commitment on the part of the PEA. The consultant fulfilling the criteria and found suitable will be short-listed and shall be invited to submit technical and financial proposal.

16. The preparation and the submission of the prequalification document is the responsibility of the applicant and no relief or consideration can be given for errors and omissions. The

3 This includes the Manual for Procurement of Consultancy and other Services by Government of India, Ministry

of Finance, Department of Expenditure (2017), Manual of Instructions on Premises Matters (January 2014) and

SBI Vigilance Manual (May 2009) as applicable.

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prequalification documents should be strictly as per the formats attached to this invitation for expression of interest.

17. After opening the prequalification documents until preparation of the short-list of the qualified consultants, no communication of any type shall be entertained unless called for by PEA.

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Annex 1

Draft Terms of Reference

German Financial Cooperation with India Solar Partnership I – Promotion of Solar/PV in India Phase I

(Remark: Annexes mentioned are in Draft stage and are subject to change, final ToR will be provided during tendering phase)

1. INTRODUCTION

India ranks number two in the global list of countries by population and its need for energy supply continues to rise as a result of the country’s dynamic economic development and modernization. In the wake of power deficits and rising import costs of fossil fuel resources, India’s energy security is a major concern for the government. As rapid economic growth is expected to continue, massive investments in power generation and related infrastructure are required. India is seeking to balance its development needs with the need to diversify the existing energy mix with clean and affordable low-carbon energy sources. This creates manifold opportunities for renewable energy (RE) deployment in India. 2. BACKGROUND

2.1 Target Group

The target group of the SP I consists of Indian energy users who benefit from an improved and ecologically sustainable electricity supply. Investors in the field of electricity production from solar/PV act as sub-borrowers who, by utilizing the financing offered by SBI, implement solar/PV projects and thereby contribute to an improved energy mix with an increased share of renewable energies.

2.2 Environmental and Social (E&S) Responsibility

Environmental and social (E&S) responsibility is becoming more and more important in today’s global economy. KfW's environmental and social requirements generally comprise the compliance of its financial sector partners and their respective clients with applicable environmental and social standards (refer to Task 5). An Environmental and Social Management System (ESMS) helps to integrate these standards and guidelines into core business operations, through a set of clearly defined, repeatable processes. KfW seeks to support SBI in the process of developing and implementing an adequate ESMS by providing related guidance and advice. 3. OBJECTIVES OF THE ASSIGNMENT

The general objective of this assignment is to support SBI further developing its ESMS activities and providing on-the-job training to SBI staff. 4. SCOPE OF WORK

In order to reach the objectives set out in this assignment, the Consultant is expected to conduct the following tasks but may not be limited to these. Moreover the Consultant is expected to apply his own expert knowledge towards accomplishing the overall objective as

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efficiently as possible. The consultant shall execute the tasks in close collaboration with SBI. Besides continuous on-the-job training of SBI staff, the Consultant is expected to offer task-specific training as and when required during the total duration of the engagement.

Task 1: Research on SBI’s current position in the market and planning of an Environmental and Social Management System

Goal: The general framework conditions for the introduction of an ESMS are clarified. SBI is aware of any environmental and social requirements and risks of its business.

• Conduct a desk-top study to assess the differences between Indian environmental and social laws and regulations on national and state level (as applied by SBI) and the IFC Performance Standards. The study shall be executed in form of a comprehensive synopsis in tabular form accompanied by a stringent, detailed analysis.

• Analyze the general characteristics of the SBI engagement (e.g. type of loans, volume and duration, main sectors, etc.)

• Analyze and assess the existing environmental and social practices at SBI • Analyze SBI’s partner/client structure (e.g. environmental and social awareness,

willingness and capacity of the partners to consider E&S aspects, partner’s past and present environmental performance)

• Benchmark SBI’s E&S risk management with industry best-practice • Support SBI in compiling and formulating its Environmental and Social Safeguard Policy

(ESSP) • Establish a comprehensive work plan for the establishment of the ESMS based on the

collected data and information

Task 2: Preparation of an Environmental and Social Management Manual and Tools

Goal: Procedures, work instructions and tools guiding SBI in the implementation of the ESSP and the application of the E&S standards are described in a comprehensive ESMS manual.

• Propose SBI-specific E&S procedures based on the results of Task 1 • Define the tailor-made ESMS approach and methodology in close cooperation with SBI

management • Structure the individual components of the ESMS (e.g. ESSP, E&S capacity, E&S risk

evaluation, E&S risk monitoring, reporting) according to the needs of SBI and KfW • Develop suitable tools (e.g. social safeguard and climate risk screening checklists,

sample terms of references, project monitoring checklists, etc.) for the implementation of E&S standards and provide an overview of other publically available tools

• Describe the framework conditions, all relevant procedures, work instructions in detail • Document the results of Tasks 1-2 and prepare the comprehensive ESMS manual

Task 3: Implementation of the Environmental and Social Management System (ESMS)

Goal: SBI has implemented a functioning and internationally accepted ESMS including the required set of policies, procedures, tools and internal capacity to identify and manage the environmental and social risks posed by projects funded under the Solar Partnership I.

• Propose a suitable organizational structure for the implementation of the ESMS • Support SBI in setting up the organizational structure • Structure the ESMS implementation according to the Environmental and Social

Management Manual

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• Ensure that ESMS elements as described in the Environmental and Social Management Manual will be integrated in SBI’s project financing mechanism as applicable throughout its process of project application and appraisal before a loan is granted, as well within borrower’s obligations in monitoring and reporting after the loan has been sanctioned (Initially this shall be taken up for the loans financed under SP I and later on it may be taken up for other projects as per the requirement of the Bank)

• Undertake the implementation of the ESMS in close collaboration with SBI’s staff and management

Task 4: Capacity Building and Training Measures

Goal: SBI employees are enabled to recognize potential E&S risks of investment projects and take appropriate countermeasures.

• Conduct a training needs assessment of SBI employees responsible for E&S • Establish a capacity building and training plan • Prepare an in-depth introductory training for relevant SBI employees including case

studies and on-the-job trainings in the field • Design and conduct task-specific training units on demand • Exchange of information with private and state banks having established an ESMS in

India or abroad (e.g. within the scope of study tours) • Develop plans for follow up training to cover all necessary procedures in day-to-day

tasks related to E&S risk management at all stages of the transaction appraisal and monitoring process

Task 5: ESMS Operation

Goal: SBI employees consider E&S aspects during the credit due diligence and approval process.

The Consultant shall ensure that while operating the ESMS, SBI employees are enabled to:

• Categorize the potential environmental and social risks associated with SBI and transaction partner’s/client’s business activities

• Conduct a risk-appropriate appraisal of the capacity of those partners/clients to responsibly manage the E&S risks associated with their business activities

• Collect sufficient information regarding E&S risks to allow SBI to make an informed decision about the acceptability of those E&S risks and their mitigation management

• Implement necessary risk monitoring instruments to ensure that partners/customers avoid, mitigate and/or compensate environmental and social impacts and to manage SBI’s exposure to unreasonable E&S risks in a transaction, thereby avoiding unexpected environmentally or socially derived liabilities

• Review and evaluate all loan applications under the SP I as part of the credit due diligence and approval process against the following requirements:

o Indian laws and regulations applicable to environmental and social topics and REC funding sectors as specified in the Environmental & Social Legal Register

o International law including conventions and treaties adopted by India which may be applicable to REC and its portfolio

o International Labor Organization (ILO) Core Labor Conventions which are ratified by India

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o Sustainability Guidelines of KfW Development Bank and therewith IFC Performance Standards, General Environmental and Health and Safety Guidelines and Industry

o Specific Guidelines of the World Bank Group (relevant sector-specific EHS Guidelines, handbooks, fact-sheets etc.), as applicable

o For the resettlement aspects, IFC Performance Standard 5, the UN Basic Principles and Guidelines on Development-based Evictions and Displacement, namely §§ 42, 49, 52, 54 and 60) and then applicable guidance provided within the IFC (currently 2002) Handbook for Preparing a Resettlement Action Plan and World Bank (currently 2004) Involuntary Resettlement Sourcebook shall be considered

o Exclusion List for Financial Intermediaries of KfW

Task 6: Monitoring and Reporting

• The Consultant shall, in cooperation with the responsible SBI team, implement a documentation and monitoring system to ensure that the review and analysis conducted, and the required mitigation, or corrective measures as applicable according to the E&S procedures are:

o Recorded in the loan approval documents o Available in a structured and transparent database

• Any documents that will be developed by the Consultant for internal purposes of REC, as well as documents to be communicated externally shall be prepared in English

Task 7: Evaluation of ESMS Effectiveness

• Summarize the status quo of ESMS implementation, difficulties or amendments in the work schedule as well as the outcomes of the different implementation phases (e.g. ESMS documentation including E&S Policy, E&S Guidelines, Capacity Building Plan, etc.) in the quarterly project progress reports (refer to chapter 5, Deliverables and Timetable). Information on ESMS must include:

o Status of ESMS implementation including gap analysis o Brief summary of the E&S due diligence of visited solar/PV projects, highlighting

main findings, gaps and proposed mitigation measures o Evaluation of a register of all category A and category B projects screened,

categorized and reviewed (the register is to be provided by SBI)

• Prepare an implementation report to be submitted one year after ESMS implementation. The report should summarize the progress made within the project and indicate further steps to improve the ESMS.

5. DELIVERABLES AND TIMETABLE

Within the scope of the assignment, the Consultant shall submit at least the following deliverables:

No. Deliverables Delivery

1 Workshop to kick-start the process: meeting with the key stakeholders of Bank explaining the Consultant’s

First 10 days after commencement of services

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concept and approach

2. Inception report 3 weeks after commencement of services

3. Progress calls/meeting/reports with/of Consultant

First one - 4 weeks after commencement of services Thereafter – Quarterly

4. Draft of Environmental & Social Safeguard Policy (ESSP) and Environmental & Social Management Manual (ESMS)

4 months after commencement of services

5 Final ESSP and ESMS Manual 5 months after commencement of services

6. Reports on trainings and workshops, training materials, process descriptions, presentations, Terms of Reference, etc.

As applicable

The Consultant shall take over SBI’s reporting obligations to KfW and support SBI in the preparation of semi-annual progress reports. The contents of reports will have to be agreed with SBI and will be specified in the consulting agreement. Generally, all reports have to be prepared in DIN-A4 format and in editable electronic form (Word, Excel, PowerPoint, etc.) as well as in Acrobat PDF format (with minimum number of files). Size of letters and line spacing shall be adequate. All reports must be signed by Consultant and countersigned by the SBI. All reports, concepts, summaries or other written deliverables shall be provided in English language. 6. PRINCIPLES OF WORK

Although the Consultant’s scope of work during execution of his services has been outlined

as detailed as possible in Chapter 4, the Consultant shall bear in mind that the list of tasks

and activities cannot be considered as complete. Rather, it is the Consultant’s responsibility

to critically assess the scope of services indicated and to propose extensions or amendments

depending on his own professional judgement and the know-how he will acquire during

preparation of the proposal. It is the duty of the Consultant to meet and coordinate his

activities with all relevant stakeholders. In meeting the Terms of Reference, the Consultant

will review any existing relevant study reports previously done.

7. SKILLS AND EXPERIENCE

The Consultant needs to be adequately qualified for this interdisciplinary assignment,

covering mainly environmental and social topics. As a general requirement, the Consultant

shall have adequate education, professional knowledge and experience in handling similar

tasks in the past. In particular it is required, that the Consultant has sufficient knowledge and

experience in at least the following fields:

• Expertise and proven track record in institutional and human capacity development / training

• Experience in working and coordinating with private and state banks • Minimum 10 year working experience in the development and implementation

of ESMS, out of which minimum 2 years working experience in India

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• Analytical, well-structured work approach • Excellent cross-cultural skills

An international Consultant is expected to associate with an Indian consulting firm, active in

the Indian photovoltaic sector for at least 5 years. An Indian branch office of the

international Consultant and/or office of the Indian partner consulting firm is required. It is

expected that the Consultant considers sufficient manpower for the field, home office and

backstopping with relevant expertise as well as excellent command of the English written

and spoken language in his offer. The list of experts can include, but does not necessarily

need to be limited to the following experts:

No. Key Position Knowledge and Skills – Minimum Requirements

Minimum qualification and professional experience

1. Project Manager / Team Leader

- Comprehensive knowledge of environmental and social standards of the World Bank Group and other international standards in the area of environmental and social impact assessment and management

- Demonstrated team management skills: organization, communication, objective setting, and performance appraisal;

- Demonstrated quality management skills: critical requirement assessment, expectations management, and problem-solving;

- Demonstrated effective verbal and writing communication skills.

Completed Master’s Degree or a degree of equivalent level in studies with immediate relevance to the conduct of environmental and social assessments, such as: - Environmental or

Agricultural Sciences, or - Environmental Engineering,

or - Anthropology, or - Ethnology, or - Related subjects At least 10 years of experience in responsibly directing and managing international projects immediately related to environmental and social assessment or management

2. Environmental Expert

- Comprehensive knowledge of environmental and good knowledge of social standards of the World Bank Group and other international standards in the area of environmental and social impact assessment and management;

- Comprehensive knowledge of the KfW requirements

Master’s Degree or degree of equivalent level in studies with immediate relevance to the conduct of environmental assessments, such as - Environmental or

Agricultural Sciences, or - Environmental Engineering,

or - Ecology, or - Related subjects.

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towards environmental and social impact assessment

- Knowledge of potential environmental risks and impacts of renewable energy (RE) sources

- Knowledge of RE project impacts on community health and safety and security;

- Knowledge of RE project impacts on relevant resources, such as water, soils and forests;

- Knowledge of RE project impacts on occupational health and safety and working conditions.

At least 10 years of experience in an advisory role in environmental and resource protection, developing and implementing environmental management plans, protecting neighboring communities or areas with biodiversity values

3. Social Expert - Comprehensive knowledge of social and good knowledge of environmental standards of the World Bank Group and other international standards in the area of environmental and social impact assessment and management;

- Comprehensive knowledge of the KfW requirements towards social and environmental assessments

- Knowledge of RE project social risks and impacts (including Human Rights aspects)

- Knowledge of RE project impacts on occupational health and safety and working conditions

- Knowledge of RE project impacts on the socio-economic conditions and livelihoods in affected communities

- Knowledge of RE project impacts on the cultural heritage in affected

Master’s Degree or degree of equivalent level in studies with direct relevance to the conduct of social assessments, such as - Anthropology, or - Ethnology, or - International Human Rights,

or - Related subjects. At least 10 years of experience in an advisory role in conducting social impact assessments and human rights assessments and working with project affected communities

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communities - Knowledge of the rights of

indigenous peoples

Experts who do not comply with the minimum requirements listed above will be excluded

from the evaluation, and respective proposals rejected. An individual expert may cover more

than one key position. In this case, his capabilities in each position will be evaluated

individually. Therefore, CVs should clearly demonstrate the relevant experience. The services

of the Consultant shall be conducted to great extent in India. Local presence of the team

leader is expected. All logistic/transportation and accommodation, etc. shall be considered

within the responsibility of the Consultant.

8. SIMPLIFIED REIMBURSEMENT PROCEDURE

Within the scope of KfW’s simplified reimbursement procedure, the Consultant will:

• Examine invoices submitted by contractors on the basis of the supply and service contracts to determine whether the services and supplies being invoiced were actually performed

• Examine that the payment has fallen due and all necessary documents are available as required in the supply and service contracts

• Examine that the documents to be presented include valid down payment and implementation guarantees in accordance with the specimen required by KfW, (validity, guarantee amount), if applicable, insurance policies and transport documents.

• Examine whether the regulations concerning the disbursement procedure that are agreed between the SBI and KfW – and are passed on to the Consultant – are being adhered to

• In so far as the above mentioned conditions are met, ˗ certify the copy of the contractor’s invoice ˗ certify the disbursement request to be addressed to KfW by the SBI

accordingly • The Consultant will keep the relevant documents ready for inspection by

PEA/KfW.

9. Sub-Contracting In case the Consultant intends to engage sub-contractors, the Consultant shall bear full responsibility for the services they perform. The assignment of all activities to one or more sub-contractors is not permissible.

10. Miscellaneous The terms of reference are indicative and may undergo a change. The applications received for pre-qualification will be scrutinized and shortlisted for consideration based on the technical criteria (availability of technical & skilled manpower and required assignment done in number & size). However, short-listing will be at the sole discretion of the PEA based on its need and PEA need not give any reasons for not short-listing any of the applicants.

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Annex 2

Project References

Please provide information contained in the table below summarizing the major relevant projects related to this project.

Template References

Ref. Project title

Name of the legal entity

Country Overall project value (INR)

Proportion carried out by legal entity(%)

No. of staff provided

Name of Client

Origin of funding

Dates

(Start/End)

Name of the Partners if any

Name of the Company for whom ESIA is performed

Description of project (sectors, size, location, etc.)

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Annex-3.a

Presentation of Curricula Vitae

The comprehensive Curricula Vitae of the definitely assigned personnel shall be presented in the form as shown below:

1. Family name:

2. First names:

3. Date of birth:

4. Nationality:

5. Education:

Institution

Date: from (month/year) to (month/year)

Degree(s) or Diploma(s) obtained

6. Language skills, mark 1 (worst) to 5 (best) for competence:

Language Reading Speaking Writing

7. Membership of professional bodies:

8. Other skills:

9. Present position:

10. Years within the firm:

11. Key qualifications (relevant to the project):

12. Specific country experience:

Country Date: from (month/year) to (month/year)

13. Professional experience record (projects):

Date: from - to (month/year)

Location

Company

Position

Description

add more projects

…

14. Others (e.g. publications):

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Annex 3.b

Presentation of Staff Characteristics

The following data have to be indicated for the key experts proposed for the different posts. They have to be backed unambiguously by details in the CV. In case of contradictions found during evaluation, details of the CV prevail. Tables may be adjusted according to the proposal and to the number of proposed key staff.

Professional Key Staff

Criteria Name NN 1 NN 2 NN 3

Post / function

Professional education related to project and post

degree(s)

Professional experience, from first job after professional education

years

Specific project-related experience (acc. to post). Similar project with similar tasks

N° of projects

Regional experience countries

Employment status with firm years as employee

In case of associate/retainer: Accumulated years during short- or long-term assignments for the bidder

accumulated years

Home Office Support (Backstopping) of Consultant

Criteria Name

Professional Experience years

Regional Experience countries

Management Experience years

Years with firm years

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Annex 3.c

Exclusion List

The proceeds of the Loan shall not be used to finance the following projects:

Production or trade in any product or activity deemed illegal under host country laws

or regulations or international conventions and agreements, or subject to international

bans, such as pharmaceuticals, pesticides/herbicides, ozone depleting substances,

PCB's, wildlife or products regulated under CITES.

Production or trade in weapons and munitions.1

Production or trade in alcoholic beverages (excluding beer and wine).1

Production or trade in tobacco.1

Gambling, casinos and equivalent enterprises.1

Production or trade in radioactive materials. This does not apply to the purchase of

medical equipment, quality control (measurement) equipment and any equipment

where IFC considers the radioactive source to be trivial and/or adequately shielded.

Production or trade in unbonded asbestos fibers. This does not apply to purchase

and use of bonded asbestos cement sheeting where the asbestos content is less

than 20%.

Drift net fishing in the marine environment using nets in excess of 2.5 km. in length.

Production or activities involving harmful or exploitative forms of forced labor2/harmful

child labor.3

Commercial logging operations for use in primary tropical moist forest.

Production or trade in wood or other forestry products other than from sustainably

managed forests

Footnotes

1 This does not apply to project sponsors who are not substantially involved in these

activities. "Not

substantially involved" means that the activity concerned is ancillary to a project sponsor's

primary

operations. 2 Forced labor means all work or service, not voluntarily performed, that is extracted from an

individual under threat of force or penalty 3 Harmful child labor means the employment of children that is economically exploitive, or is

likely to

be hazardous to, or to interfere with, the child's education, or to be harmful to the child's

health, or

physical, mental, spiritual, moral, or social development.

german financial cooperation with (@partner country)

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